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Page 1 of 14 Pages
No.: RZUN2019-2001
检测报告 TEST REPORT
UN38.3
NAME OF SAMPLE:
Rechargeable Li-ion battery pack
产品名称：
可充电锂离子电池组
CLIENT:
Nanjing YANTU Car Accessory Co., Ltd
委托单位：
南京沿途汽车用品有限公司
CLASSIFICATION OF TEST:
Commission Test
检测类别：
委托测试
威凯检测技术有限公司
威凯检测技术有限公司
威凯检测技术有限公司
威凯检测技术有限公司
Vkan Certification & Testing Co., Ltd.
检测报告 TEST REPORT
No.:RZUN2019-2001
Test conclusion:
| Name of samples: Rechargeable Li-ion battery pack 样品名称: 可充电锂离子电池组 | Type/Model: 型号规格: V01/18650-3S1P 11,1V 2200mAh 24,42Wh |
|---|---|
| Color: Blue 样品颜色:蓝色 | Physical shape:Irregular 样品形状：不规则形状 |
| Commissioned by: Nanjing YANTU Car Accessory Co., Ltd 委托单位: 南京沿途汽车用品有限公司 | Manufacturer: Nanjing YANTU Car Accessory Co., Ltd 生产单位: 南京沿途汽车用品有限公司 |
| Commissioner address:No.99, Shengtai Road, Jiangning District, Nanjing City, Jiangsu, China 委托单位地址:江苏省南京市江宁区胜太路99 号 | Manufacturer address:No.99, Shengtai Road, Jiangning District, Nanjing City, Jiangsu, China 生产单位地址: 江苏省南京市江宁区胜太路99 号 |
| Classification of test: Commission Test 检测类别: 委托测试 | Quantity of sample: 8 battery packs, 30 cells 样品数量: 8 个电池组, 30 个电芯 |
| Tested according to: 测试标准: ST/SG/AC.10/11/Rev.6/Amend.1/Section 38.3 | Sample identification: 样品标识序号:b1#~b8#, c1#~c30# |
| Receiving date: 接样日期：2019-05-15 | Means of receiving: Submitted by commissioner 接样方式：委托单位送样 |
| Completing date: 完成日期：2019-06-05 | Test item: 8 items 测试项目：8 项 |
检测结论:
The 可充电锂离子电池组 submitted by Nanjing YANTU Car Accessory Co., Ltd are tested according to Section 38.3 of the Sixth revised Edition Amendment 1 of the Recommendations on the Transport of Dangerous Goods, Manual of Test and Criteria (ST/SG/AC.10/11/Rev.6/Amend.1/Section 38.3). The test items are full items. The test results comply with the relevant requirements of the standard.
由南京沿途汽车用品有限公司送检的 Rechargeable Li-ion battery pack，依据《关于危险货物运输的建议 书》试验和标准手册第六修订版修正 1 第 38.3 节进行检测，试验为全项目，测试结果符合标准相关要求。
Title:
批准人职务：
Approved by:
Manager
经理
Reviewed by:
Tested by:
批准：
审核：
检测：
Page 2 of 14 Pages
Description and illustration of the sample:
样品说明及描述:
The sample's status is good
样品状况良好。
| Test item 测试项目 | Sample No. 样品编号 | State 状态 | Remark 备注 |
|---|---|---|---|
| T.1~T.5 | b1#~b4# | at first cycle, in fully charged states 第一个交替充电放电周期完全充电状态 | - |
| | b5#~b8# | after 25 cycles ending in fully charged states 第25 个交替充电放电周期完全充电状态 | |
| T.6 | c1#~c5# | at first cycle at 50% of the design rated capacity 第一个交替充电放电周期充电到设计额定 容量的50% | - |
| | c6#~c10# | after 25 cycles ending at 50% of the design rated capacity 第 25 个交替充电放电周期充电到设计额 定容量的50% | |
| T.7 | b1#~b4# | at first cycle, in fully charged states 第一个交替充电放电周期完全充电状态 | using undamaged samples previously used in tests T.1 to T.5 使用试验 T.1 至 T.5 未 损坏的样品 |
| | b5#~b8# | after 25 cycles ending in fully charged states 第25 个交替充电放电周期完全充电状态 | |
| T.8 | c11#~c20# | at first cycle, in fully discharged states 第一个交替充电放电周期完全放电状态 | - |
| | c21#~c30# | after 25 cycles ending in fully discharged states 第25 个交替充电放电周期完全放电状态 | - |
Description of the sampling procedure:
取样程序的说明:
/
Description of the deviation from the standard, if any:
测试结果不符合标准项的说明:
/
Remarks:
备注：
Throughout this report a comma is used as the decimal separator.
本报告中以逗号代替小数点。
Battery/
Photos of Samples and Labels/样品照片及标识
电池 （V01/18650-3S1P 11,1V 2200mAh 24,42Wh
）
Photos of Samples and Labels/样品照片及标识
Inner Cell/内部电芯（18650-2200(INR19/66) 3,7V 2200mAh 8,14Wh ）
| ST/SG/AC.10/11/Rev.6/ Amend.1/Section 38.3 | | | |
|---|---|---|---|
| Clause | Requirements 标标标标准准准准要要要要求求求求 | Result 测测测测试试试试结结结结果果果果 | Verdict |
| 章章章章节节节节 | | | 判判判判定定定定 |
| 38.3.4 | Procedure/测测测测试试试试步步步步骤骤骤骤 | | |
| 18.104.22.168 | Test 1: Altitude simulation/测测测测试试试试1：：：：高高高高度度度度模模模模拟拟拟拟 | | |
| | Test cells and batteries shall be stored at a pressure of 11,6kPa or less for at least six hour at ambient temperature (20±5℃)/ 将电芯和电池在温度为20±5℃，大气压 力为不大于11,6kpa 的环境中贮存不少于6 个小时 | | |
| | Requirement/标准要求： 1 Cells and batteries Mass loss limit: ≤0,1% /样品 质量损失≤0,1% 2 Open circuit voltage not less than 90%, The requirement relating to voltage is not applicable to test cells and batteries at full discharged states. 样品试验后开路电压应不低于试验前开路电压的 90﹪,此要求不适用于完全放完电的电池和电芯。 3 No leakage, no venting, no disassembly, no rupture and no fire 样品（电池）应无漏液、无排 气、无解体、无破裂以及无着火现象的发生 | The samples b1#~b8# : No leakage, no venting, no disassembly, no rupture and no fire/编号为 b1#~b8#的样 品：无漏液、无排气、无解 体、无破裂以及无着火现象 The data is shown in Table 1./数据见表1 | |
| 22.214.171.124 | Test 2: Thermal test/测测测测试试试试 2: 热热热热冲冲冲冲击击击击 | | |
| | Test cells and batteries are to be stored for/电池存储条件如下： 1 For small cells and batteries: one temperature cycle: 72±2℃(6h) —-40±2℃(6h) /对于小型电芯和电池：一次温度循环为72±2℃(6h) —-40±2℃(6h) For large cells and batteries: one temperature cycle: 72±2℃(12h) —-40±2℃(12h) /对于大型电芯和电池：一次温度循环为72±2℃(12h) —-40±2℃(12h) 2 The maximum time interval between test temperature extremes is 30 minutes/温 度转换最大间隔时间为30min 3 This procedure is to be repeated 10 times/重复10 次循环 4 after which all test cells and batteries are to be stored for 24 hours at ambient temperature (20±5℃)/循环结束后，电池在 20±5℃的条件下 搁置24 小时 | | |
| | Requirements/标准要求 1 Cells and batteries Mass loss limit: ≤0,1% /样品 质量损失≤0,1% 2 Open circuit voltage not less than 90%, The requirement relating to voltage is not applicable to test cells and batteries at full discharged states. 样品试验后开路电压应不低于试验前开路电压的 90﹪,此要求不适用于完全放完电的电池和电芯。 3 No leakage, no venting, no disassembly, no rupture and no fire 样品（电池）应无漏液、无排气、无解体、无破裂 以及无着火现象的发生 | The samples b1#~b8# : No leakage, no venting, no disassembly, no rupture and no fire/编号为 b1#~b8#的样 品：无漏液、无排气、无解 体、无破裂以及无着火现象 The data is shown in Table 1./数据见表1 | |
| ST/SG/AC.10/11/Rev.6/ Amend.1/Section 38.3 | | | |
|---|---|---|---|
| Clause | Requirements 标标标标准准准准要要要要求求求求 | Result 测测测测试试试试结结结结果果果果 | Verdict |
| 章章章章节节节节 | | | 判判判判定定定定 |
| 126.96.36.199 | Test 3: Vibration/测测测测试试试试 3: 振振振振动动动动 | | P |
| | 1 Cells and batteries are firmly secured to the platform of the vibration machine /电 芯和电池牢固地安装在振动台（的台面）上 2 The vibration: a sinusoidal waveform with a logarithmic sweep between 7Hz and 200Hz and back to 7Hz traversed in 15 minutes/振动以正弦波形式，以7Hz 增加 至 200Hz，然后在减少回到 7Hz 为一个循环，一个循环持续 15 分钟的对数前移传 送。 3 For cells and small batteries: from 7 Hz a peak acceleration of 1gn is maintained until 18Hz is reached. The amplitude is then maintained at 0.8mm (1.6mm total excursion) and the frequency increased until a peak acceleration of 8g occurs n (approximately 50Hz). A peak acceleration of 8g is then maintained until the n frequency is increased to 200Hz. / 对于电芯和小型电池：从7Hz 开始，以1g 的峰 n 值加速度保持不变，直到达到 18Hz。然后将振幅保持在 0.8mm（总偏移 1.6mm） 并且频率增加直到出现 8g 的峰值加速度（大约 50Hz）。然后保持 8g 的峰值加速 n n 度，直到频率增加到200Hz。 For large batteries: from 7Hz a peak acceleration of 1g is maintained until 18Hz is n reached. The amplitude is then maintained at 0.8mm (1.6mm total excursion) and the frequency increased until a peak acceleration of 2g occurs (approximately n 25Hz). A peak acceleration of 2g is then maintained until the frequency is n increased to 200Hz. / 对于大型电池：从 7Hz 开始，以 1g 的峰值加速度保持不 n 变，直到达到 18Hz。然后将振幅保持在 0.8mm（总偏移 1.6mm）并且频率增加直 到出现 2g 的峰值加速度（大约 25Hz）。然后保持 2g 的峰值加速度，直到频率增 n n 加到200Hz。 4 This cycle repeated 12 times for a total of 3 hours for each of three mutually perpendicular mounting position of the cell. One of the directions of vibration must be perpendicular to the terminal face. /以振动的其中一个方向必须是垂直样品极 性，对每个电芯从三个互相垂直的方向上循环 12 次，每个方向 3 个小时，共 9 小 时。 | | |
| | Requirements/标准要求 1 Cells and batteries Mass loss limit: ≤0,1% /样品 质量损失≤0,1% 2 Open circuit voltage not less than 90%, The requirement relating to voltage is not applicable to test cells and batteries at full discharged states. 样品试验后开路电压应不低于试验前开路电压的 90﹪,此要求不适用于完全放完电的电池和电芯。 3 No leakage, no venting, no disassembly, no rupture and no fire 样品（电池）应无漏液、无排气、无解体、无破裂 以及无着火现象的发生 | The samples b1#~b8#: No leakage, no venting, no disassembly, no rupture and no fire/编号为 b1#~b8#的样 品：无漏液、无排气、无解 体、无破裂以及无着火现象 The data is shown in Table 1./数据见表1 | |
ST/SG/AC.10/11/Rev.6/Amend.1/Section 38.3
| Clause | Requirements 标标标标准准准准要要要要求求求求 | Result 测测测测试试试试结结结结果果果果 | Verdict |
|---|---|---|---|
| 章章章章节节节节 | | | 判判判判定定定定 |
| 188.8.131.52 | Test 4: Shock/测测测测试试试试 4: 冲冲冲冲击击击击 | | P |
| | 1 Test cells and batteries shall be secured to the testing machine/以稳固的托架固 定住每个电芯和电池样品的全部配件表面。 2 Each cell shall be subjected to a half-sine shock of peak acceleration of 150 g n and pulse duration of 6 milliseconds. Large cells may be subjected to a half-sine shock of peak acceleration of 50 gn and pulse duration of 11 milliseconds. / 对每 个电芯以峰值为 150g 的半正弦的加速度撞击，脉冲持续 6 毫秒，大型电芯须经受 n 最大加速度50g 和脉冲持续时间11 毫秒的半正弦波冲击。 n Small batteries shall be subjected to a half-sine shock of peak acceleration of 150 100850 g (or Acceleration(g )= , which is smaller) and pulse duration of 6 n n mass milliseconds, large batteries shall be subjected to a half-sine of peak acceleration 30000 of 50 g (or Acceleration(g )= , which is smaller) and pulse duration of n n mass 100850 11 milliseconds/对每个电池以峰值为 150g （或与 中的较小值）的半正 n mass 弦的加速度撞击，脉冲持续 6 毫秒，大型电池须经受最大加速度 50g （或与 n 30000 中的较小值）和脉冲持续时间11 毫秒的半正弦波冲击。 mass 3 Each cell or battery shall be subjected to three shocks in the positive direction followed by three shocks in the negative direction of three mutually perpendicular mounting positions of the cell or battery for a total of 18 shocks/每个电池或电池组 须在三个互相垂直的电池安装方位的正方向经受三次冲击，接着在反方向经受三次 冲击，总共经受18 次冲击。 | | |
| | Requirements/标准要求： 1 Cells and batteries Mass loss limit: ≤0,1% /样品 质量损失≤0,1% 2 Open circuit voltage not less than 90%, The requirement relating to voltage is not applicable to test cells and batteries at full discharged states. 样品试验后开路电压应不低于试验前开路电压的 90﹪,此要求不适用于完全放完电的电池和电芯。 3 No leakage, no venting, no disassembly, no rupture and no fire 样品（电池）应无漏液、无排气、无解体、无破裂 以及无着火现象的发生 | The samples b1#~b8# : Acceleration= 150g n No leakage, no venting, no disassembly, no rupture and no fire/编号为 b1#~b8#的样 品： 峰值加速度= 150g n 无漏液、无排气、无解体、无 破裂以及无着火现象 The data is shown in Table 1./数据见表1 | |
| | Test 5: External Short Circuit/测测测测试试试试5 外外外外接接接接短短短短路路路路 | | |
| ST/SG/AC.10/11/Rev.6/ Amend.1/Section 38.3 | | | |
|---|---|---|---|
| Clause | Requirements 标标标标准准准准要要要要求求求求 | Result 测测测测试试试试结结结结果果果果 | Verdict |
| 章章章章节节节节 | | | 判判判判定定定定 |
| | 复到57±4℃之后保持短路状态1 小时以上；对于大电池，电池温度降低至最高温升 | | |
| | 值的一半时实验结束。 3 the cell or battery must be observed for a further six hour for the test to be concluded, /对电芯或电池必须进一步观察6 个小时才能下结论。 | | |
ST/SG/AC.10/11/Rev.6/Amend.1/Section 38.3
| Clause | Requirements 标标标标准准准准要要要要求求求求 | Result 测测测测试试试试结结结结果果果果 | Verdict |
|---|---|---|---|
| 章章章章节节节节 | | | 判判判判定定定定 |
| 184.108.40.206 | Test 6: Impact / Crush / 测测测测试试试试6: 撞撞撞撞击击击击/挤挤挤挤压压压压 | | |
| | Impact (applicable to cylindrical cells not less than 18mm in diameter) / 撞击（适用于直径不小于18 毫米的圆柱形电池） | | |
| | 1 This test sample cell or component cell is to be placed on a flat smooth surface/ 将试验样品用的电芯或聚合物电芯放在一个平坦光滑的平面上 2 A 15,8 mm diameter bar is to be placed across the center of the sample, A 9,1kg mass is to be dropped from a height of 61±2,5cm onto the sample./将一直径为 15,8mm 的横木横过电池中部放置后，将一质量为 9,1kg 的物体从 61±2,5cm 的高 度落向样品。 3 The test sample is to be impacted with its longitudinal axis parallel to the flat surface and perpendicular to the longitudinal axis of the 15,8 mm ± 0,1mm diameter curved surface lying across the centre of the test sample. Each sample is to be subjected to only a single impact./ 接受撞击的试样，纵轴应与平坦的表面平 行并与横放在试样中心的直径 15,8±0,1 毫米弯曲表面的纵轴垂直。每一个试样只经 受一次撞击。 | | |
| | Requirements/标准要求： 1 Cells external temperature not exceed 170℃.电 芯或电池的最高表面温度应不超过170℃ 2 No disassembly, no fire within six hours of this test 试验结束后 6 个小时之内，电芯和聚合物电芯应无 解体和无着火现象发生 | The samples c1#~c10#: no disassembly and no fire/ 编号为 c1#~c10#的样品：无 解体、无着火现象 The data is shown in Table 2./数据见表2 | |
| | Crush (applicable to prismatic, pouch, coin/button cells and cylindrical cells less than 18mm in diameter) / 挤压（适用于棱柱形、袋装、硬币/纽扣电池和直径小于18 毫米的圆柱形电池） | | |
| | 1 A cell or component cell is to be crushed between two flat surfaces. The crushing is to be gradual with a speed of approximately 1,5 cm/s at the first point of contact. The crushing is to be continued until the first of the three options below is reached. / 将电池或元件电池放在两个平面之间挤压，挤压力度逐渐加大，在第 一个接触点上的速度大约为 1,5 厘米/秒。挤压持续进行，直到出现以下三种情况之 一： (a) The applied force reaches 13 kN ± 0,78 kN. / 施加的力达到13 千牛±0,78 千牛 (b) The voltage of the cell drops by at least 100 mV,/电池的电压下降至少100 毫伏 (c) The cell is deformed by 50% or more of its original thickness./电池变形达原始 厚度的50%以上。 2. A prismatic or pouch cell shall be crushed by applying the force to the widest side. A button/coin cell shall be crushed by applying the force on its flat surfaces. For cylindrical cells, the crush force shall be applied perpendicular to the longitudinal axis. /棱柱形或袋装电池应从最宽的一面施压。纽扣/硬币形电池应从其 平坦表面施压。圆柱形应从与纵轴垂直的方向施压。 | | |
| | Requirements/标准要求： 1 Cells external temperature not exceed 170℃.电 芯或电池的最高表面温度应不超过170℃ 2 No disassembly, no fire within six hours of this test 试验结束后 6 个小时之内，电芯和聚合物电芯应无 解体和无着火现象发生 | - | |
| Clause | Requirements 标标标标准准准准要要要要求求求求 | Result 测测测测试试试试结结结结果果果果 | Verdict |
|---|---|---|---|
| 章章章章节节节节 | | | 判判判判定定定定 |
| 220.127.116.11 | Test 7: Overcharge/测测测测试试试试 7: 过过过过充充充充电电电电 | | P |
| | 1 The charge current shall be twice the manufacturer’s recommended maximum continuous charge current/以2 倍制造厂推荐的最大持续充电电流对样品充电 2 The minimum voltage of the test shall be as follows/本测试最小电压为: | | |
| | a) When the manufacturer’s recommended charge voltage is not more than 18V, the minimum voltage of the test shall be the lesser of two times the maximum charge voltage of the battery or 22V/ 如果厂家推荐的充电电压不超过 18V，本测 试的最小充电电压应是厂家标定最大充电电压的两 倍或者是22V 之中的较小者。 b) When the manufacturer’s recommended charge voltage is more than 18V, the minimum voltage of the test shall be 1,2 times the maximum charge voltage/ 如果厂家推荐的充电电压超过 18V，本测 试的最小充电电压应是厂家标定最大充电电压的 1,2 倍。 3 Tests are to be conducted at ambient temperature 20±5℃, The duration of the test shall be 24 hours/20±5℃的环境温度下，试验持续24 小 时。 | The voltage of the test is 22V, and the current is 4,4A 测试的电压为 22V，电流为 4,4A | |
| | Requirements/标准要求: No disassembly and no fire within seven days of this test 试验样品在试验中和试验后 7 天内，应无解体和无 着火现象发生。 | The samples b1#~b8# : For voltage data before test, see table 3. / 试验前电压见表 3 no disassembly, no rupture and no fire/编号为 b1#~b8# 的样品：无解体、无着火现象 | |
| | Test 8: Forced discharge/测测测测试试试试 8: 强强强强制制制制放放放放电电电电 | | |
| | Each cell shall be forced discharged at ambient temperature by connecting it in series with a 12 V D.C. power supply at an initial current equal to the maximum discharge current specified by the manufacturer, 20±5℃的环境温度下，将单个电芯连接在 12V 的直流电源上进行强制放电，此直流 电源提供给每个电芯初始电流为制造厂指定的最大放电电流。 | | |
| | The specified discharge current is to be obtained by connecting a resistive load of the appropriate size and rating in series with the test cell. Each cell shall be forced discharged for a time interval (in hours) equal to its rated capacity divided by the initial test current (in ampere) 指定的放电电流通过串联在测试电芯上的合适大小和功率的负载来获得，每个电芯 的强制放电时间（小时）为额定容量除以初始电流（安培）。 | | |
| Sample No. 样品号 | Mass prior to test / 试试试试 验验验验前前前前质质质质 量量量量(g) | OCV prior to test /试试试试 验验验验前前前前电电电电 压压压压(V) | Test 1: Altitude simulation/ 测测测测试试试试1：：：：高高高高度度度度模模模模拟拟拟拟 | | Test 2: Thermal test/ 测测测测试试试试 2: 热热热热冲冲冲冲击击击击 | | Test 3: Vibration/ 测测测测试试试试3: 振振振振动动动动 | | Test 4: Shock/ 测测测测试试试试 4: 冲冲冲冲击击击击 | |
|---|---|---|---|---|---|---|---|---|---|---|
| | | | Mass loss(%) 质量损失(%) | Change ratio 电压比(%) | Mass loss(%) 质量损失(%) | Change ratio 电压比(%) | Mass loss(%) 质量损失(%) | Change ratio 电压比(%) | Mass loss(%) 质量损失(%) | Change ratio 电压比(%) |
| b1# | 156,770 | 11,757 | 0,000 | 100,00 | 0,044 | 98,12 | 0,006 | 100,00 | 0,006 | 99,98 |
| b2# | 156,170 | 11,860 | 0,006 | 99,99 | 0,044 | 98,22 | 0,000 | 99,99 | 0,000 | 99,99 |
| b3# | 156,410 | 11,885 | 0,000 | 100,00 | 0,051 | 98,04 | 0,006 | 100,00 | 0,006 | 99,98 |
| b4# | 156,230 | 11,850 | 0,000 | 99,99 | 0,038 | 98,16 | 0,000 | 99,99 | 0,000 | 99,97 |
| b5# | 156,520 | 11,769 | 0,006 | 100,00 | 0,038 | 98,11 | 0,006 | 100,00 | 0,006 | 100,00 |
| b6# | 156,360 | 11,832 | 0,000 | 99,99 | 0,031 | 98,16 | 0,006 | 100,00 | 0,006 | 99,97 |
| b7# | 156,430 | 11,775 | 0,000 | 99,99 | 0,038 | 98,12 | 0,006 | 99,99 | 0,000 | 99,99 |
| b8# | 156,800 | 11,826 | 0,006 | 100,00 | 0,044 | 98,15 | 0,006 | 100,00 | 0,006 | 99,98 |
：高度模拟
| | Table2: Impact / 表2: 撞击 | | | | | | | | | | |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Test 6: Impact/测测测测 试试试试6：：：：撞撞撞撞击击击击 | | Sample No. 样品号 | c1# | c2# | c3# | c4# | c5# | c6# | c7# | c8# | c9# |
| | | OCV prior to test / 试验前电压（V） | 3,674 | 3,676 | 3,670 | 3,672 | 3,677 | 3,679 | 3,673 | 3,675 | 3,670 |
| | | Temp. (℃) 温度 (℃) | 88,5 | 113,9 | 115,6 | 98,9 | 100,7 | 101,9 | 110,8 | 105，7 | 109,3 |
| | Table3：Overcharge Test of batteries/ 表3 电池过充试验 | | | | | | | | |
|---|---|---|---|---|---|---|---|---|---|
| Test 7: Overcharg e /测测测测试试试试7: 过过过过充充充充电电电电 | | Sample No. 样品号 | b1# | b2# | b3# | b4# | b5# | b6# | b7# |
| | | OCV prior to test /试 验前电压（V） | 11,436 | 11,517 | 11,528 | 11,511 | 11,423 | 11,588 | 11,448 |
| | Table 4：Forced discharge / 表4. 强制放电 | | | | | | | | | | |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Test 8: Forced discharge / 测测测测试试试试8: 强强强强 制制制制放放放放电电电电 | | Sample No. 样品号 | c11# | c12# | c13# | c14# | c15# | c16# | c17# | c18# | c19# |
| | | OCV prior to test / 试验前电压(V) | 3,266 | 3,279 | 3,306 | 3,285 | 3,314 | 3,288 | 3,275 | 3,268 | 3,277 |
| | | Sample No. 样品号 | c21# | c22# | c23# | c24# | c25# | c26# | c27# | c28# | c29# |
| | | OCV prior to test / 试验前电压(V) | 3,312 | 3,277 | 3,260 | 3,285 | 3,296 | 3,287 | 3,268 | 3,277 | 3,279 |
：撞击
注意事项
Important
1. 报告无检测单位印章无效。
The test report is invalid without the official stamp of CVC.
2. 未经本试验室书面同意，不得部分地复制本报告。
Nobody is allowed to photocopy or partly photocopy this test report without written permission of CVC.
3. 本报告无批准人、审核人及检测人签名无效。
The test report is invalid without the signatures of Ratifier, Reviewer and Testing engineer.
4. 本报告涂改无效。
The test report is invalid if altered,
5. 对检测报告若有异议，应于收到报告之日起十五天内向检测单位提 出。
Objections to the test report must be submitted to CVC within 15 days,
6. 本报告仅对送检样品负责。
The test report is valid for the tested samples only.
7. 判定栏中"-"表示"不需要判定"，"P"表示"通过"，"F"表示"不通过" "N/A"表示"不适用"。
，
As for the Verdict, "-" means "no need for judgement", "P" means "pass" ， "F" means "fail" and "N/A" means "not applicable".
地 址：中国 广州市科学城开泰大道天泰一路3 号
Address: No.3,Tiantaiyi Road,Kaitai Avenue,Science City,Guangzhou P. R. China.
电 话(Tel)： 020 32293888
传 真(FAX)：020 32293889
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E-mail： email@example.com
http://www.cvc.org.cn | <urn:uuid:84c24280-fbc4-4f6c-95ae-bc6cfc547ce0> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 18,791 |
REPUBBLICA ITALIANA
IN NOME DEL POPOLO ITALIANO
TRIBUNALE ORDINARIO DI MILANO
SEZIONE VI CIVILE
Il Tribunale in composizione monocratica, nella persona del giudice dott.
ha pronunciato la seguente
SENTENZA
nella causa civile di I grado iscritta al n. r.g. promossa da:
, con il patrocinio dell’avv. , domiciliato presso il difensore con indirizzo telematico
- parte attrice opponente -
nei confronti di:
, in proprio e quale mandataria di , a sua volta mandataria di con il patrocinio dell’avv.
domiciliata presso il difensore con indirizzo telematico
- parte convenuta opposta -
Somario
Conclusioni di parte attrice opponente ................................................................. 2
Conclusioni di parte convenuta opposta ............................................................. 3
1. Oggetto ........................................................................................................... 3
2. Eccezioni preliminari ...................................................................................... 3
3. Capitalizzazione ............................................................................................... 4
4. Usura ............................................................................................................... 4
5. Ammortamento alla francese .......................................................................... 6
6. Euribor ............................................................................................................ 6
7. TAN .................................................................................................................. 7
8. C.T.U. .............................................................................................................. 9
9. Spese .............................................................................................................. 10
Per questi motivi ............................................................................................... 11
Conclusioni di parte attrice opponente
1) accogliere le eccezioni preliminari sollevate, in particolare sulla carenza di legittimazione attiva della s.p.a e sulla incompetenza territoriale del Tribunale di Milano in favore delle Tribunale di Napoli – Sez. Distaccata di Ischia, per tutti i motivi ampiamente spiegati nel presente atto;
2) Nel merito accertare e dichiarare la nullità delle clausole del contratto di finanziamento n. così come dedotto in premessa, per l’indeterminatezza dei tassi applicati e l’usurarietà degli interessi, in violazione degli artt. n.1815 comma 2 c.c., coordinato con l’art.1419 c.c. ed in deroga all’art.1282 c.c.;
3) Previo accertamento della nullità delle clausole del contratto di finanziamento, così come dedotto in premessa in violazione degli articoli 1815 comma 2 codice civile coordinato con l’articolo 1419 codice civile in deroga all’articolo 1282 codice civile, accertare e dichiarare il contratto de quo quale contratto a titolo gratuito e conseguenzialmente dichiarare per l’attrice l’esonero dal pagamento degli interessi sulle rate ancora, eventuali, a scadere;
4) Accertare e dichiarare l’applicazione da parte della S.p.a degli effetti anatocistici al contratto di finanziamento stipulato con la dott.ssa così come dedotto in premessa, e per l’effetto condannare la convenuta alla restituzione dell’eventuale indebito che dovesse risultare all’esito della richiesta CTU; Con rivalutazione monetaria, indici ISTAT ed interessi come per legge dal fatto al soddisfo, domanda contenutanei limiti della competenza per valore della giusitizia adita ed in ogni caso con valutazione equitativa;
5) Rideterminato lo stato del dare e dell’avere facendo applicazione, dalla prima rata di ammortamento, del tasso legale codicistico ovvero, in subordine, del tasso nominale minimo dei buoni ordinari del tesoro annuali, ovvero, in subordine, di un tasso pari e non superiore al 3,50%, eseguita la compensazione legale ovvero, in subordine, giudiziale, tra poste in dare e poste in avere, accertare e dichiarare: 1. l’inesistenza del debito scaduto che s.p.a. ha ascritto al mutuatario nella comunicazione del 10.07.2015; 2. l’inefficacia, per carenza del presupposto, della risoluzione per inadempimento intimata dalla s.p.a. in data 10.07.2015; 3. l’inesistenza del debito per interessi convenzionali di mora indicato in ricorso monitorio; 4. l’inesistenza di debito in relazione a quanto dovuto, secondo il contratto di finanziamento, per capitale e interessi alla data di deposito del ricorso monitorio, nonché alla data di notifica del decreto ingiuntivo;
6) Revocare il decreto ingiuntivo n. dell’anno 2016 emesso dal Tribunale di Milano, Giudice Ch.mo Dott. Olindo Canali, del 28.04.2016, reso a definizione della procedura monitoria r.g. n. dell’anno 2016;
7) Condannare, in ogni caso, la S.p.a. alla refusione delle spese e compensi del giudizio, ai sensi del D.M. 55/14, con le maggiorazioni dovute per rimborso forfettario e accessori previdenziali e tributari come per legge, con loro distrazione in favore del sottoscritto procuratore per averne fatto anticipo.
Conclusioni di parte convenuta opposta
Piaccia all’III.mo Giudice adito, respinta ogni istanza, eccezione e deduzione previo ogni più opportuno accertamento e declaratoria,
nel merito,
1) rigettare l’opposizione avversaria in quanto infondata per i motivi indicati nella narrativa dei propri atti difensivi, anche alla luce della recente giurisprudenza citata in atti, e, per l’effetto, confermare il decreto ingiuntivo opposto n. ;
2) condannare, in ogni caso, l’opponente al pagamento dell’importo di € 128.943,24, il tutto oltre interessi di mora previsti in contratto (doc. 01 pag. 2, punto f dei “Dati contrattuali” e pag. 4, art. 8 nella parte denominata “Condizioni contrattuali”), da calcolarsi sulla quota capitale da ogni scadenza sino al saldo, o nella maggiore o minore somma che risulterà in corso di causa;
3) condannare l’attrice opponente a pagare all’opposta le spese e competenze del presente giudizio d’opposizione, oltre quelle anche della fase monitoria.
Concisa esposizione delle ragioni di fatto e di diritto della decisione
Per quanto riguarda il completo svolgimento del processo, ai sensi del vigente art. 132 c.p.c., si fa rinvio agli atti delle parti e al verbale di causa.
1. Oggetto
Oggetto di causa è un credito di euro 128.943,24, oltre interessi di mora contrattuali, vantato da s.p.a. in liquidazione nei confronti di quale titolare della omonima , a seguito della risoluzione del contratto di mutuo n. di originari euro 200.000,00, concluso tra le parti in data 17/4/2007 (v. doc. 1 conv.).
Il contratto prevedeva il rimborso tramite 180 rate mensili a tasso variabile e la mutuante ha lamentato il mancato pagamento delle rate a partire da marzo 2015. La risoluzione è stata intimata per inadempimento in data 10/7/2015 (v. doc. 6 conv.), a causa del mancato pagamento delle rate scadute dal 1/3/ al 1/7/2015, per complessivi euro 9.597,50.
Per il pagamento il creditore ha ottenuto il decreto ingiuntivo n. 13059/2016, qui opposto.
2. Eccezioni preliminari
L’eccezione di incompetenza territoriale, ai sensi dell’art. 42 c.p.c., è già stata rigettata con ordinanza del 29/11/2016, cui si rinvia.
Non sussiste la lamentata nullità della procura di parte convenuta, dal momento presente a margine dell’originale del ricorso monitorio depositato telematicamente non è necessario che essa sia riportata anche nella copia notificata.
Infine s.p.a. ha dimostrato l’avvenuta cessione del credito a tramite pubblicazione sulla G.U. (v. doc. 12 conv.), ai sensi della legge 130/1999 e ciò rende la cessione efficace nei confronti dei debitori ceduti, nonché il mandato per la gestione e l’incasso del credito per conto della cessionaria (v. doc. B e 14 conv.), di modo che sussiste la sua legittimazione ad agire.
3. Capitalizzazione
Parte attrice ha eccepito la nullità dell’art. 8 del contratto di finanziamento, nella parte in cui prevede che gli interessi di mora eventualmente applicati “saranno capitalizzati alla scadenza di ogni trimestre solare”; si tratta, più precisamente dell’art. 8, punto 1, ultimo periodo.
L’eccezione è fondata perché quella previsione contrattuale è preclusa in via generale dall’art. 1283 c.c., che consente l’anatocismo solo in altre ipotesi e, con particolare riferimento ai mutui del settore bancario da rimborsare ratealmente, dall’art. 3, delibera CICR 9/2/2000, emanata in attuazione dell’art. 25, d.lgs. 342/1999.
La difesa della finanziaria ha sostenuto la legittimità della clausola, evidenziando che la normativa consente l’applicazione degli interessi di mora sull’intera rata insoluta, compresa la quota interessi. Tale difesa non coglie nel segno. Quanto affermato da parte convenuta è corretto, ed è sancito proprio dall’art. 3, delibera CICR 9/2/2000, ma la clausola censurata contiene una previsione diversa. Prevede cioè che gli interessi di mora alla fine di ogni trimestre divengano capitale e facciano parte quindi della base di calcolo dei successivi interessi di mora: tale forma di capitalizzazione è vietata dalle norme sopra richiamate.
In concreto, però, non risulta che tale previsione abbia avuto attuazione nella fattispecie. Sia dall’estratto conto di cui al doc. 8 conv., sia dalla domanda formulata, risultano richiesti solo gli interessi di mora sulle somme capitali, senza alcuna ulteriore capitalizzazione.
4. Usura
Parte attrice ha lamentato l’usurarietà del tasso di interesse applicato al contratto, chiedendo di dichiarare la gratuità del mutuo, ai sensi dell’art. 1815 c.c. L’allegazione si basa su una consulenza contabile stragiudiziale prodotta sub doc. 7, che ha calcolato un tasso del 141%
nell’ipotesi di estinzione anticipata del finanziamento alla data del 1/9/2005, cioè 5 mesi dopo la stipulazione, computando la commissione di anticipata e
Tale allegazione è inattendibile.
L’aspetto centrale della disciplina anti-usura introdotta dalla legge n. 108/1996 consiste nella fissazione di un parametro oggettivo per ciascuna categoria di operazione finanziaria, rilevato trimestralmente dal MEF e pubblicato sulla G.U., oltre il quale i tassi sono usurari, senza necessità di altre indagini. L’operazione richiesta dalla legge consiste quindi esattamente nel raffronto tra il tasso effettivo dell’operazione in esame (TEG) con il tasso soglia pubblicato.
Da ciò deriva l’esigenza imprescindibile che i due valori siano calcolati secondo le medesime modalità, cioè computando i medesimi oneri e applicando la medesima formula matematica. Altrimenti il raffronto operato è privo di qualsiasi correttezza scientifica, perché metterebbe a confronto dati disomogenei.
Questo è il motivo per cui il TEG dell’operazione oggetto di causa deve essere calcolato, in caso di mutuo, secondo le modalità indicate nel paragrafo C3, lett. b) e computando gli oneri di cui al par. C4 delle Istruzioni di Banca d’Italia, in base alle quali viene determinato il TEGM e quindi il tasso soglia (v. in questo senso Cass. 12965/2016).
In particolare la formula del TIR adottata presuppone la regolare esecuzione del contratto, in base al piano di ammortamento convenuto. La formula si basa sulla attualizzazione dei flussi, in entrata e in uscita, e pertanto considera una scenario opposto rispetto a quello della anticipata estinzione dopo 5 mesi.
Parte attrice ha completamente disatteso tale esigenza insuperabile, creando un tasso che non ha alcun riscontro normativo, combinando in vario modo oneri e tassi, in modo del tutto difforme dalle predette Istruzioni.
I risultati così raggiunti sono del tutto inattendibili. In particolare il tasso calcolato da parte attrice non può essere posto a confronto con il tasso soglia, perché i due valori sono stati calcolati in modo diverso.
A ciò si aggiunga che l’onere computato, cioè la commissione di anticipata estinzione, è eventuale e dipende dalla condotta volontaria del mutuatario, imprevedibile per il mutuante. Esso pertanto non può essere considerato come collegato alla erogazione del credito, ai sensi dell’art. 644 c.p., quarto comma, c.p. e correttamente quindi le citate Istruzioni lo escludono dal calcolo del TEG (cfr. par. C4).
Nella fattispecie, quindi, manca una allegazione attendibile della parte relativamente al
superamento del tasso soglia. In questa situazione processuale non può essere contabile sul punto perché l’indagine avrebbe natura meramente esplorativa.
5. Ammortamento alla francese
Secondo parte attrice il piano di ammortamento a rate costanti adottato comporterebbe l’applicazione di un tasso effettivo più elevato di quello indicato in contratto, a causa di un intrinseco anatocismo.
La doglianza è palesemente infondata. In tale tipo di mutuo, al solo fine di determinare la misura delle rate costanti, si fa uso di una formula di matematica finanziaria che utilizza anche l’interesse composto\(^1\). Ma il profilo decisivo è che, anche nel mutuo “alla francese”, la quota interessi dovuta per ciascuna rata di ammortamento è calcolata applicando il tasso convenuto solo sul capitale residuo e ciò esclude ogni anatocismo. Questo, infatti, ai sensi dell’art. 1283 c.c., consiste nella diversa operazione di calcolare interessi sugli interessi.
L’allegazione relativa alla diversità tra il tasso effettivo e quello indicato in contratto, confonde l’anatocismo, come sopra definito, con la questione relativa alla diversità tra TAN (tasso annuo nominale) e TAE (tasso annuo effettivo). Tali tassi divergono ogni volta che sia previsto il rimborso del mutuo mediante rate di periodicità inferiore all’anno – proprio perché il TAN è un tasso annuale\(^2\) - e ciò accade indipendentemente dal piano di ammortamento adottato, sia esso italiano o francese. Tale divergenza non ha nulla a che vedere con l’anatocismo, atteso che, si ribadisce, il piano di ammortamento del mutuo in questione prevede il calcolo degli interessi solo sulla quota del debito capitale residuo.
6. Euribor
Il contratto oggetto di causa prevede la variabilità del tasso in base all’andamento del parametro euribor 3 mesi lettera. Secondo parte attrice ciò determinerebbe un’intesa restrittiva della concorrenza, nulla ai sensi dell’art. 2, legge n. 287/1990. Anche questa doglianza è palesemente infondata, giacché non è stato allegato, né tanto meno provato, alcun accordo comprendente per l’applicazione quale tasso debitore dell’euroibor 3 mesi. Non solo, ma l’euroibor è solo un parametro, al quale ciascun intermediario applica uno spread di valore differente per la determinazione del tasso debitore ed è anzi proprio
---
\(^1 R = C \frac{i}{1-(1+i)^n} \) dove \(R\) è la rata, \(C\) il capitale mutuato, \(i\) il tasso corrispettivo ed \(n\) il numero di rate.
\(^2\) La formula di matematica finanziaria è \(TAE = \left(1 + \frac{TAN}{n}\right)^{\frac{1}{n}} - 1\)
questo il profilo di criticità, che sarà di seguito esaminato.
7. TAN
Parte attrice ha anche contestato che il contratto prevede la misura dell’ISC (8,37%) e la misura minima del parametro euribor (3,5%), ma non indica il tasso debitore applicato, né riporta quale sia lo spread da aggiungere al parametro di riferimento.
La censura è fondata.
In primo luogo in punto di fatto si rileva che l’art. 5.1 del contratto prevede il rimborso del finanziamento <<con applicazione del tasso di interesse indicato nel precedente punto c) dei “Dati contrattuali”>>. Ma al richiamato punto c) del paragrafo “Dati contrattuali” sono indicati solo l’ISC, o l TAEG, nella misura dell’8,37% e nient’altro.
Al punto b) dei dati contrattuali il contratto riporta l’indice di riferimento, che è l’euribor 3 mesi lettera, ma non lo spread cui lo stesso deve essere sommato, di modo che resta ignota la misura del tasso debitore.
La tesi di parte convenuta, supportata anche da alcune decisioni di merito, secondo la quale l’indicazione dell’ISC è sufficiente ai fini dell’art. 117 TUB e non comporta l’applicazione di alcun tasso sostitutivo, non è condivisibile.
Infatti l’ISC, calcolato nello stesso modo del TAEG (come disposto dalle disposizioni di Banca d’Italia in materia di trasparenza, all’epoca contenute del titolo X, cap. I, sez. II, par. 9, delle Disposizioni di vigilanza, come modificate dal Provvedimento 25/7/2003) e il tasso debitore annuo nominale (TAN) sono grandezze diverse che rispondono ad esigenze diverse.
Il primo è un indice equivalente, che esprime in percentuale sull’erogato tutti i costi che il mutuatario deve effettivamente sostenere e in particolare sia l’onere del rimborso, che le spese connesse alla concessione del credito e l’effetto derivante dalla periodicità infra-annuale delle rate di rimborso. Esso è quindi finalizzato essenzialmente a consentire il confronto tra i costi effettivi di diversi finanziamenti.
Il secondo, invece, è il tasso in base al quale vengono calcolate le rate di rimborso e costruito quindi il piano di ammortamento; senza la sua conoscenza il mutuatario non è messo in grado di verificare la correttezza dell’ammontare delle rate di rimborso dovute.
Secondo la convenuta conoscendo il TAEG sarebbe possibile ricavare il TAN. Al riguardo si osserva che tale procedimento è teoricamente possibile, effettuando un calcolo matematico piuttosto complesso, cioè ricavando il TAN dalla formula inversa del TAEG,
all’epoca fissata dal d.m. 8/7/1992. Peraltro tale operazione richiederebbe dell’esatto ammontare delle spese considerate ai fini del calcolo del TAEG, possibile ricavare dal contratto oggetto di causa.
L’operazione inversa può essere effettuata anche in modo più agevole a partire dal piano di ammortamento, ove disponibile, dividendo la quota interessi di una determinata rata per il capitale residuo corrispondente. Peraltro, anche questa operazione richiede alcune conoscenze di matematica finanziaria che non possono darsi per scontate. Ma la tesi in esame è fallace soprattutto perché inverte i termini della questione. La conoscenza del TAN serve per controllare la correttezza dell’ammontare delle rate di rimborso calcolate dalla finanziaria. Se si opera l’operazione inversa, cioè si parte dalle rate per calcolare il TAN, è ovvio che non si potrà operare alcuna verifica della esattezza delle rate addebitate. Il mutuatario resta in balia delle determinazioni della mutuante, specie nei casi, come quello in esame, in cui il tasso varia ogni trimestre.
In altri termini, ciò che anche le citate sentenze non sembrano cogliere, è che ISC e TAN operano su piani differenti e hanno natura diversa. L’ISC non è un tasso ma un indice ed è stato introdotto a fini di trasparenza, per fornire al mutuatario una immediata misura del costo effettivo del credito, comprensivo di tutti gli accessori. Il TAN ha invece natura negoziale ed indica la misura del tasso debitore sulla cui base viene costruito il piano di ammortamento e quindi vengono definite le singole rate di rimborso. I due indici quindi non sono in alcun modo alternativi o intercambiabili tra loro.
L’art. 117, comma 4, TUB, che risale al 1993, richiede l’indicazione del tasso di interesse nei contratti di credito e tale riferimento è al tasso annuo nominale. Infatti l’articolo in questione disciplina gli aspetti contrattuali del rapporto e richiede l’indicazione anche di ogni altro prezzo e condizione praticati. Al di fuori del settore del credito ai consumatori – come nella fattispecie, nella quale è stata finanziata una impresa commerciale - la necessità di indicare l’ISC è stata invece introdotta solo dalla delibera CICR 4/3/2003 (v. art. 9), di modo che sia per l’oggetto, che per il riferimento temporale, la norma primaria di 10 anni prima non poteva certo riferirsi a tale indicatore.
Ne consegue che il mutuo in questione, non indicando la misura del tasso debitore, non rispetta il disposto dell’art. 117, comma 4, cit. e ad esso deve quindi essere applicato il tasso sostitutivo previsto dall’art. 117, comma 7, lett. a), TUB e cioè il rendimento lordo minimo dei BOT di durata annuale emessi nei 12 mesi precedenti la conclusione del contratto o, se più favorevole, nei 12 mesi precedenti ciascuna scadenza di rimborso. Al
riguardo si osserva che sebbene la modifica in tal senso sia stata introdotta sol d.lgs. 141/2010, e quindi successivamente alla stipula del contratto oggetto novella si è limitata ad esplicitare un significato della norma già ricavabile in via di interpretazione teleologica. Infatti nei contratti di durata, quale è tipicamente il mutuo, limitare l’arco temporale di riferimento ai soli 12 mesi antecedenti alla stipula del contratto non avrebbe consentito di adeguare i tassi sostitutivi all’andamento dei mercati finanziari, frustrando così la finalità della norma volta a beneficiare il mutuatario di un minor onere in caso di mancata indicazione contrattuale del tasso debitore.
8. C.T.U.
Per il ricalcolo del piano di ammortamento in base al tasso sostitutivo indicato, ferme restando le scadenze pattuite nel piano di ammortamento, e la verifica delle condizioni per la risoluzione intimata il 10/7/2015 è stata disposta c.t.u. contabile, affidata al commercialista dott. , che ha depositato relazione scritta il 19/2/2018. Nella comparsa conclusionale di replica parte convenuta opposta ha sostenuto che l’opponente nelle conclusioni rassegnate con la memoria n. 1 non avrebbe reiterato la richiesta di accertare l’inefficacia della risoluzione, che deve quindi intendersi rinunciata. La difesa è palesemente infondata, perché la domanda è invece contenuta al punto 5.2 (v. sopra).
Il c.t.u., applicando l’art. 117 comma 7 lett. a), TUB, ha correttamente redatto un nuovo piano di ammortamento, che costituisce l’allegato 3 alla sua relazione. In particolare è corretto e si condivide il calcolo e l’applicazione di una nuova rata fissa ad ogni variazione del parametro del BOT minimo, perché ciò è conforme al piano di ammortamento convenuto tra le parti, che prevedeva appunto rate costanti e tasso variabile. Il debito residuo è stato così determinato in euro 33.281,24. Come fondatamente osservato dal c.t.u., deve infatti computarsi anche la somma di euro 3.887,04, pagata dalla mutuataria a seguito delle variazioni di tasso, dal momento che il tasso sostitutivo travolge quella pattuizione contrattuale.
Per quanto riguarda la risoluzione del contratto, il c.t.u. ha rilevato che la prima rata è stata pagata con 25 giorni di ritardo (cfr. prima riga dell’allegato 3) ed ha considerato che ciò, ai sensi dell’art. 11 del contratto, avrebbe comunque legittimato la risoluzione del contratto, senza procedere quindi ad ulteriori indagini in merito alla fondatezza della risoluzione intimata il 10/7/2015.
Tale valutazione non è corretta e non è condivisibile. Il c.t.u. infatti non fa proprie valutazioni alle decisioni negoziali storicamente assunte dalle parti del mutuatario: non ha inteso risolvere il contratto a causa del ritardato pagamento della prima rata, ma solo dopo il mancato pagamento delle rate scadute dal 1/3 al 1/7/2015, con la conseguenza che quel primo ritardo è irrilevante.
Il c.t.u. ha opportunamente calcolato e riportato rata per rata l'eccedenza versata dalla mutuataria alla luce del nuovo piano di ammortamento: dapprima euro 510,55 per rata, poi euro 523,56, poi euro 560,38 e così crescendo. Sono state pagate 94 rate, fino al 1/2/2015, e l'eccedenza complessivamente maturata in favore del mutuatario supera ampiamente la somma di euro 47.940,00 (=euro 510 x 94). Poiché la risoluzione è stata intimata per un insoluto apparente di euro 9.597,50 (v. doc. 6 conv.), è agevole concludere che alla data del 10/7/2015 in realtà non vi era alcun inadempimento da parte della mutuataria, la quale aveva anzi maturato una rilevante eccedenza.
Quanto sopra rilevato è sufficiente, in questa sede, per dichiarare inefficace per mancanza del presupposto la risoluzione contrattuale intimata in data 10/7/2015 e per revocare il decreto ingiuntivo, perché emesso sulla base del mancato pagamento di 5 rate che invece non sussiste.
Naturalmente il residuo debito di euro 33.281,24 dovrà essere rimborsato sviluppando ulteriormente il piano di ammortamento a rate costanti, con applicazione del tasso sostitutivo previsto dall'art. 117, comma 7, lett. a), TUB; le eccedenze già versate dalla mutuataria devono essere previamente imputate alle rate ricalcolate, in modo da determinare la corretta data di ripresa dei pagamenti.
Non può però essere pronunciata sentenza di condanna in proposito perché il debito non è scaduto e quindi non è esigibile; in questa sede è possibile solo accertare l'obbligo di rimborso.
9. Spese
Le spese, comprese quelle di c.t.u., seguono la soccombenza e si liquidano secondo i parametri medi del d.m. 55/2014.
L'infondatezza della difesa svolta da parte convenuta opposta non è tale da integrare una ipotesi di azione con colpa grave, ai fini della responsabilità aggravata ex art. 96 c.p.c. invocata da parte attrice.
Il difensore di parte attrice ha dichiarato di avere anticipato le spese; deve accolta la domanda di distrazione del rimborso in suo favore, ai sensi dell’art. 5.
Per questi motivi
il Tribunale di Milano
in composizione monocratica
VI sezione civile
definitivamente pronunciando, disattesa ogni altra domanda ed eccezione, così provvede:
1) accerta e dichiara la nullità dell’art. 8, punto 1, ultimo periodo, del contratto di mutuo n. , oggetto di causa;
2) accerta e dichiara la nullità della clausola di determinazione dell’interesse debitore del predetto contratto;
3) per l’effetto dichiara che il predetto mutuo deve essere rimborsato con applicazione del tasso debitore previsto dall’art. 117, comma 7, lett. a), TUB;
4) dichiara inefficace la risoluzione contrattuale intimata da in data 10/7/2015;
5) revoca il decreto ingiuntivo n. nei confronti di ;
6) accerta e dichiara che parte attrice opponente è tenuta a rimborsare in favore di parte convenuta opposta il residuo credito di euro 33.281,24 alle scadenze previste dal piano di ammortamento convenuto, con applicazione del tasso debitore di cui al punto 3 e previa imputazione delle eccedenze già versate alle rate via via ricalcolate;
7) condanna parte convenuta opposta a rimborsare in favore di parte attrice opponente le spese di giudizio, che liquida in € per compensi ed € per spese esenti, oltre 15% per spese generali, CPA ed IVA sugli importi imponibili;
8) distrae il pagamento delle spese di giudizio in favore del difensore di parte attrice opponente;
9) pone le spese di c.t.u. in via definitiva a carico di parte convenuta opposta;
10) rigetta la domanda di responsabilità aggravata svolta da parte attrice opponente.
Milano, 23 luglio 2019
Il giudice
dott. Antonio S. Stefani | 07e396f8-54b1-4154-a52a-f0b33f10a9c0 | HuggingFaceFW/finepdfs/tree/main/data/ita_Latn/train | finepdfs | ita_Latn | 26,732 |
CONNECTING THE DOTS: Creating an Enabling Environment for SDG12 in ASEM
Stream 4: Single-Use Plastic |POLICY BRIEF
Single-Use Plastic Waste Reduction Efforts in Asia and Europe
1. Introduction: Single-use plastic waste reduction efforts in Asia and Europe.
The world produces more than 400 million tons of plastic per year - most of it used for single-use items designed for immediate disposal. The overconsumption of single-use plastics1 and the mismanagement of resulting waste has led to an estimated 12 billion tons of plastic buried in landfills or dispersed in the natural environment, causing local and transboundary environmental problems.
In 2018, the Asia-Europe Environment Forum embarked on a 3-year research program to study implementation experiences with the UN Sustainable Development Goals (SDGs 12) on Sustainable Consumption and Production (SCP) in the member countries of the Asia-Europe Meeting (ASEM). As part of this programme, we explored the landscape of innovative projects addressing the single-use plastic waste challenge across the ASEM member countries to identify factors that can support the systematic upscaling of promising policies and initiatives. In order to understand what types of approaches exist to address the single-use plastic problem, our research reviewed relevant policies and initiatives across ASEM member countries. A comprehensive desk review identified over 100 such initiatives.
1 Single-use plastics, commonly referred to as disposable plastics, are items that intended to be used only once before being thrown away or recycled (e.g. PET bottles; plastic straws; plastic disposable cups and cutlery; Styrofoam)
The study of single-use plastic initiatives across ASEM found that the majority of the identified have been working on improving plastic waste recycling or waste collection, delivering a change in product design or eliminating the use of certain plastic types; over two thirds of the initiatives were managed by businesses and more than half of the identified initiatives were developed by organizations employing less than 50 people. The studied projects were more likely to be operated at the city or at the national level, while international scope could only be identified in 15% of all studied cases. Concerning potential drivers and barriers for projects, the majority of survey respondents attributed significant importance to receive funding for project implementation (until scalability and thus profitability is reached), building technical and management capacities, accessing to state-of-the-art technologies and securing commitment from the government and the management of the organization. With regards to barriers to upscale existing projects, the survey respondents indicated somewhat more frequently the lack of or limited availability of regulation/standards; public and private funding to support; collection and recycling infrastructure as well as the lack of or limited awareness, interest or commitment from consumers and limited or lacking coordination along the plastic production chain.
Based on the outcomes of the Asia-Europe Environment Forum research work on single-use plastics, the 2020 EnvForum conference provided an important opportunity for the participant of the session to discussion how single-use plastic waste reduction efforts could be further promoted at the national level.
Concerning potential drivers and barriers for projects, the majority of survey respondents attributed significant importance to receive funding for project implementation (until scalability and thus profitability is reached), building technical and management capacities, accessing to stateof-the-art technologies and securing commitment from the government and the management of the organization.
STREAM 4: SINGLE-USE PLASTICS ●
MAIN FINDINGS FROM THE ASEF RESEARCH ON SINGLE-USE PLASTICS
2
2. How to promote single-use plastic waste reduction efforts at the national level
A. WHAT TO KEEP
Participants acknowledged the importance of awareness-raising and education efforts that member countries of ASEM are currently undertaking in connection to single-use plastic wastes and stressed the need to continue these efforts. In terms of regulatory initiatives, well-designed fees and taxes that can discourage the generation of plastic waste were recognised as important for reducing single-use plastic consumption and waste. Policies committing to a phasing out of plastics for specific products and plastics bans also were mentioned as instruments to create certainty for businesses and investors. On the other hand, the promotion of products made of natural and easily degradable materials, including traditional packaging, were also highlighted as having an important role in solving the single-use plastics problem. To handle unavoidable waste, source separation was considered essential.
B. WHAT TO DISCARD
There are various measures which have been introduced in certain areas, but their utilisation is in the early stage of development. Such efforts include extended producer responsibilities (EPRs) and similar market mechanisms and requirements for packaging to be either easily recyclable or easily compostable, combined with requirements for products to contain recycled polymers. Source separation should also be further promoted while taking into considering impacts on informal collectors. Our research work also highlighted the importance of supporting SMEs that develop innovative alternatives or work on reducing single-use plastics by introducing appropriate regulations and standards. To level, the playing with existing established plastics-based businesses, securing access to finance on favourable terms is also of importance. Lastly, international cooperation, including partnerships and knowledge exchange, reflecting the global nature of plastics issues were highlighted as an important aspect of tackling the single-use plastic waste challenge.
D. WHAT TO SCALE UP
HOW TO PROMOTE SINGLE-USE PLASTIC WASTE REDUCTION EFFORTS IN THE FUTURE
Participants of the ENVforum conference stressed the importance of preventing open burning practices, the use of hazardous plastic additives and the production of mixed materials that are hard to recycle. The widespread use of misleading marketing practices should also be controlled and discontinued. In terms of behavioural changes, the responsibility of governments to shape mindsets and consumption choices should be realised. It was also suggested that solutions which are not based on a systemic perspective, can lead to problem-shifting.
C. WHAT TO IMPROVE
Efforts to foster dialogue between governments, private sector and civil society actors and improve collaboration between business and the science community, to develop more effective innovation systems should be further improved to address the plastics problem systemically (life-cycle based) and to concentrate on the root causes of the problem, including policy and production and consumption patterns. To be able to monitor progress, data generation and monitoring should be further harmonised, including definitions and sampling techniques. Product design that avoids or reduces single-use plastic materials should be promoted. Finally, it is important to further study where and how biobased and biodegradable plastics can have sustainability advantages.
The ASEF research work on single-use plastics and the following discussions during the 2020 ENVforum conference showed that there is a potential to create synergies among various initiatives. To do so effectively, governance mechanisms and implementation arrangements need to be strengthened to better coordinate activities across the plastic production and consumption chains. In the future, policy approaches - such as regulatory instruments and market mechanisms - that governments have in their hand to support the shift towards a circular economy need to be better utilised across all ASEM member countries. Governments also have an important role in addressing the issues through their procurement as well as through cooperation with plastic producers and retailers (i.e. in the form of memorandums of understanding). Since the single-use plastic waste problem is a global challenge, local and national solutions should be further supported by international efforts addressing the plastic production and consumption chain. Cooperation between Asian and European member countries of ASEM could be an important starting point for such actions.
With most of production taking place in Asia, and most of consumption taking place in Europe, the allocation of impacts to consumers or producers returns a very different picture on who is contributing, and to what extent, to global issues such as climate change.
STREAM 4: SINGLE-USE PLASTICS ● 3
About the Asia-Europe Environment Forum (ENVforum)
Established in 2003, the Asia-Europe Environment Forum (ENVforum) is a partnership of: Asia-Europe Foundation (ASEF), Government of Sweden through the Regional Asia Environment Conference Support Programme administered by Stockholm Environment Institute (SEI), Hanns Seidel Foundation (HSF), ASEM SMEs Eco-Innovation Center (ASEIC) and the Institute for Global Environmental Strate gies (IGES).
ASEM" took place 9-11 November 2020 virtually, brought new perspectives on the topics of antimicrobial resistance (AMR); inclusive food value chains; sustainable garments; and single-use plastics, all with special consideration to the ongoing COVID-19 pandemic.
The adoption of the Sustainable Development Goals (SDGs) outlined in "Transforming Our World: the 2030 Agenda for Sustainable Development" presents multiple challenges for countries to implement SDGs. One of the central issues impeding the success of the 2030 Agenda is unsustainable consumption and production pattern.
Consumption and production are the building blocks of the economy, and thus essential to economic growth and development. However, with the projected world population to reach 9.8 billion by 2050, current consumption and production pattern is detrimental to our environment. At this rate, the magnitude of natural resources required to meet the demand of the projected population is equivalent to almost three planets. As the shortage of natural resources looms, it is imperative to achieve SDG 12 "Ensuring Sustainable Consumption and Production" and transition from linear to a circular economy.
The ENVforum Annual Conference 2020, took place amidst a global pandemic. The conference titled "Connecting the dots: Creating an enabling environment for SDG12 in
Consortium Partners:
In Collaboration with:
European Union
The 3-day conference provided a platform for representatives from various stakeholders including civil society organisations, governments, and businesses from Asia and Europe to exchange experiences, including challenges and best practices, on sustainable consumption and production (SCP) and the transition into the circular economy. The conference was designed to promote exchanges on regional and international levels and highlight different multi-stakeholder initiatives or partnerships, including from the private sector, in promoting the adoption of SCP practices.
These were the thematic streams explored during the conference:
» Stream 1: Health Agenda Post COVID-19— Example of AMR and "mindful eaters"
» Stream 2: Inclusive Food Value Chains as a Way of Transition to Circular Economy
» Stream 3: Sustainable Garment
» Stream 4: The Plastic Initiatives – 3R in action
STREAM 4: SINGLE-USE PLASTICS ●
4 | <urn:uuid:2fa7a3db-fc74-4806-82b9-3974480b958b> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 11,621 |
LE MAIRE DE LA COMMUNE DE SAINT-ASTIER
Département de la Dordogne
Voirie ODP : 2020_17
Nature de l’autorisation : ODP pour travaux
VU le code général des collectivités territoriales,
VU le code de la voirie routière,
VU l’état des lieux,
VU le règlement général de voirie du 10/02/1965 relatif à la conservation et à la surveillance des voies communales,
VU les décrets N° 64 et 26 du 14 mars 1964 et 69987 du 18 Septembre 1969 relatifs aux caractéristiques techniques à la conservation et à la surveillance des voies communales et chemin ruraux,
VU la loi 82-2013 du 2 mars 1982 relative aux droits et libertés des communes, des départements et des régions modifiée et complétée par la loi 82.623 du 22 juillet 1982 et par la loi 83.8 du 7 janvier 1983,
Vu la demande de l’entreprise SAUR SUD OUEST - ASTREINTE, La Porte – 24430 RAZAC SUR L’ISLE, sollicitant l’autorisation d’occuper le domaine public pour effectuer des travaux de branchement d’eau potable, au 26 Place de la République – 24110 SAINT-ASTIER,
Considérant qu’il y a lieu de prendre des mesures dans le but de garantir le bon déroulement de ces travaux ;
ARRÊTE
Article 1er : Le pétitionnaire cité ci-dessus est autorisé à occuper le domaine public afin de réaliser les travaux de branchement d’eau potable, au 26 Place de la République – 24110 SAINT-ASTIER.
Article 2 : Ces travaux sont programmés sur la période du VENDREDI 31 JANVIER 2020 au VENDREDI 21 FEVRIER 2020.
Article 3 : Pendant la durée du chantier, aucun stationnement ne sera autorisé sur l’emprise de la zone de travaux. Durant ces travaux, la circulation des véhicules sera interdite Place de la République dans la rue située entre la halle et le 26 Place de la République de 08h00 à 18h00. Pas d’emprise sur la route le soir et le week-end.
(Pas d’intervention de l’entreprise le jeudi matin, jusqu’à 14h00 en raison du marché hebdomadaire).
Article 4 : Des déviations seront mises en place, maintenues et déposées par les soins du pétitionnaire, comme suit :
- Les véhicules venant de la Place Gambetta seront déviés direction rue Montaigne ou rue des Piqueurs
- Les véhicules venant de la rue des Piqueurs seront déviés rue Montaigne et inversement.
Article 5 : La signalisation sera conforme à la réglementation en vigueur. La fourniture, la pose, la maintenance et la dépose de la signalisation réglementaire seront assurées par les soins de l’entreprise SAUR SUD OUEST - ASTREINTE et sous son entière responsabilité. Le présent arrêté sera affiché aux extrémités du chantier.
Article 6 : Tous accidents qui pourraient résulter de ces travaux ou du fait de ces travaux incomberont au pétitionnaire qui en demeure seul responsable.
Article 7 : Toute contravention au présent arrêté sera constatée et poursuivie conformément aux lois et règlements en vigueur.
Article 8 : La présente autorisation n’est valable que pour la durée des travaux, elle sera périmée de plein droit s’il n’en a pas été fait usage avant l’expiration de ce délai.
Article 9 : La chaussée devra être remise dans l’état identique avant travaux. Un état des lieux final pourra être demandé à l’entreprise.
Article 10 : Ampliation du présent arrêté sera adressée à :
- Madame le Maire de Saint-Astier
- Madame la Directrice Générale des Services
- Monsieur l’Adjoint chargé de la voirie
- Monsieur le Commandant de Brigade de Gendarmerie de Saint-Astier
- Monsieur le Commandant du Centre de Secours
- Madame la Directrice des Services Techniques
- Monsieur l’agent ASVP
- L’entreprise SAUR SUD OUEST - ASTREINTE
Fait à Saint-Astier, le 23 janvier 2020
P / Madame le Maire,
L’adjoint délégué Bernard LEGER | <urn:uuid:4e5ab5ca-044d-4387-a98d-168f30c2ca05> | HuggingFaceFW/finepdfs/tree/main/data/fra_Latn/train | finepdfs | fra_Latn | 3,629 |
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2019 FINANCIAL STATEMENTS
MANAGEMENT'S REPORT
Management is responsible for the preparation of the accompanying financial statements. The financial statements have been prepared in accordance with International Financial Reporting Standards as issued by the International Accounting Standards Board and include certain estimates that reflect management's best estimates and judgments. Management has determined such amounts on a reasonable basis in order to determine that the financial statements are presented fairly in all material respects.
Management is responsible for the integrity of the financial information. Internal control systems are designed and maintained to provide reasonable assurance that assets are safeguarded from loss or unauthorized use and to produce reliable accounting records for financial reporting purposes.
KPMG LLP has audited the financial statements. Their examination included such tests and procedures, as they considered necessary, to provide reasonable assurance that the financial statements are presented fairly in accordance with International Financial Reporting Standards.
The Board of Directors is responsible for ensuring that management fulfills its responsibilities for financial reporting and internal control. The Board exercises this responsibility through the Audit Committee, with assistance from the Reserves Committee in connection with the annual evaluation of our petroleum and natural gas reserves. The Audit Committee meets regularly with management and the independent auditors to ensure that management's responsibilities are properly discharged, to review the financial statements and recommend that the financial statements be presented to the Board of Directors for approval. The Audit Committee also considers the independence of the external auditors and reviews their fees.
The Board of Directors has approved the information contained in the financial statements based on the recommendation of the Audit Committee.
signed"M. Scott Ratushny" M. Scott Ratushny Chief Executive Officer signed"Shawn Van Spankeren" Shawn Van Spankeren Chief Financial Officer
KPMG LLP 205 5th Avenue SW
Suite 3100 Calgary AB T2P 4B9 Tel (403) 691-8000 Fax (403) 691-8008 www.kpmg.ca
INDEPENDENT AUDITORS' REPORT
To the Shareholders of Cardinal Energy Ltd.
Opinion
We have audited the financial statements of Cardinal Energy Ltd. (the "Company"), which comprise:
− the balance sheets as at December 31, 2019 and December 31, 2018
− the statements of earnings (loss) and comprehensive earnings (loss) for the years then ended
− the statements of changes in shareholders' equity for the years then ended
− the statements of cash flows for the years then ended
− and notes to the consolidated financial statements, including a summary of significant accounting policies
Hereinafter referred to as the "financial statements".
In our opinion, the accompanying financial statements present fairly, in all material respects, the financial position of the Company as at December 31, 2019 and December 31, 2018, and its financial performance and its cash flows for the years then ended in accordance with International Financial Reporting Standards ("IFRS").
Basis for Opinion
We conducted our audit in accordance with Canadian generally accepted auditing standards. Our responsibilities under those standards are further described in the "Auditors' Responsibilities for the Audit of the Financial Statements" section of our auditors' report.
We are independent of the Company in accordance with the ethical requirements that are relevant to our audit of the financial statements in Canada and we have fulfilled our other ethical responsibilities in accordance with these requirements.
We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our opinion.
Other Information
Management is responsible for the other information. Other information comprises the information included in Management's Discussion and Analysis filed with the relevant Canadian Securities Commissions.
Our opinion on the financial statements does not cover the other information and we do not and will not express any form of assurance conclusion thereon.
In connection with our audit of the financial statements, our responsibility is to read the other information identified above and, in doing so, consider whether the other information is materially inconsistent with the financial statements or our knowledge obtained in the audit and remain alert for indications that the other information appears to be materially misstated.
We obtained the information included in Management's Discussion and Analysis filed with the relevant Canadian Securities Commissions as at the date of this auditors' report. If, based on the work we have performed on this other information, we conclude that there is a material misstatement of this other information, we are required to report that fact in the auditors' report.
We have nothing to report in this regard.
Responsibilities of Management and Those Charged with Governance for the Financial Statements
Management is responsible for the preparation and fair presentation of the financial statements in accordance with IFRS, and for such internal control as management determines is necessary to enable the preparation of financial statements that are free from material misstatement, whether due to fraud or error.
In preparing the financial statements, management is responsible for assessing the Company's ability to continue as a going concern, disclosing as applicable, matters related to going concern and using the going concern basis of accounting unless management either intends to liquidate the Company or to cease operations, or has no realistic alternative but to do so.
Those charged with governance are responsible for overseeing the Company's financial reporting process.
Auditors' Responsibilities for the Audit of the Financial Statements
Our objectives are to obtain reasonable assurance about whether the financial statements as a whole are free from material misstatement, whether due to fraud or error, and to issue an auditors' report that includes our opinion.
Reasonable assurance is a high level of assurance, but is not a guarantee that an audit conducted in accordance with Canadian generally accepted auditing standards will always detect a material misstatement when it exists.
Misstatements can arise from fraud or error and are considered material if, individually or in the aggregate, they could reasonably be expected to influence the economic decisions of users taken on the basis of the financial statements.
As part of an audit in accordance with Canadian generally accepted auditing standards, we exercise professional judgment and maintain professional skepticism throughout the audit.
We also:
− Identify and assess the risks of material misstatement of the financial statements, whether due to fraud or error, design and perform audit procedures responsive to those risks, and obtain audit evidence that is sufficient and appropriate to provide a basis for our opinion.
The risk of not detecting a material misstatement resulting from fraud is higher than for one resulting from error, as fraud may involve collusion, forgery, intentional omissions, misrepresentations, or the override of internal control.
− Obtain an understanding of internal control relevant to the audit in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the Company's internal control.
− Evaluate the appropriateness of accounting policies used and the reasonableness of accounting estimates and related disclosures made by management.
− Conclude on the appropriateness of management's use of the going concern basis of accounting and, based on the audit evidence obtained, whether a material uncertainty exists related to events or conditions that may cast significant doubt on the Company's ability to continue as a going concern. If we conclude that a material uncertainty exists, we are required to draw attention in our auditors' report to the related disclosures in the financial statements or, if such disclosures are inadequate, to modify our opinion. Our conclusions are based on the audit evidence obtained up to the date of our auditors' report. However, future events or conditions may cause the Company to cease to continue as a going concern.
− Evaluate the overall presentation, structure and content of the financial statements, including the disclosures, and whether the financial statements represent the underlying transactions and events in a manner that achieves fair presentation.
− Communicate with those charged with governance regarding, among other matters, the planned scope and timing of the audit and significant audit findings, including any significant deficiencies in internal control that we identify during our audit.
− Provide those charged with governance with a statement that we have complied with relevant ethical requirements regarding independence, and communicate with them all relationships and other matters that may reasonably be thought to bear on our independence, and where applicable, related safeguards.
The engagement partner on the audit resulting in this auditors' report is Gregory Ronald Caldwell.
Chartered Professional Accountants
Calgary, Canada
March 17, 2020
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signed " M. Scott Ratushny"
signed " Greg T. Tisdale"
M. Scott Ratushny
Greg T. Tisdale
Director
Director
The accompanying notes are an integral part of these financial statements.
STATEMENTS OF CHANGES IN SHAREHOLDERS' EQUITY
(1) Restricted Bonus Awards ("RAs")
The accompanying notes are an integral part of these financial statements.
The accompanying notes are an integral part of these financial statements.
NOTES TO FINANCIAL STATEMENTS
For the years ended December 31, 2019 and 2018 (Thousands of dollars, except per share amounts or unless otherwise stated)
1 REPORTING ENTITY
Cardinal Energy Ltd. ("Cardinal"or the "Company") was incorporated pursuant to the Business Corporations Act (Alberta) on December 21, 2010 and commenced activity on May 30, 2012. The Company's principal business activity is the acquisition, exploration and production of petroleum and natural gas in the provinces of Alberta and Saskatchewan. Cardinal's principal place of business is located at 600, 400 – 3 rd Avenue SW, Calgary, Alberta, Canada, T2P 4H2.
2 BASIS OF PREPARATION
These financial statements ("financial statements") have been prepared in accordance with International Financial Reporting Standards ("IFRS") as issued by the International Accounting Standards Board. A summary of the significant accounting policies and method of computation is presented in note 3.
The financial statements have been prepared on the historical cost basis. The methods used to measure fair values are discussed in note 4.
The financial statements are presented in Canadian dollars, which is the Company's functional currency. References to "USD" are to United States dollars.
Operating expenses in the statement of earnings or loss are presented as a combination of function and nature in conformity with industry practice. Depletion and depreciation is presented on a separate line by its nature while general and administrative expense is presented on a functional basis. Significant expenses such as salaries and share‐based compensation are presented by their nature in the notes to the financial statements.
The financial statements were authorized for issue by the Board of Directors on March 17, 2020.
3 SIGNIFICANT ACCOUNTING POLICIES
The following accounting policies have been applied consistently to all periods presented in these financial statements with the exception of IFRS 16 Leases that was adopted in the year as discussed in note 3(o). Certain prior period amounts have been reclassified to conform to current period presentation.
(a) Business combinations
The acquisition method of accounting is used to account for acquisitions of subsidiaries and assets that meet the definition of a business under IFRS. Subsidiaries are entities controlled by the Company. Control exists when the Company has the power to govern the financial and operating policies of an entity to obtain benefits from its activities. The financial statements of subsidiaries are included in the financial statements from the date that control commences until the date that control ceases.
The cost of an acquisition is measured as the fair value of the assets acquired, equity instruments issued and liabilities incurred or assumed at the date of exchange. Identifiable assets acquired and liabilities and contingent liabilities assumed in a business combination are measured at fair value at the acquisition date, except for deferred income taxes. The excess of the cost of an acquisition over the fair value of the identifiable assets and liabilities acquired is recorded as goodwill. If the cost of an acquisition is less than the fair value of the net assets acquired, the difference is recognized immediately in earnings or loss. Acquisition costs incurred by the Company are expensed in earnings or loss in the period incurred.
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Intercompany balances and transactions, and any unrealized income and expenses arising from intercompany transactions with subsidiaries, are eliminated in preparing the financial statements.
(b) Jointly owned assets
Many of the Company's crude oil and natural gas activities involve jointly owned assets. The financial statements include the Company's share of these jointly owned assets and its proportionate share of the relevant revenue and related costs.
(c) Exploration and evaluation assets"E&E"and Property, plant and equipment"PP&E"
i)
Recognition and measurement
E&E
Pre‐license costs are expensed in the statement of earnings or loss as incurred. E&E costs including the costs of acquiring licenses are capitalized as E&E. Costs are accumulated in cost centres by well, field or exploration area pending determination of technical feasibility and commercial viability.
E&E are assessed for impairment if (i) sufficient data exists to determine technical feasibility and commercial viability, and (ii) facts and circumstances suggest that the carrying amount exceeds the recoverable amount. For purposes of impairment testing, E&E are allocated to their related cash generating unit ("CGU").
The technical feasibility and commercial viability of extracting a mineral resource is considered to be determinable when proved and/or probable reserves are determined to exist. A review of each exploration license or field is carried out at least annually to ascertain whether proved and/or probable reserves have been discovered. Upon determination of proved and/or probable reserves, E&E attributable to those reserves are first tested for impairment and then reclassified from E&E to PP&E or expensed in earnings or loss to the extent of any impairment.
PP&E
Items of PP&E, including development or production assets, are measured at cost less accumulated depletion and depreciation and accumulated impairment losses and are grouped into CGU's for impairment testing. When significant parts of an item of PP&E, including petroleum and natural gas interests, have different useful lives, they are accounted for as separate items (major components).
Gains and losses on disposal of an item of PP&E, including petroleum and natural gas interests, are determined by comparing the proceeds from disposal with the carrying amount of PP&E and are recognized in earnings or loss.
ii) Subsequent costs
Costs incurred subsequent to the determination of technical feasibility and commercial viability and the costs of replacing parts of PP&E are recognized as petroleum and natural gas interests only when they increase the future economic benefits embodied in the specific asset to which they relate. All other expenditures are recognized in earnings or loss as incurred. Such capitalized petroleum and natural gas interests generally represent costs incurred in developing proved and/or probable reserves and bringing in or enhancing production from such reserves, and are accumulated on a field or geotechnical area basis.
iii) Depletion and depreciation
The net carrying value of development or production assets is depleted using the unit of production method by reference to the ratio of production to the related proved plus probable reserves. Natural gas volumes are converted to equivalent crude oil volumes based upon the relative energy content of six thousand cubic feet of natural gas to one barrel of crude oil. In determining its depletion base, Cardinal includes the estimated future development costs necessary to develop proved plus probable reserves. These estimates are reviewed by independent reserve engineers at least annually.
Depreciation of other assets is recognized in earnings or loss on a straight‐line basis or declining balance over their estimated useful life. Depreciation methods, useful life and residual values are reviewed at each reporting date.
iv) Derecognition
The carrying amount of an item of PP&E is derecognized when no future economic benefits are expected from its use or upon sale to a third party. The gain or loss arising from derecognition is included in earnings or loss and is measured as the difference between the net proceeds, if any, and the carrying amount of the asset.
v) Major maintenance and repairs
Ongoing costs to maintain properties are generally expensed as incurred. The costs of material replacement parts, turnarounds and major inspections are capitalized provided it is probable that future economic benefits in excess of cost will be realized and such benefits are expected to extend beyond the current operating period. The carrying amount of a replaced part is derecognized in accordance with our derecognition policy.
(d) Financial instruments
i) Non‐derivative financial instruments
Non‐derivative financial instruments comprise cash and cash equivalents, trade and other receivables, trade and other payables, dividends payable, bank debt and convertible debentures. Non‐derivative financial instruments are recognized initially at fair value plus, for instruments not at fair value through earnings or loss, any directly attributable transaction costs.
Cash and cash equivalents comprise cash on hand and term deposits held with banks with original maturities of three months or less and are classified as and measured at amortized cost.
Other non‐derivative financial instruments, such as trade and other receivables, trade and other payables, dividends payable and bank debt are classified as and measured at amortized cost using the effective interest method, less any impairment losses.
Financial assets and liabilities are offset and the net amount presented on the balance sheet if, and only if, the Company has a legal right to offset the amounts and intends either to settle on a net basis or to realize the asset and settle the liability simultaneously.
Convertible debentures are separated into liability and equity components. The liability component is recognized initially at the fair value of a similar liability that does not have an equity conversion option and the equity component is recognized as the difference between the fair value of the convertible debenture as a whole and the fair value of the liability component net of any deferred taxes. Any transaction costs are allocated to the liability and equity components in proportion to their initial carrying amounts. Subsequent to initial recognition, the liability component of convertible debentures is classified as and measured at amortized cost and is accreted to the original principal balance using the effective interest method. The equity component is not remeasured subsequent to initial recognition. Convertible debentures can be converted to share capital at the option of the holder and the number of shares to be issued does not vary with changes in fair value. The equity component and the accreted liability component will be reclassified to share capital upon conversion. Any balance in the equity component of convertible debentures that remains after the settlement of the liability will be transferred to contributed surplus.
(ii) Derivative financial instruments
The Company enters into certain financial derivative contracts in order to manage the exposure to market risks from fluctuations in commodity prices, power costs, interest rates and the exchange rate between Canadian and United States dollars. These instruments are not used for trading or speculative purposes. The Company has not designated its financial derivative contracts as effective accounting hedges, and thus has not applied hedge accounting, even though the Company considers all financial derivative contracts to be economic hedges.
All financial derivative contracts are classified at fair value through earnings or loss and are recorded on the balance sheet at fair value. Transaction costs are recognized in earnings or loss when incurred.
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iii) Share capital
Common shares are classified as shareholders' equity. Incremental costs directly attributable to the issue of common shares, net of any tax effects, are recognized as a deduction from shareholders' equity.
(e) Impairment
i) Financial assets
The Company recognizes loss allowances for expected credit losses ("ECLs") on its financial assets measured at amortized cost. Due to the nature of its financial assets, the Company measures loss allowances at an amount equal to expected lifetime ECLs. Lifetime ECLs are the anticipated ECLs that result from all possible default events over the expected life of a financial asset. ECLs are a probability‐weighted estimate of credit loss and are discounted at the effective interest rate of the related financial asset.
ii) Non‐financial assets
The carrying amounts of the Company's non‐financial assets, other than E&E assets and deferred tax assets, are reviewed at each reporting date to determine whether there is any indication of impairment. If any such indication exists, then the asset's recoverable amount is estimated. E&E assets are assessed for impairment when they are reclassified to PP&E as petroleum and natural gas interests, and also if facts and circumstances suggest that the carrying amount exceeds the recoverable amount.
For the purpose of impairment testing, assets are grouped together into the smallest group of assets that generates cash inflows from continuing use that are largely independent of the cash inflows of other assets or groups of assets (the CGU). The recoverable amount of an asset or a CGU is the greater of its value in use and its fair value less costs to sell.
In assessing value in use, the estimated future cash flows are discounted to their present value using a pre‐tax discount rate that reflects current market assessments of the time value of money and the risks specific to the asset. Value in use is generally computed by reference to the present value of the future cash flows expected to be derived from production of proven and probable reserves.
For the purpose of impairment testing, the goodwill acquired in a business combination is allocated to the CGU's that are expected to benefit from the synergies of the combination. E&E are allocated to the related CGU when they are assessed for impairment, both at the time of any triggering facts and circumstances as well as the reclassification to producing assets (petroleum and natural gas interests in PP&E).
An impairment loss is recognized if the carrying amount of an asset or its CGU exceeds its estimated recoverable amount. Impairment losses are recognized in earnings or loss. Impairment losses recognized in respect of CGU's are allocated first to reduce the carrying amount of any goodwill allocated to the units and then to reduce the carrying amounts of the other assets in the unit or group of units on a pro rata basis. Right‐of‐use assets (''ROU") and lease liabilities are re‐measured at each reporting period to reflect any contract modifications or reassessments that impact the remaining cash outflows under the contract.
An impairment loss in respect of PP&E and E&E recognized in prior periods is assessed at each reporting date for any indications that the loss has decreased or no longer exists. An impairment loss is reversed if there has been a change in the estimates used to determine the recoverable amount. An impairment loss is reversed only to the extent that the asset's carrying amount does not exceed the carrying amount that would have been determined, net of depletion and depreciation, if no impairment loss had been recognized. An impairment loss in respect of goodwill is not reversed.
(f) Leased assets
The Company recognizes a right‐of‐use asset and a lease liability at the lease commencement date. The ROU asset is initially measured at cost based on the initial amount of the lease liability adjusted for any lease payments made at or before the commencement date, plus any initial direct costs incurred and an estimate of costs to dismantle and remove the underlying asset or to restore the underlying asset or the site on which it is located, less any lease
incentives received. The assets are depreciated to the earlier of the end of the useful life of the ROU asset or the lease term using the straight‐line method as this most closely reflects the expected pattern of consumption of the future economic benefits. The lease term includes periods covered by an option to extend if the Company is reasonably certain to exercise that option. In addition, the ROU is periodically reduced by impairment losses, if any, and adjusted for certain re‐measurements of the lease liability. The average depreciation term is 4.0 years.
The lease liability is initially measured at the present value of the lease payments that are not paid at the commencement date, discounted using the interest rate implicit in the lease or, if that rate cannot be readily determined, the Company's incremental borrowing rate. Generally, the Company uses its incremental borrowing rate as the discount rate.
The lease liability is measured at amortized cost using the effective interest method. It is re‐measured when there is a change in future lease payments arising from a change in an index or rate, if there is a change in the Company's estimate of the amount expected to be payable under a residual value guarantee, or if the Company changes its assessment of whether it will exercise a purchase, extension or termination option. When the lease liability is re‐ measured in this way, a corresponding adjustment is made to the carrying amount of the ROU asset, or is recorded in earnings or loss if the carrying amount of the ROU asset has been reduced to zero. Lease payments are applied against the lease obligation, with a portion reflected as interest expense using the effective interest rate method. Cardinal presents the lease liability as its own line item on the balance sheets.
(g) Share‐based compensation
The grant date fair value of options and other dilutive equity instruments granted to employees is recognized as compensation expense, with a corresponding increase in contributed surplus or warrants, over the vesting period. A forfeiture rate is estimated on the grant date and is adjusted to reflect the actual number of instruments that vest.
(h) Provisions
A provision is recognized if, as a result of a past event, the Company has a present legal or constructive obligation that can be estimated reliably, and it is probable that an outflow of economic benefits will be required to settle the obligation. Provisions are determined by discounting the expected future cash flows at a pre‐tax rate that reflects current market assessments of the time value of money and the risks specific to the liability. Provisions are not recognized for future operating losses.
The Company's activities give rise to dismantling, decommissioning and site disturbance remediation activities. Provisions are made for the estimated cost of site restoration and capitalized in the relevant asset category.
The decommissioning obligation recognized is the present value of management's best estimate of future expenditures required to settle the obligation using a credit‐adjusted rate. Subsequent to the initial measurement, the obligation is adjusted at the end of each period to reflect the passage of time and changes in the estimated future cash flows underlying the obligation. The increase in the provision due to the passage of time is recognized as a finance expense in earnings or loss whereas increases or decreases due to changes in the estimated future cash flows are capitalized. Actual costs incurred upon settlement of the decommissioning obligation are charged against the provision to the extent the provision was established.
(i) Revenue
Revenue from the sale of crude oil, natural gas and natural gas liquids is measured based on the consideration specified in contracts with customers and recognizes revenue when it transfers control of the product to the buyer. This is generally at the time the customer obtains legal title to the product and when it is physically transferred to the delivery mechanism agreed with the customer, often pipelines or other transportation methods.
The Company evaluates its arrangements with 3rd parties and partners to determine if the Company acts as the principal or as an agent. In making this evaluation, management considers if the Company obtains control of the product delivered, which is indicated by the Company having the primary responsibility for the delivery of the product, having the ability to establish prices or having inventory risk. If the Company acts in the capacity of an agent
rather than as a principal in a transaction, then the revenue is recognized on a net‐basis, only reflecting the fee, if any, realized by the entity from the transaction. Royalty income is recognized as it accrues in accordance with the terms of the overriding royalty agreements. Revenues from processing activities are recognized over time as processing occurs, and generally billed monthly.
(j) Finance income and expenses
Finance expense comprises interest expense on borrowings and lease liabilities, accretion of the discount on decommissioning obligation, other finance expenses and impairment losses recognized on financial assets.
Borrowing costs and interest income are recognized in earnings or loss using the effective interest method.
(k) Income tax
Income tax expense consists of current and deferred tax. Income tax expense is recognized in earnings or loss except to the extent that it relates to items recognized directly in equity.
Current tax is the expected tax payable on taxable income for the year, using tax rates enacted or substantively enacted at the reporting date, and any adjustment to tax payable in respect of previous years.
Deferred tax is recognized using the balance sheet method, providing for temporary differences between the carrying amounts of assets and liabilities for financial reporting purposes and the amounts used for taxation purposes.
Deferred tax is not recognized on the initial recognition of assets or liabilities in a transaction that is not a business combination and that does not affect either accounting or taxable income or loss. In addition, deferred tax is not recognized for taxable temporary differences arising on the initial recognition of goodwill. Deferred tax is measured at the tax rates that are expected to be applied to temporary differences when they reverse, based on the laws that have been enacted or substantively enacted at the reporting date.
Deferred tax assets and liabilities are offset if there is a legally enforceable right to offset, and they relate to income taxes levied by the same tax authority on the same taxable entity, or on different tax entities, but they intend to settle current tax liabilities and assets on a net basis or their tax assets and liabilities will be realized simultaneously.
A deferred tax asset is recognized to the extent that it is probable that future taxable income will be available against which the temporary difference can be utilized. Deferred tax assets are reviewed at each reporting date and are reduced to the extent that it is no longer probable that the related tax benefit will be realized.
(l) Flow‐through shares
The resource expenditure deductions for income tax purposes related to exploration and development activities funded by flow‐through share arrangements are renounced to investors in accordance with tax legislation. On issuance, the premium received on the flow‐through shares, being the difference in price over a common share with no tax attributes, is recognized on the balance sheet. As expenditures are incurred, the deferred tax liability associated with the renounced tax deductions is recognized through earnings and loss along with a pro‐rata portion of the deferred premium.
(m) Earnings per share
Basic earnings per share is calculated by dividing the earnings or loss attributable to common shareholders of the Company by the weighted average number of common shares outstanding during the period. Diluted earnings per share is determined by adjusting the earnings attributable to common shareholders and the weighted average number of common shares outstanding for the effects of dilutive instruments such as convertible debentures, options, warrants and other dilutive instruments granted to employees. The number of additional shares related to convertible debentures is calculated assuming the debentures are converted into common shares by dividing the face value of convertible debentures by the conversion price. Earnings are adjusted for interest or accretion, net of tax, related to the convertible debentures.
(n) Use of judgments and key sources of estimation uncertainty
The timely preparation of financial statements in conformity with IFRS requires management to make judgments, estimates and assumptions that affect the application of accounting policies and the reported amounts of assets and liabilities, disclosure of any contingent assets and liabilities at the date of the financial statements and the reported amounts of revenue and expenses for the period. These estimates are subject to measurement uncertainty and the effect on the financial statements of changes in these estimates could be material. Estimates and underlying assumptions are reviewed on an ongoing basis. Revisions to accounting estimates are recognized in the period in which the estimates are revised and in any future periods affected.
Critical Judgments
i) Identification of cash generating units
Cardinal's assets are aggregated into CGUs for the purpose of calculating impairment. CGU's are based on an assessment of the unit's ability to generate largely independent cash inflows. The determination of these CGUs was based on management's judgment in regards to shared infrastructure, geographical proximity, petroleum type and similar exposure to market risk and materiality.
ii) Impairment of property, plant and equipment
Judgments are required to assess when impairment indicators, or reversal indicators, exist and impairment testing is required. In determining the recoverable amount of PP&E, in the absence of quoted market prices, impairment tests are based on estimates of reserves, production rates, future petroleum and natural gas prices, future costs, discount rates, market value of land and other relevant assumptions.
iii) Exploration and evaluation assets
The application of the Company's accounting policy for E&E requires management to make certain judgments as to future events and circumstances as to whether economic quantities of reserves have been found in assessing economic and technical feasibility.
iv) Deferred income taxes
Judgments are made by management to determine the likelihood of whether deferred income tax assets at the end of the reporting period will be realized from future taxable income. To the extent that assumptions regarding future profitability change, there can be an increase or decrease in the amounts recognized in respect of deferred tax assets as well as the amounts recognized in earnings or loss in the period in which the change occurs.
v) Lease accounting regarding incremental borrowing rate and lease term
The incremental borrowing rates are based on judgments including economic environment, term, currency, and the underlying risk inherent to the asset. The carrying balance of the right‐of‐use assets, lease obligations, and the resulting interest and depletion and depreciation expense, may differ due to changes in the market conditions and lease term. Lease terms are based on assumptions regarding extension terms that allow for operational flexibility and future market conditions.
Key Sources of Estimation Uncertainty
i) Reserve estimates
Commercial petroleum reserves are determined based on estimates of petroleum‐in‐place, recovery factors and future petroleum and natural gas prices and costs. Cardinal engaged independent qualified reserve evaluators to evaluate the Company's petroleum and natural gas ("P&NG") reserves at December 31, 2019 and 2018. Reserve adjustments are made annually based on actual volumes produced, the results from capital expenditure programs, revisions to previous estimates, new discoveries and acquisitions and dispositions made during the year.
Proved reserves are those estimated quantities of petroleum and natural gas determined to be economically recoverable under existing economic and operating conditions with a high degree of certainty, of at least 90 percent, that those quantities will be equaled or exceeded. Proved plus probable reserves are those estimated quantities of petroleum and natural gas determined to be economically recoverable under existing economic and operating conditions with a moderate degree of certainty, of at least 50 percent, that those quantities will be equaled or
exceeded. Cardinal reports production and reserve quantities in accordance with Canadian practices and specifically in accordance with Standards of Disclosures for Oil and Gas Activities ("NI 51‐101").
Cardinal cautions users of this information that the process of estimating petroleum and natural gas reserves is subject to a level of uncertainty. The reserves are based on current and forecast economic and operating conditions; therefore, changes can be made to future assessments as a result of a number of factors, which can include commodity prices, new technology, changing economic conditions, future reservoir performance and development activity.
ii) Property, plant and equipment
Development and production assets within PP&E are depleted using the unit of production method based on estimated proved plus probable reserves determined using estimated future prices and costs. The estimate of proved plus probable reserves is an essential part of the depletion calculation and the impairment test.
iii) Business combinations
In a business combination, management makes estimates of the fair value of assets acquired and liabilities assumed which includes assessing the value of petroleum and natural gas properties based upon the estimation of recoverable quantities of proven and probable reserves being acquired.
iv) Decommissioning obligation
Cardinal recognizes a provision for future abandonment activities in the financial statements equal to the net present value of the estimated future expenditures required to settle the estimated future obligation at the balance sheet date. The measurement of the decommissioning obligation involves the use of estimates and assumptions including the discount rate, the expected timing of future expenditures and the amount of future abandonment costs. The estimates were made by management and external consultants considering current costs, technology and enacted legislation.
v) Fair value calculation of share‐based payments
The fair value of share‐based payments for options and warrants is calculated using a Black Scholes or other option pricing model. There are a number of estimates used in the calculation such as the future forfeiture rate, expected option life and the future price volatility of the underlying security which can vary from actual future events. The factors applied in the calculation are management's best estimates based on historical information and future forecasts.
vi) Taxation
The calculation of deferred income taxes is based on a number of assumptions including estimating the future periods in which temporary differences, tax losses and other tax credits will reverse to ensure the appropriate estimate of the substantively enacted tax rates at the time of reversal and the likelihood of deferred tax assets being realized.
(vii) Derivatives
The Company's estimate of the fair value of derivative financial instruments is dependent on estimated forward prices and the volatility in those prices.
(o) Changes in accounting policies
(i) Adoption of IFRS 16 ‐ Leases
Effective January 1, 2019, Cardinal adopted IFRS 16, which provides a single recognition and measurement model for lessees to recognize assets and liabilities for contracts that are, or contain, a lease. A contract is, or contains, a lease if the contract conveys the right to control the use of an identified asset for a period of time in exchange for consideration.
Cardinal has elected to use the modified retrospective approach upon adoption and therefore the comparative information has not been restated. The effect of initially applying the standard was a $6.5 million increase to ROU
assets, with a corresponding lease liability recorded. The ROU asset was then reduced by $1.0 million for previously recorded lease inducements with the offset recognized to eliminate the lease inducement liability that was previously included in trade and other payables. On January 1, 2019 there was no impact on deficit. The lease liability was measured at the present value of the remaining lease payments, discounted using Cardinal's incremental borrowing rate as at January 1, 2019. The weighted average incremental borrowing rate used to determine the lease obligation on adoption was approximately 6.4%. The ROU assets and lease liabilities recognized largely relate to the Company's head office lease in Calgary.
The Company has elected to apply the practical expedient of not recognizing right‐of‐use assets and lease liabilities for short‐term leases that have a lease term of 12 months or less and leases of low‐value assets. The lease payments associated with these leases are recognized as expenses on a straight‐line basis over the lease term and are not considered material at December 31, 2019.
The difference in operating lease commitments disclosed as at December 31, 2018 and lease liabilities recognized on the balance sheet at January 1, 2019 is primarily due to non‐lease components within the agreements and the impact of discounting using the Company's incremental borrowing rate at January 1, 2019:
Cash flow from financing activities for the year ended December 31, 2019 was $2.5 million lower due to the deduction of the lease payments reflected in this section while cash flow from operating activities increased $2.5 million. For the year ended December 31, 2019, general and administrative expense was decreased by $1.0 million and operating expense was decreased by $1.9 million offset by an increase in depletion and depreciation expense of $2.4 million.
4 DETERMINATION OF FAIR VALUE
A number of the Company's accounting policies and disclosures require the determination of fair value. Fair value has been determined for measurement and/or disclosure purposes based on the following methods. When applicable, further information about the assumptions made in determining fair value is disclosed in the notes specific to that asset or liability.
The Company classifies the fair value of risk management assets and liabilities according to the following fair value hierarchy based on the amount of observable inputs used to value the instrument:
Level 1 ‐ Fair value is based on unadjusted quoted prices in active markets for identical assets or liabilities as of the reporting date.
Level 2 ‐ Fair value is based on inputs other than quoted prices included within Level 1 that are observable for the asset or liability, either directly (as prices) or indirectly (derived from prices).
Level 3 ‐ Fair value is based on inputs for the asset or liability that are not based on observable market data.
(a) PP&E and E&E
The fair value of PP&E and E&E recognized in a business combination is based on market value. The market value of PP&E and E&E is the estimated amount for which PP&E and E&E could be exchanged on the acquisition date between a willing buyer and a willing seller in an arm's length transaction after proper marketing wherein the parties had each acted knowledgeably, prudently and without compulsion. The market value of petroleum and natural gas
interests (included in PP&E and E&E) is estimated with reference to the discounted cash flows expected to be derived from petroleum and natural gas production based on externally prepared reserve reports. The risk‐adjusted discount rate is specific to the asset with reference to general market conditions.
(b) Cash and cash equivalents, trade and other receivables, trade and other payables and dividends payable
The fair value of cash and cash equivalents, trade and other receivables, trade and other payables and dividends payable is estimated as the present value of future cash flows, discounted at the market rate of interest at the reporting date. At December 31, 2019 and 2018, the fair value of these balances approximated their carrying value due to their short term to maturity.
(c) Bank debt and convertible debentures
The fair value of bank debt approximates its carrying value as it bears a floating rate of interest and the margin charged by the lenders is indicative of current credit spreads. The convertible debentures bear interest at a fixed rate that the Company would expect to pay for similar financing transactions and accordingly the initial fair value approximated the carrying value. Subsequent to initial recognition, fair value is determined by trading in an active market.
(d) Derivatives
Derivatives are recorded on the balance sheet at fair value at each reporting period with the change in fair value being recognized as an unrealized gain or loss in the statement of earnings or loss. The fair value of forward contracts and swaps is determined by discounting the difference between the contracted prices and published forward price curves as at the balance sheet date, using the remaining contracted volumes and a credit adjusted interest rate. The fair value of options and collars is based on option models that use published information with respect to volatility, prices and interest rates.
(e) Share‐based compensation
The fair value of warrants and stock options is measured using a Black Scholes or other option pricing model. Measurement inputs include share price on measurement date, exercise price of the instrument, expected volatility (based on publicly available information for similar companies), weighted average expected life of the instrument (based on expected general option or holder behaviour), expected dividends, and the risk‐free interest rate (based on government bonds). The fair value of restricted bonus awards ("RAs") is determined on the date of grant based on the value of the Company's common shares.
5 ACQUISITIONS & DISPOSITIONS
2019 Acquisitions and Dispositions
During the year ended December 31, 2019, the Company disposed of a number of non‐core assets for a total cash proceeds of $0.2 million. The assets consisted of petroleum and natural gas properties and undeveloped land with a net book value of nil and associated decommissioning liabilities of $0.3 million, resulting in a gain of $0.5 million.
The Company incurred $0.4 million of adjustments relating to prior years' acquisitions and dispositions.
2018 Acquisitions and Dispositions
OnJanuary 12, 2018, the Company closed a consolidating acquisition increasing the Company's working interest in the Midale Unit from 68.8% to 77.2%. Total consideration provided was $18.5 million, before closing adjustments, consisting of $7.3 million in cash and 2,314,815 common shares valued at $4.86 per share with an associated decommissioning obligation of $1.0 million. This property acquisition has been accounted for as a business combination in accordance with IFRS 3.
OnMarch 7, 2018, the Company closed a disposition of fee title lands in the Weyburn area of Saskatchewan and a new gross overriding royalty on the Mitsue Gilwood Unit for net proceeds of $24 million plus additional working interests in certain producing wells in the Wainwright area. A gain of $1.0 million was recorded on this disposition.
OnMay 17, 2018, Cardinal disposed of non‐core assets for cash proceeds of $1.0 million. The assets consisted of petroleum and natural gas properties with a net book value of $2.7 million and associated decommissioning obligations of $1.1 million, resulting in a loss of $0.6 million on closing of the disposition.
OnSeptember 4, 2018, Cardinal closed a minor acquisition in the Mitsue area for a consideration of $1.1 million before closing adjustments with an associated decommissioning obligation of $0.1 million.
OnSeptember 14, 2018, Cardinal sold a royalty interest on its Midale properties for gross proceeds of $12.5 million.
6 EXPLORATION AND EVALUATION ASSETS
Cardinal's E&E assets consist of undeveloped land and exploration projects which are pending technical feasibility and commercial viability.
In 2018, management expensed $1.7 million of certain E&E assets associated with undeveloped land pending expiries due to no future planned development activities. The Company did not expense any of its E&E assets in 2019.
7 PROPERTY, PLANT AND EQUIPMENT
The calculation of depletion for the year ended December 31, 2019 includes estimated future development costs of $270.3 million (December 31, 2018 ‐ $218.7 million) associated with the development of the Company's proved plus probable reserves.
For the year ended December 31, 2019, Cardinal capitalized $1.5 million of general and administrative expenses (2018 ‐ $1.4 million) and $1.1 million (2018 ‐ $1.4 million) of share‐based compensation.
Impairment
2019:
As at December 31, 2019 Cardinal determined that the carrying value of the Alberta Central CGU exceeded the recoverable amount and recorded an impairment of $23.4 million. The impairment recognized was the result of lower forward pricing and higher future costs within the Company's Alberta Central CGU. The recoverable amount of Cardinal's impaired CGU at December 31, 2019 was $299.6 million. The Company did not identify any further indicators of impairment or impairment reversals for its other CGU's.
The recoverable value of the Company's Alberta Central CGU was estimated as the value in use based on the net present value of before tax cash flows from crude oil and natural gas proved plus probable reserves estimated by Cardinal's third party reserve evaluators discounted between 10% to 20% depending on the reserves composition. The recoverable amount is sensitive to commodity price, discount rate, production volumes, royalty rates, operating costs and future capital expenditures. In determining the appropriate discount rate, Cardinal considered various characteristics and risks of the assets.
The following table outlines forecast benchmark prices and exchange rates used in the Company's impairment test as at December 31, 2019. The forecast commodity prices are based on those used by external reserve evaluators at December 31, 2019 and are a key assumption in assessing the recoverable amount.
A one percent change in the discount rate or a five percent change in the forward price over the life of the reserves would result in changes in impairment of $3.0 million and $32.1 million, respectively.
The external reserve evaluators also assess many other financial assumptions regarding royalty rates, operating costs and future development costs along with several other non‐financial assumptions that affect reserve volumes. Management considered these assumptions for the impairment test at December 31, 2019, however, it should be noted that all estimates are subject to uncertainty.
2018:
As at December 31, 2018, Cardinal determined that due to 2018 positive drilling results and improved performance of existing wells which increased proved plus probable reserves, that a reversal of previous impairment in the Company's Alberta South CGU in the amount of $76.5 million was required. After taking into account the reversal, the recoverable amount of the Alberta South CGU was $231.0 million. The Company did not identify any further indicators of impairment or impairment reversals for its other CGU's.
8 BANK DEBT
The Company's reserves‐based revolving credit facility of $325 million is comprised of a $295 million syndicated term credit facility and a $30 million non‐syndicated operating term credit facility (the "Facilities"). The Facilities are available on a revolving basis until May 23, 2020 and may be extended for a further 364 day period, subject to approval by the syndicate. If not extended, the Facilities will cease to revolve, the applicable margins will increase by 0.5% and all outstanding advances will be repayable on May 22, 2021. On a redetermination date, lenders could reduce the borrowing base to below the current drawn amount, in this case, the short fall would have to be repaid within 60 days.
The available lending limits of the Facilities are reviewed semi‐annually based on the syndicate's interpretation of the Company's reserves, future commodity prices and costs. As the available lending limit of the Facilities is based on the syndicate's interpretation of the Company's reserves and future commodity prices and costs, there can be no assurance that the amount of the Facilities will not decrease at the next scheduled review.
Advances under the Facilities are available by way of either prime rate loans, which bear interest at the banks' prime lending rate plus 0.5 to 2.5%, and bankers' acceptances and/or London Inter‐bank Offered Rate ("LIBOR") loans, which are subject to fees and margins ranging from 1.5 to 3.5%. Interest and standby fees on the undrawn amounts of the Facilities depend upon certain ratios. The Facilities are secured by a general security agreement over all of the Company's assets. There are no financial covenants related to the Facilities provided that Cardinal is not in default of the terms of the Facilities.
At December 31, 2019, the Company had LIBOR loans outstanding of USD $130 million. In conjunction with the draws of US dollar denominated loans, the Company enters into foreign exchanges swaps to fully mitigate the exposure to movements in the exchange rate and reduce borrowing costs (see Note 17). As such the balance outstanding at
December 31, 2019 consisted of LIBOR loan totalling $169 million (USD ‐ $130 million) and Canadian loan of $4.2 million.
Letters of credit for $1.6 million were outstanding at December 31, 2019 (2018 – $2.0 million) that reduced the amount otherwise available to be drawn on the operating term credit facility.
Cardinal was in compliance with the terms of the Facilities at December 31, 2019. For the year ended December 31, 2019 the effective interest rate on the Company's bank debt was 4.4% (2018 – 4.0%).
9 CONVERTIBLE DEBENTURES
The Company has subordinated unsecured convertible debentures (the "convertible debentures") that bear interest at 5.5% payable semi‐annually and have a maturity date of December 31, 2020. The convertible debentures are convertible into common shares of the Company at the option of the holder at a conversion price of $10.50 per common share at any time prior to the maturity date. The convertible debentures are redeemable by the Company subject to certain conditions.
The convertible debentures have been classified as a liability, net of issue costs and net of the fair value of the conversion feature at the date of issue which has been classified as shareholders' equity. The liability component will accrete up to the principal balance at maturity. The accretion of the liability component and interest payable are expensed on the statements of earnings and comprehensive earnings. If the convertible debentures are converted to common shares, a portion of the value of the conversion feature included in shareholders' equity and the liability component will be reclassified to shareholders' equity along with the conversion price.
In December 2018, the Company announced a normal course issuer bid ("NCIB"). Cardinal could purchase up to $5.0 million aggregate principal amount of its convertible debentures, subject to certain conditions. Under the NCIB, the convertible debentures could be repurchased in open market transactions on the TSX, and/or alternative Canadian trading systems, or by such other means as may be permitted by the TSX and applicable securities laws and in accordance with the rules of the TSX governing NCIB's. The total number of convertible debentures that Cardinal was permitted to purchase is subject to a daily purchase limit of $6,000 aggregate principal amount of Convertible Debentures however, Cardinal may make one block purchase per calendar week which exceeds the daily repurchase restrictions. Any convertible debentures that were purchased under the NCIB would be cancelled upon their purchase by the Company. The NCIB expired on December 18, 2019 and was renewed with an expiry of December 18, 2020. In the renewed NCIB, the Company can purchase up to $4.5 million aggregate principal with a daily purchase limit of $10,000 aggregate principal amount of convertible debenture. All other terms are the same as the initial NCIB.
For the year ended December 31, 2019, the Company repurchased and cancelled the maximum number of convertible debentures of $5.0 million allowed under the 2018 NCIB at an average rate of 96.9314 for a gain of $0.2 million.
For the year ended December 31, 2019 Cardinal recognized $2.5 million of interest (2018 ‐ $2.8 million) and $0.8 million of accretion (2018 ‐ $0.9 million) related to the convertible debentures. At December 31, 2019, the fair value of the convertible debentures was $45.0 million (December 31, 2018 ‐ $45.0 million).
10 LEASE LIABILITIES
At December 31, 2019, the Company had future commitments relating to lease liabilities as follows:
The Company has lease liabilities for contracts related to office space, vehicles, field equipment and office equipment. Lease terms are negotiated on an individual basis and contain a wide range of different terms and conditions. Discount rates during the year ended December 31, 2019 were between 6% and 8%, depending on the duration of the lease term.
11 DECOMMISSIONING OBLIGATION
The Company's decommissioning obligation results from its ownership interest in crude oil and natural gas assets including well sites, and facilities. At December 31, 2019, the total estimated amount to settle Cardinal's decommissioning obligation was $336 million (December 31, 2018 ‐ $350 million) on an uninflated and undiscounted basis and $629 million (December 31, 2018 ‐ $651 million) on an inflated and undiscounted basis.
The decommissioning obligation was determined by applying an inflation factor of 2.0% (2018 – 2.0%) and discounting the inflated amount using Cardinal's credit‐adjusted rate of 7.0% (2018 – 7.0%) over the expected useful life of the underlying assets of 20 to 50 years (2018 – 20 to 50 years). The change in estimates as at December 31, 2019 is mainly related to a change in timing or estimated amount of future obligations.
12 SHARE CAPITAL AND TREASURY SHARES
At December 31, 2019, the Company was authorized to issue an unlimited number of common voting shares without nominal or par value. Holders of common shares are entitled to one vote per share.
NCIB
On July 30, 2019, the Company announced that the Toronto Stock Exchange ("TSX") had accepted the Company's intention to commence an NCIB. Pursuant to the NCIB, the Company is permitted to purchase up to 11,128,148 common shares representing approximately 10% of its public float as of July 23, 2019 between August 2, 2019 and August 2, 2020. As of December 31, 2019, the Company repurchased and cancelled 1,672,746 common shares at an average price of $2.29 per common share, for a total cost of $3.8 million. Share capital was reduced by the average carrying value of the shares repurchased with the difference between carrying value and purchase cost, including commissions and fees, being included in contributed surplus.
Treasury Shares
RAs may be settled in cash, common shares issued from treasury or common shares acquired by an independent trustee in the open market for such purposes. During the year ended December 31, 2019, the trustee purchased 2,253,357 common shares for $6.4 million for the potential settlement of future vesting RAs. In 2019, the Company utilized 437,275 treasury shares to settle vesting RAs. As at December 31, 2019, 1,816,082 common shares remained classified as treasury shares to be potentially used for future settlements.
Flow‐through shares
On August 30, 2018, Cardinal issued 640,000 flow‐through common shares pursuant to a private placement at $6.25 per common share for gross proceeds of $4.0 million. The Company recorded a deferred liability for the related premium in the amount of $0.5 million. The Company incurred all qualifying Canadian Exploration Expenditures prior to December 31, 2019.
Between August 30, 2018 and September 5, 2018, Cardinal issued an aggregate of 1,024,000 flow‐through common shares pursuant to a private placement at $5.65 per common share for gross proceeds of $5.8 million. The Company recorded a deferred liability for the related premium in the amount of $0.4 million. The Company incurred the qualifying Canadian Development Expenditures prior to December 30, 2018.
Earnings (loss) per share
The weighted average number of common shares is adjusted for shares purchased and cancelled and shares purchased and held by the trustee (treasury shares).
For the year ended December 31, 2019, 4,613,495 RAs (2018 – 2,406,400), 4,285,714 ($45.0 million at $10.50) convertible debentures (2018 – 4,761,905) and nil stock options (2018 – 12,501) were excluded from the calculation of diluted earnings (loss) per share as their effect was anti‐dilutive.
13 DIVIDENDS
During the year ended December 31, 2019, $17.9 million (2018 – $46.7 million) of dividends ($0.15 per common share) (2018 ‐ $0.395 per common share) were declared of which $16.0 million (2018 ‐ $45.3 million) was paid in cash and $1.9 million (2018 ‐ $1.4 million) was recognized as a liability at December 31, 2019. The dividend payable was settled on January 15, 2020.
14 SHARE‐BASED COMPENSATION
The maximum number of common shares issuable under the Company's stock option plan and restricted bonus award plan, in aggregate, cannot exceed five percent of the outstanding common shares. The Company's common shares traded at a weighted average share price of $2.47 (2018 ‐ $4.41) during the year ended December 31, 2019.
Stock Options
The Company had a stock option plan that entitled officers, directors and employees to purchase common shares in the Company. In 2019, all stock options expired and the plan is no longer active.
Restricted Bonus Awards
The Company has a restricted bonus award plan whereby awards may be granted to officers, directors and employees. Awards granted according to the plan vest equally over three years from the date of grant and expire on December 15 th of the third year following the year in which the award was granted. Awards are adjusted for dividends declared, either with a cash payment or incremental common shares, and are to be settled with either cash, common shares or a combination thereof at the Company's discretion.
For the year ended December 31, 2019 the Company settled 1,746,064 (2018 – 1,379,959) RAs by issuing 948,980 (2018 – 1,379,959) common shares, 437,275 (2018 – nil) treasury shares and a payment of $0.9 million (2018 – nil) for withholding tax in exchange for the remaining balance of 359,809 RAs (2018 – nil).
The fair value of the granted RAs was determined based on the value of the Company's common shares at the grant date. The weighted average market price of the Company's common shares used to value the RAs granted was $2.45 (2018 ‐ $4.80).
Share‐based Compensation
Share‐based compensation for the year ended December 31, 2019 of $7.2 million (2018 ‐ $7.4 million) was expensed and $1.1 million (2018 ‐ $1.4 million) was capitalized.
15 DEFERRED TAX
During the year ended December 31, 2019, the Alberta government announced a graduated corporate tax rate reduction from 12% to 8% over a four year period. The Company recorded $9.1 million (2018 – $25.4 million) of deferred tax expense for the year ended December 31, 2019, $16.5 million (2018 – nil) of which related to the provincial rate reduction, resulting in a deferred tax asset of $100.4 million (2018 – $112.4 million).
Reconciliation of effective tax reduction:
The following tables provide a continuity of the deferred tax asset (liability):
1) Premium reversal of the flow‐through shares.
The approximate amount of tax pools available to Cardinal as at December 31, 2019 is $1.4 billion (2018 ‐ $1.5 billion). The estimate of tax pools includes non‐capital losses ("NCLs") of approximately $522.2 million (2018 ‐ $489.3 million) that can be used to offset taxable income in future periods which expire as follows:
NCL's by expiry
Total
522,206
$
A deferred tax asset was not recognized in respect of temporary differences related to successor tax pools of $101.9 million (2018 – $98.1 million) as there is not sufficient certainty regarding future utilization.
16 REVENUE
Cardinal sells its production pursuant to variable‐priced contracts. The transaction price for variable priced contracts is based on the commodity price, adjusted for quality, location or other factors, whereby each component of the pricing formula can be either fixed or variable, depending on the contract terms. Commodity prices are based on market indices that are determined on a monthly or daily basis. Under its contracts, the Company is required to deliver fixed or variable volumes of crude oil, natural gas and natural gas liquids to the contract counterparty. The amount of revenue recognized is based on the agreed transaction price, whereby any variability in revenue relates specifically to the Company's efforts to transfer production, and therefore the resulting revenue is allocated to the production delivered in the period during which the variability occurs. As a result, none of the variable consideration is considered constrained.
Crude oil, natural gas, and natural gas liquids are sold under contracts of varying price and volume terms of up to one year. Revenues are typically collected on the 25th day of the month following production.
The following table details the Company's petroleum and natural gas sales by product and processing and other revenue generated by processing third party volume at facilities where the Company has an ownership interest:
Included in accounts receivable at December 31, 2019 is $30.8 million (December 31, 2018 ‐ $8.6 million) of accrued petroleum and natural gas revenue.
17 FINANCIAL RISK MANAGEMENT
Cardinal's financial assets and liabilities consist of trade and other receivables, trade and other payables, risk management assets and liabilities, dividends payable, bank debt and convertible debentures. Risk management assets and liabilities arise from the use of derivative financial instruments.
The Company classifies fair value according to the following fair value hierarchy based on the amount of observable inputs used to value the instrument:
Level 1‐ Fair value is based on unadjusted quoted prices in active markets for identical assets or liabilities as of the reporting date.
Level 2‐ Fair value is based on inputs other than quoted prices included within Level 1 that are observable for the asset or liability, either directly (as prices) or indirectly (derived from prices).
Level 3‐ Fair value is based on inputs for the asset or liability that are not based on observable market data.
Derivatives are recorded on the balance sheet at fair value at each reporting period with the change in fair value being recognized as an unrealized gain or loss in the statement of earnings or loss. The fair value of forward contracts and swaps is determined by discounting the difference between the contracted prices and published forward price curves as at the balance sheet date, using the remaining contracted volumes and a credit adjusted interest rate. The fair value of options and collars is based on option models that use published information with respect to volatility, prices and interest rates.
The Company does not apply hedge accounting for these contracts. The Company's production is usually sold using "spot" or near term contracts, with prices fixed at the time of transfer of custody or on the basis of a monthly average market price. However, the Company may give consideration in certain circumstances to the appropriateness of entering into long term, fixed price marketing contracts. The Company does not enter into commodity contracts other than to meet the Company's expected sale requirements.
As at December 31, 2019 and 2018, the only assets or liabilities measured at fair value were the fair value of financial instruments which are classified as level 2, bank debt which is classified as level 2, and the convertible debentures which are classified as Level 1.
Carrying amount and fair value of financial assets and liabilities
Trade and other receivables are classified as financial assets at amortized cost and are reported at amortized cost. Trade and other payables, dividends payable, liability component of the convertible debentures and bank debt are classified as financial liabilities at amortized cost and are reported at amortized cost. The fair values of trade and other receivables, trade and other payables and dividends payable approximate their carrying amount due to the short‐term maturity of these instruments. The fair value of bank debt approximates the carrying amount due to the floating rate of interest and the margin charged by the syndicate is indicative of current credit spreads. The fair value of convertible debentures was determined based on the trading value on the Toronto Stock Exchange at the reporting date.
Risk management
Cardinal is exposed to normal market risks inherent in the oil and natural gas business, including, but not limited to, commodity price risk, foreign currency rate risk, credit risk, liquidity risk and interest rate risk. The Company seeks to mitigate these risks through various business processes and management controls and from time to time by using various derivative financial instruments and physical delivery sales contracts.
Commodity price risk
The Company is exposed to commodity price risk on petroleum and natural gas sales. Commodity prices for crude oil and natural gas are impacted by not only the relationship between the Canadian and United States dollar, but also by world economic events that dictate the levels of supply and demand.
At December 31, 2019 Cardinal had the following commodity financial derivative contracts outstanding:
The Company enters into foreign exchange swap transactions to fully mitigate any movements in the USD/CAD exchange rate during periods that LIBOR loans are outstanding. The following foreign exchange swaps were outstanding as at December 31, 2019:
The following table provides a reconciliation of the change in fair value of financial instruments:
Fair value of financial
Cardinal limits its credit risk by executing counterparty risk procedures which include transacting only with members of the syndicate for our credit facilities or institutions with high credit ratings and by obtaining financial security in certain circumstances. Based on December 31, 2019 commodity prices, a $1 per barrel change in the price of crude oil would have changed the unrealized loss by $0.8 million (2018 – $1.0 million) and a $0.10 per gigajoule change in the price of natural gas would have changed the unrealized loss by $0.1 million (2018 – $0.1 million).
Currency risk
Prices for oil are determined in global markets and are generally denominated in United States dollars. Natural gas prices obtained by the Company are influenced by North American supply and demand. The exchange rate effect is not quantified but generally a decrease in the value of the $CAD as compared to the $US will increase the prices received by the Company for its petroleum and natural gas revenue.
Credit risk
Credit risk is the risk of financial loss to the Company if a customer or counterparty to a financial instrument fails to meet its contractual obligations, and arises principally from Cardinal's receivables from petroleum and natural gas marketers, who comprised approximately 77% of the balance at December 31, 2019 (2018 – 41%), and joint venture partners. As at December 31, 2019, the Company's trade and other receivables balance was $39.7 million (December 31, 2018 ‐ $21.1 million) and $1.9 million (December 31, 2018 ‐ $2.2 million) was outstanding for greater than 90 days.
Receivables from petroleum and natural gas marketers are normally collected on the 25th day of the month following production and Cardinal has not experienced any material collection issues with its petroleum and natural gas marketers. Three of Cardinal's external marketers comprised 91% of the revenue received for the year ended December 31, 2019 (2018 – 79%).
Cash and cash equivalents consist of cash bank balances and short‐term deposits maturing in less than 90 days. The carrying amount of cash and cash equivalents, when outstanding, fair value of financial instruments assets, and trade and other receivables represent the maximum credit exposure.
Liquidity risk
Liquidity risk is the risk that the Company will not be able to meet its financial obligations as they come due. The financial liabilities on the balance sheet consist of trade and other payables, fair value of financial instruments, bank debt, and convertible debentures. Trade and other payables are considered due within one year. Bank debt (see note 8), the fair value of financial instruments, and the convertible debentures (see note 9) are considered due between one and two years. The Company anticipates it will continue to have adequate liquidity to fund its financial liabilities. The Company has had no defaults or breaches on its financial liabilities.
Interest rate risk
Interest rate risk is the risk that future cash flows will fluctuate as a result of changes in market interest rates. The interest charged on outstanding bank debt fluctuates with the interest rates posted by the lender. Had the interest rate been 25 basis points higher (or lower) throughout the year ended December 31, 2019, earnings before tax would have been affected by approximately $0.5 million (2018 ‐ $0.5 million) based on the average bank debt outstanding.
18 CAPITAL MANAGEMENT
The Company's capital structure includes shareholders' equity, bank debt, convertible debentures, the unused portion of its credit facilities and working capital (excluding the fair value of financial instruments, current decommissioning obligation, current lease liabilities, and the current portion of the liability component of convertible debentures).
Cardinal manages its capital to provide a flexible structure to support production maintenance, capital programs, stability of dividends and other operational strategies. Maintaining a strong financial position enables the capture of business opportunities and supports Cardinal's strategy of providing shareholder return through growth of the business and dividend payments.
The key measures that the Company utilizes in evaluating its capital structure are the credit available from the syndicate in relation to the Company's budgeted capital expenditures program and the ratio of net debt to adjusted funds flow. This ratio is calculated as net debt, defined as bank debt plus the principal amount of convertible debentures plus working capital deficiency or minus working capital surplus (adjusted for the fair value of financial instruments, the current portion of the decommissioning obligation, current lease liabilities and liability component of convertible debentures), divided by cash flow from operating activities before changes in non‐cash working capital, decommissioning obligation expenditures, and transaction costs for the prior 12 month period. Net debt and adjusted funds flow are non‐GAAP measures.
In order to manage its capital structure, Cardinal considers its net debt to adjusted funds flow ratio, its capital expenditures program, the current level of credit available from the syndicate, the level of credit that may be attainable due to increases in petroleum and natural gas reserves and new common equity if available on favorable terms. The Company prepares an annual capital expenditure budget, which is monitored quarterly and updated as necessary.
Cardinal's ratio of net debt to adjusted funds flow as at December 31, 2019 was 2.0 to 1, lower than the ratio at December 31, 2018 of 3.2 to 1 due to higher adjusted funds flow from higher oil prices and significantly narrower WCS oil price differentials in 2019. Cardinal is within its targeted ratio of 2.0 to 1 and has decreased the ratio over the past three years from 3.3 to 1 in 2017. During periods of significant capital expenditures, acquisitions or low pricing the ratio will increase. The Company will continue to monitor this ratio to endeavor to keep it within the targeted range.
Years ended
The current challenging economic climate may lead to further adverse changes in cash flows, working capital levels and/or debt balances, which may also have a direct impact on the Company's operating results and financial position. These and other factors may adversely affect the Company's liquidity and the Company's ability to generate income and cash flows in the future. At December 31, 2019, the Company remains in compliance with all terms of our Facilities and based on current available information, management expects to comply with all terms during the subsequent 12 month period. However in light of the current volatility in commodity prices and uncertainty regarding the timing for recovery in such prices, pipeline and transportation capacity constraints, and the effect of the Coronavirus (COVID‐19), the preparation of financial forecasts is challenging.
19 CONTRACTUAL OBLIGATIONS
At December 31, 2019, the Company had contractual obligations as follows:
20 FINANCE
(1) – Includes $0.6 million of realized loss on foreign exchange swap, $2.8 million of unrealized loss on foreign exchange swap, offset by $0.6 million of realized foreign exchange gain and $2.8 million unrealized foreign exchange gain on re‐evaluation of outstanding debt at year‐end.
21 SUPPLEMENTAL CASH FLOW INFORMATION
Changes in non‐cash working capital is comprised of:
22 PERSONNEL EXPENSES
Cardinal's key management personnel consist of its directors and executive officers. In addition to director fees and salaries, bonuses and short‐term benefits paid to the directors and executive officers, respectively, directors and executive officers participate in the share based compensation plans detailed in Note 14. The compensation relating to key management personnel for the year recorded as general and administrative expenses was $4.5 million (2018 ‐ $3.4 million) and share based compensation costs were $4.1 million (2018 ‐ $4.3 million).
23 SUBSEQUENT EVENTS
On January 13, 2020, the Company confirmed that a dividend of $0.015 per common share would be paid on February 18, 2020 to shareholders of record on January 31, 2020. The total amount of dividends declared at January 31, 2020 was $1.7 million.
On February 11, 2020, the Company confirmed that a dividend of $0.015 per common share would be paid on March 16, 2020 to shareholders of record on February 28, 2020. The total amount of dividends declared at February 28, 2020 was $1.7 million.
In 2020, the Company confirmed that, pursuant to the common shares NCIB announced on July 30, 2019, the Company repurchased and cancelled 897,500 common shares at an average price of $2.77 per common share, for a total cost of $2.5 million. | <urn:uuid:3403395f-7361-4c81-966d-e01c241a8f5b> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 82,386 |
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1
La Rhetorica Ecclesiastica (1574-1583) de Agostino Valier y el Cardenal Carlos Borromeo
Manuel LÓPEZ-MUÑOZ
Universidad de Almería email@example.com
Recibido: 7 de diciembre de 2011
RESUMEN
Aceptado: 4 de junio de 2012
Es bastante frecuente encontrar referencias a un grupo de tratados neolatinos de predicación llamados 'retóricas borromeas', nombre tomado de un par de conocidos estudios de Marc Fumaroli. Tras una breve introducción al estado de la cuestión, este artículo describe la Rhetorica de Agostino Valier en comparación con las Instructiones prædicatoris verbi Dei, de Carlos Borromeo. Como conclusión, el autor encuentra que la influencia más rastreable en Valier es la orden originaria de escribir y publicar el tratado, algo que el propio Valier aborda con una cierta reluctancia. La definición de un grupo 'borromeo'debería, pues, empezar a ser discutida a partir de ahora.
LÓPEZ-MUÑOZ, M., «La Rhetorica Ecclesiastica (1574-1583) de Agostino Valier y el Cardenal Carlos Borromeo», Cuad. Fil. Clás. Estud. Lat. 32.1 (2012) 173-186.
Palabras clave: Agostino Valier. Carlos Borromeo. Retórica neolatina. Teoría de la predicación. Retóricas borromeas.
Agostino Valier's Rethorica Ecclesiastica (1574-1583) and Cardinal Charles Borromeo
ABSTRACT
Keywords: Agostino Valier. Charles Borromeo. Neo-Latin rhetoric. Theory of preaching. Borromean rhetorics.
It is quite usual to find references to a group of Neo-Latin treatises on preaching called 'borromean rhetorics', the name taken from a couple of widely known studies by Marc Fumaroli. After a short stateof-the-art introduction, this article describes Agostino Valier's Rhetorica in comparison to Charles Borromeus' Instructiones prædicatoris verbi Dei. As a conclusion, the author finds that the most traceable influence on Valier is the original order to have the treatise written and published, something that Valier himself accomplishes somehow reluctantly. The definition of a 'borromean' group should therefore be questioned from now on.
* Proyecto I+D VALERIUS (La rhetorica ecclesiastica, de Agustín Valerio (1530-1606): Edición, traducción y estudio preliminar), FFI2010-15179. Grupo de Investigación «El legado de la Antigüedad» (Junta de Andalucía, HUM-741). El autor, que desea agradecer sus aportaciones a las personas que han revisado y mejorado el trabajo, es miembro del CYSOC, Centro de Investigación en Comunicación y Sociedad, de la Universidad de Almería. Este trabajo es reelaboración de la comunicación presentada al XIII Congreso de la Sociedad Española de Estudios Clásicos (Logroño, julio de 2011), ofreciendo nuevos elementos tanto en el planteamiento como en el desarrollo y la argumentación.
ISSN: 1131-9062
LÓPEZ-MUÑOZ, M., «Agostino Valier's Rhetorica Ecclesiastica (1574-1583) and Cardinal Charles Borromeo», Cuad. Fil. Clás. Estud. Lat. 32.1 (2012) 173-186.
SUMARIO 1. Estado de la cuestión: las 'retóricas borromeas'. 2. Una datación de la Rhetorica de Valier. 3. Descripción de la obra. 4. Las Instructiones de Borromeo y la Rhetorica de Valier. 5. ¿Cuál es el pensamiento retórico de Borromeo? 6. ¿En qué consiste la influencia de Borromeo? 7. Conclusión. 8. Referencias bibliográficas. Apéndices: tablas e ilustraciones.
1. ESTADO DE LA CUESTIÓN: LAS 'RETÓRICAS BORROMEAS'
Esta noticia contiene un primer problema, no otro que el de la alusión a un decreto que no se deja localizar con facilidad, aunque en algún trabajo (Mouchel 1999, Pérez Aguilera 2005) se mantiene la existencia de ese texto citado por Fumaroli. 5 Pero
Tras el seminal trabajo de Marc Fumaroli (1980) sobre la Retórica del Renacimiento, suele repetirse que las directrices tridentinas y la influencia del Cardenal Carlos Borromeo provocan un creciente interés por la redacción y publicación de manuales predicatorios católicos, aun cuando esto no acaba de justificar la existencia de un grupo llamado 'retóricas borromeas', compuesto sobre todo por las de fray Luis de Granada, Agostino Valier, Francesco Panigarola o Giovanni Botero. Más concretamente, en un primer trabajo, habla Fumaroli (1978) de Valier y Botero y, luego (Fumaroli 1980, pp.137-138), amplía el campo de las retóricas borromeas a Luis de Granada y Francesco Panigarola, con la curiosa característica de que no menciona ningún otro tratado producido en España 2 ni en Portugal, campo que puede empezar a cubrirse con estudios como el de Fernandes Pereira (2008). Otras referencias a este término, del que hay que decir que se ha adoptado con profusión y rapidez, pueden verse en Delcorno (1987), Holgado Redondo (1991), de Certeau (2005), López Muñoz (2002), o Pérez Aguilera (2005), por poner sólo algunos ejemplos. El grupo estaría caracterizado por utilizar como fuente declarada el De doctrina Christiana de Agustín 3 y, como fuente no declarada, los Ecclesiastæ de Erasmo, así como por un relativo anticiceronianismo que prima la inspiración sobre la limæ labor y la inventio sobre la elocutio 4 .
2 Holgado (1991: 3): «...Para la Retórica en el resto de Europa se ha publicado en fecha reciente, en Ginebra, un espléndido y extenso libro de M. Fumaroli. Y digo bien en lo de 'para el resto de Europa', pues Fumaroli conoce muy bien el Humanismo italiano, el francés y el centroeuropeo, pero desconoce totalmente y pasa olímpicamente del Humanismo español». Una buena revisión del estado de la teoría retórica en la España del XVI es la de Fernández López (2002). Para una revisión de la influencia agustiniana en las retóricas sagradas españolas de la época, Tubau (2009)
4 propre prédication comme dans les Rhetoricæ ecclesiasticæ dont il patronna la rédaction ou la publication, menaçait la survie même d'un humanisme littéraire: reprenant les vues de saint Augustin dans le De Doctrina christiana, et sans le dire celles d'Érasme dans l'Ecclesiastes, les rhétoriques borroméennes réordonnaient vigoureusement toute la culture chrétienne au service d'une seule fin, la contrition et la conversion des pécheurs.»
3 es buena guía. Fumaroli (1978, pp. 804): «Mais l'interprétation que l'archevêque de Milan donna de celle-ci, dans sa
5 Fumaroli (1994, pp. 137-138): «Il [i.e. el Cardenal Borromeo] fait de son diocèse le modèle d'administration épiscopale 'réformée' selon le Concile. Dans le vaste Corpus d'instructions diocésaines que son neveu et successeur Frédéric publiera en 1587, on retrouve un recueil de règles à l'usage des prédicateurs. Celles-ci ne font que paraphraser le Decretum de lectoribus et prædicatoribus Sacræ Scripturæ, voté par la Congrégation
la cuestión central atañe a la delimitación del grupo de tratados que se adscriben al grupo borromeo. En general, se afirma que son las dos de Granada y Valier las mejores, cosa que no se entiende, ya que el Valier tratadista de retórica (o Valiero, o Valerio, o Valerius, que de todas formas se le encuentra mencionado) prácticamente no ha sido estudiado hasta nuestro siglo, y menos desde el punto de vista de la Retórica (Mudd 1956, López Muñoz 2002 y 2006), excepción hecha de alusiones o breves valoraciones (Gómez Alonso 2000, Mouchel 1999, Mack 2011 entre los más recientes) y casi lo único que comparten ambos textos es la encuadernación conjunta en la edición veneciana de Francesco Ziletti, en 1578, o la presencia conjunta en la biblioteca de algún humanista, como detecta Alcina Rovira (2008, p.10) cuando dice que Antonio Agustín contaba en su biblioteca sólo con cuatro retóricas eclesiásticas, a saber: «...la de Alonso Zorrilla (1543), que es la primera que rompe con la tradición de las artes prædicandi, la de Luis de Granada (1575), la de Lorenzo de Villavicencio (1565) y la de Agostino Valiero (1574).»
Para entender de qué se habla cuando se habla de retóricas borromeas, conviene recordar que, según Marc Fumaroli (1980, p.138), el Cardenal Borromeo habría decidido cambiar el sistema de formación de oradores eclesiásticos, para lo que contaba con la doble ventaja de ser el responsable de la Archidiócesis de Milán y de contar con una más que notable influencia en el entorno papal. La consecuencia de su reflexión y su actuación habría sido que aparece en Italia y España una escuela ('véritable atelier', lo llama) borromea de rétores con semejanza de intenciones, situada en un mismo espacio temporal y físico y debida a un único impulsor.
Evidentemente, que se comparta biblioteca sólo nos habla de los gustos del propietario, no de afinidades entre sus libros. En cuanto al criterio de vecindad editorial, este nos podría llevar a, por ejemplo, emparentar a Agostino Valier con Diego de Estella, toda vez que comparten la edición veronesa de 1732; a Luis de Granada con ambos gracias a la edición veneciana de 1578; a Diego Valadés con todos a través de Luis de Granada, al que sigue declaradamente; a Giovanni Botero con Francesco Panigarola y Agostino Valier y, por lo tanto, con todos los demás; a Diego Pérez de Valdivia con Carlos Borromeo (se publican las Instructiones como apéndice de la Rhetorica) y, desde ahí, con los demás... La enumeración no para ahí, aunque nos sirve para dejar sentado que, en materia de filiación, la vecindad no supone transmisión hereditaria de bienes.
Fumaroli (1978, p.803) da a entender que, ya a finales de 1563, y al hilo de los debates tenidos en el Concilio de Trento sobre la predicación de los Obispos, Borromeo decide aplicar sus fuerzas y conocimientos a la reforma de la predicación católica y a la formación de buenos predicadores. Sabemos que, tanto él como los obispos de su entorno próximo (Valier entre ellos) convocarán Sínodos provinciales, fundarán
générale du Concile le 7 mai 1546 et confirmé le 11 novembre 1563. Le cardinal-archevêque ne se contenta pas de cette activité législative. A l'usage des séminaires, ou du public lettré en général, il passa commande, ou fit publier des ouvrages de rhétorique ecclésiastique. Directement sous son influence, ou indirectement sous l'effet de l'heureuse conclusion du Concile, s'ouvrit en Italie et en Espage un véritable 'atelier' de rhétorique, plus prolifique qu'aucune école de sophistes antiques ou qu'aucune Académie humaniste.»
Seminarios y dictarán instrucciones para cambiar la formación de los futuros predicadores. Sabemos que Borromeo fue dando instrucciones de predicación que no sólo se refieren a la estructura y confección del discurso (parte técnica de la Retórica), sino también a esos elementos ambientales y de imagen que afectan al predicador y a cómo lo perciben los fieles; a qué lecturas debe tener; a las intenciones con las que debe abordar el púlpito antes de empezar a hablar... El Cardenal va instruyendo, pero no parece que esté operando para crear una teoría retórica especializada. De hecho, podemos leer en la introducción de sus Instructiones prædicatoris verbi Dei lo siguiente 6 :
Ahora bien, el final de las reuniones tridentinas es de la mitad de la década de 1560 y aparecen más de una década después las primeras 'retóricas borromeas', verbigracia, los Ecclesiasticæ Rhetoricæ sive De ratione concionandi libri VI, de fray Luis de Granada (1576); o la Rhetorica de Agostino Valier (1574). El problema que se le puede ver a esta tesis, pues, se halla en la falta de elementos suficientes para fundamentarla y el asunto que se debería discutir es, en realidad, hasta qué punto existe una influencia borromea determinante y cómo analizarla.
...Huius igitur instructionis regulis cum illi omnes et se suumque officium et ceteras actiones conformare debent, tum uero ut id ipsum omni studio iidem præstent in sua quisque Dioecesi Episcopus prouinciæ nostræ decreti etiam prouincialis auctoritate curabit. Verum quo instructio hæc omnis ad singulas prouinciæ partes rectius accommodata eo uberiorem pietatis fructum fidelium animum afferat, ab unoquoque prouinciali Episcopo aliquid ei, præterquam illa quæ decretis nostris prouincialibus speciatim sigillatimue cauta sunt, addi, detrahi rursusque mutari liceat prout ex Ecclesiæ Dioecesisve suæ casu uiderit.
Una manera de abordar la cuestión bien podría ser el establecimiento de una gradación de influjo que empezara por ver si ordena el milanés escribir el tratado; o si patrocina o avala su publicación; o si ordena que se use en los Seminarios de su ámbito de actuación; o si el autor declara seguir los criterios retóricos de Borromeo; o si le dedica el tratado; o si el propio Borromeo ha manifestado interés en el texto; o si el autor declara expresamente seguir a otro que sí está claramente en la órbita retórica borromea... Es una cuestión metodológica que reservamos para otro trabajo.
Complementario a ese acercamiento externo a las obras es otro más interno que nos lleva a comparar la estructura de los tratados borromeos con la de las Instructiones del Cardenal. Al fin y al cabo, la filiación no se demuestra sólo por pruebas indiciarias, sino indagando en las interioridades de los textos y comprobando hasta qué punto existe un parecido real. Los Acta Ecclesiæ Mediolanensis, en los que aparecen las Instructiones, se van a publicar en el año 1582 por orden de Federico Borromeo, sobrino del Cardenal. Cuando comparamos a Valier con su mentor, conviene mantener una cautela lógica y recordar que la Rhetorica aparece antes que las Instructiones, aun cuando es pensable que, tratándose de acuerdos de la Archidiócesis de Milán, le fueran conocidos al veronés.
6 Una edición muy manejable del texto puede consultarse a través del sitio web de la Biblioteca Ambrosiana, en http://www.ambrosiana.eu/cms/integrazione_presentazione-2097.html (Consultado el 01/12/2011).
Si se quiere emitir una opinión razonada sobre las 'retóricas borromeas', parece recomendable comprobar la validez del funcionamiento del sistema de filiación acudiendo al testimonio más cercano, esto es, al que cumple la mayor parte de los criterios externos arriba citados. La Rhetorica ecclesiastica ad clericos, de Agostino Valier, se escribe por orden de Borromeo; se publica con su aval y en el taller de su impresor; se piensa para ser usada en la diócesis de Verona; el autor está muy cercano al Cardenal y le dedica el tratado…
2. UNA DATACIÓN DE LA RHETORICA DE VALIER
En julio de 1572 (Tacchella 1972, pp.62-63), Borromeo pide a Valier que acometa una mejora del texto y le anuncia la llegada de Pietro Galesino para ayudar; Valier le contesta pocos días después (Tacchella 1972, pp.102-103) aceptando el consejo y declarándose en espera de las revisiones. En el año 1573, en una carta sin data (Tacchella 1972, pp.141-142), Borromeo le agradece que haya modificado el texto, fundamentalmente eliminando ejemplos innecesarios. Debe de ser, en todo caso, poste-
En el año de 1574, las prensas de Giovanni y Sebastiano dalle Donne dan a la luz en Verona una obra intitulada De Rhetorica Ecclesiastica ad clericos libri tres; ese mismo año, aparecen la edición milanesa de Pacificus Pontius, impresor del Cardenal Carlos Borromeo (a la que se le adjuntan una sinopsis de la obra, redactada por el autor y el texto de las tres prælectiones que él mismo dictó para explicar los contenidos de su manual) y la veneciana deAndreas Bochinus. Siguen a éstas las de Colonia (Gervinus Calenius & Hæredes Quentelios, 1575), París (Thomas Brumennius, 1575), Roma (Hæredes Francisci Tramezini, 1577), Venecia (Franciscus Zilettus, 1578) y Verona (Hieronymus Stringarius & fratres, 1583) 7 . La datación de la obra se puede establecer con facilidad en torno a los años de 1570 ó 1571, ya que encontramos menciones de la toma de Nicosia 8 y de su consecuencia, la batalla de Lepanto 9 , así como también un intercambio epistolar de Valier y Borromeo en el que tratan distintos pormenores relativos a las revisiones que deben hacérsele al texto.
7 Por simplicidad, denominamos a cada edición con un sistema dual que distingue, con los dos primeros caracteres, la ciudad de publicación y, con los dos últimos, el año de aparición. Así, usaremos las siguientes abreviaturas: VR74, ML74, VN74, CL75, PR75, RM77, VN78 y VR83. En ausencia de una notación normalizada, proponemos Aug. Val. para el autor, rhet. eccl. para la Rhetorica Ecclesiastica, præl. para las Prælectiones y syn. para la Synopsis que acompaña a algunas ediciones.
9 Aug. Val. rhet. eccl. II,23 (RM77, p.128): Si ad populum timore imminentis periculi perterritum habendus est sermo, ut hoc anno necesse fuit habere, quo misericordiæ Domini maxime apparuerunt, ut prophetæ verbis utar, quia ab immanissimo Turcarum tyranno non solum consumpti non sumus sed gloriosam etiam victoriam christiani principes reportarunt…
8 Aug. Val. rhet. eccl. III,19 (RM77, p.182): Interdum calamitosis his temporibus ubi ad preces Deo fundendas populus excitatur adhibenda est hæc tragica expositio, verbi causa, de amissa Nicosia nuntius est acceptus... En adelante, y hasta tanto se disponga de una edición moderna, identificaremos los contextos de la Rhetorica ecclesiastica por la página correspondiente de la edición romana de 1577; las Prælectiones carecen de numeración en VR74, ML74, CL75, PR75, conque citaremos por VN74, criterio que también seguiremos para la Synopsis; las fuentes de otros preliminares se identificarán en el momento de su primera mención.
ASUNTO
CAPÍTULOS
Tabla 1. Estructura básica de la Rhetorica de Valier.
rior a la del seis de enero de ese año (Tacchella 1972, p.107), en la que Valier le comunica a Borromeo las modificaciones que ha introducido, y anterior a la del veinte de ese mes (Tacchella 1972, p.64), en la que Borromeo anuncia que Pietro Galesino se va a dedicar a revisar el texto. Todavía a finales de agosto de ese año (Tacchella 1972, pp.69-70), Borromeo le sigue hablando de revisiones; a principios de octubre (Tacchella 1972, p.70), le remite las anotaciones hechas por Pietro Galesino y otros padres para que pueda proceder a la revisión definitiva. El texto terminado dice Valier en noviembre habérselo ya remitido a Borromeo (1972, p.106). El treinta de diciembre de ese año (Tacchella 1972, p.71), Borromeo le dice a Valier que prefiere hacer imprimir la Rhetorica Ecclesiastica en Verona mejor que en Venecia y, en enero del año siguiente, le anuncia que ha dado orden de reeditar la obra en Milán.
3. DESCRIPCIÓN DE LA OBRA
Entre otras muchas cosas, llama la atención que se trata de un tratado con una historia editorial un tanto compleja que nos obliga a leerlo, no ya en la última de las versiones, sino teniendo en cuenta su proceso de construcción, en el que destacaremos sólo algunas cuestiones especialmente llamativas, a saber, cambios en el título, cambios en los contenidos amplios y remodelaciones de capítulos.
La estructura general es la que presentamos como Tabla 1. En ella, podemos ver que el libro primero habla, sobre todo, de los genera y de los instrumenta, de una inventio simplificada, si queremos; el libro segundo es, todo él, un tratado de la persuasión emocional; el libro tercero remata el resto de las operaciones retóricas, bien que reservando una serie de capítulos para tratar específicamente las partes de la homilía.
Por lo que se refiere al título, podemos encontrarlo como: Libri tres de Rhetorica Ecclesiastica (ML74, PR75), De Rhetorica Ecclesiastica ad Clericos libri tres (VR74, VN74, RM77, VN78, VR83) o De Rhetorica Ecclesiastica sive De Modo Concionandi libri tres (CL75). No dejaría de ser una mera banalidad si no encontráramos, además, que las mencionadas prælectiones desaparecen a partir de la edición romana (RM77), que es la que, además, refunde capítulos del libro primero, introduce otros y amplía sustancialmente el texto y no vuelven a aparecer hasta VR83.
Hemos podido comprobar que, además de adiciones y supresiones del autor en RM77, ML74 contiene un error de numeración que no se localiza en VN74 ni en CL75 o PR75, pero que no se termina de limar hasta RM77. Los desajustes y añadidos estructurales pueden verse con una cierta facilidad en la Tabla 2, que centra su atención sólo en los capítulos afectados, y sin introducir los datos correspondientes a VN78 y VR83, ya que siguen el patrón definitivamente asentado por RM77 y se limitan a registrar enmiendas o simples variantes textuales. Son capítulos que se refunden o que se cambian de orden, o que cambian de título, o que incorporan mucho más texto. Es probable que hubieran sido señalados como defectuosos y habrían originado algún que otro quebradero de cabeza a Valier, que en las Prælectiones da por autores reales de la obra a Borromeo como impulsor y a fr. Jerónimo Vielmi como redactor, lo que se aviene bien al tópico de la modestia, típico de las introducciones, pero también nos proporciona informaciones interesantes..
4. LAS INSTRUCTIONES DE BORROMEO Y LA RHETORICA DE VALIER
Con esta breve idea de las peculiaridades y estructura general de la Rhetorica de Valier, nos resultará más fácil entrar a ver hasta qué punto existe una coincidencia con las Instructiones borromeas. Para ello, presentamos la Tabla 3, en la que se observa la correspondencia de los apartados correspondiente de Borromeo y los capitulos de Valier en los que se puede advertir concordancia. Con esto, las intenciones del Cardenal de Milán quedan claras: presta más atención al officium, finis y materia de la predicación que a su doctrina propiamente, cosa que nos lleva a señalar que no hay tanto un pensamiento retórico cuanto una descripción del proceso formativo del predicador y que se trata de un texto más aluvial que otra cosa, dado que se construye con las decisiones de los Concilios provinciales, con los textos de los estudiosos y con lo que se ha visto útil de la tarea de los buenos predicadores 10 .
10 Acta Ecclesiæ Mediolanensis ab eius initiis, vol. II, Pars IV. Instructiones, cols. 1205-1206 (http://www. alphabeti.it/_acta/pdf/ÆM2_592_592.pdf, disponible el 01/12/2011): Quare superioribus annis eo de genere Nos decreta aliqua in Concilio Prouinciali primo confecimus, deinde alia Concilio item Prouinciali tertio, tum alia etiam quarto adiunximus, ad rectam illius sacræ prædicationis disciplinam. Verum quo accuratius, uberiorique spiritali fructu Concionatores tantæ rei munus administrarent, atque exequerentur; Nos de Episcoporum Prouincialium, qui præsentes in eo tertio Concilio adfuerant, sententia et assensu, instructionem gravissimæ illius functionis, quæ universæ Nostræ Provinciæ usui esset, per Nos illis edendam decreuimus. Itaque certis regulis, quas partim ex iisdem Nostris Conciliis, partim ex sapientum uirorum, sanctorumque hominum disciplina, partim ex optimorum Concionatorum usu accepimus, illam, Deo iuuante, confecimus: in
LIB
CAP
TIT
VN74 ML74 CL75
Tabla 2. Variantes principales en el libro I de la Rhetorica de Valier.
PR75 RM77
Un elemento que, de entrada, llama la atención es la relación entre los contenidos de las Instructiones de Borromeo y los de la Rhetorica Ecclesiastica: quince capítulos de Valier (de un total de ciento cincuenta y dos) tienen directa relación con la presunta fuente. Podemos afinar más el cálculo y recordar que buena parte de esos capítulos de la Rhetorica Ecclesiastica son divisiones de un mismo tema, pero no nos aportaría nada nuevo la ampliación de datos. En realidad, es en las Prælectiones que se encuadernan con la obra donde encontramos más claramente explicada la relación de la ideología valeriana y la borromea.
Otro dato interesante para contemplar hace referencia a que la mayor parte de los capítulos en los que existe directa referencia de Valier a las ideas predicatorias de Borromeo son, precisamente, los que, o bien se arreglan en RM77, o bien simplemente se insertan en ella.
5. ¿CUÁL ES EL PENSAMIENTO RETÓRICO DE BORROMEO?
...cogitavit [i.e. Borrhomæus] fieri posse ut oratori Ecclesiastico ea præcepta traderentur et in artem redigerentur quibus ille contentus veterum et Græcorum et Latinorum de arte rhetorica præceptiones non desideraret... Eodem ingenii acumine perspiciebat B. Augustinum ex epistolis sancti Pauli itemque ex orationibus sanctorum Cypriani atque Ambrosii pleraque collegisse, ex quibus bene et apposite et ornate dicendi præcepta sumi et imitatione exprimi possent...,
No parece el Arzobispo de Milán persona demasiado preocupada por la fijación teórica de un corpus doctrinal de la Retórica. De hecho, espigando textos en las epístolas prefatorias de Agostino Valier nos encontramos con que lo más parecido a una directriz clara es la idea de crear una Retórica eclesiástica no dependiente de la clásica y deducida del estudio de los grandes predicadores de la Historia. Así, en la epístola de Petrus Morinus a los estudiantes de los Seminarios (VN74; RM77; VN78) leemos:
y algo por el estilo vemos en la carta del propio Morinus a Borromeo (RM77; VN78):
Diremos, pues, que no hay un corpus doctrinal claro que nos permita hablar de un pensamiento retórico en Carlos Borromeo más allá de la necesidad de independi-
...Hanc eandem ob causam, hæc iussu tuo, de Ecclesiastica ratione dicendi scripta sunt ut ad domesticam Ecclesiæ sanctæ disciplinam accommodarentur sæculares litteræ et intelligeretur illis ita utendum ut servitiorum numero dumtaxat habeantur, non ut a nobis quasi civitate donentur.
eaque Concionatoris imaginem, si minus omnibus numeris absolutam, perfecteque expressam, at certe aliquo modo adumbratam, iis omnibus et singulis proponimus, qui uel pro Pastorali officium pertinent; sed ea tantum breui complexi sumus, quæ opportuniora uidentur, quæque concionandi rationibus accommodatiora, Concionatorem adiuuare, atque ad ea in primis instruere possunt, quæ proposuimus.
BORROMEO
VALIER
Tabla 3. Cotejo de las Instrucciones de Borromeo y la Rhetorica de Valier.
zarse de la preceptiva grecorromana. En consecuencia, deberemos señalar que, desde el punto de vista de la configuración teórica, no existe un criterio de homogeneidad suficiente como para hablar de la adscripción de Valier al grupo de las 'retóricas borromeas'.
6. ¿EN QUÉ CONSISTE LA INFLUENCIA DE BORROMEO?
Una fuente notablemente interesante para poder analizar la tarea de influencia de Borromeo está en las observaciones que tomamos de las epístolas introductorias de las distintas ediciones de la Rhetorica Ecclesiastica de Valier.
Llegados a este punto, es el momento de preguntarnos si es adecuado seguir hablando de un grupo consistente dentro de la Historia de la Retórica que se pueda llamar 'retóricas borromeas'. Parece claro que, por lo que llevamos visto, se limita su pensamiento retórico a la necesidad de no seguir teniendo deuda con los autores antiguos.
Un primer grupo de testimonios es el compuesto por las declaraciones de que Valier había obedecido una orden directa del Cardenal de Santa Práxedes. Escribe Marco Médicis a Borromeo en el inicio mismo de la epístola (VN74): «Iussisti superioribus diebus cum Mediolani essem ut Rhetoricam Ecclesiasticam quam Augustinus Valerius, huius civitatis Episcopus, tuo hortatu aut potius iussu scripsit tibique donavit Venetiis edendam curarem...»
Rhetoricam Ecclesiasticam, Cardinalis amplissime, te auctore conscriptam ab Augustino Valerio, Episcopo Veronæ, iussu tuo primum ediderat vir humanissimus atque optimus, egregius theologus et observantissimus tui, R.P.F. Marcus Medices, Ord. Prædic...,
Algo así vemos también en la epístola de Petrus Morinus a Borromeo (PR75; RM77):
o en el prefacio que el editor hace a la publicación conjunta de los tratados de Valier y Luis de Granada (VN78):
No parece necesario abundar más en la cuestión cuando nos dice el propio Valier (præl. 2, pp.286-287):
...Ac ferunt Cardinalem ita illum hortantibus quibusdam religiosis hominibus, Augustinum Valerium, Veronæ Episcopum, ad illud onus suscipiendum impulisse...
De huius Ecclesiasticæ Rhetoricæ auctore quid dicam? Cum re vera, quis fuerit eius auctor non sit facile statuere. Ut paucis quomodo se res habet aperiam: nec meum est hoc opus, nec non meum. Carolus Cardinalis Borrhomæus, de quo, quia non adest, hæc pauca mihi liceat dicere (...) Is, inquam, animo concepit hanc Rhetoricam Ecclesiasticam a principio, ut ingenue fatear, me etiam aliquantulum repugnante et eius sententiæ contradicente delineavi opus, laboravi etiam quantum occupationes meæ multiplices concesserunt aliquot menses.
Es admisible defender que, más allá del tópico de la modestia de las introducciones, los otros testimonios pueden estar indicando que Valier sigue un mandato de Borromeo. Es una actitud que encontramos en la gestación de la Rhetorica, pero también en la Synopsis de la obra, como vemos en la dedicatoria de Valier a Borromeo 11 :
11 Seguimos la edición publicada en Verona (1583), que carece de paginación, aunque el texto mismo admite una datación anterior.
Cum autem Mediolanum uenissem ut me post multas Episcopalis muneris occupationes recrearem et tuo exemplo tuisque sermonibus, ut ab hinc iam triennium mihi contigit, ad animas mihi creditas pascendas redirem instructior atque ardentior, in quadam tabella etiam totam hanc quam delineaui et ut potui expressi artem Rhetoricam Ecclesiasticam inscriptam ante oculos occupatorum hominum qui totum librum commode legere non possunt esse ponendam iudicasti ut breuissimo temporis spatio in magnis etiam occupationibus ea percurri posset...
En consecuencia, podemos afirmar que la influencia de Borromeo en la creación de las retóricas borromeas consiste, sobre todo, en haberse empeñado en que Valier redactara la suya. Con tales elementos, difícilmente podremos postular la existencia de una tendencia en la teoría retórica; como mucho, podremos hablar de un impulso. La idea se ve reforzada, además, cuando recurrimos a la Ecclesiastica Rhetorica de Luis de Granada y nos damos cuenta de que quien aparece constantemente mencionado en los preliminares es el Cardenal Infante don Enrique de Portugal, no Borromeo. Esto, por no dejar sin mencionar que la Rhetorica de fray Luis le llega al de Milán, no enviada por el propio Granatense, sino gracias a la diligencia de un intermediario (López Muñoz 2009).
7. CONCLUSIÓN
¿Qué tiene, pues, de Borromeo la Rhetorica Ecclesiastica de Agostino Valier? Deberemos contestar que, sobre todo, el mandato de redactarla y poco más, cosa que nos lleva a defender que, en realidad, resulta apresurado y hasta inexacto incluirla en el grupo de las 'rhétoriques borroméennes' de Fumaroli, un grupo sobre el que cada vez cabe albergar más dudas y reticencias y que, en realidad, no parece servir para explicar esta parte de la Retórica del siglo XVI.
8. REFERENCIAS BIBLIOGRÁFICAS
VALIER, Agostino, Libri tres De Rhetorica Ecclesiastica..., Mediolani, apud Pacificum Pontium, Typographum Illustriss. et Reverendiss. Cardinalis Borrhomæi Archiepiscopi, MDLXXIIII.
EDICIONES
V ALIER, Agostino, De Rhetorica Ecclesiastica ad Clericos libri tres..., Venetiis, apud Andream Bochinum et fratres, MDLXXIIII.
VALIER, Agostino, De Rhetorica Ecclesiastica, siue De Modo Concionandi, libri tres... Coloniæ, apud Geruinum Calenium et Hæredes Quentelios, MDLXXV.
VALIER, Agostino, De Rhetorica Ecclesiastica ad Clericos libri tres, Veronæ, apud Sebastianum et Ioannem a Donis, MDLXXIIII.
VALIER, Agostino, Libri tres De Rhetorica Ecclesiastica..., Parisiis, apud Thomam Brumennium, in Clauso Brunello, sub signo Oliuæ, 1575.
VALIER, Agostino, De Rhetorica Ecclesiastica ad clericos libri tres, aucti et locupletati, Romæ, Impensis hæredum Francisci Tramezini, apud Iosephum de Angelis, MDLXXVII.
VALIER, Agostino, De Rhetorica Ecclesiastica libri tres..., Veronæ, apud Hieronymuym et fratres Stringarios, 1583.
VALIER, Agostino, De Rhetorica Ecclesiastica ad clericos libri tres, hac postrema editione plerisque in locis aucti et locupletati... Venetiis, apud Franciscum Zilettum, MDLXXVIII.
VALIER, Agostino, Rhetoricæ Ecclesiasticæ, ab Augustino Valerio, Veronæ Episcopo scripta, Synopsis ab ipso contexta, Veronæ, ex typographia Hieronymi Stringarii et fratrum, MDLXXXIII.
VALIER, Agostino, De Ecclesiastica rhetorica libri tres..., Veronæ, ex Phoenicis typographis, MDCCXXXII
OTRAS FUENTES
AA.VV., Canones et Decreta Sacrosancti Oecumenisi et generalis Concilii Tridentini sub Paulo III, Iulio III, Pio IIII, Pontificibus Max. Compluti, excudebat Andreas de Angulo. 1564.
AA.VV., Acta Ecclesiæ Mediolanensis ab eius initiis, vol. II, Pars IV. Instructiones (http://www.ambrosiana.eu/cms/integrazione_presentazione-2097.html, disponible el 01/12/2011).)
AA.VV., Sacrosancti et Oecumenici Concilii Tridentini. Paulo III, Iulio III & Pio IIII Pontificibus Maximis celebrati. Canonet, et Decreta. D.Io. Sotealli Theologi; & Horatii Lucii Iureconsult. utilissimis marginis annotationibus. Bullis etiam Pii IIII. Pont. Max. ad calcem adiectis. Salmanticæ, Excudebat Ioannes Ferdinandus. 1598.
AA.VV., Sacrosanctum Concilium Tridentinum, additis declarationibus Cardinalium Concilii Interpretum, ex ultima recognitione Joannis Sotealli Theologi, et Horatii Lucii, J.C., nec non remissionibus D.Augustini Barbosæ, quibus recens accesserunt utilissimæ additiones Balthasaris Andreæ, J.C. Cæsar-Augustani, cum decisionibus variis Rotæ Romanæ eodem spectantibus, e Bibliotheca D.Prosperi Farinacii, J.C. Editio reformata, et supra omnes superiores Gallicas, et Belgicas locupletata, non modo sexcentis circiter Declarationibus; sed etiam innumeris fere Remissionibus, permultis item Pontificum ad uaria Concilii Capita insertis Constitutionibus, ac nominatim clementis VIII. Pauli V. & Urbani VIII. Cum indice librorum prohibitorum ex præscripto Concilii. Cum Permissu Superiorum. Augustæ Vindelicorum. Sumtibus <sic> Matthæi Rieger. F.M. Filiorum. MDCCLXXXI.
ESTUDIOS:
DELCORNO, C. (1987), «Dal 'sermo modernus' alla retorica 'borromea'», Lettere Italiane 39, pp.465-483
ALCINA ROVIRA, J.F. (2008), «El humanismo de Antonio Agustín», en EGIDO, A. - LAPLANA, J.E. (2008), Mecenazgo y Humanidades en tiempos de Lastanosa: Homenaje a Domingo Ynduráin, Institución «Fernando el Católico» e Instituto de Estudios Altoaragoneses, pp.31-50 DE CERTEAU, O. (2005), Le lieu de l'autre. Histoire religieuse et mystique, Paris, Galimard.
FERNÁNDEZ LÓPEZ, J. (2002), «Rhetorical Theory in Sixteenth-Century Spain: A Critical Survey», Rhetorica 20.2, pp.133-148.
FUMAROLI, M. (1978), «Cicero pontifex romanus: la tradition rhétorique du Collège romain et les principes inspirateurs du mécénat des Barberini», Mélanges de l'Ecole française de Rome. Moyen-Age, Temps modernes T. 90, N°2.
FUMAROLI, M. (1980), L'âge de l'èloquence, Généve, Droz.
GREEN, L.D. – MURPHY, J.J. (2004), Renaissance Rhetoric Short-title Catalogue 1460-1700, Aldershot, Ashgate.
GÓMEZ ALONSO, J.C. (2000), «Adaptaciones de la Retórica Eclesiástica: fray Luis de Granada y fray Diego Valadés», en ARRIBAS REBOLLO, J. - GÓMEZ ALONSO, J.C. - RAMÍREZ VIDAL, G. - TRUEBA LAWAND, J., coords., Temas de retórica hispana renacentista, México, Universidad Nacional Autónoma de México, pp.89-107.
HOLGADO REDONDO, A. (1991), «Retórica y Humanismo», Excerpta Philologica 1, pp.1-18.
Filología latina, Madrid, Sociedad de Estudios Latinos (SELat), pp.1003-1013.
LÓPEZ-MUÑOZ, M. (2002), «Sobre la Retórica Eclesiástica de Agustín Valerio», en ESPIGARES, A. – ALDAMA, A.Mª – DEL BARRIO, MªF. (eds.), Nova et vetera: nuevos horizontes de la
LÓPEZ-MUÑOZ , M. (2009), «Algunas observaciones para datar la "Retórica eclesiástica" de fray Luis de Granada», Calamus renascens: Revista de Humanismo y Tradición Clásica, 10, pp.85-96. MACK, P., (2011) A History of Renaissance Rhetoric 1380-1620, Oxford, pp.268-269.
LÓPEZ-MUÑOZ, M. (2006), «Carlos Borromeo, Agustín Valerio y Fray Luis de Granada ante la retórica eclesiástica», en Schnur, Rh. et al. (2006), en Acta Conuentus Neo-Latini Bonnensis: Proceedings of the Twelfth International Congress of Neo-Latin Studies (Bonn 2003), Tempe (Arizona), Ed. Medieval & Renaissance Texts & Studies, 315, pp.493-504.
MOUCHEL, Ch., (1999) «Les rhétoriques post-tridentines (1570-1600): la fabrique d'une société chrétienne», en FUMAROLI, M., dir., Histoire de la rhétorique dans l'Europe moderne (1450-1950), París, Presses Universitaires de France, pp.431-497.
PEREIRA, B.F. (2008), «Des arts de prêcher à la rhétorique sacrée: la prédication au Portugal pendant la Renaissance», Ágora. Estudos Clássicos em Debate 10 (2008), pp.81-96.
MUDD, Ch.S. (1956), «The Rhetorica Ecclesiastica of Agostino Valiero», The Southern Speech Journal 21,4, pp.255-261. DOI:10.1080/10417945609371417
PÉREZ AGUILERA, P.Mª (2005), «De sacra ratione concionandi de Diego Pérez de Valdivia (Bæza, 1524 – Barcelona, 1589) », Boletín del Instituto de Estudios Giennenses, 191, pp.119-135
TUBAU, X. (2009), «El "De doctrina christiana" de san Agustín y las retóricas sagradas españolas del siglo XVI», Criticón 107, pp.29-55.
TACCHELLA, L. (1972), San Carlo Borromeo ed il Card. Agostino Valier (carteggio), Verona, Istituto per gli Studi Storici Veronesi. | <urn:uuid:fb610ace-424f-4feb-a7cf-ae48bc5ceb81> | HuggingFaceFW/finepdfs/tree/main/data/spa_Latn/train | finepdfs | spa_Latn | 36,764 |
Untersuchte Kinder insgesamt
Kindertagesstätten:
6.499
Grundschulen:
4.899
Förderschulen:
806
12.204
Gesamt: | <urn:uuid:2535a5f1-bcf7-434c-a007-7d73bcc48731> | HuggingFaceFW/finepdfs/tree/main/data/deu_Latn/train | finepdfs | deu_Latn | 116 |
Konsolidovaná výročná správa
(uvádza údaje z individuálnej výročnej správy)
Mesta Moldava nad Bodvou
za rok 2020
...............................................................
JUDr. Ing. Slavomír Borovský, primátor mesta
# OBSAH
1. Úvodné slovo primátora mesta 4
2. Identifikačné údaje mesta 4
3. Organizačná štruktúra mesta a identifikácia vedúcich predstaviteľov 4
4. Poslanie, vizie, ciele 10
5. Základná charakteristika konsolidovaného celku 11
5.1. Geografické údaje 11
5.2. Demografické údaje 11
5.3. Symboly mesta 12
5.4. História mesta 13
5.5. Pamiatky 15
5.6. Významné osobnosti mesta 18
6. Plnenie úloh mesta (prenesené kompetencie, originálne kompetencie) 21
6.1. Výchova a vzdelávanie 21
6.2. Zdravotníctvo 21
6.3. Sociálne zabezpečenie 21
6.4. Kultúra 21
6.5. Hospodárstvo 21
7. Informácia o vývoji mesta z pohľadu rozpočtovníctva 22
7.1. Plnenie príjmov a čerpanie výdavkov za rok 2020 22
7.2. Prebytok/schodok rozpočtového hospodárenia za rok 2020 23
7.3. Rozpočet na roky 2021 - 2023 24
8. Informácia o vývoji mesta z pohľadu účtovníctva za materskú účtovnú jednotku a konsolidovaný celok 25
8.1. Majetok 25
8.2. Zdroje krytia 26
8.3. Pohľadávky 27
8.4. Záväzky 27
9. Hospodársky výsledok za rok 2020 - vývoj nákladov a výnosov za materskú účtovnú jednotku a konsolidovaný celok 28
10. Ostatné dôležité informácie 30
10.1. Prijaté granty a transfery 30
10.2. Poskytnuté dotácie 31
10.3. Významné investičné akcie v roku 2020 32
| Section | Page |
|------------------------------------------------------------------------|------|
| 10.4. Predpokladaný budúci vývoj činnosti | 32 |
| 10.5 Udalosti osobitného významu po skončení účtovného obdobia | 32 |
| 10.6. Významné riziká a neistoty, ktorým je účtovná jednotka vystavená | 34 |
1. Úvodné slovo primátora mesta
Uplynulé mesiace zmenili naše životy. Na konci roku 2019 sa prvýkrát objavili správy z Číny tykajúce sa vírusu COVID -19 a začiatkom roka 2020 sa tento vírus rozšíril do celého sveta. Mnoho ľudí si myslí, že všetko sa začalo písať v marci, keď sa začal boj s pandémiou, ktorá mala negatívny vplyv na svetový obchod, na firmy ako aj na nás samotných jednotlivcov. Nedostatok dezinfekčných prostriedkov, rúšok, ochranných pomôcok, sprísňovanie opatrení s nástupom novej vlády ako aj otázky súvisiace s ekonomickým dopadom koronavírusu na činnosť a aktivity mesta zamestnávali našu samosprávu každodenne. Uvedené vplyvy mali za následok zniženie príjmov z dane z príjmov fyzických osôb, tzv. podielové dane a pokles vlastných príjmov, ktoré mali dopad na rozpočet mesta. Z pozície primátora mesta som sa snažil podniknúť všetky kroky na zmiernenie negatívnych dopadov koronakrízy, využili sme štátnu finančnú výpomoc na kompenzáciu výpadku dane z príjmov fyzických osôb a napriek tažkému roku sa v meste Moldava nad Bodvou začali realizovať nové projekty a úspešne sa dokončili rozbehnuté investičné akcie mesta. V súčasnosti sú samosprávy ohrozené nie len pandémiou, ale aj s navrhovanými zmenami zákonov Národnej rady Slovenskej republiky, tzv. „daňová revolúcia“, ktorá má finančný dopad fungovania samospráv, vrátane nášho mesta. Pritom je to samospráva, ktorá má k občanom, a obzvlášť rodinám, najbližšie. Výdavky samospráv sú pod oveľa väčším drobnohládom ako výdavky štátu a tým pádom sú alokované omnoho efektívnejšie. Naše mesto má pred sebou ešte veľa práce, no verím, že všetko zvládneme napriek hroziacim prekážkam a výsledok nášho úsilia bude onedlho viditeľný.
2. Identifikačné údaje mesta
Názov: Mesto Moldava nad Bodvou
Sídlo: Školská 356/2, 045 01 Moldava nad Bodvou
IČO: 00324451
Štatutárny orgán mesta: JUDr. Ing. Slavomír Borovský
Telefón: 055 / 488 02 11,
Email: email@example.com
Webová stránka: www.moldava.sk
3. Organizačná štruktúra mesta a identifikácia vedúcich predstaviteľov
Primátor mesta: JUDr. Ing. Slavomír Borovský
Zástupca primátora mesta: Ing. Norbert Krušinský
Prednostka mestského úradu: PaedDr. Klára Vranaiová, PhD.
Hlavný kontrolór mesta: Mgr. PhDr. Rastislav Král, PhD.
Mestské zastupiteľstvo:
Bc. Ludovít Matta
Ing. István Zachariaš
Ing. Július Grulyo
Ing. Vojtech Bodnár
Zoltán Dobos
Ing. Roland Cingel'
Ing. Norbert Krušinský
Ing. Ján Csala
Mgr. István Nagy
Bc. Norbert Pecze
PaedDr. Jana Ločová
Ladislav Zupko
Ing. Oliver Kovács
- ukončenie mandátu 21.04.2021
Tamás Elek
- začiatok mandátu 29.04.2021
Mestská rada
- je iniciatívnym, výkonným a kontrolným orgánom Mestského zastupiteľstva. Mestská rada sa skladá zo 4 členov, ktorých volí mestské zastupiteľstvo zo svojich poslancov na celé funkčné obdobie. V zložení mestskej rady sa prihliada na zastúpenie politických strán a politickej hnutí zastúpených v mestskom zastupiteľstve.
Členovia Mestskej rady: Ing. Norbert Krušinský, Ing. Vojtech Bodnár, Ing. Ján Csala, Ing. István Zachariaš
Komisie
- sú zriadené ako stále alebo dočasné poradné, iniciatívne a kontrolné orgány Mestského zastupiteľstva.
Komisia mestského zastupiteľstva: Komisia na ochranu verejného záujmu,
Komisia finančná, správy majetku a obchodu
Komisia pre územné plánovanie a ochranu životného prostredia
Komisia investičných činností a výstavby
Komisia pre sociálne veci, bytové otázky a zdravotníctvo
Komisia pre školstvo
Komisia kultúry, cestovného ruchu a cirkevných náležitostí
Komisia pre rozvoj mestskej časti Budulov
Komisia pre šport
Komisia pre ochranu verejného poriadku
Komisia na riešenie problémov marginalizovanej rómskej komunity
Organizačná štruktúra Mestského úradu:
Primátor mesta
- Mestské zastupiteľstvo
- Útvar hlavného kontrolora mesta
- Komisia mestského zastupiteľstva
- Mestská rada
- Právny odbor
- Kancelária primátora
- Mestská polícia
- Mediálny odbor
- Spoločný obecný úrad
- Štátny fond rozvoja a bývania
- Náčelník
- Spoločný stavebný úrad
- Spoločný školský úrad
- Zástupca
- Rómska občianska hliadka
- Mestská policajta
- Ochrana budov vo vlastnictve mesta
- Administratívny pracovník
MESTSKÝ ÚRAD
Prednostka úradu
- Odbor prvého kontaktu
- Odbor odpadového hospodárstva
- Odbor rozpočtu a ekonomiky
- Odbor výstavby, plánovania a projektovania
- Odbor správy majetku
- Odbor správy budov a nehnutelnosti
- Odbor správy cintorínov, domu smrti a mestskej zelene
- Odbor školstva a sociálnych služieb
- Oddelenie matičného úradu
- Oddelenie evidencie obyvateľstva
- Oddelenie podnikateľskej činnosti
- Oddelenie komunálneho odpadu
- Oddelenie environmentálnych činností
- Oddelenie rozpočtu a účtovníctva
- Oddelenie daňových poplatkov
- Oddelenie personálneho manažmentu
- Oddelenie riadenia projektov
- Oddelenie investičnej činnosti
- Oddelenie územného plánovania a urbanizmu
- Oddelenie verejného obstarávania
- Oddelenie správy vozového parku mesta
- Oddelenie správy cintorínov a pohrebných služieb
- Oddelenie starostlivosti o mestskú zelien a dom smrti
- Oddelenie starostlivosti o deti, rodinu a bývanie (+ terénna sociálna práca, komunitné centrum, opatrovateľská služba)
- Oddelenie styku s ÚPSVAPR
Rozpočtové organizácie mesta Moldava nad Bodvou:
**Názov:** Základná škola
Sídlo: Čsl. armády 15, 045 01 Moldava nad Bodvou
IČO: 31302912
Základná činnosť: Výchovno – vzdelávacia činnosť
Riaditeľ: PaedDr. Jolana Liszkaiová
Telefón: 055 / 460 21 34
Mail: firstname.lastname@example.org
Webová stránka: www.zsmoldava.edupage.org
Hodnota majetku (netto): 1 492 869,85 €
Výsledok hospodárenia: 5 643,27 €
**Názov:** Základná škola
Sídlo: Severná 21, 045 01 Moldava nad Bodvou
IČO: 35544295
Základná činnosť: Výchovno – vzdelávacia činnosť
Riaditeľ: Mgr. Gabriela Janíčová
Telefón: 055 / 460 31 09
Mail: email@example.com
Webová stránka: www.zs2moldava.edupage.sk
Hodnota majetku (netto): 1 063 058,46 €
Výsledok hospodárenia: 51,98 €
**Názov:** Základná škola s VJM - Alapiskola
Sídlo: Čsl. armády 15, 045 01 Moldava nad Bodvou
IČO: 51845598
Základná činnosť: Výchovno – vzdelávacia činnosť
Riaditeľ: Mgr. Andrea Srigely
Telefón: 055 / 460 22 84
Mail: firstname.lastname@example.org
Webová stránka: www.gymnmold.edu.sk
Hodnota majetku (netto): 1 172 055,27 €
Výsledok hospodárenia: - 6 495,97 €
**Názov:** Základná umelcovská škola
Sídlo: Hlavná 67, 045 01 Moldava nad Bodvou
IČO: 35544252
Základná činnosť: Školstvo
Riaditeľ: Františka Fehérová
Telefón: 055 / 460 21 50
Mail: email@example.com
Webová stránka: www.zusmoldava.edupage.org
Hodnota majetku (netto): 256 887,52 €
Výsledok hospodárenia: - 206,79 €
**Názov:** Centrum voľného času CVrČek
Sídlo: Školská 5, 045 01 Moldava nad Bodvou
IČO: 35544236
Základná činnosť: Výchovno-vzdelávacia, záujmová a rekreačná činnosť detí
Riaditeľ: Mgr. Mária Tóthová
Telefón: 055 / 460 72 53
Mail: firstname.lastname@example.org
Webová stránka: www.cvcmoldava.edu.sk
Hodnota majetku (netto): 701,10 €
Výsledok hospodárenia: -321,73 €
**Názov:** Zariadenie pre seniorov – Domov Sv. Alžbety
Sídllo: Hlavná 87, 045 01 Moldava nad Bodvou
IČO: 31269141
Základná činnosť: Poskytovanie sociálnych služieb
Riaditel*: Mgr. Antónia Sopková
Telefón: 055 / 460 36 37
Mail: email@example.com
Webová stránka: www.ddmoldava.sk
Hodnota majetku (netto): 439 419,93 €
Výsledok hospodárenia: 1 414,95 €
**Príspevkové organizácie mesta Moldava nad Bodvou:**
**Názov:** Mestské kultúrne stredisko
Sídllo: Hlavná 58, 045 01 Moldava nad Bodvou
IČO: 00135305
Základná činnosť: Výchovno-vzdelávacia, kultúrno-spoločenská a organizátorská činnosť v spolupráci s miestnymi organizáciami.
Riaditel*: Mgr. Adriana Szilágyiová
Telefón: 055 / 460 21 73
Mail: firstname.lastname@example.org
Webová stránka: www.kulturamoldava.sk
Hodnota majetku (netto): 363 953,54 €
Výsledok hospodárenia: -12 912,29 €
**Názov:** Mestský športový klub Moldava nad Bodvou
Sídllo: Školská 356/2, 045 01 Moldava nad Bodvou
IČO: 52395154
Základná činnosť: Plnenie verejnoprospesných úloh mesta Moldava nad Bodvou v oblasti telovýchovy, športu a rekreačných činností
Riaditel*: Tibor Podracki
Telefón: +421 948 169 109
Mail: email@example.com
Webová stránka: www.mskmoldava.sk
Hodnota majetku (netto): 296 366,65 €
Výsledok hospodárenia: 8 547,19 €
**Neziskové organizácie založené mestom Moldava nad Bodvou:**
**Názov:** Večné deti n.o.
Sídllo: Školská 2, 045 01 Moldava nad Bodvou
IČO: 35582707
Základná činnosť: Sociálna práca bez ubytovania pre staršie osoby a osoby so zdravotným postihnutím
Riaditel*: Mgr. Diana Hronecová
Telefón: +421 918 766 122
Mail: firstname.lastname@example.org
Webová stránka: www.vecnedeti.webnode.sk
Hodnota majetku (netto): 11 035,00 €
Výsledok hospodárenia: -142,00 €
Názov: ETP Moldava – Housing, n.o.
Sídlo: Školská 2, 045 01 Moldava nad Bodvou
IČO: 35583134
Základná činnosť: Ostatná sociálna starostlivosť
Hodnota majetku (netto): 131 005,14 €
Výsledok hospodárenia: -1 210,53 €
Nezisková organizácia vstúpila do likvidácie dňa 1.7.2015.
Obchodné spoločnosti založené mestom Moldava nad Bodvou:
Názov: Správa bytov Bodva s.r.o.
Sídlo: Školská 10, 045 01 Moldava nad Bodvou
IČO: 52826201
Základná činnosť: kúpa tovaru za účelom jeho predaja konečnému spotrebitelovi (maloobchod) v rozsahu voľných živností, kúpa tovaru za účelom jeho predaja iným prevádzkovateľom živnosti (velkoobchod) v rozsahu voľných živností, prenájom nehnuteľností spojený s poskytovaním aj iných než základných služieb spojených s prenájmom, organizovanie kultúrno-spoločenských a športových podujatí, správa a údržba bytového a nebytového fondu v rozsahu voľných živností
Konatel: Valéria Vincová
Telefón: 055 / 301 30 66
Mail: email@example.com
Webová stránka: www.spravabytovbodva.sk
Hodnota majetku (netto): 24 726,00 €
Výsledok hospodárenia: -737,00 €
Výška vlastného imania: 5 000,00 €
Názov: Penzióň Bodva s.r.o.
Sídlo: Školská 5, 045 01 Moldava nad Bodvou
IČO: 52826538
Základná činnosť: reklamná činnosť, rozmnožovanie nahraných nosičov záznamu zvuku, rozmnožovanie nahraných nosičov záznamu obrazu, prenájom technických zariadení, podnikateľské poradenstvo v rozsahu voľných živností, kúpa tovaru za účelom jeho predaja konečnému spotrebitelovi (maloobchod) v rozsahu voľných živností, kúpa tovaru za účelom jeho predaja iným prevádzkovateľom živnosti (velkoobchod) v rozsahu voľných živností, vydavateľská činnosť, sprostredkovaťelská činnosť, výroba, požičiavanie, distribúcia videa, pohostinská činnosť, ubytovacie služby v ubytovacích zariadeniach s prevádzkovaním pohostinských činností v týchto zariadeniach, prenájom nehnuteľností spojený s poskytovaním aj iných než základných
4. Poslanie, vízie, ciele
Poslanie mesta:
Zabezpečovanie verejnej správy na svojom území, prípadne prenesený výkon štátnej správy, za podmienok stanovených zákonomi, najmä ústavou SR a zákonom SNR č.369/1990 Zb. o obecnom zriadení v znení neskorších predpisov. Podľa § 10 zák.č. 369/1990 Zb. o obecnom zriadení orgánmi mesta je Mestské zastupiteľstvo a primátor mesta.
Vízie mesta:
Stratégia zeleného mesta s vybudovanou infraštruktúrou mestskej zástavby a služieb pre obyvateľov na úrovni strediskovej obce (okresného mesta) je hlavnou víziou, ktorú sa snažíme naplniť. Začíname postupne meniť prístup k napĺňovaniu tohto cieľa, čo nie je ľahká úloha. Hľadanie ideálneho mesta nie je oveľa mladsie než mesta samotné, jeho forma sa však mení a preto zložitost jednotlivých období v kontexte dnešnej silne dynamickej doby, niekedy narúša kontinuitu snahy jednotlivých vedení mesta. Štvorročné funkčné obdobie je niekde antagonisticky postavená norma a sťahuje už započať zmény predošlého obdobia.
Budúci vývoj budeme nevyhnutne hľadať v súladnosti s prostredím, priateľskú koexistenciu mesta s územia, na ktorom stojí, no i s jeho širším zázemím, či už prírodným alebo súdeným. Budeme sa snažiť uspokojovať potreby na miestnej úrovni. Víziou je aj zdravé, obytne a spravodlivé mesto v záujme občanov tohto mesta.
- Rešpektovanie zásad udržateľného rozvoja, zodpovedné pristupovanie k životnému prostrediu a kultúrному dedičstvu
- Efektívne vyrovnávanie nárokov na bezpečnosť, sociálnu, technickú a dopravnú infraštruktúru a zlepšovanie života obyvateľov
- Umožňovanie rovnosti príležitostí, poskytovanie profesionálnej a občanom otvorenej správy a riadenia
- Prostredie postavené na vysokej efektivite, poznatkovo orientovanej ekonomike a znalostnej spoločnosti
- Úspešne spolupracujúce mesto, ktoré je dobrým a spolahlivým susedom a partnerom pre okolité obce, mestá a regióny
Ciele mesta:
Starostlivosť o všestranný rozvoj jej územia a o potreby obyvateľov mesta Moldava nad Bodvou formou odborne pripraveného tímu je potrebné rozdeliť na mnoho menších úloh a najdôležitejšie je začať prehodnocovať základné rozvojové dokumenty ako sú Plán hospodárskeho rozvoja, generel zelené, dopravy, energetiky a územný plán mesta.
5. Základná charakteristika konsolidovaného celku
Obec je samostatný územný samosprávny a správny celok Slovenskej republiky. Obec je právnickou osobou, ktorá samostatne hospodári s vlastným majetkom a s vlastnými príjimami. Základnou úlohou obce pri výkone samosprávy je starostlivosť o všestranný rozvoj jej územia a o potreby jej obyvateľov.
5.1 Geografické údaje
Geografická poloha mesta: Mesto Moldava nad Bodvou leží juhozápadne od Košíc. Územím prechádza štátna cesta I/50 Košice - Rožňava a južný železničný t'ah Košice - Plešivec. Mesto leží na nivě a náplavových kuželoch Bodvy pri východnom výbežku Slovenského krasu v záp. časti Košickej kotliny. Krajinný priestor patrí do sústavy Alpsko-himalájskej, do podšustavy Karpatskej, do provincie Záp. Karpát a do oblasti Slovenského rudohoria. Chotár v záp. časti prechádza z nivy (tret'ohorné usadeniny) do pahorkatiny a na krasovú plošinu z druhohorných hornín. Nivné pôdy, vo vých. časti v priestore Košickej štrkovej formácie hnedozem. Cez mesto prechádza 21. poludník
Susedné mestá a obce: Drienovec, Čečejovce, Mokrance, Jasov, Debrad’
Celková rozloha mesta: 1976,5039 ha
Nadmorská výška : 216 m n. m.
5.2 Demografické údaje
Národnostná štruktúra: slovenská 41.3%, maďarská 29.6%, rómska 9.8%, iné 0.7%, nezistená 17.8%
Vývoj počtu obyvateľov:
| Rok | Počet občanov spolu | Počet mužov | Počet žien | Úbytok | Prirastok |
|-----|-------------------|------------|-----------|--------|----------|
| 2020 | 10 342 | 5 035 | 5 307 | 259 | 233 |
| 2019 | 10 368 | 5 077 | 5 291 | 272 | 239 |
| 2018 | 10 401 | 5 076 | 5 325 | 283 | 256 |
| 2017 | 10 428 | 5 089 | 5 339 | 240 | 282 |
| 2016 | 10 386 | 5 064 | 5 322 | 254 | 279 |
| 2015 | 10 361 | 5 077 | 5 284 | 214 | 268 |
| 2014 | 10 307 | 5 059 | 5 248 | 224 | 227 |
| 2013 | 10 304 | 5 059 | 5 245 | 231 | 263 |
| 2012 | 10 272 | 5 055 | 5 217 | 207 | 259 |
5.3 Symboly mesta
Erb mesta:
V modrom štite strieborná holubica so zlatým zobákom obkolesená dvoma zlatými klasmi. Pôvodným historickým pečatným symbolom starobylej Moldavy nad Bodvou bola len holubica, symbol sv. Ducha, ktorému bol zasvätený miestny gotický kostol zo 14. storočia.
Hoci najstarší známy dokument, ktorý dokladá používanie tohto symbolu, je z roku 1603, je pravdepodobné, že v meste sa používal už aj sto rokov predtým. Cisár Ferdinand II. písomne 2. mája 1634 potvrdil dávnejšie používaný znak. Najznámejšiu predlohu erbu mesta Moldava nad Bodvou predstavuje nedatovaná nástenná maľba v bývalom dome Abovsko-turnianskej župy v Košiciach (dnes Východoslovenské múzeum). V strede modrého oválneho štítu je biela holubica obkolesená vencom z klasov a kvetov. Túto podobu erbu si osvojilo aj mesto. Až po konzultáciách s heraldickou komisiou v 80. rokoch sa veniec nahradil klasmi obvyklejšími v domácej heraldike. V takejto podobe mesto používa svoj erb od 6. júna 1985.
Červeno-zeleno strieborným lavošikmým zvlneným brvnom delený štít; v hornom poli obratný, mečom opasaný striebroodetý zlatovlasý jazdec so striebornou čiapkou, sediaci v striebornom sedle na striebornom zlatohrivom, zlatochvostom koňovi v zlatej zbroji a v zlatom postroji; v dolnom poli strieborný lemeš. Erb mestskej časti Budulov vychádza z najstarších historických odtlačkov pečatidiel dvoch obcí: Malého a Veľkého Budulova, zlúčením ktorých vznikol Budulov. Jazdec na koni (Malý Budulov). Daný symbol poukazuje až na dve skutočnosti týkajúce sa spomínané obce. Prvá, dokázateľne už od 17. storočia vlastnili časť obce šľachtici z rodu Fáy, v ktorých rodovom erbe je postava muža držiaceho strieborného koňa, čím sa v zmenenej (štízlovanej) podobe mohol tento symbol dostat' na pečatidlo obce. Minimálne už od roku 1671 tam rod vlastnil aj kaštieľ. Druhá skutočnosť – príslušníci spomínaného šľachtického rodu, a tým aj samozrejme tamojší obyvatelia sa v obci zaoberali chovom koní, v čom veľmi vynikali. To potvrzujú viaceré monografie ako aj samotná obecná kronika. Lemeš, časť pluhu (Veľký Budulov). Ide o typický zamestnanecký motív obyvateľov obce poukazujúci na hlavný prostriedok ich obživy, ako aj na úrodnú pôdu. Pruh – štiepenie štítu vytvára pruh (zvlnený, lavošikmý), ktorý jednak poukazuje na vodný tok pretekajúci obcou, čiže existenciu pôvodne dvoch samostatných obcí (v istom čase) a jednak existenciu dostatku rýb a tradíciu rybolovu.
Vlajka mesta:
Vlajka Moldavy nad Bodvou pozostáva zo siedmich pozdižných pruhov vo farbách bielej, modrej, žltej, modrej a bielej. Vlajka má pomer strán 2:3 a je ukončená zástrihom siahajúcim do tretiny dĺžky listu vlajky. Erb výtvarne spracoval Ladislav Čisárik ml.
List vlajky pozostáva zo siedmich pozdižných pruhov vo farbách vyplývajúcich z farieb erbu obce, t.j. žltej (1/9), zelenej (1/9), červenej (1/9), bielej (3/9) a zelenej (1/9), červenej (1/9), žltej (1/9). Vlajka má pomer strán 2:3 a ukončená je dvojitým lastovičím chvostom.
Pečať mesta:
Holub, ako odtlačok pečatidla z 19. storočia s kruhopisom *SZABAD SZEPSI VAROSA PECSETJE na písomnostach z 28. apríla 1870 je v zbierke pečiatí v Košiciach. Skôr je na písomnostiach mesta z r. 1533, ktoré sú uložené v Budapešti.
5.4 História mesta
Život mesta a jeho dejiny boli odjakživa ovplyvňované jeho polohou a prírodnými podmienkami. Priaznivé okolnosti, najmä blízkosť rieky Bodvy, úrodná pôda, relatívne chránená dolina z hľadiska podnebia, ako aj výhodná poloha mesta na obchodných trasách zo severu na juh a z východu na západ, znamenali pre Moldavu často aj vojenské ohrozenie. Archeologické nálezy potvrdzujú predpoklad, že toto územie si vybral za svoje bydlisko už pračlovek. Blízke jaskyne krasu mu poskytovali ochranu pred divou zverou, pred zimou a pred nepriateľmi.
Po príchode maďarských kmeňov sa na tomto území usadili príslušníci chazarsko-kabarského kmeňa Abovcov a rodu Bárca-Tekele. Prvá písomná zmienka o meste je z roku 1255. Ide o listinu, ktorá potvrzuje majetkový stav okolia z roku 1150. O vydanie tohto dokumentu požiadal jasovský kláštor, lebo pôvodná listina bola počas tatárskeho vpádu zničená. Moldava bola v tomto období súčasťou turnianskeho hradného panstva a patrila medzi kráľovské majetky. Pôvodné pomenovanie bolo „villa curriferorum ZEKERES“ (Vozokany), ktoré označuje povolanie pôvodných obyvateľov zaoberajúcich sa povoznictvom. Už v roku 1267 sa názov uvádza ako SCEPSY-SCEKERES. Tradícia a literatúra potvrdzujú, že sa tieto formy názvu už vtedy vyslovovali „sepší“ resp. „sepší-sekeres“. V roku 1329 sa po prvý raz objavuje nemecké pomenovanie „MOLDAVA“, ktoré sa vzťahuje tak na rieku Bodva ako aj na osadu (Bolda, Polda, Molda sú názvy zaužívané nemeckými kolonistami na označenie rieky Bodva). Keďže od 15. storočia sa ešte ako súbežné pomenovanie zachovalo aj Szekeres – Szekeresfalva, mnohí sa domnievajú, že poprí starom meste po vpáde Tatárov vzniklo aj novšie, v ktorom sa usadili aj nemeckí pristáhovalci, zaoberajúci sa pováčšine klčovaním okolitých lesov.
V roku 1927 bolo mesto úradne nazvané „Moldava nad Bodvou“. Významným dokumentom je menovacia listina kráľovského sokoliara Leonarda z Moldavy, ktorú podpísal kráľ Ladislav IV. Kumánsky (1272-1290) pri príležitosti svojho pobytu v Moldave. Spis je datovaný 30. marca 1282 a je najstarším zachovaným dokumentom vystaveným na území mesta. Správy o kostole potvrdzujú, že už pred rokom 1290 stál v Moldave murovaný kostol. Ten bol v 15. storočí za vlády kráľa Mateja Korvína (1458-1490) prestavaný (v rovnakom období dostal svoju konečnú podobu aj košický Dóm svätej Alžbety. O podobnosti štýlu svedčí južný portál, ktorý nesie aj znaky príbuznosti s južným portálom rožňavského farského kostola). Pôvodne bol moldavský kostol trojlod'ový. Kostol niekol'kokrát vyhorel – r. 1644, r. 1794, zreštaurovaný bol v rokoch 1646, po r. 1794, r. 1895-1896, r. 1935 a po druhej svetovej vojne. Katolícka fara je klasicistá. Pochádza z konca 18. storočia. Kostol reformovanej cirkvi z r. 1773 je postavený v klasicistom štýle. Veža bola dostavaná r. 1789 a kostol bol obnovovaný koncom 18. storočia a v rokoch 1876, 1922, 1951 a 1997. Pečatidlo (typárium) mesta je vyrobené v 17. storočí. Je na ňom holubica s rozvetrenými krídłami symbolizujúca Duchu Svätého. Okolo holubice je oválny nápis: SIGILLUM OPPIDUM SEPSIENSIS. Rozvoju mesta prispela historická udalosť v 14. storočí, keď Košice podporili Anjoucovcov v boji s Omodejovcami a za to im kráľ Karol Róbert (1308-1342) a jeho syn Ludovít I. Veľký (1342-1382) udelil mnohé výsady, medzi nimi aj právo vyberať od kupcov vysoké mýta a dane.
Mnohí obchodníci na to reagovali tak, že obišli Košice a cestu na sever hľadali cez Moldavu. V tomto storočí sa v Moldave vybudoval rozsiahly pivničný systém, ktorý sa využíval na skladovanie tovaru – najmä ovocia a vína. Rozšírilo sa pestovanie viniča, príprava vlastného vína, hrnčiarstvo a niektoré ďalšie remeslá. Z roku 1317 je zaznamenané, že Moldavu riadila „mestská rada na čele s richtárom“.
V roku 1458 mala už Moldava svoju školu, remeselnícke cechy, napr. cech kolesárov, čižmarov, zámočníkov, mäsiarov, krajčírov, remenárov, obchodníkov s vínom a pod. Na rozvoj mesta zvlášť nepriaznivo pôsobili vojnové roky. Počas vojen sa obchod zanedbával, armáda spotrebovala zásoby obyvateľstva a pod. V 15. storočí vypukli nepokoje súvisiace s bojom o uhorský trón. Kráľovná Alžbeta, vdova po zosnulom kráľovi Albertovi Habsburskom (1438-1439), na podporu práv svojho syna Ladislava Pohrobka (1444-1457) voči Vladislavovi I. (1440-1444) privolala českého žoldnéra Jána Jiskru z Brandysa. Ten okrem ďalších miest a hradov obsadil aj Moldavu. V roku 1526 v bitke pri Moháči padol aj zemepán Moldavy Štefan Rozgonyi. Do roku 1532 klesol počet domácností v Moldave na 60. V roku 1553 sa opäť spomína trhové právo Moldavy. Trhy sa konali 10. júna na deň svätej Margity a neskôr až štyrikrát do roka.
Počas tureckej nadvlády sa Moldava do rúk sultána nedostala, ale jágerskému pašovi platila pravidelne dane: 260 zlatých toliarov v čase mieru a 60 zlatých toliarov v čase vojenčím si mesto kúpilo výsadu, aby Turci nevkročili do opevneného mesta.
V roku 1564 bol zemepánom Moldavy András Báthory, dane sa odvádzali za 90 dvorov. Je to obdobie začiatku reformácie.
Takmer celé mesto prešlo na novú, kalvínsku vieru. Ovplyvnil to hlavne zvyk nasledovať aj vo vyznaní svojho zemepána.
Bohatí zemepáni a mešťania považovali za svoju povinnosť podporovať nadaných mladých ľudí v ich štúdiách, a to aj v zahraničí. Do třidsaťročnej vojny sa registrovalo niekoľko desiatok moldavských študentov na západoeurópskych školách a univerzitách. Z nich spomeňme len najslávnejších – Györgya Korotza, Mátého Szepsi Laczkó, Mártona Szepsi Csombora a i.
V roku 1602 mala už Moldava „triviálnu“ školu. V roku 1590 sa v blízkej maďarskej obci Gönc pod vedením Gašpara Károlyiho dokončil prvý maďarský preklad Písma, na ktorom spolupracoval aj vtedajší moldavský duchovný. Dielo bolo vytlačené vo Vízsolyi na území dnešného Maďarska.
V roku 1620 spomína rodák Márton Szepsi Csombor Moldavu ako mesto chránené hradbami. Hradby boli potrebné, ved’ išlo o turecké časy a navýše, ako to stojí v kráľovskej listine z roku 1571, „...kráľovské vojská by mali chrániť Moldavu tak pred Turkom, ako aj pred prechmatmi bohatých zemepánov...“.
V polovici 90-tých rokov 16. storočia sa skoro celá Moldava stala obetou požiaru. Prežil iba kamenný kostol. Škody boli rýchlo odstránené a mesto opäť ožilo.
Z roku 1629 pochádzajú výsady pre mesto od panovníka – Ferdinanda II. (1619 – 1637). Významnú úlohu v protireformácii zohral františkánsky páter Herko, ktorého dodnes spomínajú ako Herkopáter. Zachovala sa aj jeho podobizeň vtesaná do kameňa, ktorá je umiestnená v r. k. kostole s vyznačením roku jeho smrti (1686). Kroniky zaznamenali, že protestantov „presviedčal“ nevyberaným spôsobom, často na čele vojakov a so sekérou v ruke.
26. novembra 1683 sa pri Moldave zastavil poľský kráľ Jan III. Sobiesky (1674 – 1686), ktorý sa na čele víťazného vojska vrácal spod Viedne, kde spolu so svojimi spojencami porazil turecké vojská. Bol to začiatok oslobodzovania územia spod tureckej nadvlády trvajúcej vyše sto rokov. V Moldave prijali kráľa s náležitou úctou a slávou.
Rok 1711 bol pre mesto nepriaznivý. Moldava musela ubytovať a stravovať po dobu pol roka 3000 cisárskych vojakov. Po vojácoch prišla epidémia. V roku 1715 zaznamenali, že zo 180 domov v meste ostalo obývaných iba 44.
Počas panovania Márie Terézie (1740 – 1780), v roku 1772, dostali moldavskí protestanti povolenie vybudovať kostol bez veže. Tento kostol sa o dva roky zrútil a bol obnovený až v roku 1789 (dodnes stojí na námestí). Keďže náboženské nepokoje neustávali, obe strany – katolícka a kalvínska – sa v roku 1793 dohodli, že v mestskej rade budú zastúpené v rovnakom pomere. V Moldave sa mestská rada volila na 3 roky. Richtára (starostu) na rok – strieľavo z oboch vyznanií. Mestský notár bol vždy opačného vyznania, než bol richtár.
28. augusta 1794 mesto opäť zhorelo. Obeťou požiaru sa stala aj päťtisícová knižnica. Tragédia sa neobíšla bez ľudských obetí. Okrem kostolov, ktoré zostali bez strechy, sa pred požirom uchránila iba tzv. Szojkova drevená brána, na ktorú potom v latinčine vyryli nápis Plameňom som horela a predsia som nezhorela. Táto brána sa dnes nachádza na dvore múzea v Košiciach a jej kópia pri ref. kostole v Moldave nad Bodvou bola odhalená v roku 1996.
Históriu mesta v 19. storočí silne ovplyvňovala blízkosť Košíc, mesta, ktoré bolo po Budíne druhým najvýznamnejším mestom starého Uhorska.
V roku 1813 postihla mesto povodeň. V roku 1828 bolo zaznamenaných 278 domov a 2281 obyvateľov. O tri roky neskôr v morovej epidémii prišlo o život 212 občanov. Na pamiatku tejto tragickej udalosti postavili pozostali na úbočí moldavského kopca kaplnku sv. Rócha. Ďalšia morová epidémia v roku 1872 si vyžiadala 34 obetí. V roku 1868 sa začala železničná doprava do Košíc a v roku 1894 aj do Medzeva.
V roku 1901 dostavali budovu školy (dnešná špeciálna škola). V meste vyvíjali činnosť dve tlačiarne, kasíno a čitateľský spolok. Rozvoj však narušila prvá svetová vojna. Po vzniku Československa mala Moldava v roku 1920 už 2176 obyvateľov, v rokoch druhej svetovej vojny 2,5 tisíc.
Vo vojne mesto zaznamenalo úbytok približne 200 obyvateľov židovského pôvodu. Prvé povojnové roky boli poznamenané aj násilným odvlečením obyvateľstva do pracovných táborov v Sovietskom zväze. Vojna zanechala stopy aj na budovách.
Ďalší rozvoj nastal až po začatí výstavby VSŽ, kedy sa na pravom brehu rieky začala hromadná bytová výstavba. Počet obyvateľov vzrástal a zmenilo sa aj jeho národnostné zloženie. Neskôr boli k Moldave pričlenené susedné obce Mokrance a Budulov, Mokrance sa v roku 1990 opäť odčlenili.
Posledné roky sú charakteristické zveľaďovaním mesta, opravou komunikácií, rekonštrukciou historického jadra mesta. Zaviedla sa káblová televízia, zakladajú sa nové kultúrne tradície. V starej kováčskej dielni bolo vytvorené mestské múzeum.
5.5 Pamiatky
Národopisné múzeum s kováčskou vyhňou
Objekt sa nachádza na Hlavnej ul. č. 130, bol postavený okolo r. 1850 z kameňa. V prednej časti sa nachádza autentická kováčska vyhňa s otvoreným ohniskom. Nástrojové vybavenie prezrádza, že jej užívateľ okrem vlastného kováčskeho remesla podkúval aj kone. Svedčí o tom prístrešok pred vyhňou. V zadnej časti domu sa nachádzajú tri miestnosti. V jednej je predstavený obuvnický cech, ktorý mal v Moldave dlhú tradíciu.
V strede domu sa nachádza kuchyňa s pôvodným vybavením a zariadením z konca 19. a začiatku 20. storočia. V zadnej miestnosti sa nachádzajú ukážky nástrojov klobučníckeho, krajčírskeho a medovníkárskeho cechu. Zároveň sa tu vystavujú niektoré archeologické nálezy PhMr. Gustáva Stibrányho - čestného občana mesta. V malej obrazárni, okrem dobových malieb a fotografií o meste, sa nachádza aj funkčný tkáčsky stav. V zadnej časti objektu je maštaľ pre dobytok a uskladnené sú tu zachované poľnohospodárské stroje a náradie.
**Szojkova brána**
Kópia drevenej brány odhalená v roku 1996. Nachádza sa v parku pri kostole reformovanej cirkvi na Hlavnej ulici pred domom č. 33, kde aj pôvodne stála. Originál sa nachádza na dvore Východoslovenského múzea v Košiciach. Je pamiatkou na rok 1795, kedy mesto opäť, po niekoľkýkrát horelo. Obeťou požiaru sa stala päťtisíc zväzková knižnica. Tragédia sa neobíšla ani bez ľudských obetí. Okrem kostolov, ktoré zostali bez strechy a roztopili sa aj zvony, sa pred plameňmi uchránila iba táto brána, na ktorú po požiari na pamiatku vyryli nápis v latinčine: "Plameňom som horela a predsia som nezhorela..."
**Múzeum vín**
Moldava sa rozprestierala na križovatke stredovekých obchodných ciest a stretávali sa tu obchodníci zo severu a juhu. V meste sa vybudovali dvoj a trojpodlažné pivnice s cieľom uskladniť víno a poľnohospodárské plodiny. Okolo roku 1631 moldavský rodák Máté Laczkó Szepsi pripravil pre kňažnú Zuzanu Lórántffyovú prvý tokajský samotok. Tento krátky historický exkurz dokazuje, že Moldava má bohatú obchodnú tradíciu. Svedčia o tom mnohé pivnice nachádzajúce sa pod historickým centrom mesta. Z peňažných prostriedkov Phare - CBC a zo zdrojov mesta sa zrealizovalo múzeum vín v jednej z pivnic, ktorá sa nachádza po Mestským kultúrnom strediskom. Nadväzujúc na históriu, chce mesto udržiavať styky s tokajskou oblasťou a tieto tradície chce využiť aj pre rozvoj cestovného ruchu.
**Pamätná tabuľa Mátéa Szepsi Laczkó**
Kombinovaná drevená a mramorová tabuľa odhalená v roku 1996 sa nachádza na priečeli Farského úradu reformovanej cirkvi (Hlavná č. 47). Máté Laczkó Szepsi (1576-1633) kazateľ, učiteľ, historik a básnik bol prvým výrobcom tokajského samotoku - "aszú". Máté Laczkó navštievoval školy najprv v Moldave, neskôr v Sárospataku. Od roku 1606 vyučoval na školách v maďarskej obci Olaszliszka a v Košiciach. Za finančnej podpory vplyvnej rodiny Mihálya Lórántffyho sa dostal na štúdia do Wittenbergu (1608). Potom pôsobil ako kazateľ v obci Erdőbénye (Maďarsko). Od roku 1612 opäť študuje v nemeckom Hanau, odkiaľ sa vračia opäť do Erdőbénye a dáva sa do služieb Zuzany Lórántffyovej, manželky Juraja Rákócziho. Vtedy sa začal zaoberať výrobou tokajského samotoku. Stanovil presnú receptúru výroby tokajského "aszú", postup sa používa dodnes. Správa o kvalite a liečivej sile vína prenikla rýchlo do celého sveta. Sám Paracelsus sa vybral do Uhorska, aby sa presvedčil o účinkoch samotoku. Máté Laczkó Szepsi zomrel 20. januára 1633 v Erdőbénye.
Pamätná tabuľa Mártona Szepsi Csombor
Pamätná tabuľa sa nachádza v parku pred mestským úradom. Márton Csombor Szepsi (1595-1622) je autorom prvého po maďarsky písaného cestopisu Europica varietas. V tomto diele opisuje svoju cestu po Európe v rokoch 1616-1619. Navštívil Poľsko, Dánsko, Holandsko, Anglicko, Francúzsko, Nemecko a Čechy. Kniha vyšla v roku 1620 v Košiciach, keď košický richtár Bocatius na odporúčania Petra Alvincziho zamestnal Csombora ako rektora košickej školy. Csombor neskôr pôsobil vo Vranove nad Topľou u rodiny Nyáriovcov. Tu pod názvom Dvorná schóla napísal prvé maďarsky písané mravoučné - pedagogické dielo. Stal sa členom akadémie v Štrasburgu. Zomrel mladý ako obet morovej epidémie. Miesto jeho posledného odpočinku nepoznáme.
Budova Mestského úradu
Budova Mestského úradu je jednoposchodová nárožná budova. Nachádza sa na Hlavnom námestí. Je to bloková stavba so štvorcovým pódorysom, pochádza zo začiatku 20. storočia (okolo r. 1905). Je pre ňu charakteristický secesný štýl s prvkami historizujúcej architektúry. Čelná fasáda je päťosová, na úrovni prízemia členená pásovou rustikou, výrazne tvarovanou podokennou rímsou. Medzi oknami 2. a 3. osi poschodia je kartuša s erbom. Korunná rímsa nad prvou osou je ukončená nadstaveným falošným druhým poschodím s malou kupolovitou vežičkou. Vo vnútri interiéru sa zachovalo pôvodné empírové - dubové schodisko. Budova vždy slúžila ako radnica. Je na zozname kultúrnych pamiatok.
Rímsko-katolícky kostol
Rímsko-katolícky kostol v Moldave nad Bodvou sa nachádza v historickom centre mesta. Dobové dokumenty potvrdzujú, že už pred rokom 1290 stál v Moldave murovaný kostol. Na jeho základoch bol v 15. storočí, za vlády kráľa Mateja Korvína vybudovaný kostol v gotickom štýle, ako košický Dóm Svätej Alžbety. Pôvodne bol moldavský kostol trojlodový s dlhým presbytériom. Bočné svätynie sa čiastočne zlikvidovali pri barokovej prestavbe v poslednej tretine 18. storočia. Kostol je zasvätený Duchu Svätému, čo sa odráža aj v erbe mesta (holubica) a holubicu s rozprestretými krídlami vidieť aj nad hlavným oltárom. Tento je pseudogotický a pochádza z roku 1896. Veža kostola sa nachádza na západnej strane, má tri zvony. Vedľa veže z južnej strany sa nachádza prístavba kaplnky Božieho hrobu. Významnú úlohu v protireformácii pripisujú legendy františkánskemu mnichovi Herkovi, ktorého miestne tradície dodnes spominajú ako pátra Herka. Podľa legiend neváhal postaviť sa na celo vojakov so zbraňou v ruke a tak obracat na vieru protestantov. V kostole je jeho podobizeň vytesaná do kameňa s vyznačením roku smrti - 1686. Objekt je zapísaný v zozname kultúrnych pamiatok. Južný portál rímsko-katolíckeho kostola nesie všetky znaky gotickej kamenárskej huty košického Dómu. Je pravdepodobne dielom tých istých majstrov alebo ich žiakov, ako Dóm Sv. Alžbety v Košiciach.
Kostol reformovanej cirkvi
Kostol reformovanej cirkvi sa nachádza na námestí v historickom centre. Pochádza z roku 1773 a je postavený v klasicistickom štýle. Veža bola dostavaná v roku 1789, má dva zvony. Kostol bol rekonštruovaný v rokoch 1876, 1922, 1951 a opäť v rokoch 1997-1999. Zaujímavosťou je prekrásne vyrezávaná kazateľnica.
Kaplnka sv. Rócha
Kaplnka sv. Rócha bola postavená na svahu v severnej časti mesta na počesť sv. Rócha a na pamiatku obetí epidémie cholery, ktorá v meste vypukla v roku 1831. Počas šiestich týždňov zomrelo 212 obyvateľov mesta. Ďalšia epidémia cholery v roku 1872 si vyžiadala 34 obetí. Na pamiatku obetí sa každý rok na deň sv. Rócha slúži odpustná omša.
Katolícka fara
Katolícka fara je klasicistická dvojpodlažná budova, nachádza sa na Hlavejnej ulici č. 108. Pochádza z konca 18. storočia. Medzi čelnými oknami druhého poschodia, sa vo výklenku nachádza socha Sv. Jána Nepomuka. V roku 1999 bola fasáda fary obnovená a na čelnú stenu bola umiestnená mramorová tabuľa s menoslovom duchovných pôsobiacich v Moldave za posledných 700 rokov.
5.6 Významné osobnosti mesta
György Szepsi Korotz
- narodil sa v 70-tych rokoch 16. storočia. Učil sa v maďarskom Sárospataku a veľmi mladý sa stal kancelárom kniežaťa Štefana Bocskaja. Po jeho smrti v roku 1606 sa opäť venoval štúdiám. V roku 1610 sa učil na školách v Marburgu, Heidelbergu a v Oxforde. Ako učiteľ pôsobil v Gönci, Sárospataku a v Košiciach, neskôr sa stal kazateľom v Tokaji. Korotz zomrel v službách rodiny Nyáriovcov v dedine Nagykálló r. 1630.
Máté Szepsi Laczkó (1576-1633)
- školu navštevoval v Moldave a potom v Sárospataku. Od roku 1606 vyučoval na školách v maďarskej obci Olaszliszka a v Košiciach. Z Košíc odišiel pomocou podpory Michala Lorántffyho na štúdia do Wittenborgu (1608), kde sa stal celonemeckým dozorným študentom z Uhorska. V roku 1610 bol už učiteľom v obci "Erdőbénye" (v Maďarsku). V roku 1612 opäť študoval v Hanau, r. 1614 sa vrátil späť do Erdőbénye. Neskôr sa dal do služieb Zuzany Lorántffyovej, manželky Juraja Rákociho. Bol literárne činný ako historik a básnik. Napriek tomu jeho najslávnejším dielom je tokajské samorodé víno (asu), ktorého prípravu objavil a ako prvý tento druh vína ponúkal okolo roku 1630. Pri príprave asu sa dodnes dodržuje postup Szepsiho Laczkóa. Vynálezca tohoto šľachetného nápoja zomrel 20. januára 1633 v obci Erdőbénye.
Márton Szepsi Csombor (1595-1622)
– autor prvého po maďarsky písaného cestopisu Europica varietas. V tomto diele autor opisuje svoju cestu po Európe v rokoch 1616-1619 (navštívil Poľsko, Dánsko, Holandsko, Anglicko, Francúzsko, Nemecko a Čechy). Csombor sa stal členom štrassburskej akadémie. Zomrel mladý, ako obet morovej epidémie.
István Szepsi
– učiteľ v Nagyvárad (Oradea - dnešné Rumunsko), priateľ J. Korotza a učiteľ Sz. Csombora.
Mihály Szepsi Lány
– príbuzný Sz. Csombora. Učil sa vo Wittenbergu a v Marburgu. Roku 1609 sa stal rektorm v Sárospataku, neskôr kazateľom v obci Gönc a Tarcal. Bol priateľom Alberta Szencziho M. Zomrel v roku 1634.
Pál Szepsi Bényei
– vzdelanec, priateľ Alberta Szenci M. a Georgia Remusa z Norimbergu. Učil sa v školách v Nemecku.
Mihály Szepsi H. .
– študoval v Heidelbergu. Od roku 1609 bol rektorm v Debrecine.
István Szepsi Nagy
– rodák z Moldavy, ktorý sa neskôr usadil vo Varšave. Vo Varšave bol známy ako mecenas a podporovateľ mladých študentov hlavne z okolia Moldavy nad Bodvou.
Árpád Juhász (Schäffer), (2. 12. 1894 Moldava – 1945 Budapešť)
– učil sa vo Viedni, v Banskej Bystrici, v Rožňave, Miškolci. Ako novinár pôsobil Szatmárnémeti (dnešné Satu Mare v Rumunsku), Debrecíne, Miškolci, Segedíne, Clují a v Budapešti. Bol aj spolupracovníkom časopisu Pesti Napló (Peštiansky denník). V rokoch 1937-1938 bol redaktorm maďarského vysielania košického rozhlasu.
Attila Csáji (21. 3. 1939 Moldava nad Bodvou)
– syn kazateľa ref. cirkvi. Žije v Budapešti. Je svetoznámym výtvarníkom, pri tvorbe používa hlavne laserovú techniku.
Béni Egressy (1814-1851)
– hudobný skladateľ, autor hudby "Szózata". Ako táborný hudobník Györgya Klapku v Komárne, napísal známe hudobné dielo tzv. "Pochod Klapka". Je bratom chýrneho herca Uhorska Gábora Egressyho. Béni Egressy je tvorcом textu opery Ference Erkela "Bánk-Bán" a "László Hunyadi". Bol skladateľom melódii populárnych veršov Alexandra Petőfiho. Pochádzal z reformovanej farskej rodiny, aj on sa stal kazateľom, hoci pôvodne chcel byť hercom, ako brat. V rokoch 1830 pôsobil ako učiteľ v Moldave nad Bodvou.
Samuel Stanček
– sa narodil 18. 12. 1770 v Moldave nad Bodvou. Študoval na tunajšom kalvinskom gymnáziu vo svojom rodišku, potom postupne v Košiciach, Dobšinej, Gemeri, Soprone a dva roky strávil v Nemecku. Bol vychovávateľom detí Tomáša Tihanyiho, kráľovského radcu, potom učiteľom
na ústave v Štítniku, odkiaľ bol pozvaný za pomocného duchovného do Lučenca. Postupne sa z kaplana stal riadnym knazom, vysvätený bol superintendantom Martinom Hamaljarom. Do úradu bol inštalovaný farárom Štefanom Valentinym z Maškovej a Ondrejom Muránskym z Kalinova. Pomocným knazom mu bol Samuel Hegedűs. Počas pôsobenia Samuela Stančeka boli položené základy veže evanjelického kostola (1803) v Lučenci. Dátum úmrtia a miesto jeho posledného odpočinku zatiaľ nepoznáme.
**Jozef Fridrichovský**
- sa narodil 17.3.1760 (pravdepodobne v Bytči). Stavovským zaradením bol mešťan. Študoval vo Vacove (Vác) a v Pešti. Dňa 3.3.1792 bol vysvätený za farára a jeho prvým miestom pôsobenia sa stáva Moldava. Vykonal funkciu kaplana katolíckej cirkvi. V našom meste je až do konca roka 1799. Strávil tu jednu z najťažších historických periód, nakoľko práve v tomto čase mesto úplne vyhorelo. V tejto tăžkej ekonomickej a sociálnej situácii pomáhal tunajším obyvateľom ako len mohol. Napríklad svoje kone poskytol ľuďom na prácu. Dňa 1.12.1799 sa stal študijným prefektom košického konventu, odporúčajúci list mu napísal košický vikár. Jozef Fridrichovský bol členom Slovenského učeného tovarišstva – organizácie založenej Antonom Bernolákom. Tovarišstvo širilo bernoláčtinu – prvú verziu kodifikovanej slovenčiny. Fridrichovský bol členom jágerského stánku tovarišstva, ktorý patril k tým najagilnejším v tejto organizácii. Bol predplatiteľom časopisu ktorý vydávali v slovenskom jazyku. Bol aj literárne činný, napísal dielo: „Narratio Calamitatum quas Galliae Presbyteri Passi sunt in vado insulae Aquarum, in oris Maritimus Santonum ad Guayanam damnati“ – ide o latinskej verše v hexametroch, opisuje dobrodružstvá francúzskych misionárov v Južnej Amerike. Dátum úmrtia a miesto jeho posledného odpočinku zatiaľ nepoznáme.
**György Radácsi**
- narodil sa v Moldave nad Bodvou 31.12.1846 - zomrel v Sárospataku 11.1.1928, bol reformovaný učiteľ. Svoje štúdia začína v Moldave nad Bodvou potom študuje ďalej v maďarskom meste Sárospatak. V roku 1867 ukončil gymnázium, v roku 1871 teológiu. Pracuje ako odborný asistent. V roku 1873 potom čo bol v zahraničí sa stane riadnym učiteľom na gymnáziu. V roku 1877 postúpi na akadémiju teológie, na oddelenie biblie. V roku 1892 je členom súdnej rady v diecéze, v roku 1896 hlavný notár, od roku 1896 je náhradným potom už opäťovne riadnym členom konventu. Budapeštianska druhá synoda ju zvolila za riadneho člena. V roku 1917 odchádza do dôchodku, ale do roku 1925 pracuje ako zástupca. V rokoch 1882 - 1886 bol spoluredaktorom, v rokoch 1887 - 1896 redaktorom časopisu: Sárospataki Lapok. Od roku 1905 je šéfredaktorom časopisu Sárospataki Református Lapok. Pracoval aj v literárnej oblasti vďaka ktorej od počiatkov do roku 1915 je členom výboru literárnej spoločnosti Magyar Protestáns Irodalmi Társaság. Zohral dôležitú úlohu v postavení sochy Károlyi v maďarskej obci Gönc, ktorej pamiatku si účtil vydaním pamätné knihy s názvom: "A Károlyi-biblia háromszázados örömmennepének emlékkönyve". Pre literárnu spoločnosť Sárospataki Irodalmi Kör, ktorého bol nejaký čas notárom, konateľom, predsedom prepracoval viacero starších učebníc s teologickým obsahom. Zúčastní sa aj prekladu biblie. Lektoroval pamätnú knihu vydanú absolventom v rokoch 1859 - 1867. Vydal viacero väčších prác s teologickou tematikou. Bol svokrom Istána Harsányho, strýkom Trócsányho. Literatúra: Pamätné listy Radácsiovcov (1928)
**Július Andorko**
- sa narodil v Budulove 2.2.1883, zomrel 25.3.1909 v Budapešti. Študoval na Umeleckopríemyselnej škole v Budapešti u prof. H. Pepa, na Akadémii výtvarných umení v Mnichove u prof. G. Hackla, Hereticha a H. von Zugela. Pôsobil ako uznávaný maliar v Paríži, kde od
Vincenta van Gogha získal obraz "Kytica kvetov vo váze". V roku 1906 pôsobil ako umelec v Rumunsku v Nagybányi. Jeho obraz "Manželia pri stole" je vystavený v Slovenskej národnej galérii v Bratislave.
6. Plnenie úloh mesta (prenesené kompetencie, originálne kompetencie)
6.1 Výchova a vzdelávanie
V súčasnosti výchovu a vzdelávanie detí v meste poskytuje:
- Základná škola na ul. ČSA 15
- Základná škola na ul. Severná 21
- Základná škola s vyučovacím jazykom maďarským – Alapiskola
- Materská škola na ul. Hviezdoslavova
- Materská škola na ul. Krátka
- Materská škola v mestskej časti Budulov
- Materská škola na ul. Severnej
- Materská škola na ul. ČSA
Na mimoškolské aktivity je zriadená:
- Základná umelecká škola
- Centrum voľného času CVrČek
Okrem školských zariadení, ktoré sú v zriaďovateľskej pôsobnosti mesta Moldava nad Bodvou, sú na území nášho mesta nasledovné školské zariadenia, ktoré poskytujú výchovu a vzdelávanie:
- Gymnázium Štefana Moysesa
- Stredná odborná škola – Szakközépiskola Moldava nad Bodvou
- Cirkvená spojená škola Blahoslavenej Sáry Salkaházi s VJM
- Spojená škola
6.2 Zdravotníctvo
Zdravotnú starostlivosť v meste poskytujú súkromní lekári.
6.3 Sociálne zabezpečenie
Sociálne služby v meste zabezpečuje:
- Zariadenie pre seniorov – Domov sv. Alžbety.
- Večné deti n.o.,
6.4 Kultúra
Spoločenský a kultúrny život v meste zabezpečuje príspevková organizácia Mestské kultúrne stredisko, ktoré má zabezpečovať okrem kultúrnych podujatí aj chod infocentra, mestskej knižnice a spravuje pamiatkovú budovu Kováčskej vyhne a vínnu pivnicu.
6.5 Hospodárstvo
V Moldave nad Bodvou je rôznorodý druh poskytovaných služieb ako kaderníctvo a kozmetika, ubytovacie služby, kaviarne, reštaurácie, poradenské a sprostredkovateľské služby, finančníctvo a poistenie, auto-moto. Na území mesta majú svoje pobočky aj významné banky, ako Všeobecná úverová banka a.s., Slovenská sporiteľňa a.s., OTP Banka Slovensko a.s. a Prima Banka Slovensko a.s..
Priemysel je v meste sústredená v južnej časti mesta, kde sa nachádzajú spoločnosti z rôznorodým odvetvím výroby ako aj OC PRIMA obchodné centrum S1.. V srdeci sídliska sa nachádza trhovisko, ktoré je zásobované domácimi výrobcami. Obchodná sieť je postavená na zástupcoch významných reťazcov, ak Coop Jenodtka, Tesco, Billa, Milk-agro a LIDL.
7. Informácia o vývoji mesta z pohľadu rozpočtovníctva
Základným nástrojom finančného hospodárenia obce bol rozpočet mesta na rok 2020. Mesto zostavilo rozpočet podľa ustanovenia § 10 ods. 7 zákona č.583/2004 Z.z. o rozpočtových pravidlách územnej samosprávy a o zmene a doplnení niektorých zákonov v znení neskorších predpisov. Rozpočet mesta na rok 2020 bol zostavený ako prebytkový. Bežný rozpočet bol zostavený ako prebytkový a kapitálový rozpočet ako schodkový.
Hospodárenie mesta sa riadilo podľa schváleného rozpočtu na rok 2020. Rozpočet mesta bol schválený mestským zastupiteľstvom dňa 11. decembra 2019 uznesením č. 191/2019.
Rozpočet bol zmenený trinástkrát:
- prvá zmena schválená dňa 31. januára 2020, uznesením č. 214/2020
- druhá zmena vykonaná rozpočtovým opatrením primátora č. 1, zo dňa 19. marca 2020
- tretia zmena schválená dňa 20. mája 2020, uznesením č. 241/2020
- štvrtá zmena schválená dňa 20. mája 2020, uznesením č. 242/2020
- piata zmena schválená dňa 20. mája 2020, uznesením č. 254/2020
- šiesta zmena vykonaná rozpočtovým opatrením primátora č. 2, zo dňa 28. mája 2020
- siedma zmena schválená dňa 23. júna 2020, uznesením č. 264/2020
- ôsma zmena schválená dňa 28. augusta 2020, uznesením č. 287/2020
- deviata zmena schválená dňa 28. augusta 2020, uznesením č. 303/2020
- desiatá zmena vykonaná rozpočtovým opatrením primátora č.3, zo dňa 23. septembra 2020
- jedenásta zmena schválená dňa 21. októbra 2020, uznesením č. 328/2020
- dvanásta zmena schválená dňa 21. októbra 2020, uznesením č. 331/2020
- trinásta zmena schválená dňa 15. decembra 2020, uznesením č. 345/2020
7.1 Plnenie príjmov a čerpanie výdavkov za rok 2020
| | Schválený rozpočet | Schválený rozpočet po poslednej zmene | Skutočné plnenie príjmov/čerpanie výdavkov k 31.12.2020 | % plnenia príjmov/ % čerpania výdavkov |
|--------------------------------|--------------------|--------------------------------------|--------------------------------------------------------|-------------------------------------|
| Príjmy celkom | 13 197 041,00 | 13 994 869,00 | 13 478 813,47 | 96,31 |
| z toho : | | | | |
| Bežné príjmy | 10 401 781,00 | 10 819 724,00 | 10 856 156,48 | 100,34 |
| Kapitálové príjmy | 284 188,00 | 334 813,00 | 101 843,91 | 30,42 |
| Finančné príjmy | 1 903 263,00 | 2 426 193,00 | 2 113 398,97 | 87,11 |
| Príjmy RO s právnou subjektivitou| 607 809,00 | 414 139,00 | 407 414,11 | 98,38 |
| Výdavky celkom | 13 168 304,00 | 13 881 291,00 | 12 572 850,87 | 90,57 |
|----------------|---------------|---------------|---------------|-------|
| z toho: | | | | |
| Bežné výdavky | 5 283 598,00 | 5 383 022,00 | 4 869 481,96 | 90,46 |
| Kapitálové výdavky | 2 255 750,00 | 2 597 873,00 | 1 954 238,36 | 75,22 |
| Finančné výdavky | 321 727,00 | 350 666,00 | 384 668,29 | 109,70 |
| Výdavky RO s právnou subjektivitou | 5 307 229,00 | 5 549 730,00 | 5 364 462,26 | 96,67 |
| Rozpočet mesta | 28 737,00 | 113 578,00 | 905 962,60 | 797,65 |
### 7.2 Prebytok/schodok rozpočtového hospodárenia za rok 2020
| Hospodárenie mesta | Skutočnosť k 31.12.2020 v EUR |
|--------------------|--------------------------------|
| **Bežné príjmy spolu** | 11 263 470,59 |
| z toho: bežné príjmy mesta | 10 856 156,48 |
| bežné príjmy RO | 407 314,11 |
| **Bežné výdavky spolu** | 10 232 156,22 |
| z toho: bežné výdavky mesta | 4 869 481,96 |
| bežné výdavky RO | 5 362 674,26 |
| **Bežný rozpočet** | 1 031 314,37 |
| **Kapitálové príjmy spolu** | 101 843,91 |
| z toho: kapitálové príjmy mesta | 101 843,91 |
| kapitálové príjmy RO | 0,00 |
| **Kapitálové výdavky spolu** | 1 956 026,36 |
| z toho: kapitálové výdavky mesta | 1 954 238,36 |
| kapitálové výdavky RO | 1 788,00 |
| **Kapitálový rozpočet** | -1 854 182,45 |
| **Prebytok/schodok bežného a kapitálového rozpočtu** | -822 868,08 |
| **Vylúčenie z prebytku** | 152 589,24 |
| **Upravený prebytok/schodok bežného a kapitálového rozpočtu** | -670 278,84 |
| Príjmové finančné operácie s výnimkou cudzích prostriedkov | 2 080 761,19 |
| Výdavkové finančné operácie s výnimkou cudzích prostriedkov | 350 665,11 |
| **Rozdiel finančných operácií** | 1 730 096,08 |
| PRÍJMY SPOLU | 13 446 075,69 |
| VÝDAVKY SPOLU | 12 538 847,69 |
| **Hospodárenie mesta** | 907 228,00 |
| Vylúčenie z prebytku | 152 589,24 |
| Úprava hospodárenia o nevyčerpaný úver | 292 168,14 |
| **Úpravené hospodárenie mesta** | 462 470,62 |
Výška prebytku/schodku rozpočtového hospodárenia bola v roku 2020 ovplyvnená v dôsledku pandémie ochorenia COVID-19.
Schodok rozpočtu v sume 822 868,08 EUR zistený podľa ustanovenia § 10 ods. 3 písm. a) a b) zákona č. 583/2004 Z.z. o rozpočtových pravidlách územnej samosprávy a o zmene a doplnení niektorých zákonov v znení neskorších predpisov, upravený o nevyčerpané prostriedky zo ŠR a podľa osobitných predpisov v sume 670 278,84 EUR bol v rozpočtovom roku 2020 vysporiadaný:
- z rezervného fondu 234 776,83 EUR
- z ďalších peňažných fondov 8 537,78 EUR
- z návratných zdrojov financovania 1 422 827,43 EUR
Schodok rozpočtu zistený podľa ustanovenia § 10 ods. 3 písm. a) a b) zákona č. 583/2004 Z.z. o rozpočtových pravidlách územnej samosprávy a o zmene a doplnení niektorých zákonov v znení neskorších predpisov sa upravuje - zvyšuje o:
a) nevyčerpané prostriedky zo ŠR účelovo určené na bežné výdavky poskytnuté v predchádzajúcom rozpočtovom roku v sume 132 932,48 EUR, a to na:
- prenesený výkon v oblasti školstva v sume 12 653,47 EUR
- stravné pre deti v hmotnej núdzi v sume 109 608,80 EUR
- sčítavanie obyvateľov, bytov a domov 10 420,50 EUR
- prídatky na deti – osobitný príjemca 249,71 EUR
b) nevyčerpané prostriedky zo ŠR účelovo určené na kapitálové výdavky poskytnuté v predchádzajúcom rozpočtovom roku v sume 5 000,00 EUR, a to na:
- modernizáciu ŠJ pre ZŠ Severná v sume 5 000,00 EUR
c) nevyčerpané prostriedky školského stravovania na stravné a réžiu podľa ustanovenia §140-141 zákona č.245/2008 Z.z. o výchove a vzdelávaní (školský zákon) a o zmene a doplnení niektorých zákonov v sume 14 656,76 EUR
Zostatok finančných operácií v sume 1 730 096,08 EUR, bol použitý na:
- vysporiadanie schodku bežného a kapitálového rozpočtu v sume 822 868,08 EUR
Zostatok finančných operácií podľa § 15 ods. 1 písm. c) zákona č. 583/2004 Z.z. o rozpočtových pravidlách územnej samosprávy a o zmene a doplnení niektorých zákonov v znení neskorších predpisov v sume 754 638,76 EUR, navrhujeme použiť na:
- tvorbu rezervného fondu 462 470,62 EUR
- dočerpanie úveru 292 168,14 EUR
Na základe uvedených skutočností navrhujeme tvorbu rezervného fondu za rok 2020 vo výške 462 470,62 EUR.
### 7.3 Rozpočet na roky 2021 - 2023
| Príjmy celkom | Skutočnosť k 31.12.2020 | Rozpočet na rok 2021 | Rozpočet na rok 2022 | Rozpočet na rok 2023 |
|---------------|------------------------|---------------------|---------------------|---------------------|
| | | | | |
| Bežné príjmy | 10 856 156,48 | 10 548 396,00 | 10 856 094,00 | 11 155 574,00 |
| Kapitálové príjmy | 101 843,91 | 1 335 676,00 | 0,00 | 0,00 |
| Finančné príjmy | 2 113 398,97 | 3 018 140,00 | 0,00 | 0,00 |
| Príjmy RO s právnou subjektivitou | 407 414,11 | 562 237,00 | 562 237,00 | 562 237,00 |
| Názov | Skutočnosť k 31.12.2020 | Rozpočet na rok 2021 | Rozpočet na rok 2022 | Rozpočet na rok 2023 |
|--------------------------------------|-------------------------|----------------------|----------------------|----------------------|
| Výdavky celkom | 12 572 850,87 | 15 451 809,00 | 11 303 693,00 | 11 270 591,00 |
| z toho: | | | | |
| Bežné výdavky | 4 869 481,96 | 5 155 441,00 | 5 146 195,00 | 5 141 090,00 |
| Kapitálové výdavky | 1 954 238,36 | 4 304 000,00 | 35 000,00 | 35 000,00 |
| Finančné výdavky | 384 668,29 | 356 213,00 | 486 343,00 | 458 346,00 |
| Výdavky RO s právnou subjektivitou | 5 364 462,26 | 5 636 155,00 | 5 636 155,00 | 5 636 155,00 |
8. Informácia o vývoji mesta z pohľadu účtovníctva za materskú účtovnú jednotku a konsolidovaný celok
8.1 Majetok
a) za materskú účtovnú jednotku
| Názov | Skutočnosť k 31.12.2019 | Skutočnosť k 31.12.2020 |
|--------------------------------------|-------------------------|-------------------------|
| Majetok spolu | 29 038 813,45 | 30 534 019,07 |
| Neobežný majetok spolu | 22 544 003,89 | 23 314 224,32 |
| z toho: | | |
| Dlhodobý nehmotný majetok | 16 081,86 | 10 185,96 |
| Dlhodobý hmotný majetok | 20 555 782,53 | 21 355 218,86 |
| Dlhodobý finančný majetok | 1 972 139,50 | 1 948 819,50 |
| Obežný majetok spolu | 6 487 521,11 | 7 213 566,01 |
| z toho: | | |
| Zásoby | 1 921,78 | 1 176,89 |
| Zúčtovanie medzi subjektami VS | 4 326 976,69 | 4 461 311,26 |
| Dlhodobé pohľadávky | 0,00 | 0,00 |
| Krátkodobé pohľadávky | 423 557,43 | 450 048,03 |
| Finančné účty | 1 735 065,21 | 2 301 029,83 |
| Poskytnuté návratné fin. výpomoci dlh.| 0,00 | 0,00 |
| Poskytnuté návratné fin. výpomoci krát.| 0,00 | 0,00 |
| Časové rozlíšenie | 7 288,45 | 6 228,74 |
b) za konsolidovaný celok
| Názov | Skutočnosť k 31.12.2019 | Skutočnosť k 31.12.2020 |
|--------------------------------------|-------------------------|-------------------------|
| Majetok spolu | 29 689 557,70 | 31 364 506,40 |
| Neobežný majetok spolu | 27 028 752,99 | 27 942 445,90 |
| Názov | Skutočnosť k 31.12.2019 | Skutočnosť k 31.12.2020 |
|--------------------------------------------|-------------------------|-------------------------|
| Dlhodobý nehmotný majetok | 16 081,86 | 10 185,96 |
| Dlhodobý hmotný majetok | 25 065 531,63 | 25 988 440,44 |
| Dlhodobý finančný majetok | 1 947 139,50 | 1 943 819,50 |
| **Obežný majetok spolu** | **2 648 780,54** | **3 400 412,28** |
| Zásoby | 10 709,48 | 10 819,06 |
| Žúčtovanie medzi subjektami VS | 0,00 | 0,00 |
| Dlhodobé pohl’adávky | 0,00 | 0,00 |
| Krátkodobé pohl’adávky | 416 979,25 | 464 587,50 |
| Finančné účty | 2 221 091,81 | 2 925 005,72 |
| Poskytnuté návratné fin. výpomoci dlh. | 0,00 | 0,00 |
| Poskytnuté návratné fin. výpomoci krát. | 0,00 | 0,00 |
| **Časové rozlišenie** | **12 024,17** | **21 648,22** |
### 8.2 Zdroje krycia
#### a) za materskú účtovnú jednotku
| Názov | Skutočnosť k 31.12.2019 | Skutočnosť k 31.12.2020 |
|--------------------------------------------|-------------------------|-------------------------|
| **Vlastné imanie a záväzky spolu** | **29 038 813,45** | **30 534 019,07** |
| Vlastné imanie | 15 174 351,18 | 15 489 343,09 |
| z toho: | | |
| Oceňovacie rozdiely | 0,00 | 0,00 |
| Fondy | 0,00 | 0,00 |
| Výsledok hospodárenia | 15 174 351,18 | 15 489 343,09 |
| **Záväzky** | **1 929 944,66** | **3 274 786,02** |
| z toho: | | |
| Rezervy | 59 952,00 | 52 992,00 |
| Žúčtovanie medzi subjektami VS | 78 400,74 | 0,00 |
| Dlhodobé záväzky | 993 847,23 | 922 511,67 |
| Krátkodobé záväzky | 255 512,26 | 309 786,35 |
| Bankové úvery a výpomoci | 542 232,43 | 1 989 496,00 |
| **Časové rozlišenie** | **11 934 517,61** | **11 769 889,96** |
b) za konsolidovaný celok
| Názov | Skutočnosť k 31.12.2019 | Skutočnosť k 31.12.2020 |
|--------------------------------------------|-------------------------|-------------------------|
| Vlastné imanie a záväzky spolu | 29 689 557,70 | 31 364 506,40 |
| Vlastné imanie | 15 114 470,63 | 15 358 898,12 |
| z toho: | | |
| Oceňovacie rozdiely | 0,00 | 0,00 |
| Fondy | 0,00 | 0,00 |
| Výsledok hospodárenia | 15 114 470,63 | 15 358 898,12 |
| Záväzky | 2 468 463,85 | 4 073 678,75 |
| z toho: | | |
| Rezervy | 64 022,85 | 57 773,95 |
| Zúčtovanie medzi subjektami VS | 81 651,53 | 22 490,53 |
| Dlhodobé záväzky | 1 019 371,77 | 960 903,57 |
| Krátkodobé záväzky | 761 185,27 | 1 033 284,04 |
| Bankové úvery a výpomoci | 542 232,43 | 1 999 226,66 |
| Časové rozlišenie | 12 106 623,22 | 11 931 929,53 |
8.3 Pohľadávky
a) za materskú účtovnú jednotku
| Pohľadávky | Zostatok k 31.12 2019 | Zostatok k 31.12 2020 |
|-------------------------------------------|-----------------------|-----------------------|
| Pohľadávky do lehoty splatnosti | 423 557,43 | 450 048,03 |
| Pohľadávky po lehote splatnosti | 1 199 771,11 | 1 257 213,91 |
b) za konsolidovaný celok
| Pohľadávky | Zostatok k 31.12 2019 | Zostatok k 31.12 2020 |
|-------------------------------------------|-----------------------|-----------------------|
| Pohľadávky do lehoty splatnosti | 416 979,25 | 464 587,50 |
| Pohľadávky po lehote splatnosti | 1 199 771,11 | 1 257 213,91 |
8.4 Záväzky
a) za materskú účtovnú jednotku
| Záväzky | Zostatok k 31.12 2019 | Zostatok k 31.12 2020 |
|-------------------------------------------|-----------------------|-----------------------|
| Záväzky do lehoty splatnosti | 1 929 944,66 | 3 274 786,02 |
| Záväzky po lehote splatnosti | 0,00 | 0,00 |
b) za konsolidovaný celok
| Záväzky | Zostatok k 31.12.2019 | Zostatok k 31.12.2020 |
|---------|----------------------|----------------------|
| Záväzky do lehoty splatnosti | 2 468 463,85 | 4 073 678,75 |
| Záväzky po lehote splatnosti | 0,00 | 0,00 |
9. Hospodársky výsledok za 2020 - vývoj nákladov a výnosov za materskú účtovnú jednotku a konsolidovaný celok
a) za materskú účtovnú jednotku
| Názov | Skutočnosť k 31.12. 2019 | Skutočnosť k 31.12.2020 |
|-------|--------------------------|------------------------|
| **Náklady** | | |
| 50 – Spotrebované nákupy | 522 293,71 | 544 219,05 |
| 51 – Služby | 834 546,77 | 931 329,37 |
| 52 – Osobné náklady | 2 680 875,32 | 2 764 370,49 |
| 53 – Dane a poplatky | 2 621,97 | 4 922,47 |
| 54 – Ostatné náklady na prevádzkovú činnosť | 122 588,65 | 78 751,55 |
| 55 – Odpisy, rezervy a OP z prevádzkovej a finančnej činnosti a zúčtovanie časového rozlíšenia | 783 640,99 | 975 701,11 |
| 56 – Finančné náklady | 71 061,12 | 84 833,87 |
| 57 – Mimoriadne náklady | 0,00 | 0,00 |
| 58 – Náklady na transfery a náklady z odvodov príjmov | 2 002 078,14 | 1 756 977,22 |
| 59 – Dane z príjmov | 2,52 | 0,08 |
| **Výnosy** | | |
| 60 – Tržby za vlastné výkony a tovar | 118 403,24 | 107 106,37 |
| 61 – Zmena stavu vnútroorganizačných služieb | 0,00 | 0,00 |
| 62 – Aktivácia | 0,00 | 0,00 |
| 63 – Daňové a colné výnosy a výnosy z poplatkov | 5 299 321,32 | 5 355 542,03 |
| 64 – Ostatné výnosy | 698 588,70 | 718 806,66 |
| 65 – Zúčtovanie rezerv a OP z prevádzkovej a finančnej činnosti a zúčtovanie časového rozlíšenia | 67 801,34 | 32 834,93 |
| 66 – Finančné výnosy | 8 608,39 | 11 152,25 |
| Názov | Skutočnosť k 31.12.2019 | Skutočnosť k 31.12.2020 |
|----------------------------------------------------------------------|-------------------------|-------------------------|
| **Náklady** | | |
| 50 – Spotrebované nákupy | 1 411 050,65 | 1 312 639,93 |
| 51 – Služby | 1 178 358,68 | 1 174 889,26 |
| 52 – Osobné nákazy | 7 082 104,04 | 7 592 382,25 |
| 53 – Dane a poplatky | 5 368,71 | 6 517,70 |
| 54 – Ostatné nákazy na prevádzkovú činnosť | 105 875,68 | 79 640,58 |
| 55 – Odpisy, rezervy a OP z prevádzkovej a finančnej činnosti a zúčtovanie časového rozlíšenia | 954 230,76 | 1 153 773,71 |
| 56 – Finančné nákazy | 83 829,62 | 100 544,80 |
| 57 – Mimoriadne nákazy | 0,00 | 0,00 |
| 58 – Náklady na transfery a náklady z odvodov príjmov | 134 146,98 | 110 156,63 |
| 59 – Dane z príjmov | 1 464,11 | 1 083,18 |
| **Výnosy** | | |
| 60 – Tržby za vlastné výkony a tovar | 922 910,20 | 477 060,95 |
| 61 – Zmena stavu vnútroorganizačných služieb | 0,00 | 0,00 |
| 62 – Aktivácia | 0,00 | 0,00 |
| 63 – Daňové a colné výnosy a výnosy z poplatkov | 5 293 168,14 | 5 349 068,09 |
| 64 – Ostatné výnosy | 706 427,18 | 920 390,64 |
| 65 – Zúčtovanie rezerv a OP z prevádzkovej a finančnej činnosti a zúčtovanie časového rozlíšenia | 67 801,34 | 32 834,93 |
| 66 – Finančné výnosy | 8 608,39 | 11 152,25 |
| 67 – Mimoriadne výnosy | 7 322,69 | 7 677,17 |
| 69 – Výnosy z transferov a rozpočtových príjmov v obciach, VÚC a v RO a PO zriadených obcou alebo VÚC | 4 462 218,00 | 4 977 871,50 |
**Hospodársky výsledok / + kladný HV, - záporný HV /**
| | +523 248,13 | +314 991,91 |
|-------------------------------|-------------|-------------|
b) za konsolidovaný celok
| Názov | Skutočnosť k 31.12.2019 | Skutočnosť k 31.12.2020 |
|----------------------------------------------------------------------|-------------------------|-------------------------|
| **Náklady** | | |
| 50 – Spotrebované nákupy | 1 411 050,65 | 1 312 639,93 |
| 51 – Služby | 1 178 358,68 | 1 174 889,26 |
| 52 – Osobné nákazy | 7 082 104,04 | 7 592 382,25 |
| 53 – Dane a poplatky | 5 368,71 | 6 517,70 |
| 54 – Ostatné nákazy na prevádzkovú činnosť | 105 875,68 | 79 640,58 |
| 55 – Odpisy, rezervy a OP z prevádzkovej a finančnej činnosti a zúčtovanie časového rozlíšenia | 954 230,76 | 1 153 773,71 |
| 56 – Finančné nákazy | 83 829,62 | 100 544,80 |
| 57 – Mimoriadne nákazy | 0,00 | 0,00 |
| 58 – Náklady na transfery a náklady z odvodov príjmov | 134 146,98 | 110 156,63 |
| 59 – Dane z príjmov | 1 464,11 | 1 083,18 |
| **Výnosy** | | |
| 60 – Tržby za vlastné výkony a tovar | 922 910,20 | 477 060,95 |
| 61 – Zmena stavu vnútroorganizačných služieb | 0,00 | 0,00 |
| 62 – Aktivácia | 0,00 | 0,00 |
| 63 – Daňové a colné výnosy a výnosy z poplatkov | 5 293 168,14 | 5 349 068,09 |
| 64 – Ostatné výnosy | 706 427,18 | 920 390,64 |
| 65 – Zúčtovanie rezerv a OP z prevádzkovej a finančnej činnosti a zúčtovanie časového rozlíšenia | 67 801,34 | 32 834,93 |
| 66 – Finančné výnosy | 8 608,39 | 11 152,25 |
| 67 – Mimoriadne výnosy | 7 322,69 | 7 677,17 |
| 69 – Výnosy z transferov a rozpočtových príjmov v obciach, VÚC a v RO a PO zriadených obcou alebo VÚC | 4 462 218,00 | 4 977 871,50 |
| VÚC a v RO a PO zriadených obcou alebo VÚC | |
|------------------------------------------|---|
| **Hospodársky výsledok** / + kladný HV, - záporný HV / | +512 026,71 | +244 427,49 |
### 10. Ostatné dôležité informácie
#### 10.1 Prijaté granty a transfery
V roku 2020 mesto, rozpočtová a príspevková organizácia prijala nasledovné granty a transfery:
| Poskytovateľ | Účelové určenie grantov a transferov | Suma prijatých prostriedkov v EUR |
|---------------|-------------------------------------|----------------------------------|
| MPSVaR SR | Bežný transfer; Dotácia – domov dôchodcov | 238 576,06 |
| MPSVaR SR | Bežný transfer; Dotácia – Večné deti | 33 288,00 |
| MPSVaR SR | Bežný transfer; Projekt MOPS | 29 641,28 |
| UPSVaR | Bežný transfer; Znevýhodnený uchádzač | 51 025,46 |
| UPSVaR | Bežný transfer; Chránená dielňa | 4 157,36 |
| UPSVaR | Bežný transfer; DvHN – prídatky na deti | 36 714,10 |
| UPSVaR | Bežný transfer; DvHN – osobitný príjemca | 5 012,10 |
| UPSVaR | Bežný transfer; Spracovanie agendy DvHN | 742,00 |
| UPSVaR | Bežný transfer; HN – školské potreby | 8 532,40 |
| UPSVaR | Bežný transfer; HN – stravovanie detí | 242 791,20 |
| MV SR | Bežný transfer; Skladník CO | 559,94 |
| MV SR | Bežný transfer; Vojnové hroby | 116,66 |
| OÚ KE – ok. | Bežný transfer; Voľby (NR SR) | 9 722,16 |
| MPC | Bežný transfer; Projekt – Škola otvorená všetkým | 74 949,22 |
| OÚ Košice, | Bežný transfer; Normatívne prostriedky | 3 425 546,00 |
| OÚ Košice | Bežný transfer; Vzdelávacie poukazy | 40 373,09 |
| OÚ Košice | Bežný transfer; Dopravné | 23 181,00 |
| OÚ Košice | Bežný transfer; Príspevok na učebnice | 49 171,73 |
| OÚ Košice | Bežný transfer; Sociálne znevýhodnené prostredie | 50 900,00 |
| OÚ Košice | Bežný transfer; Škola v prírode | 9 795,40 |
| OÚ Košice | Bežný transfer; LVVK | 11 400,00 |
| OÚ Košice | Bežný transfer; Asistenti | 20 776,91 |
| OÚ Košice | Bežný transfer; Odchodné | 3 199,60 |
| OÚ Košice | Bežný transfer; PVŠS – Školský úrad | 35 676,00 |
| OÚ Košice | Bežný transfer; Materské školy | 21 283,00 |
| MDVaRR SR | Bežný transfer; PVŠS – Spoločný stavebný úrad | 29 885,60 |
| OÚ Košice | Bežný transfer; PVŠS – ŠFRB | 27 596,37 |
| OÚ Košice | Bežný transfer; PVŠS – Cestná doprava | 548,03 |
| OÚ Košice | Bežný transfer; PVŠS – Matrika | 16 905,95 |
| OÚ Košice | Bežný transfer; PVŠS – Register adries | 176,40 |
| Poskytovateľ | Účelové určenie grantov a transferov | Suma prijatých prostriedkov v EUR |
|-----------------------|---------------------------------------------------------------------------|----------------------------------|
| OÚ Košice | Bežný transfer; PVŠS – REGOB | 3 739,56 |
| OÚ Košice | Bežný transfer; PVŠS – Životné prostredie | 1 319,17 |
| OÚ Košice | Bežný transfer; PVSS – Sčítavanie obyvateľov | 14 392,00 |
| Environmentálny fond | Bežný transfer – popl. za ulož. Odpadu | 8 231,40 |
| OÚ Košice | Bežný transfer – Čitame radi 2 | 800,00 |
| MŠVVaŠ SR | Kapitálový transfer – ŠJ ZŠ | 5 000,00 |
| Szepcserehat videk-es teruletefjelas | Projekt Trhovisko | 44 701,96 |
| MPaRV SR | Projekt Trhovisko | 6 537,95 |
V roku 2020 mesto prijalo nasledovné granty a transfery v súvislosti s pandémiou ochorenia COVID - 19:
| Poskytovateľ | Účelové určenie grantov a transferov | Suma prijatých prostriedkov v EUR |
|--------------------|---------------------------------------------------------------------------|----------------------------------|
| MPSVaR SR | Vitamíny D | 1 500,00 |
| MPSVaR SR | Prvá linia | 23 075,98 |
| UPSVsR | Kurzarbeit | 108 154,97 |
| MV SR | Refundácia nákladov COVID 19 | 39 242,38 |
| MV SR | Spoločná zodpovednosť | 18 104,18 |
| MH SR | Dotácia nájmu | 5 299,03 |
### 10.2 Poskytnuté dotácie
V roku 2020 mesto poskytlo zo svojho rozpočtu dotácie v zmysle VZN č. 89 o poskytovaní dotácií z rozpočtu mesta:
| Prijímateľ dotácie | Účelové určenie dotácie | Suma poskytnutých prostriedkov v EUR |
|----------------------|-------------------------------------------------------------|-------------------------------------|
| ŠK BODVA | Bežné výdavky na činnosť klubu | 4 500,00 |
| Združenie Bodva E | Projekt: XXII. Moldavský Pohár Bodvy, bežné výdavky na činnosť klubu | 2 900,00 |
| Atletický legionársky klub | Projekt: letné sústredenie a bežné výdavky na činnosť klubu | 5 000,00 |
| Horolezecký klub | Projekt: bežné výdavky na činnosť klubu | 3 000,00 |
| ŠkodaFanClub Moldava | Bežné výdavky na činnosť klubu | 800,00 |
| Voda a život | Bežné výdavky na činnosť klubu | 1 200,00 |
| Združenie Moldava a okolie | Bežné výdavky na činnosť klubu | 900,00 |
| Rod. rada ZŠ ČSA | Bežné výdavky na činnosť klubu | 900,00 |
| ZMRS – Cikr. spoj. Škola | Bežné výdavky na činnosť klubu | 2 650,00 |
| Združenie Bodva E (Vox) | Bežné výdavky na činnosť klubu | 1 400,00 |
|------------------------|---------------------------------|----------|
| Slov. zväz zdrav. postihnut. | Bežné výdavky na činnosť klubu | 300,00 |
| ZO Csemadok Budulov | Projekt: techn. vybavenie kanc. Bežné výdavky na činnosť klubu | 1 400,00 |
| Klub abstinujúcich Bodva | Bežné výdavky na činnosť klubu | 300,00 |
| Zápasnický klub Moldava n/B | Bežné výdavky na činnosť klubu | 2 000,00 |
| Šach Moldava nad Bodvou | Projekt: I. juniáles a na bežné výdavky na činnosť klubu | 600,00 |
### 10.3 Významné investičné akcie v roku 2020
Najvýznamnejšie investičné akcie realizované v roku 2020:
- Nákup MV Ford Mondeo v hodnote 34 750,01 EUR
- Nákup autobusu v hodnote 44 785,44 EUR
- Výstavba chodníka – cintorín v hodnote 15 699,30 EUR
- Rekonštrukcia cesty SNP s odvodnením v hodnote 120 757,49 EUR
- Výstavba – projekt Trhovisko v hodnote 162 498,32 EUR
- Rekonštrukcia objektu – Hviezdoslavova 21 – 18 b.j. v hodnote 836 539,61 EUR
- Rekonštrukcia Mestského kultúrneho strediska v MnB v hodnote 54 701,58 EUR
- Nákup nehnuteľnosti na ul. Budulovská v hodnote 289 000,00 EUR
- Rekonštrukcia MŠ v hodnote 37 070,26 EUR
### 10.4 Predpokladaný budúci vývoj činnosti
Predpokladané investičné akcie realizované v budúcich rokoch:
Mesto sa bude v nasledujúcich rokoch podieľať na investičných zámeroch, ktoré sú čiastočne financované z cudzích zdrojov, ide najmä o výstavbu multifunkčnej športovej haly, výstavbu atletického štadiónu, projektu Multifunkčného mládežnického centra, projektu prestupného bývania, dobudovanie technickej infraštruktúry a ako rozšírenie kapacity materských škôl na území mesta.
### 10.5 Udalosti osobitného významu po skončení účtovného obdobia
Mesto nezaznamenalo žiadnu udalosť osobitného významu po skončení účtovného obdobia, za ktoré sa vyhotovuje výročná správa.
10.6 Významné riziká a neistoty, ktorým je účtovná jednotka vystavená
a) Mesto viedie súdny spor o neplatnosť skončenia pracovného pomeru voči bývalému náčelníkovi MsP p. F.R.. Uvedený súdny spor začal na Okresnom súde Košice – okolie v januári 2016, no prvé pojednávanie sa uskutočnilo až v októbri 2018. Dňa 31.12.2019 bol vydaný Rozsudok Okresného súdu Košice – okolie, ktorým konajúci súd rozhodol že skončenie pracovného pomeru voči F. R. vo forme výpovede je neplatné a pracovný pomer nadálej trvá. Nárok na náhradu mzdy súd vylúčil na samostatné konanie. Mesto Moldava nad Bodvou prostredníctvom advokátskej kancelárie podalo voči rozsudku odvolanie dňa 10.01.2020. Krajský súd Košice dňa 13.05.2021 vydał rozsudok, ktorým súd potvrdil rozsudok Okresného súdu Košice – okolie 16Cpr/2/2016-273 z 23.10.2019. Mesto voči rozsudku Krajského súdu podalo dovolanie na Najvyšší súd SR. Predpokladaná výška náhrady mzdy za 3 roky dozadu odo dňa právoplatnosti rozsudku a taktiež trov súdneho konania je spolu vo výške cca 60 tisíc,- €.
b) Súdny spor mesta Moldava nad Bodvou ako žalobcu voči fyzickej osobe P. M. ako žalovanému o odstránenie stavby a vypratanie nehnuteľnosti - parcela č. 1894/5 registra „C“ o výmere 24371 m², druh pozemku: zastavané plochy a nádvoria, evidovanej na LV č. 1533 pre Okres: Košice – okolie, Obec: Moldava nad Bodvou, k.ú. Moldava nad Bodvou. Toto konanie sa taktiež ešte nezačalo, bola podaná len žaloba začiatkom októbra 2018. Čakáme na vyjadrenie žalovaného a taktiež na vytýčenie prvého pojednávania.
c) Súdny spor o náhradu nemajetkovej ujmy vo výške 25.000,- € žalobcu - bývali náčelník MsP p. F. R.. Uvedený súdny spor začal na Okresnom súde Košice – okolie v apríli 2019, no prvé pojednávanie sa ešte neuskutočnilo, Mesto sa len prostredníctvom právneho zástupcu vyjadrilo k žalobe dňa 26.04.2019.
d) Súdny spor o zaplatenie 3627,- € žalobcu Mesto Moldava nad Bodvou proti žalovanému: TJ ROMA Moldava nad Bodvou o vrátenie dotácie mesta. Uvedený súdny spor je neukončený – čaká sa na vytýčenie prvého pojednávania
e) Pandémia ochorenia COVID - 19, ktorá významne negatívne ovplyvňuje hospodárenia mesta; pretože sa situácia stále vyvíja, vedenie účtovnej jednotky si nemyslí, že je možné poskytnúť kvantitatívne odhady potenciálneho vplyvu súčasnej situácie na účtovnú jednotku.
Vypracoval: Miriam Špegárová
Schválil: PaedDr. Klára Vranaiová, PhD.
V Moldave nad Bodvou, dňa 30. novembra 2021 | fcd3f210-e73c-4e5e-804f-fb093d63313b | HuggingFaceFW/finepdfs/tree/main/data/slk_Latn/train | finepdfs | slk_Latn | 84,199 |
| Nro. | Nombres y Apellidos | Resultados | Observación |
|------|-------------------------------------|------------|------------------------------------------------------------------------------|
| 1 | Palomino Muelle, Víctor Enrique | No apto | No cumple con el perfil requerido para el puesto. |
| 2 | Luján Centeno, Edgar Ricardo | No apto | No presentó los formatos establecidos de la hoja de vida. |
| 3 | Arenas Carrasco, Luis Antonio | No apto | Foliación incompleta del expediente. |
| 4 | Lozano Revollar, Bartolomé | No apto | No cumple con el perfil requerido para el puesto. |
| 5 | Huerta Franco, Roberto Jorge | Apto | - |
| 6 | Rujel Avalos, Luis Rubén | No apto | No cumple con el perfil requerido para el puesto. |
| 7 | Huamán Timoteo, Hugo Donato | No apto | No cumple con el perfil requerido para el puesto. |
| 8 | Pérez Córdova, Edward Chale | No apto | No cumple con el perfil requerido para el puesto. |
| 9 | Calderón Gonzales, Abel | No apto | No presentó los formatos de hoja de vida y declaración jurada. |
| 10 | Molacho Díaz, Elder Donal | No apto | No cumple con el perfil requerido para el puesto. |
| 11 | Díaz Santos, Eliana Dalmira | No apta | No cumple con el perfil requerido para el puesto. |
| 12 | Roca Puma, María Isabel | No apto | No presentó los formatos de hoja de vida y declaración jurada. |
| 13 | Sandoval Vicente, Moises | No apto | No cumple con el perfil requerido para el puesto. |
Etapa con puntaje:
| Nro. | Nombres y Apellidos | Resultados |
|------|-----------------------------|------------|
| 1 | Huerta Franco, Roberto Jorge| 24.00 Puntos|
El postulante declarado APTO deberá presentarse para la evaluación de conocimientos el día lunes 8 de abril de 2019, de 15:00 a 15:10 horas para el registro de asistencia, en la Sede Institucional del CENEPRED sito en Av. Del Parque Norte N° 313-319 – San Isidro.
El postulante que no se presente en la fecha, lugar y hora establecida quedará eliminado del proceso de selección, por lo que se recomienda presentarse 10 minutos antes del horario establecido.
San Isidro, 4 de abril de 2019. | <urn:uuid:ff4fd4e5-4c07-49fd-96ef-61e8c4f7bb00> | HuggingFaceFW/finepdfs/tree/main/data/spa_Latn/train | finepdfs | spa_Latn | 2,769 |
ДО
КМЕТОВЕ НА ОБЩИНИ НА ТЕРИТОРИЯТА НА ОБЛАСТ ПЛОВДИВ
Относно: Подкрепа на проект: "Народните будители и Аз"
УВАЖАЕМИ ДАМИ И ГОДПОДА,
С настоящото Ви уведомявам, че в качеството ми на Областен управител на област Пловдив съм поела ангажимент да бъда Патрон на Национален проект: "Народните будители и Аз", който ще се реализира на територията на област Пловдив.
Проектът е по инициатива на Ротари клуб "Пловдив-Пълдин" съвместно с Ротари клубовете "Пловдив", "Пловдив-Филипопол", "Пловдив-Интернешиънъл" и "Зонта" клуб Пловдив, под патронажа на Президента на Република България Румен Радев. Провежда се за 11-та поредна година и има за цел да възпита младото поколение в дух за родолюбие и патриотизъм, национална гордост и самочувствие, на търпимост, толерантност и единение.
Целите на проекта пораждат в нас задължение и отговорност към подрастващото поколение. Ето защо се обръщам към Вас с молба да окажете пълно съдействие на ръководителите на проекта при организирането му на територията на Вашата община, за да се реализира в повече училища на територията на областта.
За контакти: доц. Киричо Атанасов – ръководител на проект: "Народните будители и Аз", тел. 0887 531 884
С уважение:
ДАНИ КАНАЗИРЕВА
Областен управител на област Пловдив | <urn:uuid:693aa01f-0a75-45f3-aa4f-e1310f7082b6> | HuggingFaceFW/finepdfs/tree/main/data/bul_Cyrl/train | finepdfs | bul_Cyrl | 1,253 |
Student Guide To The Master's Of Social Work Degree Program 2012-2013*
Regents of the University
Julia Donovan Darlow, Ann Arbor Laurence B. Deitch, Bingham Farms Denise Illitch, Bingham Farms Olivia P. Maynard, Goodrich Andrea Fischer Newman, Ann Arbor Andrew C. Richner, Grosse Pointe Park S. Martin Taylor, Grosse Pointe Farms Katherine E. White, Ann Arbor Mary Sue Coleman, ex officio
*This Guide and the degree requirements apply only to those students admitted to the School of Social Work for the 2012 -
2013 academic year.
1 - 1
Volume 1 Academic and Professional Policies
Academic and Professional Policies Academic Calendar
1 Academic and Professional Policies
1 Academic Calendar
1.00 Academic Calendar
The School of Social Work Academic Calendar contains important dates for when classes begin and end each term, critical field-related dates, semester days off and other information related to preregistration for courses. The School of Social Work (SSW) Academic Calendar may deviate slightly from the University's Academic Calendar, especially in the Spring/Summer term. For the official SSW Academic Calendar, please check the following link on the SSW web site:
http://www.ssw.umich.edu/programs/calendar
1.01 University and School Policies Regarding Religious Holidays and Academic Conflicts
Although the University of Michigan, as an institution, does not observe religious holidays, it has long been the University's policy that every reasonable effort should be made to help students avoid negative academic consequences when their religious obligations conflict with academic requirements.
Absence from classes or examinations for religious reasons does not relieve students from responsibility for any part of the course work required during the period of absence. Students who expect to miss classes, examinations, or other assignments as a consequence of their religious observance shall be provided with a reasonable alternative to complete such academic responsibilities.
It is the obligation of students to provide faculty the dates of religious holidays on which they will be absent. Such notice must be given by the drop/add deadline of the given term. Students who are absent on days of examinations or class assignments shall be offered an opportunity to make up the work, without penalty, unless it can be demonstrated that a make-up opportunity would interfere unreasonably with the delivery of the course.
Should disagreement arise over any aspect of this policy, the parties involved should contact the Associate Dean for Educational Programs in the SSW, the Dean of the SSW, or the Ombudsperson. Final appeals will be resolved by the Provost.
Please refer to the following web site for the University Listing of this policy:
http://www.provost.umich.edu/calendar/religious_holidays.html
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Academic and Professional Policies Academic Calendar
1 Academic and Professional Policies
2 Course Registration Policies
2.00 Entry to Closed School of Social Work Courses
Petition forms to enter a closed Social Work course are available only on the Social Work web site ( http://www.ssw.umich.edu/programs/classes/forms.html ), shortly before registration for the appropriate term begins.
The form must be completed and submitted on-line.
Individual faculty members cannot admit students to their closed courses. Instead, the Associate Dean for Educational Programs makes all decisions regarding petitions to enter closed courses. This provides all students with fair access to closed courses.
When reviewing petitions for closed courses, the Associate Dean looks primarily at whether or not the student must enroll in the course in order to meet graduation requirements for that term. Other major considerations include the following: required 3-day field placements and enrollment in a dual degree and/or certificate/specialization program. Sometimes openings do occur in closed courses through the normal drop/add process. Students should check Wolverine Access for the open/closed status of courses. If a course section reopens, students enter on a first-come first-serve basis by adding the course via Wolverine Access.
2.01 Withdrawing From All Classes in a Given Term
Withdrawing from all classes in a given term for which a student is enrolled (this includes field instruction and special studies enrollment) cannot be done by the student via Wolverine Access. If after completing registration, a student is not able or not intending to remain in school, the student must complete the following steps to disenroll:
1. Contact the Assistant Dean or Assistant Director for Student Services.
2. Complete the intent to withdraw form located at http://ssw.umich. edu/programs/classes/WithdrawalIntentform.pdf and deliver the intent letter to the School Registrar with the initials of the Assistant Dean or Assistant Director.
If the student withdraws/disenrolls prior to the first day of University classes, he/she simply needs to contact the University Registrar's Office and the School of Social Work; no letter is necessary.
Note: Students may not withdraw or disenroll from a term in the final week of classes or after the term is completed without approval from the Associate Dean for Educational Programs (see Retroactive Withdrawal, Vol.1, Sec. 2.03).
Students are still required to pay the registration fee and are subject to a disenrollment fee if withdrawal takes place once University classes have begun.
For more detail on disenrollment/term withdrawal and fee implications, check http://www.ro.umich.edu/ .
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2.02 Dropping Courses in the Current Term
(fewer than all classes)
Prior to the drop/add deadline a student may drop a course via their class schedule in Wolverine Access.
A student is expected to make any and all adjustments to their course schedule, including dropping a course by the drop/add deadline. Any requests after the deadline are considered an exception and approvals must be sought. A student may request to drop a course or courses (fewer than all for the term) anytime after the drop/add deadline and by no later than the last date the class meets. This requires the completion of a University of Michigan Election Worksheet, most commonly referred to as a drop/add slip, the signature/approval of the course instructor, the student's academic advisor, and if there are fewer than 30 calendar days left until the end of the term, the Associate Dean for Educational Programs and the School Registrar. This will result in a W (withdrawal) on the student's transcript and may have fee implications. Any drop after the last day of classes falls under the Retroactive Withdrawal policy.
Withdrawals from Mini-Courses
Because Mini-Courses begin and end at different times throughout the term, students may withdraw without penalty from a Mini-Course up to and including first day of the course. Should a student not attend a Mini-Course in which enrolled, the student will receive a grade of "E," which carries no credit and indicates failure. Exceptions include special circumstances such as a debilitating physical, mental, or family crisis, and must be documented in the form of a Retroactive Withdrawal Request as noted above. Students who simply forget to attend a Mini-Course shall receive a grade of "E."
For more detail on drop/add deadlines and fee implications, check:
http://www.ro.umich.edu/
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2.03 Policy and Procedures for Retroactive Withdrawals
A retroactive withdrawal is defined as a request made to withdraw from a course/term after the last day the class meets if a course withdrawal or after the last day of classes for the term if a complete withdrawal. The last day of a class is the last possible date that a student may request a course withdrawal. It is the student's responsibility to adhere to any published deadlines of the School of Social Work.
Retroactive Withdrawal Requests
The School of Social Work generally discourages retroactive changes, and considers exceptions to this rule only when the student: (a) makes a compelling case that withdrawal is appropriate, and (b) provides documentation supporting his/her case.
Requests for retroactive withdrawals should be submitted in a timely manner -- in general, changes will only be considered within 12 months from the end of the term/class.
Requests for changes must:
1. Provide evidence that the student was unable to complete the term. Non-attendance and/or failure to complete assignments would be expected in such instance of (but not limited to) a debilitating physical, mental, or family crisis.
2. Apply to all classes unless a physical or mental health problem prevented the student from finishing a particular class, or if the student never attends classes and forgets to disenroll for the entire the term.
3. Explain why a written intent to withdraw statement was not submitted during the term.
4. Speak to any financial implications or other consequences of the change (such as MET/MESP, Veteran's Benefits, financial aid, and athletic eligibility).
For a Retroactive Withdrawal Request to be considered, students must provide the following documentation: (a) attendance or other verification from the instructor indicating the student did not complete the course; (b) a statement from the instructor as to whether he or she supports the request for retroactive withdrawal (The committee may be in possession of information that the instructor has not seen.); (c) physician's documentation concerning relevant physical or mental circumstances; (d) documentation of other extenuating circumstances (obituary or other evidence of family emergency); and (e) a statement from academic advisor or the Office of the Registrar that withdrawal from this course will not affect other classes on the student's transcript (e.g., pre-requisites/repetitions).
Students must submit a formal request for retroactive withdrawal which must be approved and signed by the Associate Dean for Educational Programs, processed through the SSW Registrar's office and submitted to the University Registrar.
Withdrawals from Mini-Courses
Because Mini-Courses begin and end at different times throughout the term, students may withdraw without penalty from a Mini-Course up to and including first day of the course. Should a student not attend a Mini-Course in which he/she is enrolled, the student will receive a grade of "E," which carries no credit and indicates failure. Exceptions include special circumstances such as a debilitating physical, mental, or family crisis, and must be documented in the form of a Retroactive Withdrawal Request as noted above. Students who simply forget to attend a Mini-Course shall receive a grade of "E."
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2.04 Policy on Auditing Courses
Students choosing to audit a course must enroll under audit status. Regular tuition and fees apply, and the course will appear on the transcript with the notation VI (Visit). No other letter grade is awarded and no academic credit is earned. If the student does not complete the course to the satisfaction of the instructor, the course will be entered in the record with the notation "E" or "ED" (unofficial drop) unless the student has withdrawn officially.
The student is expected to inform the instructor of the audit status. It is expected that the auditing student will attend all classes. The instructor and the student must agree on any additional expectations for the class in terms of assignments and/or other activities.
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3 Course Exemption Policies
3.00 Exemption Policies and Procedures for Foundation Courses
All classroom-based foundation courses (i.e., SW 500, SW 502, SW 521, SW 522, SW 530, SW 560) are subject to uniform exemption policies. An exemption allows students to substitute any other graduate course for the foundation course before graduation (in consultation with the faculty advisor) thereby increasing the number of elective hours.
Exemptions do not reduce the total number of hours required for graduation.
Exemptions from foundation courses will be granted when students have prior undergraduate or graduate course work comparable to the content of a foundation course. These comparable courses must be completed within the six years prior to enrollment in the program with a grade of B or better. Courses that are graded by narrative evaluation will also be considered for exemptions. Courses graded as Pass/Fail, Satisfactory/Unsatisfactory, or other evaluative scales will not be eligible for review unless it is for Field Instruction exemption consideration. Prior work experience is not a basis for exemptions.
All transcripts for new students are reviewed for exemptions prior to enrolling in the Fall term. Students will be notified of any exemptions prior to Fall registration.
Special Note for Advanced Standing Students:
These exemption policies do not apply to students who have been granted Advanced Standing and who are not required to take Foundation Field Instruction (SW 515 and 531), SW 500, SW 521, SW 522, SW 530.
Advanced Standing students may be granted additional exemptions under this policy for SW 502 and SW 560.
Please see the following website for a list of Exemption Consultants:
http://www.ssw.umich.edu
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4 Transfer Credit Policies
4.00 Policy for Accepting Graduate Transfer Credit
Students who have completed approved graduate education related to social work in another institution or another unit of the University of Michigan may be allowed to transfer this credit providing that the following are true:
1. The maximum amount of transfer credit is 30 hours
2. The student earns a minimum of 30 hours of credit in the University of Michigan School of Social Work
3. At least 8 credit hours of Advanced Field Instruction were completed at the University of Michigan
4. No more than 7 credit hours of field instruction were transferred as Field credit toward the MSW degree, 3 credit hours of which will be Foundation Field Instruction
5. Transfer credits were not used toward another degree unless the student pursues a dual degree
6. The credits were earned within six years of the expected MSW graduation
Transfer credit will not be granted until the student has completed one full-time term of work satisfactorily. Grades in the courses for which transfer credit is granted are not included in grade point averages.
7. A grade of B or better was achieved. Courses that were graded by narrative evaluation will also be considered for transfer credit. Courses graded as Pass/Fail, Satisfactory/Unsatisfactory, or other evaluative scales will not be eligible for transfer credit consideration unless it is transferring for Field Instruction credit.
Transfer credit will not be granted until the student has completed one full-time term of work satisfactorily. Grades in the courses for which transfer credit is granted are not included in grade point averages.
Transfer credit request form:
http://www.ssw.umich.edu/programs/forms/TRCRSWnew.pdf
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4.01 Guidelines for Transfer Hours
The specific number of hours that may be transferred is subject to the following guidelines.
1. Up to 30 hours of graduate credit for social work courses completed in another accredited graduate school of social work may be transferred for students enrolled in a degree-seeking program and up to 15 hours for students not in a degree seeking program.
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2. No more than 9 credit hours may be transferred after enrollment at the University of Michigan. All other course work must be completed prior to enrollment at the University of Michigan.
3. Graduate credit in cognate (non-social work) areas for courses taken in another unit at the University of Michigan or at another graduate program in an accredited institution may be recommended for transfer providing the content applies in a substantive way to the student's program of study.
4. The maximum number of cognate credit hours that may be recommended for transfer of credit will be limited to the number of exemption and elective credit hours available to the student. For students with no exemptions, the maximum number of such cognate credit hours that may be recommended for transfer is 9 credit hours. For students with exemptions, additional credit hours may be recommended for transfer, not to exceed a maximum of 15 credit hours. Students admitted with Advanced Standing can transfer a maximum of 15 credit hours.
5. The student's total credit hours, including the transfer credit, must meet the distribution requirements for the professional foundation areas (i.e., Methods, Human Behavior and the Social Environment, Social Welfare Policy and Services, Research, and Field Instruction).
6. The transfer of credit for both Social Work and cognate courses must meet the provisions specified above.
Students should request that transcripts of potential transfer credit be sent to the School of Social Work at the time of admission or when the course to be transferred is completed. For those courses taken prior to enrollment in the SSW, the potential transfer credits will be reviewed by the Associate Dean for Educational Programs in the SSW prior to Fall enrollment. Students will be notified before registering for the Fall term, how the potential transfer credits would count in the MSW program.
If students seek to take courses to transfer once enrolled in the SSW, they should discuss potential transfer credits with their faculty advisors who will submit a request to grant such credit to the School's Registrar via the Transfer of Credit request form found at http://ssw.umich.edu/programs/classes/forms. html .
Transfer of Field Instruction Credits - See Volume I Chapter 20.01.
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5 Biological Determinants of Human Behavior Admission Requirement
5.00 Policy on Meeting the Biological Determinants of Human Behavior Admission Requirement Students who were notified in their letter of admission that they did not meet the Biological Determinants of Human Behavior admission requirement must satisfy this requirement before the end of their first fall term in the MSW program, regardless of whether they are full-time or part-time students, in order to be permitted to enroll during the following Winter Term. Inquiries should be directed to the Office of Student Services.
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6 Non-Candidate for Degree (NCFD) Policy
6.00 Policy on Non-Candidate for Degree (NCFD) courses taken prior to enrollment in the MSW Program
At the University of Michigan, a total of 15 hours of social work courses taken as a non-degree student will automatically be applied to degree requirements upon enrollment in the Master's Degree program, provided that the student earned a grade of "B" or better in each course, the courses were taken within six years of expected completion of the MSW, and the credits have not been used toward another degree.
Even if more than 15 hours of Non-Degree Social Work courses meet these provisions, only 15 hours may be applied to the degree requirements. The specific hours to be applied will be determined at the student's initial registration conference. After satisfactory completion of one full-time term in residence, the student's advisor may petition the Associate Dean for Educational Programs for application of further credits.
Exchange students will only be admitted from institutions with which the School of Social Work has an official partnership. All exchange students must be recommended and approved to attend the University of Michigan by their home institution before applying. Admitted NCFD exchange students will only be admitted for one term and must return to their home institution upon completion of that term. All tuition and mandatory student fees will be waived for these students in accordance with the memorandum of understanding between the University of Michigan and the home institution.
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7 Transcripts and Grades
7.00 Obtaining a Transcript/Record of Academic Work
Current and many former students with a uniqname and university/Kerberos password can order transcripts online through http://wolverineaccess.umich.edu . From the Student Business page, choose Student Center, then select Transcript Order and select Order Transcript from the dropdown list. An electronic (PDF) transcript order allows for attachments to be uploaded and sent along with the transcript. Rush processing and expedited delivery options are now available online as well. The order online option is not available to those students who have attachments which must accompany a paper transcript, or to those students who last attended the University of Michigan prior to Fall 1993. There are also non on-line options for ordering a transcript. Additional information may be obtained by contacting the University Office of the Registrar, 734-763-9066, http://ro.umich.edu/
Students can view their term grades via Wolverine Access at http://wolverineaccess.umich.edu .
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8 Grades in Academic Courses and in Field Instruction
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8.00 Grades in Academic Courses and in Field Instruction
Letter grades from "A" through "E" are given for class performance. "A" grades are given for exceptional individual performance and mastery of the material. The use of "A+", "A", and "A-" distinguishes the degree of superiority. "B" grades are given to students who demonstrate mastery of the material. "B+" is used for students who perform just above the mastery level but not in an exceptional manner. "B-" is used for students just below the mastery level. "C" grades are given when mastery of the material is minimal. A "C-" is the lowest grade which carries credit. "D" grades indicate deficiency and carry no credit. "E" grades indicate failure and carry no credit.
The grading system for all Field Instruction courses consists of S (satisfactory), M (marginal), and U (unsatisfactory). Field educator/liaisons are responsible for grading. Students are expected to adhere to the Social Work Code of Ethics, to follow fieldwork site policies and procedures and to conduct themselves in a professional manner. Failure to meet these expectations may be reflected in field instruction grades and/or other action taken by the School.
The following definitions have been established for grading in field instruction courses. These grades are determined based on the number of points a student earns on the Educational Agreement form, the field instructor narrative, and verbal written input from all parties involved in field instruction. The rating scale for grading is based on an average number of points determined by adding the scores for the assignments and dividing the scores by the number of assignments.
42 or higher = Satisfactory 41-28 = Marginal 27 or below = Unsatisfactory
Note: If the ratings on the Educational Agreement form show 3 or more "NA" scores (not applicable), then the student will automatically receive a grade of Incomplete ("I") for the term. The field instructor will be required to explain why these scores were given in their narrative. This grade of Incomplete will be changed after the student has completed the assigned work or developed and created a new assignment and completed these. The grade change will indicate the student has earned a grade of Satis factory ("S"), Marginal ("M"), or Unsatisfactory ("U"). The grade of IS or MS stays permanently on the student's transcript.
Satisfactory (S): is used when the quality of performance is acceptable and credit is granted for the course. The student has demonstrated through performance in fieldwork by obtaining an average score of 42 or higher for all field-based assignments documented on the Educational Agreement form.
Marginal (M): is used when the quality of performance is less than satisfactory, but short of failing. The student has demonstrated through performance in fieldwork by obtaining an average score between 41-28 for all field-based assignments documented on the Educational Agreement form. Students receiving an "M" grade and who complete additional hour of fieldwork in a subsequent term and receive a grade of "S" for this work in this term will be eligible to have the previous "M" grade changed to a grade of "MS". Note: A grade of "MS" stays on your academic record permanently.
Unsatisfactory (U): is used when the quality of performance is inadequate and no credit is granted. The student has demonstrated through performance in fieldwork by obtaining an average score at or below 27 for all field-based assignments documented on the Educational Agreement form.
All students must receive satisfactory (S) grades for the 12 required Advanced Field Instruction credits. Students who do not meet this requirement(students who receive a marginal ("M") grade in Advanced field instruction) must complete additional field instruction work. The number of credits/hours that will need to
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SCHOOL OF SOCIAL WORK STUDENT GUIDE
be repeated depend on the circumstances involved. Students with a 3 credit exemption from Foundation Field Instruction (SW 515 and 531) will have the exemption revoked if a grade below "S" is received after the completion of the first advanced term of Field Instruction.
Students receiving an "M" grade and who complete additional hours of fieldwork in a subsequent term and receive a grade of "S" for this work in this term will be eligible to have the previous "M" grade changed to a grade of "MS". Note: A grade of "MS" stays on your academic record permanently.
For students requiring 15 total Field Instruction credits, no more than 3 credits of marginal (M) grade in Foundation Field Instruction (SW 515 and 531) will count toward the MSW degree. Students who receive an (M) grade in SW 515 will be placed on academic probation. If the student receives an "M" in Foundation field instruction, the student may enroll in Advanced field instruction in the following term. The student does not have to repeat the hours or the credits. The student must work closely with their Faculty Advisor and Field Liaison to develop a plan for removal of probationary status.
No student may receive credit for an unsatisfactory (U) grade in field instruction This will require that the student repeat the course.
Students should also be aware that once the term is completed and the grade has been issued, adjustment to registration for SW515 or SW691 cannot be changed.
A student who is unable to meet minimum standards in field work may be terminated from the placement at any time.
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8.01 Grades for Special Circumstances
Incomplete (I): Used when illness or other compelling reasons prevent completion of work, and there is a definite plan and date for completion of course or field work approved by the instructor/liaison. An "I" may also be issued when a student fails to submit required field paperwork by the published deadline. Any "I" grade remaining on a student's record more than two terms after the conclusion of the term in which the grade was awarded reverts to a permanent incomplete, and credit can be earned only by retaking the course. This limit includes the Spring/Summer term and applies regardless of the student's subsequent enrollment. However, if at the time the instructor agreed to the "I", an earlier date of submission and/or completion of final work was agreed upon, then this date takes precedent over the two-term policy. A change in grade will not be accepted after two terms for any reason other than clerical error. Any exceptions to this policy must be approved by the Associate Dean for Educational Programs.
Note: A grade of "I" stays on a student's academic record permanently. Even if the student makes up the course or field work according to the guidelines stated above, the grade for the course will appear on the academic record as, for example, IB+ or IS. If the "I" is not made up in the approved time frame the grade is changed to an IPL (Incomplete Permanent Lapse) and is final.
Extension (Y): Used when the work exceeds the semester's time.
A "Y" is typically issued when lack of completion is due to structural factors, such as placement into a fieldwork site that would not allow for completion within the normal semester time frame. A "Y" can be issued whether lack of completion is due to late placement or placement in a fieldwork site that requires work beyond the end of the semester. A "Y" is not used when work is incomplete due to illness, lack of submission of paperwork by deadlines or other factors related to the student. See "I" grading above.
Withdrawal (W): Shown on student transcripts for all courses dropped after the drop/add deadline. Students withdrawing from courses for health-related reasons may petition the Associate Dean for Educational Programs to have those courses with a "W" designation removed permanently from the transcript. A student may petition to withdraw from a course anytime after the drop/add deadline and before the last week of classes.
No Report (NR): Only used when a student listed on the grade report has not been attending the class or when the instructor is unable to submit a grade due to factors related to the instructor. "NRs" are typically issued for field when the reason a grade cannot be issued is due to factors related to field liaison or field instructor and not due to any problem on the part of the student. "NRs" are rare and are temporary.
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8.02 Policy on 9.0 Grading Scale
The University of Michigan, School of Social Work, Masters Program is on a 9.0 grading scale.
Students can calculate their GPA (Grade Point Average) using the "MSH" (Michigan Semester Hours) and "MHP" (Michigan Honor Points) on their transcript. The "MHP" should be divided by the "MSH" to determine GPA.
There is no official conversion of the 9.0 point or 8.0 scales to the 4.0 scale. However, here are the breakdowns of each:
Students can access their grades via Wolverine Access at http://wolverineaccess.umich.edu.
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9 Class Attendance
9.00 Policy on Class Attendance
Students are expected to attend all of their scheduled classes. Attendance policies are left to the discretion of the instructor. Instructors should give notice of their attendance policies early in the term either verbally or in writing.
Excessive absences, as determined by the instructor, may result in a reduction in grade or a failing grade, and will be brought to the attention of the student and the faculty advisor by the course instructor.
While attendance is not always a part of the course grade, due to the nature of many course assignments, in-class skill building activities and group projects, if a student fails to attend most class sessions, the student may be asked by the course instructor to withdraw from the course.
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10 Changing Practice Method or Practice Area Concentrations
10.00 Changing Areas of Concentration (Method or Practice Area) Prior to the First Term of Enrollment
Occasionally, an admitted student wants to change concentration areas prior to beginning their first term as an MSW student. They may request the change by emailing the Office of Student Services at ssw. firstname.lastname@example.org including an explanation of the desired change. Students should also confirm that their concentration change will not conflict with the conditions required of any grant or scholarship offered from the School of Social Work.
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Area Concentrations
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10.01 Changing Areas of Concentration (Method or Practice Area) After Enrollment in the MSW Program
Occasionally, a student may wish to switch chosen concentrations after beginning the MSW program. It is in the student's best interest to make any changes in concentrations prior to the field placement assignment. In general, note that
1. Changing concentrations after the second term of Advanced Field Instruction may result in lengthening the duration of the program since students must complete at least 8 credit hours of Advanced Field Instruction (SW 691) in the chosen dual concentrations.
2. Advanced Standing Students who change concentrations after the second term of Advanced Field Instruction will, in all probability, need to enroll for an additional term of study.
3. Students who elect a minor method, specialization, or certificate program will, in all probability, need to enroll for an additional term of study if they change concentrations after the second term of Advanced Field Instruction.
4. Financial assistance is generally awarded to eligible students for no more than four terms, and therefore, may not be available to students who elect to lengthen their course of study to accommodate changes in concentrations.
After the first term of Advanced Field Instruction, students may switch the Practice Method or Practice Area concentration under the following circumstances:
1. There is room available in the required courses
2. An appropriate field placement can be secured to accommodate concentration changes
3. A plan is completed demonstrating that all requirements can be met
4. Permission of the Director of Field Instruction is obtained
5. Permission of the Advisor is obtained
6. Permission of the Field Educator/Liaison is obtained
If a student wishes to change either her/his practice method concentration, her/his practice area, or both, she/he must meet the deadlines below in order to complete degree requirements within four terms.
16-month Students
Must submit all necessary forms by the end of the second term of study (April 1)
20-month Students
Must submit all necessary forms by the end of the second term of study (April 1)
Advanced Standing Students
Must submit all necessary forms by the end of the first term of study (December 1)
Out-of-Sequence Students
May not be able to change concentrations without extending the program of study.
The forms necessary for changing a concentration are located at http://ssw.umich. edu/programs/forms/change_of_concentration.pdf .
Students should also confirm that their concentration change will not conflict with the conditions required of any grant or scholarship offered from the School of Social Work .
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11 Policy for Class Assignments that Involve Collection efforts with SW Students, Staff or Faculty
11.00 Policy for Class Assignments that Involve Data Collection Efforts with Social Work Students, SSW Staff or Faculty
If a student in a course or class-assigned student group is interested in conducting a survey, focus group or other type of data collection that involves SSW students, staff or faculty members, it is important that student(s) seek appropriate approval from the relevant stakeholders.
If the student(s) want to collect data from School of Social Work students, faculty or staff for a class assignment, please adhere to the following guidelines:
1. For all projects that involve data collection within the school, the relevant stakeholders must be contacted for consultation about the project prior to initiating data collection. The student(s) are encouraged to prepare a brief summary of the project and a timeline for data collection. This will avoid duplication of effort and will minimize the risk of contamination. The stakeholders may include the Director of the Office of Field Instruction, the Assistant Dean for Student Services, the the Social Work Librarian, the Curriculum Committee, the Doctoral Office or others based on the focus of the evaluation effort.
2. The student(s) after the stakeholder consultation meeting must submit the brief summary of the project and a timeline for data collection to the Associate Dean for Educational Programs. The Associate Dean for Educational Programs will review the materials and may recommend modifications in the survey focus and/or the timeline for data collection based on prior studies or current projects already underway. Depending on the number of survey requests, the Associate Dean for Educational Programs may request that an omnibus survey be used to minimize over sampling the same group.
3. The student(s) need to determine if the data collected and findings will be shared with anyone other than the instructor and class members. If the student(s) wish to share the findings outside of the classroom in any format, then an IRB process must be completed. Student(s) and course instructors will be involved in the submission of an IRB proposal. (Note: This process involves a review that may take up to a month before receiving feedback from the IRB.)
The SSW community would like to support student efforts to engage in evaluation and these guidelines are designed to assist students in following appropriate evaluation processes.
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12 Student Code of Academic and Professional Conduct
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Academic and Professional Policies Student Code of Academic and
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12.00 Student Code of Academic and Professional Conduct
Introduction
Social work students are held to the highest standards of academic and professional conduct. This Code of Academic and Professional Conduct applies to all students enrolled in the School of Social Work, including full-time and part-time students, students in extended programs, post-MSW students, nondegree students, extension services students enrolled in Social Work courses, or any other person in a special admissions status in the School. This policy covers both on-campus and off-campus activities.
Should concerns arise regarding a student's academic and/or professional conduct, a Professional Review meeting shall be called to discuss the issue(s). Such meetings typically involve the student, the Associate Dean for Educational Programs, the Assistant Dean for Student Services, the Director of Field Program, as well as the student's academic advisor and field liaison. The goal of the Professional Review meeting is to develop a corrective plan of action.
Unacceptable Academic Behavior
Generally, unacceptable academic behavior refers to actions or behaviors that are contrary to maintaining the highest standards in course work, client interactions, participation in field assignments, research, or any other element of the School's curriculum and programs. Such violations include, but are not limited to, the following offenses:
Falsification of Data, Records or Official Documents
Cheating
Plagiarism
Property Conversion
Aiding and Abetting Dishonesty
Inappropriate Use of Computers and Other Facilities
Unacceptable Collaboration
Impairment
Failure to Maintain Standards of Care
Unacceptable Professional Misconduct
Generally, unacceptable professional misconduct refers to behavior that calls into question a student's ability or fitness to practice as a professional social worker.
Students are expected to adhere to the National Association of Social Workers Code of Ethics ( http: //www.socialworkers.org/pubs/code/default.asp ) which is hereby incorporated under these policies and procedures and to the policies and procedures of the student's fieldwork site. It is the responsibility of the student to become acquainted with the Code and relevant fieldwork site documents.
The following actions are examples of unacceptable professional misconduct. Such violations include, but are not limited to, the following major offenses:
Criminal Activity
Harassment Sexual Harassment Discrimination Inappropriate Relationships Retaliation Making False Accusations
Violation of University Policies
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12.01 Cheating
Cheating is an act of fraud or deception by which the offender gains or attempts to gain undeserved benefit. Examples of cheating include, but are not limited to the following:
1. Lying about the performance of academic work; obtaining a copy of an examination before it is available officially, or learning an examination question before it is available officially.
2. Lying about circumstances presented as an excuse from examinations or other academic work.
3. Submitting the work done for one class or project to another class or project without obtaining the informed permission of the second instructor.
4. Misappropriating another student's work.
5. Allowing another person to do all or part of one's work and to submit the work under one's own name.
6. Receiving and rendering unauthorized assistance on an examination or other paper offered for credit; using unauthorized notes, study aids, and/or information from another person on an examination or paper.
7. Misrepresenting financial affairs or the status of family relationships for the purpose of securing financial aid, residency, or some other benefit from the University.
8. Misrepresenting any information offered to the Admissions Office.
9. Altering answers on an assignment that has already been graded and then submitting the work for re-grading.
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12.02 Plagiarism
Plagiarism is representing someone else's ideas, words, statements or works as one's own without proper acknowledgment or citation. Examples of plagiarism include, but are not limited to:
1. Using or otherwise taking credit for someone else's work or ideas.
2. Using the language of another without full and proper quotation or source citation.
3. Implicitly presenting the appropriated words or ideas of another as one's own.
4. Using Internet source material, in whole or in part, without careful and specific reference to the source.
5. Borrowing facts, statistics, or other illustrative material without proper reference, unless the information is common knowledge or in common public use.
6. Self-plagiarism, that is, reusing one's own work without acknowledgment that the text appears elsewhere (e.g. in a paper for another current or previous class).
Plagiarism, like other forms of cheating and misconduct, is taken very seriously at the University of Michigan and is grounds for expulsion from the University. It is your responsibility to familiarize yourself with the information presented at http://www.lib.umich.edu/academic-integrity/resources-students .
12.03 Property Conversion
Any taking or destruction of the property of the School, the University, or its faculty, students, or staff includes, but is not limited to:
1. Stealing or destroying notes, books, papers, audio and video tapes of other students, faculty, or staff.
2. Vandalizing, hiding, or otherwise misappropriating library books.
3. Stealing or destroying other school property.
12.04 Aiding and Abetting Dishonesty
Providing material, information, or assistance to another person with the knowledge or reasonable expectation that the material, information, or assistance will be used to commit an act that would be prohibited by this code, law, or the NASW Code of Ethics.
12.05 Inappropriate Use of Computers and Other Facilities
Violating the University's "Conditions of Use Policy," which defines proper and ethical use of computers and is incorporated under these policies and procedures.
12.06 Unacceptable Collaboration
Submitting work to be graded as one's own (either explicitly or implicitly) when the work was completed in collaboration with others. Using answers, solutions or ideas that are the result of collaboration without citing the fact of collaboration is also improper.
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12.07 Impairment
Participating in an academic or professional activity while impaired by alcohol, chemical or illegal substance dependency or abuse.
12.08 Failure to Maintain Standards of Care
Not attending to client care responsibilities, failing to prepare adequately for client interactions, failing to observe professional standards of care and treatment, and violating standard operating procedures.
12.09 Falsification of Data, Records or Official Documents
Dishonesty in reporting results, including fabrication of data, improper adjustment of results, gross negligence in collecting and analyzing data, and selective reporting or omission of conflicting data.
Altering documents affecting academic records.
Misrepresentation of academic status.
Forging a signature of authorization or falsifying information on an official University document, such as a grade report, clinical record, letter of recommendation or reference, letter of permission, petition or any document designed to meet or exempt a student from an established School or University academic regulation.
12.10 Criminal Activity
Participating in criminal activity that calls into question the individual's character and fitness to practice as a professional social worker.
12.11 Harassment
Verbally or physically harassing an individual in a way that denigrates or shows hostility or aversion toward that individual and that: (1) has the purpose or effect of creating an intimidating, hostile, or offensive working, living or learning environment; (2) has the purpose or effect of unreasonably interfering with an individual's work or academic performance; or (3) otherwise adversely affects the individual's full participation in School or University activities or programs.
Harassing conduct includes, but is not limited to, name calling, slurs, negative stereotyping, threatening/intimidating/hostile acts, and written or graphic material that defames or shows hostility or aversion to an individual or group.
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12.12 Sexual Harassment
Requesting sexual favors or making any kind of verbal or physical advancement of a sexual nature when:
1. Submission to such conduct is made either explicitly or implicitly a term or condition of an individual's education, employment, living environment, or participation in a School or University activity; or
2. Submission or rejection of such conduct by an individual is used as the basis for or a factor in a decision affecting that individual's education, employment, living environment, or participation in a School or University activity;
3. Such conduct has the purpose or effect of unreasonably interfering with an individual's employment or educational performance or creating an intimidating, hostile, or offensive environment for that individual's employment, education, living environment, or participation in a School or University activity.
12.13 Discrimination
Unlawfully discriminating against another because of a person's race, sex (including gender identity and gender expression), color, religion, creed, national origin or ancestry, age, marital status, disability, sexual orientation, height, weight, or Vietnam era veteran status. Social work students are expected to comply with all applicable laws and University policies prohibiting unlawful discrimination.
12.14 Inappropriate Relationships
Engaging in inappropriate conduct or relationships, including those of a romantic or sexual nature, with faculty members, staff members, or clients. Inappropriate conduct or relationships do have the potential to pose risk to the participants or third parties; create conflicts of interest; or lead to unfair advantage or disadvantage to the participants or third parties. Students are expected to comply with the University's policies on appropriate relationships with faculty and staff members.
12.15 Retaliation
Engaging in harmful behavior toward another for reporting violations of this Code or participating in the hearing or appeals process outlined herein.
12.16 Making False Accusations
Falsely accusing a faculty or staff member or another student of violating this Code. Knowingly undermining or sabotaging another student's or faculty member's academic work, research, or professional opportunities.
12.17 Violation of University Policies
Violating University policies governing student conduct.
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13 The Social Worker's Code of Ethics
13.00 Adoption of the NASW Social Worker's Code of Ethics for Professional Conduct
Social work students are expected to conduct themselves in all aspects of their school activities in a manner consistent with the Code of Ethics of the National Association of Social Work. Students who do not adhere to the Code of Ethics may be reviewed by an academic misconduct hearing panel.
NASW Code of Ethics
NASW Code of Ethics Overview
Approved by the 1996 NASW Delegate Assembly and Revised by the 1999 NASW Delegate Assembly
The NASW Code of Ethics is intended to serve as a guide to the professional conduct of social workers. This Code includes four sections. The first Section, "Preamble," summarizes the social work profession's mission and core values. The second section, "Purpose of the NASW Code of Ethics," provides an overview of the Code's main functions and a brief guide for dealing with ethical issues or dilemmas in social work practice. The third section, "Ethical Principles," presents broad ethical principles, based on social work's core values, that inform social work practice. The final section, "Ethical Standards," includes specific ethical standards to guide social workers' conduct and to provide a basis for adjudication.
If a student believes a social work member of NASW is in violation of this Code of Ethics, she/he can file a complaint with NASW. See the state chapter for instructions at http://www.naswdc.org .
http://www.socialworkers.org/pubs/code/default.asp
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14 Definitions
14.00 Violations of The Code of Academic and Professional Conduct
The School of Social Work and the University community view academic or professional misconduct as extremely serious and as constituting grounds for sanctions including suspension or dismissal under appropriate procedures.
It is also recognized that the unacceptable behaviors described above are often indications that the student needs assistance. Each incident and each individual involved is unique, and all mitigating circumstances should be considered with each infraction.
14.01 Academic Misconduct
Nothing in this policy prevents a faculty member from assigning grades or course work that he/she determines to be appropriate as a result of an evaluation of a student's performance. When a faculty member determines that a student has engaged in academic misconduct, the faculty member may either file a charge of misconduct under this policy or exercise his/her authority with regard to assessing the student's performance in that course, such as assigning a failing grade, issuing an incomplete, or assigning additional course work for evaluation. Any student that feels that his/her performance was evaluated unfairly may appeal the grade or file a grievance (See Section Volume I, Section 17).
Faculty members are required to inform the Associate Dean for Educational Programs of all cases of academic misconduct that they resolve independently.
Students who are found responsible for academic misconduct are subject to disciplinary action up to and including dismissal from the School of Social Work, revocation of degree, or any other sanction deemed appropriate to address the violation. Examples of possible sanctions include:
1. Failing grade for an exam or assignment
2. Failing grade for the course
3. Restitution
4. Educational Project
5. Remediation or Service Project
6. Suspension
7. Withholding of degree
8. Rescinding of degree
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14.02 Professional Misconduct
Nothing in this policy prevents the School from employing temporary measures that are necessary to protect the safety or health of individuals or to maintain conditions compatible with the educational process. Similarly, this policy does not prevent the School from taking necessary administrative actions such as hold credits and library fines, as appropriate.
Students who are found responsible for professional misconduct are subject to disciplinary action up to and including dismissal from the School of Social Work, revocation of degree or any other sanction deemed appropriate to address the violation. Examples of possible sanctions include:
1. Oral or written disciplinary warning or reprimand
2. Requiring counseling as a condition of return to a program, course of study, or enrollment
3. Noting misconduct on a student's transcript
4. Requiring that a course or practicum experience be repeated
5. Requiring that additional coursework, research, or written assignment be completed
6. Restitution
7. Community service
8. Suspension
9. Expulsion
10. Withholding of degree
11. Rescinding of degree
14.03 Jurisdiction
Jurisdiction under these policies and procedures is as follows:
A. Jurisdiction over students enrolled in the Doctoral Program lies with the Horace H. Rackham School of Graduate Studies for charges related to academic misconduct. For charges related to professional misconduct during the course of studies leading to the MSW degree or charges not covered by the Rackham academic integrity policy, jurisdiction lies with the School of Social Work.
B. Jurisdiction over students who are or have been enrolled in social work courses as cognates from other schools and colleges within the University lies with those respective units. For students enrolled in dual degree programs between the School of Social Work and another School or College at the University of Michigan, jurisdiction lies with the unit(s) in which the alleged misconduct occurred.
C. In the event there is a dispute or lack of clarity about which school or college shall take jurisdiction, the Dean of the School of Social Work, in consultation with the General Counsel's Office and the head of any other interested unit, will decide which procedures to employ.
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14.04 Procedures for Processing Alleged Infractions of the Code of Academic and Professional Conduct
1. Associate Dean for Educational Programs ("Associate Dean"): The Associate Dean is responsible
for implementation of this Policy and may delegate his/her duties to another administrator. The Associate Dean or his/her delegate is responsible for representing the School at any hearing.
2. Committee: The Academic Concerns Committee shall hear matters related to academic and professional misconduct. The Associate Dean will not be present at misconduct hearings. All faculty members of the Academic Concerns Committee have voting privileges.
3. Respondent: The Respondent is the student who is charged with violating the Student Code of Academic and Professional Conduct. The respondent has the following rights:
a. The right to review all evidence considered by the Academic Concerns Committee.
b. The right to appear before and present evidence and witnesses to the Academic Concerns Committee.
c. The right to object to the participation of a member of the Academic Concerns Committee on the grounds that the person may be biased or unable to be fair or objective.
d. The right to be accompanied at the hearing by a personal advisor, who may be an attorney; however, the advisor may not participate directly in the proceedings, but may only advise the student. If the student so requests, the Academic Concerns Committee may ask a member of the faculty to serve as an advisor to the student.
e. Compliance by all participants in the proceedings with established policies regarding the confidentiality and retention of student records.
Reporting Suspected Infractions and Preliminary Procedures
1. Any person may report an infraction of the Student Code of Academic and Professional Conduct to the Associate Dean, providing details of the suspected academic or professional misconduct by a student. The charge or request for investigation must be signed and dated by the person making the allegation.
2. The Associate Dean or his/her delegate will make a preliminary investigation into the allegations. This investigation may include discussion with all parties involved and consultation with other appropriate persons. The Associate Dean or the delegate may discuss the charge with the student and the student's advisor.
3. The Associate Dean will dispose the charge in one of the following ways:
a. Refer the matter to the School Ombuds for informal resolution. The Associate Dean will notify the Respondent in writing that allegations of misconduct have been made against him/her and that the matter is being referred to the School Ombuds. If the Ombuds determines that the matter cannot be resolved informally, then it will be referred to the Ad Hoc Committee.
b. Refer the matter to the Academic Concerns Committee for resolution. The Associate Dean will notify the respondent in writing of the allegations made against him/her and the specific misconduct violations. The Associate Dean will also inform the student that the matter has been referred to the Academic Concerns Committee. Committee member names will be provided in the notice, and the student will be informed of his/her right to object to any
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SCHOOL OF SOCIAL WORK STUDENT GUIDE
member of the Academic Concerns Committee. This notice must also include a copy of this policy.
c. Dismiss the charge.
d. If the student admits responsibility for the misconduct, the Associate Dean may enter into an agreement with the student regarding appropriate sanctions. A sanctioning agreement or behavioral contract voluntarily entered into by the student is not appealable.
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14.05 The Hearing
1. The Chair of the Academic Concerns Committee will promptly notify the Respondent in writing of the time and place of the hearing, the names of the members who will hear the complaint, and his/her rights and responsibilities with regard to the Hearing, as provided in this Policy.
2. The hearing must be scheduled within 21 business days from the date that the Associate Dean referred the matter to the Academic Concerns Committee.
3. No later than seven business days before the Hearing, the Respondent must submit to the Chair: (a) any written response to be considered by the Academic Concerns Committee; (b) the names of any witnesses; (c) copies of any documents to be presented; (d) the name of any advisor and whether that advisor is an attorney, and (e) whether the Respondent objects to any member of the Academic Concerns Committee participating in the hearing.
4. If the Respondent objects to any member's participation in the hearing, the Associate Dean will decide whether or not to remove a member from the hearing. The decision of the Associate Dean regarding the composition of the panel is final and may not be appealed.
5. No later than three business days before the Hearing, the Chair of the Academic Concerns Committee must provide the Respondent and the Associate Dean copies of all documents submitted to the Academic Concerns Committee for consideration, including the initial written charge, the names of all witnesses, the names of any advisors and whether the advisors are attorneys.
6. The Respondent will have an opportunity to appear before the Academic Concerns Committee and present his/her case. The Respondent may review all documents considered by the Academic Concerns Committee, question all adverse witnesses, offer documentation, and present witnesses.
7. The hearing will be closed to the public and will be recorded by electronic means. All recordings of the hearing will be controlled by the School of Social Work. No court reporters, stenographers, videographers or similar professionals are permitted without the prior consent of the School of Social Work. The Respondent may request a copy of the recording.
8. The Chair of the Committee will preside over the hearing. The Committee is not bound by legal rules of evidence and may limit testimony based on redundancy or lack of relevancy.
9. The Committee may elect to invite University Counsel to attend the hearing. University Counsel may advise the Committee but may not otherwise participate in the hearing.
10 If the student fails or declines to appear at the hearing, the Committee may proceed to hear the case and make findings and recommendations without the student's participation.
11. The initial complainant may be asked to attend the hearing as a witness.
12. The Committee will deliberate in private, and such deliberations will not be recorded. The vote of the majority of the members of the Committee will determine whether the respondent is found responsible or not responsible for the alleged violation and will determine the appropriate sanctions. A finding that the respondent is responsible for an alleged violation will be made in the sound discretion of the Committee and based on the totality of the evidence presented.
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SCHOOL OF SOCIAL WORK STUDENT GUIDE
13. The Committee will prepare a final written report containing its factual findings, determination as to the respondent's responsibility for misconduct, and sanctions, if warranted. The Committee must submit its report to the Respondent and the Associate Dean within five business days of the hearing.
14.06 Appeal Procedures
1. Within ten business days after receiving the final report, the respondent or Associate Dean may submit a written appeal to the Executive Committee. The following are the only grounds for an appeal:
a. There were violations of established policies and procedures resulting in an inappropriate determination.
b. The sanctions are inappropriate in relation to the violation.
c. There is new evidence that was not reasonably available at the time of the hearing and should be considered.
Note: The Executive Committee may decline to consider any appeal that does not fall within one of these categories of error.
2. When an appeal is filed, the Dean will determine if the sanctions imposed by the Committee will stay in effect during the appeal process. The decision of the Dean is final.
3. The respondent may ask to appear before the Executive Committee regarding the appeal. It is at the discretion of the Executive Committee as to whether or not they will hear from the respondent. The Executive Committee will convene as soon as it is practical to review the merits of the appeal and will promptly notify the respondent, Chair of the Committee and Associate Dean regarding the date they have scheduled to consider the appeal.
a. In reviewing the appeal, the Executive Committee may request that individuals be present to present information relevant to the appeal.
b. If the respondent is asked to appear, he or she may be accompanied by an advisor, who may be an attorney. The advisor may not participate directly in the proceeding but may only advise the respondent.
c. The appeal will be closed to the public and will be recorded. The Executive Committee will deliberate in private and such deliberations will not be recorded.
d. The Executive Committee will issue its determination in writing to the respondent, the Chair of the Committee and the Associate Dean within 10 business days of the meeting to review the appeal. The decision of the Executive Committee is final.
4. The appeals process is not designed to provide for another hearing. The appeals process is designed to provide for a review of possible errors. If the appeal does not fall within one of the categories of error, the Executive Committee may decline to review the appeal and the Determination of the Committee will be final.
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14.07 Confidentiality and File Retention Policy Related to Academic Concerns and Professional Misconduct Procedures
All records and information provided as part of the academic concerns and professional misconduct procedures must be treated in a confidential manner and may only be shared in a matter that is consistent with the School's and the University's student records policies.
All documents and testimony recorded and reviewed in the hearing of the Academic Concerns Committee and all materials related to appeals will be forwarded to the Associate Dean for Educational Programs for filing and will be considered a part of the student's academic file.
14.08 Policy on Waiver of Deadlines for Review and Appeal Process
All deadlines related to review and appeal process may be waived, at the discretion of either the Associate Dean, the Chair of the Committee, or the Executive Committee, as provided in this policy. Requests for extensions or waiver of deadlines will be submitted to the appropriate person, depending on the stage of the process. In addition, the Associate Dean, the Chair of the Committee or the Executive Committee may, on their own initiative, alter deadlines when it is in the best interest of all parties to do so. For example, deadlines may be adjusted during the summer in order to adjust for various scheduling changes.
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15 Academic Standing and Academic Difficulty
15.00 Policy on Conditions Placing Students on Academic Probation
A student is automatically placed on academic probation when she/he fails to maintain good academic standing. Failure to maintain good academic standing is defined as:
(1) having less than a B average (below an overall 5.0 GPA)
(2) having accumulated 9 credit hours of incomplete grades,
(3) having a grade of U in Field Instruction,
(4) having a grade of marginal in Foundation Field Instruction (515) or Advanced Field Instruction (691).
In cases of initial automatic academic probation, the student is informed by letter. The letter details the reasons for the probation and notifies the student of her/his responsibility to develop an academic plan with her/his advisor in order to remove the probation status. The plan is forwarded to the Associate Dean for Educational Programs for approval. The plan must include specific dates for assessing the student's progress during the semester. If the plan requires notification of certain instructors (e.g., the need to finish an incomplete by a certain date or do extra work to improve a grade), the Associate Dean notifies the instructors. The approved plan is placed in the student's record with copies forwarded to both the student and the advisor. If the plan is not approved, the student's status would be reviewed by the Academic Concerns Committee. As appropriate, the advisor shall consult with the Office of Student Services regarding any special services the student may need.
15.01 Academic Difficulty Procedures
The Academic Concerns Committee reviews students in academic difficulty and has the authority to disenroll students or allow them to continue in a probationary status. The following situations are subject to review by the Academic Concerns Committee:
a. Students who fail to file a plan or do not have approved plans to remove their probationary status.
b. Students who receive U grades for any portion of field instruction or a grade of marginal for advanced field instruction.
c. Students who fail to maintain good academic standing for two consecutive terms of enrollment.
If the Academic Concerns Committee recommends dismissal from the School and the only method of returning to School is reapplication, the student must submit a written request for review of the dismissal decision within two weeks of being notified of the Committee's dismissal recommendation. The Executive Committee will then meet within two weeks to consider the case. At this meeting, the student is permitted to present his or her position fully and freely. The student also may be accompanied by his or her faculty advisor or another Social Work faculty member chosen by the student, and that faculty member may speak on the student's behalf.
Students who do not adhere to the Social Work Code of Ethics, do not follow fieldwork site policy and procedures, or do not conduct themselves in a professional manner in their field instruction or in the classroom may also be reviewed for academic or professional misconduct.
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15.02 Registration for Subsequent Terms for Students on Academic Probation
Before the date for early registration for the subsequent term, the student's advisor is required to submit a brief report to the Associate Dean for Educational Programs indicating the student's progress. If the student's progress is satisfactory, he/she will be permitted to register with the approval of the advisor. If the approved plan has not been followed, the student will not be allowed to register early. Students who remain on academic probation for a second term are also not permitted to take part in early registration for the subsequent term. If students in either of these situations do participate in early registration, they will not be permitted to attend class until the matter is reviewed by the Academic Concerns Committee.
15.03 Failure to Remove Probationary Status
If a student fails to resolve his/her probationary status, the Academic Concerns Committee will hold a hearing that may include the student's advisor or another faculty member of her/his choice, the student, the Assistant Dean for Student Services, and others who may have information relevant to the student's progress. The committee decides whether to continue the probationary status or to disenroll the student.
If the committee decides to continue probationary status, it will specify a plan of action with an explicit timetable that must be communicated to all the parties involved, including the various instructors. The faculty advisor is responsible for implementing the plan and informs the Associate Dean for Educational Programs regarding its implementation. It is expected that the relevant instructors will not undertake any independent action without prior consultation with the faculty advisor and the Associate Dean.
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16 Student Rights and Student Records at the School of Social Work
16.00 Students Rights and Student Records at the School of Social Work
Students may serve on all standing committees of the School with the exception of the Executive Committee, the Academic Concerns Committee, and the Institutional Review Board (which provides technical review of research and training proposals). Participation is on a 50% student/50% faculty basis, plus an additional faculty member who serves as chairperson and votes in case of a tie. The Faculty Search Committee may include one student enrolled in the master's degree program and one student enrolled in the doctoral degree program. The Social Work Student Union appoints and coordinates master's student membership on School Committees, and the Doctoral Student Organization appoints and coordinates doctoral student membership on School committees.
Course evaluations are completed by students in all courses offered by the School each term. Students also complete routine evaluations of advisors, liaisons, and the field instruction experience. Additionally, students complete foundation year and exit surveys that address the overall curriculum objectives.
Students can view course evaluations by accessing a website sponsored by the School and The Student Union at https://www.ssw.umich.edu/evaluations/.
Student Records
Student records are regarded as confidential and are maintained by the School primarily to benefit students in their educational and professional advancement. Students have access to their educational records through the Office of Student Services according to the following policies and procedures governing student records.
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16.01 School of Social Work Statement of Student Rights
In accordance with the recommendation of the Council on Social Work Education, the School has developed and approved the following statement of student rights:
1. The right to be free of prejudiced or capricious academic evaluations.
2. The right of students to organize in their own interests as students.
3. The right to have representation and participation on standing committees of the School.
4. The right of students, individually or in association with other individuals, to engage freely in off-campus activities, exercising their rights as citizens of community, state, and nation. Students shall not claim to represent the School of Social Work or the University formally unless authorization has been obtained.
5. The right to establish and issue publications free of any censorship or other pressure aimed at controlling editorial policy, with the free selection and removal of editorial staff reserved solely to the organizations sponsoring those publications. Such publications must not claim to represent the School of Social Work or the University unless authorization has been obtained.
6. The right of recognized student organizations to use School of Social Work meeting facilities provided the meeting facilities are used for the purpose contracted, subject only to such regulations as are required for scheduling meeting times and places.
Reservations for School of Social Work Student Organizations
School of Social Work organizations registered as Sponsored Student Organizations (SSO) or Volunteer Student Organizations (VSO) with MSA and registered with OSS may utilize space in the School of Social Work. To make a request, students must send an email to studentroomrequests@umich. edu at least two weeks prior to the event. The request should include the following information:
*
Purpose of the reservation
needed attending
* Time that the room is
* Number of people
* Preferred Room
* AV needs
* Any other information that
is pertinent to the room reservation.
Reservations will be assigned in order to allow the largest number of students to utilize the space as possible. Please email email@example.com at the earliest date possible if you need to cancel your reservation.
Reservations for Individual Usage
MSW and undergraduate students completing the CASC minor may reserve rooms B742 and B710 in the School of Social Work during open building hours. To make a request, students must send an email to firstname.lastname@example.org at least one week prior to the event. The request should include the following information:
*
Purpose of the reservation
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needed attending
* Time that the room is
* Number of people
* Preferred Room
* AV needs
* Any other information that
is pertinent to the room reservation.
Reservations will be assigned in order to allow the largest number of students to utilize the space as possible. Individual students will need to send separate reservations each week for standing meeting requests (i.e. reservations during the same time/date each week). Please email email@example.com at the earliest date possible if you need to cancel your reservation.
Using B742 & B710 Without a Reservation
MSW and CASC minor students may use rooms B742 & B710 on a first come, first served basis when they are not reserved. To utilize the room, go to the atrium level information desk to request access. These rooms will eventually have a keypad on the door. The code to the room will be emailed to all MSW and CASC students. To request the code, email firstname.lastname@example.org. Students are asked to share the room and limit usage to a maximum of 2 hours. The room must be vacated if a student or group has reserved the room.
Reservations for Doctoral Students
Doctoral students may utilize space in the School of Social Work. To make a request, Doctoral students should utilize the SharePoint reservation system. If you need assistance utilizing SharePoint, send an email to email@example.com.
Reservations for Field Placement Related Activities
Request for usage of space in the School of Social Work related to student field placements must be
16.02 Policies and Procedures Governing Student Records
Student and alumni records are maintained by the School of Social Work, in compliance with the federal Family Educational Rights and Privacy Act of 1974. With specific and limited exceptions, noted below, the following principles shall serve as guidelines:
a. The School will maintain identifiable records or parts thereof only for that period reasonably necessary to serve a basic official function; and while so maintained, such information will not be shared beyond those implementing its original purposes.
b. Information contained in the records will be available to sources outside the University only when authorized by the student or authorized by law.
d. Students shall have reasonable access to their records insofar as that access does not violate the rights of others, in keeping with the University's policy on "Student Rights and Student Records."
e. Data maintained solely for research purposes should not be identifiable as to person.
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Academic and Professional Policies Student Rights and Student Records at the School of Social Work
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16.03 Procedure for Access to Student Records
Any current or former student in the School of Social Work can obtain access to his/her educational record at the Office of Student Services by written request. Address written requests to Michelle Woods, the Freedom of Information Officer, at firstname.lastname@example.org. The right to access includes the right to obtain copies of records at a cost to the student An appointment is not necessary if you are requesting copies of records. However, an appointment may be necessary for students and alumni to sit and review materials in person.
16.04 Public Information
Certain data from student and alumni records is deemed as public information and may be disclosed freely, unless the student indicates in writing to the University Registrar a specific prohibition for the release of such information. Such public information consists of name, home and local address, telephone number, school, class level, major field, dates of attendance, date of actual or anticipated graduation, degree(s) conferred, honors and awards received, participation in recognized activities, and previous school(s) attended.
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Academic and Professional Policies Student Rights and Student Records at the School of Social Work
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17 Student Grievances
17.00 Process Governing Student Grievances
The School of Social Work wishes to resolve all student grievances. The Student Grievances Process shall be followed when concerns or issues arise regarding a course or instructor. The Student Grievances Process is a sequential four-step course of action: (a) students shall meet with the instructor to attempt to resolve the matter; (b) should the matter remain unresolved, students shall seek out their faculty advisor for guidance and potential mediation; (c) should further problems still exist, students shall consult with the Associate Dean for Educational Programs; (d) only in extenuating circumstances or when students have followed the aforementioned process and the matter remains unresolved should student grievances be heard by the Academic Concerns Committee.
The Academic Concerns Committee hears student grievances under the following policies and procedures. Within two weeks of receipt of a written intent to grieve, the Committee Chair will acknowledge receipt of the grievance and clarify that the Committee shall be authorized to act by majority vote of a quorum of four or more members.
Jurisdiction
The procedures herein prescribed shall be available to students currently enrolled in the School of Social Work or former students within one month of their graduation or disenrollment. Grievances shall be filed in a timely manner - generally within one month of the situation prompting the grievance. When longer periods have passed, the grievant may be asked to sufficiently explain the latency of the complaint prior to the Committee accepting jurisdiction. These procedures shall be available with respect to complaints including, but not limited to, those that allege (a) a violation of rules and regulations of the School of Social Work; (b) unfair, unreasonable, or otherwise improper rules or regulations of the School of Social Work; (c) discriminatory or capricious grading practices or Field Instruction evaluations.
It is recognized that there may be complaints with regard to institutional administrative relations rather than specific individual grievances. The Committee shall not have jurisdiction over these matters. Such cases may include: (a) matters concerning relations between the School administration and community fieldwork sites; (b) matters concerning relations between the School and the University administration; (c) matters concerning relations between the School and other departments within the University complex.
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Academic and Professional Policies Student Grievances
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17.01 Procedures Governing Student Grievances
Respect to any matter properly submitted to it. Grievances shall be made by written communication addressed to the Chairperson of the Committee. The letter should indicate the specific nature of the grievance, list all other administrative remedies pursued by the grieving party with respect to the complaint, and the solution the aggrieved is seeking. The complaint may be returned to the grieving party for further specification or clarification. If the grievance has not been filed in a timeline consistent with guidelines, the grievant should explain the reasons for the delay. Written statements submitted to the Committee will become part of the Committee record. These procedures do not preclude informal exploration by the student with the Chairperson or member of the Committee regarding matters which may fall within the jurisdiction of the Committee.
Upon receiving a grievance, the Academic Concerns Committee shall make an initial determination based upon such investigation as deemed appropriate, whether (a) the complainant has not exhausted all other appropriate and viable remedies within the School (e.g., through the other party, the adviser, the Dean's office); (b) the subject matter of the complaint falls outside the jurisdictional scope of these procedures as hereinafter defined; or (c) the complaint is frivolous or lacking in merit. The Academic Concerns Committee will decline to assume jurisdiction if it concludes that one of these conditions exists.
If the Academic Concerns Committee concludes that it should take jurisdiction, written notice to this effect shall be given to the aggrieved, the party or parties against whom the grievance is filed, and the Dean's office. Except for necessary communications between the Committee, the principal parties to the grievance, and the Dean's office, all written documents submitted and testimony taken by the Committee shall be retained as confidential materials. Such records shall, however, be available to principal parties of the grievance.
17.02 Powers of the Academic Concerns Committee
A variety of procedures and courses of action shall be available to the Academic Concerns Committee in any matter over which it has taken jurisdiction. The Committee shall have the right to obtain from administrators, the aggrieved, and the party or parties grieved against information or data relevant to the complaint. Procedures shall include: (a) informal mediatory efforts; (b) informal or formal, usually private, hearings during which the aggrieved and the party or parties grieved against will have the opportunity to present their positions; and (c) advisory findings and recommendations on the merits of the protest of complaint. In addition, the Committee is authorized to bring the matter to the attention of the Dean if it decides such action is warranted.
17.03 Records Related to Academic Concerns Committee Processes
All records of closed cases shall be retained in a separate file in the Dean's office and shall be opened only upon authorization of the Committee; such records shall be destroyed after three years from the date of closure. No notation regarding the grievance shall be made in the student's regular record nor in the faculty employment records unless authorized by the Dean in order to carry out the recommendations of the Committee.
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Academic and Professional Policies Student Grievances
1 Academic and Professional Policies
18 Financial Aid Policies
18.00 Financial Aid Policies
Financial aid decisions are made by the Office of Student Services, the Recruitment, Admissions and Financial Aid (RAFA) Committee, the Alumni Board of Governors and/or the Office of Global Affairs (OGA) based on priorities established by the School of Social Work Governing Faculty and the requirements of a particular grant or scholarship. Financial Aid from the School of Social Work is typically limited to full-time students. For financial aid purposes, full-time refers to a degree-seeking student registered for 12 or more credit hours per term.
Information is disseminated regularly to students by the Office of Student Services regarding the application process and deadlines for application. It is the student's responsibility to utilize this information and ensure that all required materials are submitted to the appropriate offices in accordance with any stated deadlines.
Financial aid funding for the MSW Program is typically limited to four terms (three terms for students with Advanced Standing status). NOTE: Students pursuing dual degree programs typically cannot receive financial aid awards from both schools/departments simultaneously. The School of Social Work typically provides a maximum of three terms of financial aid for dual degree students. Advanced Standing students may be limited to two terms of School of Social Work grants/scholarships, if enrolled in a dual degree program. Each school has separate financial aid application procedures, eligibility criteria, and award allocations; therefore, it is important that students plan their dual degree enrollment well in advance of deadlines for financial aid and keep both schools' financial aid offices informed of enrollment plans.
18.01 Financial Aid Appeal Process
a. A student who feels an error has been made or policy misapplied in a particular case can bring the matter to the attention of the Assistant Dean of Student Services through a written request for a revision of the financial aid award or decision. Students are notified of this revision process each academic year.
b. If a student is dissatisfied with the determination regarding a revision request, the matter may be brought before the Associate Dean for Educational Programs for further consideration. The Associate Dean will consult with the Recruitment, Admissions, and Financial Aid Committee regarding any policy matters that cannot be resolved by the Associate Dean. It is anticipated that only on a rare occasion will the Associate Dean need to consult with the faculty/student committee for advice.
c. Should the student believe that he or she has been treated in an arbitrary, capricious, or discriminatory manner with regard to financial aid decisions, the student may contact the Dean's office.
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Academic and Professional Policies Financial Aid Policies
1 Academic and Professional Policies
19 Students with Disabilities - Relevant Policies
19.00 Policies Related to Students with Disabilities
The University of Michigan complies with federal and state laws which affect qualified persons with disabilities. It is the policy and practice of the School of Social Work to provide equitable educational opportunities for students with documented disabilities in all programs and activities, including internships or field placements. Students with disabilities who require academic accommodations are encouraged to contact their instructors at the beginning of the semester to discuss their specific needs.
The University's Office of Services for Students with Disabilities (SSD) provides assistance regarding academic, economic, social, and recreational activities to students who have documented disabilities. Supportive services available through SSD include assistance with classroom accommodations, volunteer readers and note takers, sign language and oral interpreters, accessible transportation, orientation and registration assistance, special scholarships, and aids for reading and studying, such as Braille and large print materials, Assistive Technology, and telecommunication devices for the Deaf and Hard of Hearing. SSD coordinators also serve as intermediaries and advocates for students with disabilities.
To register or find out more about services, contact Services for Students with Disabilities, G664 Haven Hall, Ann Arbor, MI 48109-1045, (734) 763-3000 or visit http://www.umich.edu/~sswd/.
Students with disabilities may also contact Nyshourn Price (email@example.com) or Lauren Davis (firstname.lastname@example.org) in the Office of Student Services at (734) 764-3309 or Warren Clark (email@example.com) at (734) 647-9433 for field related questions.
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Academic and Professional Policies Students with Disabilities - Relevant
Policies
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20 Specific Field Instruction Policies
20.00 Exemption from Foundation Field Instruction for BSW without Advanced Standing
Students with BSW from a CSWE accredited program, who did not receive advanced standing status, may apply for an exemption from a portion of the requirements for Field Instruction. A maximum of 3 credits of field instruction representing Foundation Field Instruction and Field Seminar (SW 515 and 531) may be filled by such an exemption, thereby reducing the required Field Instruction hours to 12 and increasing electives by 3 credits. The School of Social Work will consider field coursework that was graded by letter, narrative evaluation, Pass/Fail, Satisfactory/Unsatisfactory or other evaluative scales.
20.01 Transfer Credit Policy for Field Instruction
Foundation Field Instruction credits transferred to the University of Michigan cannot exceed the credits earned at another institution for foundation field instruction. The maximum credits transferred for foundation field instruction cannot exceed 3 credit hours.
If a student has earned more than 3 credit hours for Foundation Field Instruction, the remaining credits may be eligible for transfer to the University of Michigan as elective credit. No credit may be awarded toward Advanced Field Instruction regardless of the number of clock hours if the transferred credit is identified as Foundation Field Instruction.
Field instruction credits transferred to the University of Michigan as Advanced Field Instruction from another institution must be designated as Advanced Field Instruction by the other institution. A student may transfer up to 4 credits of advanced field instruction and 3 credits of foundation field instruction to cover field requirements.
All students must complete a minimum of 8 credits of Advanced Field Instruction at the University of Michigan.
Students should request that transcripts of transfer credit be sent to the School at the time of admission or when the course to be transferred is completed. The Transfer of Credit Request is located at http://www. ssw.umich.edu/programs/forms/TRCRSWnew.pdf .
20.02 Permission to Use Information in Video/DVD and/or Audio Cassettes for School of Social Work Instructional Course Assignment
Often times, graduate level social work students are enrolled in practice classes while they are completing a field placement. Professors/instructors may give these students assignments that involve the participation of clients at the fieldwork site. In order for client's to participate, permission must be obtained and documented. This 3 page form indicates that voluntary permission has been officially obtained from client participants with the acknowledgment and signature of the supervisory field instructor and/or fieldwork site representative.
A copy of the form is located at http://www.ssw.umich. edu/programs/msw/ofi/PermissionToTapeForInstructionalCourseAssignment%5B1%5D.pdf .
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Academic and Professional Policies Specific Field Instruction Policies
1 Academic and Professional Policies
21 University Policies
21.00 Presidential Policy Statement on Sexual Orientation, Codified in Standard Practice Guide
The University of Michigan believes that educational and employment decisions should be based on individual's abilities and qualifications and should not be based on irrelevant factors or personal characteristics which have no connection with academic abilities or job performance. Among the traditional factors which are generally "irrelevant" are race, sex, religion, and national origin. It is the policy of the University of Michigan that an individual's sexual orientation be treated in the same manner. Such a policy insures that only relevant factors are considered and that equitable and consistent standards of conduct and performance are applied.
To get help, to obtain further information, or to file complaints, please contact one of these offices: Office of Institutional Equity, 2072 Administrative Services Building, 1009 Greene Street, Ann Arbor, Michigan 48109-1281, (734) 763-0235; School of Social Work Affirmative Action Coordinator, Associate Dean for Educational Programs, Michael Spencer, Ph.D., or the Spectrum Center, 3200 Michigan Union, (734) 763-4186. http://www.spectrumcenter.umich.edu/
21.01 University of Michigan Nondiscrimination Policy Notice
The University of Michigan, as an equal opportunity/affirmative action employer, complies with all applicable federal and state laws regarding nondiscrimination and affirmative action, including Title IX of the Education Amendments of 1972 and Section 504 of the Rehabilitation Act of 1973. The University of Michigan is committed to a policy of nondiscrimination and equal opportunity for all persons regardless of race, sex, color, religion, creed, national origin or ancestry, age, marital status, sexual orientation, disability, or Vietnam-era veteran status in employment, educational programs and activities, and admissions. The University policy of nondiscrimination based on sex includes protection for gender identity and gender expression.
Inquiries or complaints may be addressed to the Senior Director for Institutional Equity and Title IX/Section 504 Coordinator, Office of Institutional Equity, 2072 Administrative Services Building, Ann Arbor, Michigan 48109-1432, (734) 763-0235, TTY (734) 647-1388. For other University of Michigan information call (734) 764-1817.
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Academic and Professional Policies University Policies
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21.02 University Policies Affecting Students
All Students are expected to become familiar with these policies and abide by the rules and regulations explicated in these policy statements. The relevant documents are found at:
http://www.studentpolicies.dsa.umich.edu
- Statement of Student Rights and Responsibilities
- Student Rights and Student Records
- Information Regarding Religious Holidays and Academic Conflicts
- Policy on Alcohol and Other Drugs
- Emergency Mental Health Withdrawal and Readmission
- Sexual Assault Policy
- Faculty-Student Relationships
- Employee-Student Relationships
- Sexual Harassment Policy
- Statement on Freedom of Speech and Artistic Expression
- Smoking on University Premises
- Scheduled Use of the Designated Outdoor Common Areas
- Dance Party Policy Overview
- University Policy Against Hazing
- Parking Permits and Options
- Information Technology Policies and Guidelines
- Permission to use Information in Video/DVD and/or Audio Cassettes for School of Social Work Instructional Course Assignments Form.
- Permission for Class Assignments that Involve Data Collection Efforts with Social Work Students, Faculty, or Staff.
21.03 Campus Safety Statement
Each year, the University of Michigan prepares an "Annual Security Report" and publishes it in the Campus Safety Handbook. The report, which is issued each October 1, contains detailed information on campus safety and security policies, procedures, and programs, including information on: emergency services, security telephone numbers, sexual assault policy, stalking laws, handling obscene phone calls, sexual harassment policy, dealing with workplace violence and threats, police agencies, health services, counseling services, safe transportation after dark, safety tips, and alcohol and drug policies and programs. The report also includes statistics concerning crimes on campus. If you would like to receive a complete copy, visit the University of Michigan Department of Public Safety website at http://www.police. umich.edu/ or call (734) 763-3434 for Administration Offices or (734) 763-1131 for Non Emergencies.
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Academic and Professional Policies University Policies
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21.04 University Policies Related to Harassment and Discrimination
It is University of Michigan policy to maintain an academic and work environment free of sexual harassment for students, faculty, and staff. Sexual harassment is contrary to the standards of the University community. It diminishes individual dignity and impedes equal employment and educational opportunities and equal access to freedom of academic inquiry. Sexual harassment by a student, staff member, or faculty member is a barrier to fulfilling the University's scholarly, research, educational, and service missions. It will not be tolerated at the University of Michigan.
The University of Michigan strives to create a community of and for learners. To do so requires an environment of trust and openness. Discrimination is unacceptable. Such behavior threatens to destroy the environment of tolerance and mutual respect necessary in a university setting. At the University of Michigan and the School of Social Work, it is "unacceptable to discriminate, harass, or abuse any person because of his or her race, religion, ethnic group, creed, sex, age, ancestry, marital status, sexual orientation, or physical handicap." The University offices that handle complaints of discrimination and complaint procedures related to sexual harassment and other forms of discriminatory harassment are found in the University's Policies Affecting Students at http://www.umich.edu/~oscr .
Students are encouraged to seek assistance and report complaints to the University offices listed in the policy statements, or to contact the School of Social Work's Affirmative Action Coordinator (Associate Dean Ruth Dunkle or the School of Social Work's Sexual Harassment Officers, Rich Tolman or Associate Dean Ruth Dunkle).
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Academic and Professional Policies University Policies
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21.05 University Policies Addressing Faculty-Student Relations
The School subscribes to the policies regarding student-faculty relations found in Chapter 11 of the University of Michigan Standard Practice Guide. University's Faculty Handbook, which can be found at http://spg.umich.edu/pdf/601.22.pdf .
Faculty are expected to be available for consultation with students, to respect the civil and institutional rights of students, to deal equitably and fairly with them in academic matters, to support students in their own development within the University community, and to set a high example in professional conduct both with respect to personal and corporate responsibilities and with respect to modes of dealing with ethical issues. Faculty are also expected to understand and comply with provisions made for participation by students in campus decision-making both University-wide and within the subordinate units. (Social work students are encouraged to participate in several student-faculty committees that make policy recommendations to the School's Governing Faculty. The Social Work Student Union coordinates student participation on these committees.)
The School of Social Work's Faculty Handbook also speaks to student-faculty relationships. Faculty are expected to be aware that their positions of authority, their identity as experts and as role models, and the general deference with which students relate to them can give a faculty member great power and influence over students. Thus, relationships with students outside the academic context must be treated with special caution, care, and professional integrity.
Financial transactions between faculty and students are discouraged. Any financial transactions between faculty and social work students must be approved by the Dean.
Faculty members shall not accept students in the School of Social Work as social work clients.
The University's policy on sexual harassment applies to faculty-student relationships. The relationship between faculty and adult students, however complex it may be, is ultimately and structurally asymmetrical. Like any professional relationship, it rests upon a special form of trust and reciprocal respect. Sexual relationships between faculty members and students risk diminishing or even voiding this trust and respect. Moreover, the asymmetry of this relationship means that any sexual relationship between a faculty member and a student is potentially exploitive and should be avoided.
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Volume 2 MSW Curriculum
MSW Curriculum SSW Mission
2 MSW Curriculum
1 SSW Mission
1.00 School of Social Work Mission
The mission of the School of Social Work is to:
1. Educate graduates for advanced social work practice and lifelong professional growth and development.
2. Prepare graduates to serve society at the local, state, national and international levels.
3. Promote social and economic justice, empowerment and eliminate oppressive social conditions.
4. Create and disseminate, through research and knowledge building, social innovations using interdisciplinary problem-solving efforts.
In considering social work as a profession, applicants should also consider the primary mission of the social work profession, spelled out in the National Association of Social Work Code of Ethics:
The primary mission of the social work profession is to enhance human well-being and help meet the basic human needs of all people, with particular attention to the needs and empowerment of people who are vulnerable, oppressed and living in poverty. A historic and defining feature of social work is the profession's focus on individual well-being in a social context and the well-being of society. Fundamental to social work is attention to the environmental forces that create, contribute to and address problems in living.
The School of Social Work admits students into the MSW program (accredited by CSWE) through three primary program tracks: 16-month, 20-month, and 12-month Advanced Standing. These tracks are designed to provide flexibility for students to engage in full-time study. In addition, for a limited number of students, the School offers an extended degree, or a fifth term option (fourth term for Advanced Standingeligible students).
Students can concentrate in one of four Practice Method areas (Community Organization, Interpersonal Practice, Management of Human Services, Social Policy and Evaluation) and one of five Practice Areas (Aging in Families and Society, Children and Youth in Families and Society, Community and Social Systems, Health, Mental Health).
Education is not restricted to the formal classroom environment. Most classes range in size from 10 to 35 and offer students an opportunity to learn from each other as well as the instructor. Informal "brown bag" seminars, special studies, community lecturers and workshops run by leaders of local and national stature greatly expand students' educational opportunities, both within the School and throughout the University.
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MSW Curriculum SSW Mission
2 MSW Curriculum
2 SSW MSW Degree Requirements
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MSW Curriculum SSW MSW Degree Requirements
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2.00 The Master's of Social Work Degree Requirements
In order to graduate the student must fulfill the following requirements:
1. Maintain good academic standing. That is, a grade average of "B" (GPA 5.000) must be achieved and overall performance must be satisfactory in classroom-based and field instruction courses.
2. MSW degree students must complete all requirements for the degree within four (4) years of first enrollment as a degree candidate in the University of Michigan School of Social Work. If that time limit is exceeded, the student, with the approval of the faculty advisor, must petition the Associate Dean for Educational Programs for an extension, giving reasons for the request, justifying the contemporary relevance of any work taken more than six years prior to the expected degree date, and submitting a plan for the completion of the remaining work. The student may be required to take additional examinations and/or an additional amount of coursework.
3. Enroll for a minimum of two terms in full-time residence (nine or more credits in courses per term, including Field Instruction).
4. Satisfactorily complete 60 credit hours unless Advanced Standing has been granted, in which case credits may be reduced to 45 hours. The distribution of required courses varies according to the choice of Practice Method and Practice Area concentration.
Note that under no circumstances can a student complete the MSW program with fewer than 30 University of Michigan School of Social Work credit hours. In rare cases, a student may have a maximum of 30 graduate social work credits that are eligible for transfer from another accredited graduate social work school. For additional information on transfer credits, students can refer to the appropriate section in this guide.
In order for the Office of the Registrar to evaluate whether a student has met the requirements for the MSW degree, the student is required to submit a degree/diploma application. The application is submitted online through Wolverine Access and must be submitted before any degree can be awarded.
It is the Office of the Registrar's responsibility to confirm that your academic record reflects that your degree requirements have been met. This does not necessarily include informing you if they are not as that responsibility lies with you, the student. However, as a courtesy the Registrar does reach out to you when potential problems in meeting requirements are evident. This contact is almost always via the student's University of Michigan e-mail account.
Submission of the degree/diploma application (done on-line via Wolverine Access) by the following dates will permit the Registrar, as a courtesy to the student, to perform an audit of the student's graduation requirements prior to the end of the drop/add period for the final term in which the student expects to be enrolled. This audit is designed to avoid last-minute problems in meeting graduation requirements. The deadline dates are as follows:
- December graduation: August 1;
- May graduation: November 1;
- August graduation: March 15 (February 1 if students wish to have their names appear in the
University May Commencement Program Publication, as there is no August publication.)
Degree/diploma applications submitted after these dates may affect student's early registration appointment times for upcoming terms, may result in a late audit of degree requirements and if a problem arises at a late date, may delay the award of the degree, and can delay the receipt of the diploma. It is the student's responsibility to submit a degree/diploma application; to be aware of what their degree requirements are, and to fulfill them in a timely manner. The appropriate Course Planning Worksheet and this Student Guide are the resources the student should utilize for this purpose. They may be found at http://ssw.umich.edu/studentGuide/.
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MSW Curriculum SSW MSW Degree Requirements
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MSW Curriculum SSW MSW Degree Requirements
2 MSW Curriculum
3 Foundation Requirements
3.00 Foundation Course Content
The foundation curriculum is organized to address the eight key foundation content areas. Demonstrating competence in these content areas prepares students for the advanced concentration curriculum in their selected Practice Method and Practice Area.
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MSW Curriculum Foundation Requirements
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3.01 Foundation Curricular Educational Objectives
Using a generalist social work practice perspective, students will:
- Apply knowledge of critical and creative thinking within the context of professional social work practice.
- Describe the value base, ethical standards, and principles of the social work profession and their application to social work practice.
- Practice without discrimination and with respect, knowledge, and skills related to clients' age, class, color, culture, ability, ethnicity, family structure, gender, marital status, national origin, race, religion, sex, and sexual orientation.
- Identify the major forms and mechanisms of oppression and discrimination and strategies to advance social and economic justice.
- Identify the major milestones in the history of social welfare and their relationship to the social work profession and contemporary structures and issues.
- Use a bio-psycho-social, strengths-based, multi-system perspective to guide social work assessment and intervention efforts with client systems.
- Use theoretical frameworks supported by empirical evidence to describe individual development and behavior across the life span and the interactions among and between individuals, families, groups, organizations, and communities.
- Analyze, formulate, and advocate for changes in social policies.
- Evaluate research studies, apply research findings to practice and integrate evaluation measures into practice interventions.
- Effectively communicate with and establish culturally appropriate collaborative relationships with individuals, families, groups and communities.
- Use supervision and consultation appropriate to social work practice.
- Assess the structure and processes of organizations and service delivery systems to identify necessary organizational change.
- Assess the structure and process of neighborhoods and communities to identify necessary changes.
- Evaluate the structure and processes of social policies on service delivery to identify necessary policy changes.
- Recognize when information is needed to inform professional decision-making and possess the skills required to locate, critically appraise, and apply information effectively.
3.02 Values and Ethics
In the foundation content area that centers on Values and Ethics, students focus on developing critical and creative thinking within the context of professional social work practice. Social work values and ethics are integrated through all of the foundation and advanced concentration courses.
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3.03 Diversity
The foundation content area of Diversity is addressed in all foundation courses. The faculty identified the following diversity dimensions as relevant for social work practice: client's age, class, color, culture, ability, ethnicity, family structure, gender, marital status, national origin, race, religion, sex and sexual orientation. Students explore how differences in identity, affiliation, and culture may lead to discriminatory practices and how to assess the intersectionality of individuals and groups in micro and macro practice. Students, through case studies and field work applications, examine ways to effectively communicate with and establish culturally appropriate collaborative relationships with individuals, families, groups, organizations and communities. In addition, students engaged in their field practicum are asked to reflect on the impact of multiculturalism and diversity on their practice setting.
3.04 Populations-at-Risk and Social and Economic Justice
The foundation content area of Populations-at-Risk and Social and Economic Justice is a cross cutting curricular theme and, as such, is addressed in every foundation course. In this content area, students learn to identify the major forms and mechanisms of oppression and discrimination as well as the strategies to advance social and economic justice.
3.05 Human Behavior in the Social Environment
The foundation content area Human Behavior in the Social Environment focuses on a lifespan approach to understanding micro, mezzo and macro theories that guide students' work with individuals, families, small groups, organizations and communities. Students learn to use theoretical frameworks supported by empirical evidence to describe individual development and behavior across the lifespan and the interactions among and between individuals, families, groups, organizations and communities. Students also critically evaluate organizational and societal structures, social policy structures, neighborhood and community structures and processes that seek to promote social and economic justice.
3.06 Social Welfare Policy & Services
In the content area of Social Welfare Policy & Services, students learn about the major milestones in the history of social welfare, how to critically analyze, formulate and advocate for changes in social policies, and how to evaluate the structure and processes of social policies on service delivery.
3.07 Social Work Practice
In the foundation content area of Social Work Practice, students gain generic social work practice skills to work with individuals, families, small groups, organizations and communities. Methods courses are designed to offer students content on theories and interventions related to work with individuals,groups, families, organizations, communities and society. The methods courses provide skills necessary to practice at multiple levels of intervention so that students are prepared to assess needs and devise strategies for intervention in a given situation. In addition, these courses cover a broad range of micro and macro theories which serve as underpinnings to the interventions.
3.08 Research
The foundation content area of Research provides the knowledge and skills needed to evaluate research studies, apply research findings to practice, and integrate evaluation measures into practice interventions. In applied class assignments, students learn to apply appropriate research designs and methodologies of the scientific method to social work practice issues which affect populations at risk.
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3.09 Field Instruction
The final foundation content area, Field Instruction, emphasizes the need for students to apply the learning from the other seven foundation content areas in an applied field work experience. Students use supervision and consultation to demonstrate the application of generalist skills in their fieldwork site at the micro, mezzo, and macro practice levels. Through field work educational agreements and a foundation field seminar, students demonstrate the foundation skills necessary to prepare them for advanced practice.
3.10 Foundation Courses
Foundation courses, encompassing the eight course content areas, are required of all students (unless exempted) and are prerequisites for advanced courses. Generally, foundation courses are completed during the first and second term of the program.
Required foundation courses (each worth 3 credits):
- SW 500 Human Differences, Social Relationships, Well-Being and Change Through the Life Course
- SW 502 Organizational, Community and Societal Structures and Processes
- SW 515 and 531 Foundation Field Instruction and Field Seminar
- SW 521 Interpersonal Practice with Individuals, Families and Groups
- SW 522 Basic Social Work Research
- SW 530 Introduction to Social Welfare Policy and Services
- SW 560 Management, Community Organization and Policy Practice
For full descriptions of these courses, please visit http://www.ssw.umich.edu/programs/classes/offerings. html .
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4 Dual Advanced Concentrations
4.00 Dual Advanced Concentrations (Practice Method and Practice Area)
The School's view of advanced practice concentrations is based on the idea that rapidly changing policies, emerging evidence-based practices, and dramatic changes in service delivery patterns and structures requires a graduate to be well-grounded in the methodologies of change as well as the contexts of practice. The advanced curriculum builds on the generalist foundation curriculum and provides students the choice of concentrating on one of four Practice Method Concentrations (Community Organization, Interpersonal Practice, Management of Human Services and Social Policy and Evaluation) and one of five Practice Areas (Aging in Families and Society, Child and Youth in Families and Society,Community and Social Systems, Health, and Mental Health).
Advanced practice in a Practice Method Concentration and Practice Area broadens and deepens foundation knowledge and skills, and enhances the specialized skills needed for students to know the how and why of their interventions.
All students in the School are required to complete a Practice Method Concentration in a Practice Area. A student's choice of the Practice Method Concentration and Practice Area determines which advanced courses are requirements for graduation.
The Practice Method Concentration focuses on theories and interventions related to practice with individuals, families, groups, organizations, communities and/or society.
The Practice Area focuses on selected contexts and domains of practice with particular attention given to specific policies, procedures and practices.
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MSW Curriculum Dual Advanced Concentrations
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5 Advanced Curriculum Objectives
5.00 Advanced Curriculum Objectives
Consistent with the School of Social Work's (SSW) focus on issues of privilege, oppression, diversity and social justice, these objectives aim to promote and sustain effective social work practice with diverse constituents in ways that recognize and honor similarities and differences, critique underlying assumptions and demonstrate an understanding of one's own and others' social classes, relationships and positions, as well as differences in power. As is true with all other social work professionals, the SSW emphasizes the use of critical self reflection grounded in social work ethics; these objectives require students to evaluate their own actions and consequences in order to promote social justice.
- To acquire knowledge and skills that social workers use to facilitate change by building on personal, interpersonal, community, organizational and/or societal strengths.
- To understand and be able to critique relevant theories and knowledge of human behavior and development used to guide practice.
- To apply practice models and emerging evidence based interventions that are inclusive of the experiences of individuals, groups, organizations or communities.
- To apply practice processes relevant to all phases (entry, engagement, assessment, planning, implementation and evaluation) of prevention and intervention.
- To use monitoring and evaluation methods to develop, refine and build on social work practice prevention and intervention knowledge at various system levels.
- To examine how historical and societal contexts influence policy and service delivery and articulate and apply this knowledge (e.g., culture, group memberships, global setting, environment and social positions within society) in work on individual, interpersonal, group, organizational or community dynamics.
- To examine how dimensions of power, privilege, oppression and difference may influence actions, perceptions, choices and consequences across system levels.
- To identify and work to change sources and mechanisms of injustice and promote vision(s) of social justice within specific practice contexts (i.e., locally, nationally and/or in global settings).
- To apply social work professional values and ethics, using guidelines such as NASW Code of Ethics.
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6 Practice Method Concentration
6.00 Practice Method Concentration
All students select a concentration from one of the four Practice Methods:
- Community Organization,
- Interpersonal Practice,
- Management of Human Services, or
- Social Policy and Evaluation.
Students are required to complete 6 credit hours of advanced course work in their Practice Method concentration to meet graduation requirements.
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6.01 Practice Methods Concentration in Community Organization
Community organization promotes social action and change at the community level, and the development of cohesion among formal and informal organizations and individuals. It involves helping people to improve their capacities to perform various community roles, articulate needs and mobilize resources.
Students concentrating in Community Organization complete four required methods courses including the two foundation courses (unless exempted): Interpersonal Practice with Individuals, Families and Small Groups (SW 521); and Management, Community Organization and Policy Practice (SW 560).
Methods Requirements for Community Organization:
The variety of methods courses offered permits students to focus on specific domains of activities within the practice of community organization.
Students must also complete two courses from the following list (each course is worth 3 credits):
Additional methods courses may be enrolled in to meet elective credit requirements.
Human Behavior in the Social Environment Requirement for Community Organization: All students will meet the HBSE requirement for Community Organization by completing SW 500 and SW 502 (unless exempted). Additional advanced HBSE courses may be enrolled in to meet elective requirements.
Note: The same course used to fulfill a Practice Method Concentration cannot also be used to fulfill a minor method requirement. Additionally if a course in the practice method category is used as a substitution for another degree required course (which is rare) that course cannot also be used to fulfill the Practice Method Concentration requirement or that of the optional minor.
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6.02 Practice Methods Concentration in Interpersonal Practice
This Practice Method addresses the restoration, maintenance and promotion of social functioning. The objectives of this method relate to adult individuals, children or small groups, and focus on the transactional relationship between persons and their social environment. The basic objective of the concentration is to offer students a well-integrated program of classroom and field instruction experiences that prepares them for professional social work.
Students concentrating in Interpersonal Practice are required to complete four methods courses, including the two foundation methods courses (unless exempted): Interpersonal Practice with Individuals, Families and Small Groups (SW 521), and Management, Community Organization and Policy Practice (SW 560).
The variety of methods courses offered permits students to focus on individuals, families, children, groups, or some combination of these.
Students must also complete two courses from the following list (each course is worth 3 credits):
SW 623 Interpersonal Practice with Families
SW 624 Interpersonal Practice with Groups
SW 625 Interpersonal Practice with Children and Youth
SW 628 Interpersonal Practice with Adult Individuals
Additional methods courses may be enrolled in to meet elective credit requirements.
Human Behavior in the Social Environment Requirement for Interpersonal Practice:
All students will meet the HBSE requirement for Interpersonal Practice by completing SW 500 and SW 502 (unless exempted). Additional advanced HBSE courses may be enrolled in to meet elective requirements.
Note: The same course used to fulfill a Practice Method Concentration cannot also be used to fulfill a minor method requirement. Additionally if a course in the practice method category is used as a substitution for another degree required course (which is rare) that course cannot also be used to fulfill the Practice Method Concentration requirement or that of the optional minor.
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6.03 Practice Methods Concentration of Management of Human Services
Students who concentrate in Management prepare for the management and direction of human service organizations to achieve goals as efficiently and effectively as possible within the framework of social work values. The concentration develops skills and/or knowledge in managing environmental relationships, program planning and development, information systems, fiscal management and evaluation, and organizational development.
Students concentrating in Management in Human Services complete four required methods courses including the two foundation methods courses (unless exempted): Interpersonal Practice with Individuals, Families and Small Groups (SW 521); and Management, Community Organization and Policy Practice (SW 560).
Methods Requirements for Management of Human Services:
The variety of methods courses offered permits students to focus on specific domains of activities within the practice of management.
Students must then complete two courses from the following list (each course is worth 3 credits):
Additional methods courses may be enrolled in to meet elective credit requirements.
Human Behavior in the Social Environment Requirement for Management in Human Services: All students will meet the HBSE requirement for Management of Human Services by completing SW 500 and SW 502 (unless exempted). Additional advanced HBSE courses may be enrolled in to meet elective requirements.
Note: The same course used to fulfill a Practice Method Concentration cannot also be used to fulfill a minor method requirement. Additionally if a course in the practice method category is used as a substitution for another degree required course (which is rare) that course cannot also be used to fulfill the Practice Method Concentration requirement or that of the optional minor.
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MSW Curriculum Practice Method Concentration
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6.04 Practice Methods Concentration in Social Policy and Evaluation
Students concentrating in Social Policy and Evaluation prepare to analyze, develop and implement social policy into operational plans for achieving social goals. The concentration also prepares students for assessing, analyzing and evaluating policies and programs.
Students concentrating in Social Policy and Evaluation complete four required methods courses including the two foundation methods courses (unless exempted): Interpersonal Practice with Individuals, Families and Small Groups (SW 521); and Management, Community Organization and Policy Practice (SW 560), as well as the advanced course Statistics in Policy Analysis and Evaluation (SW 673).
Methods Requirements for Policy and Evaluation
Additionally, students complete one course from the list below (each course is worth 3 credits):
SW 670 Analytic Methods for Social Policy Practice
SW 671 Social Policy Development and Enactment
SW 674 Community-Based Policy Advocacy
SW 685 Methods of Program Evaluation
Additional methods courses may be enrolled in to meet elective credit requirements.
Human Behavior in the Social Environment Requirement for Policy & Evaluation:
All students will meet the HBSE requirement for Social Policy & Evaluation by completing SW 500 and SW 502 (unless exempted). Additional advanced HBSE courses may be enrolled in to meet elective requirements.
Note: The same course used to fulfill a Practice Method Concentration cannot also be used to fulfill a minor method requirement. Additionally if a course in the practice method category is used as a substitution for another degree required course (which is rare) that course cannot also be used to fulfill the Practice Method Concentration requirement or that of the optional minor.
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7 Practice Area Concentration
7.00 Practice Area Concentration
All students must select a Practice Area concentration from one of the five Practice Areas:
-Aging in Families and Society
-Children and Youth in Families and Society
-Community and Social Systems
-Health
-Mental Health
Students complete nine credit hours of coursework in their Practice Area Concentration to meet graduation requirements. In addition, all students must complete the required SW 683 Evaluation course.
7.01 Aging in Families and Society:
This Practice Area prepares students to work in settings that serve older people and their families, including hospitals and outpatient clinics, senior centers, nursing homes, and planning and advocacy settings and organizations.
Practicing in this field involves working with individuals, families, groups and communities on issues such as care giving, retirement, coping with aging, social isolation and depression, substance abuse, death and/or bereavement.
Students concentrating in Aging in Families and Society are required to complete the following courses (each course is worth 3 credits):
SW 616 Adulthood and Aging;
SW 644 Policies and Services for the Elderly;
SW 694 Social Work with the Elderly.
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7.02 Children and Youth in Families and Society
This Practice Area prepares students to work in settings that serve children and adolescents and their families, including working in schools, recreational programs, family service fieldwork sites, juvenile justice systems, neighborhood organizations, prenatal clinics and/or family planning programs.
Practicing in this field involves working with individuals, families, groups and communities to provide education and interventions for prenatal care, infant and child development, adoption, foster care and family preservation services, child abuse and neglect, violence, substance abuse, family support, teen pregnancy and/or youth employment.
Students concentrating in Children and Youth in Families and Society are required to complete the courses listed below (each course is worth 3 credits):
SW 633 Children and Youth Services and Social Policies;
SW 696 Social Work Practice with Children and Youth
Additionally, students concentrating in Children and Youth in Families and Society are required to complete one of the following two courses (each course is worth 3 credits): SW 601 Adolescent Development and Behavior or SW 605 Infant and Child Development and Behavior Community and Social Systems.
7.03 Community and Social Systems
This Practice Area prepares students to work in settings that include grassroots, neighborhood and faithbased organizations; federal and state legislative and political bodies and offices; local and international community development operations; and educational and socialization organizations.
Practicing in this field involves working with individuals, families, groups, organizations and communities to influence laws, legislation and policies.
Students concentrating in Community and Social Systems are required to complete the following courses (each course is worth 3 credits):
SW 647 Policies and Services for Social Participation and Community Well-being;
SW 697 Social Work Practice with Community and Social Systems.
Additionally, students concentrating in Community and Social Systems are required to complete one of the following courses (each course is worth 3 credits): SW 611 Social Change Theories or SW 620 Contemporary Cultures in the United States.
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7.04 Health
This Practice Area prepares students to work in health care systems and settings, including public health and health promotion programs, as well as in primary care and long-term care settings, hospitals, healthrelated governmental agencies, community-based health services and health advocacy groups.
Practicing in this field involves working with individuals, families, groups, organizations and communities on issues such as health promotion and disease prevention, health promotion in the workplace, health education, treatment and rehabilitation, building community partners and social support, and/or health reform promotion.
Students concentrating in Health are required to complete the following courses (each course is worth 3 credits):
SW 613 Behavioral, Psychosocial and Ecological Aspects of Health and Disease;
SW 634 Health Care Policies and Services;
SW 699 Social Work Practice in Health Promotion and Disease Prevention.
7.05 Mental Health
This Practice Area prepares students to work in settings such as in-patient psychiatric settings, residential facilities, and community mental health and psychosocial rehabilitation programs.
Practicing in mental health settings involves working with individuals, families, groups and communities on issues related to the prevention and treatment of mental disorders, rehabilitation of individuals with severe and persistent mental disorders, substance abuse, and/or victims and perpetrators of violence.
Students concentrating in Mental Health are required to complete the following courses (each course is worth 3 credits):
SW 636 Mental Health Policies and Services;
SW 698 Social Work Practice in Mental Health.
Additionally, students concentrating in Mental Health are required to complete one of the following courses (each course is worth 3 credits): SW 606 Mental Health and Mental Disorders of Adults and Elderly or SW 612 Mental Health and Mental Disorders of Children and Youth.
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8 Field Instruction
8.00 Field Instruction
A student must earn 15 hours of Field Instruction credits in which 12 of the 15 hours must be Advanced Field Instruction credits (SW 691) in order to graduate. At least 8 hours of Advanced Field Instruction credits must be in the student's practice method concentration and practice area. These hours of Advanced Field Instruction credits may be used toward the student's minor or specialization (25% or 171 clock hours). Note: Foundation Field Instruction (SW 515 and 531) cannot be substituted for the student's minor or specialization Field Instruction credit requirements. Advanced Standing Students only need 12 hours of Field Instruction credits to graduate.
The Field Instruction Program is structured according to students' curriculum schedule. Please visit http: //ssw.umich.edu/programs/msw/curriculum/schedules.html for more information.
8.01 Field Credit Requirements
The Master of Social Work (MSW) degree is earned through satisfactory performance in 60 credits of course work. Field Instruction constitutes 15 of the 60 credits, with 3 credits earned at the Foundation level (SW 515 and 531), in which students register for 2 credits of SW 515 and 1 credit of SW 531 Foundation Field Seminar and 12 credits earned at the Advanced level (SW 691) unless the student has been granted an exemption. Students must complete a total of 912 hours of fieldwork unless Advanced Standing status has been approved. If students are granted Advanced Standing status, they must complete 684 hours of fieldwork. The field placement offers an opportunity for students to add depth and breadth to their previous experience and is also a time to explore a new area of field study. The field placement is an integral part of the MSW program and has strict standards from the Council on Social Work Education (CSWE) that must be adhered to. The School of Social Work does not grant fieldwork credit for current or past work experience or life experience.
Each credit of Foundation Field Instruction equals 114 clock hours, and 2 credits or 228 on-site clock hours of Foundation Field Instruction are required. Each Advanced Field Instruction credit equals 57 clock hours, and 684 on-site clock hours are required. The number of days per week that a student logs in the field placement setting is based on the number of credits registered for and is figured based on a 15 week term. Each student needs to enroll for a minimum of 16 hours of fieldwork per week for each term of enrollment.
One fieldwork day is considered to be that which the fieldwork setting defines as such, typically 7 or 8 hours. Students placed in settings such as public schools, where a typical work day might be less than 6 -7 hours, should be especially careful in developing a fieldwork schedule to ensure that the required number of fieldwork hours is completed per term. All students are reminded that financial aid from the School of Social Work is typically only available to full-time students.
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8.02 Distinction Between Foundation and Advanced Field
CREDITS
Foundation Field Instruction (SW 515 and 531)
-3 of 15 required field instruction credits; includes a field seminar and 2 days per week of fieldwork.
Advanced Field Instruction (SW 691)
- 12 of 15 required field credits.
FIELDWORK GOALS
Foundation Field Instruction SW 515 and 531)
-Students attain a generalist perspective and fundamental skills through exposure to multiple roles and practice approaches.
Advanced Field Instruction (SW 691)
-Students deepen knowledge and skills of their chosen Practice Method Concentration in their Practice Area.
SKILL LEVEL
Foundation Field Instruction (SW 515 and 531)
-Beginning competency.
Advanced Field Instruction (SW 691)
-Level of mastery.
FIELDWORK
Foundation Field Instruction (SW 515 and 531)
-Fieldwork assignments are in both micro (IP) and macro (MHS, CO, SP&E) Practice Method Concentrations.
-At least 55% of assignments involve practice. The remainder of assignments can involve observation, reading, and attending seminars and in-services.
Advanced Field Instruction (SW 691)
-Assignments are in the student's method. IP, MHS, CO or SP&E
-At least 80% of assignments should involve practice in the student's method and practice area concentrations.
Advanced Field Instruction (SW 691)
-Minor method assignments = 3 of 12 advanced credits, or 12 hours (1.5 days per week for one or more terms).
SEQUENCE
Foundation Field Instruction (SW 515 and 531)
-20-Month: Foundation Field, and field seminar 1st fall term.
-16-Month: Foundation Field and field seminar in 2nd term, with intermediate and/or advanced classes.
Advanced Field Instruction (SW 691)
-20-Month: Advanced field 2nd, 3rd, and 4th terms.
-16-Month: Advanced field 3rd and 4th terms.
-Advanced Standing: Advanced field 1st, 2nd, and 3rd terms.
MSW Curriculum Field Instruction
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9 Research and Evaluation Requirements
9.00 Research and Evaluation
Research and Evaluation courses provide foundation and advanced content on the basis of scientific thinking and the systematic acquisition of knowledge and its application to social work practice. Courses focus on a scientific, analytical approach to knowledge building and emphasize practice that is consistent with the ethical standards of science and the social work profession. Students develop skills to evaluate their own practice and programs, and develop critical appreciation and use of research and program evaluation conducted by others.
All students are required to complete the foundation research course, Basic Social Work Research (SW 522), unless granted Advanced Standing status or/and an exemption. In addition, all students are required to complete the advanced research course, Evaluation in Social Work (SW 683). This course builds on basic research knowledge as a method of assessing social work practice in strengthening clients, communities and social programs, and the systems that serve them. Students will learn to assess and apply evaluation methods from various perspectives, including scientific, ethical, multicultural and social justice perspectives.
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10 Electives
10.00 Electives
All students complete a minimum of 9 credits of electives. Students can complete any course in the School of Social Work or graduate courses elsewhere at The University of Michigan to meet elective course requirements.
In keeping with the multicultural mission of the School, students may apply up to 4 graduate-level language credits toward their MSW degree. The language under consideration must have relevance to the population (see Section 10.03 for the Policy regarding undergraduate language courses) of interest to the student and must be approved by the advisor. These credits will be counted as elective credit.
The UM-SSW also offers Intensive Skill-Based Mini-Courses. The course numbers are either SW 790: Advanced Topics in Interpersonal Practice, or SW 799: Advanced Topics in Macro Social Work. The SW 790 courses present advanced topics in interpersonal practice. The topic may include emerging Practice Methods, advanced application of methods covered in other required courses, and applications of methods in specific populations. The SW 799 courses present advanced topics in Macro Social Work. The topics may include emerging macro practice issues and advanced application of specific methods.
The sections being offered for Fall 2012 can be found at http://ssw.umich.edu/programs/classes/schedule. html?semester=20132
10.01 Special Studies Courses
There are occasions when a student wishes to study a special topic for which no regular course is being offered. In this situation, a special studies course (i.e., independent study) may be completed. The student must first obtain the approval of a faculty member who is willing to sponsor and supervise the course. An explicit contract must be developed about the content of the course, the nature of the assignments, and the form of the evaluation. A Special Studies recording form must be completed and is available at http: //ssw.umich.edu/programs/classes/SPSTDSSWSS08[1].pdf .
A special studies course may be counted as an elective. Occasionally, a special studies course can substitute for a required course. Such substitution requires an explanation as to why the required course cannot be completed and the approval of the instructor, the advisor and the exemption consultant, if necessary. The Associate Dean for Educational Programs has the final approval on substitutions for required courses. Students may register for no more than six (6) credits of special studies coursework per term, and for a maximum of twelve (12) special studies credits overall to meet degree requirements. This restriction does not apply to special studies courses approved by the Associate Dean for Educational Programs and taught as a class with ten or more students.
It is assumed that each credit hour will require 2-3 hours of time spent on the special studies course per week.
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10.02 Courses from Other Departments
The School encourages students to complete courses from other University units which contribute to their educational objectives. In some instances, such courses can substitute for required social work courses. Prior to registration each term, the School provides a listing of courses of potential interest to Social Work students via the web site at http://www.ssw.umich.edu/programs/classes/outsideOfferings.html. Information about courses can also be obtained from the departments where they are offered.
Students who plan to take courses from another University unit to substitute for a required social work course must get the written approval of an advisor on a Substitution Form and the approval of the Associate Dean for Educational Programs. Students must then file that form with the Social Work Registrar (room 1772 SSWB). This form is available at http://ssw.umich. edu/programs/forms/SUBrevision020707[1].pdf .
Note: Students can usually register for these courses when registering for social work courses.
10.03 Language Courses
Since virtually all beginning language courses are undergraduate courses, the following guidelines will apply:
In keeping with the multicultural mission of the School, students may apply up to 4 graduate-level language credits toward their MSW degree. The language under consideration must have relevance to the population of interest to the student and must be approved by the advisor. These credits will be counted as elective credit.
a. 1 credit hour of an undergraduate language course which does not award graduate credit is equal to .5 hours of graduate credit.
b. 1 credit hour of a graduate language course is equal to 1 credit hour of graduate credit.
c. In order to be counted toward the MSW degree, the student must earn a grade of B or better in an undergraduate course and C- or better in a graduate course.
d. Credit hours from language courses taken prior to entering the MSW program may not be counted toward the MSW degree.
In order for graduate credit to be granted for an undergraduate language course, a request for graduate credit form needs to be signed and approved by the student's faculty advisor. The form can be found at http://ssw.umich.edu/programs/forms/LangCrse-ReqForCredit.pdf and needs to be submitted to the SSW Registrar. Credit will not be granted until the subsequent term provided that at least the minimum grade has been earned.
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11 Curricular Integrative Themes and Intensive Focus on Privilege, Oppression, Diversity, and
S
i l J
ti
11.00 Curricular Integrative Themes
The Governing Faculty of the School of Social Work has mandated that all courses and field instruction in the School's curriculum should address four themes:
- Multiculturalism and diversity. Among the dimensions of diversity addressed in the curriculum are ability, age, class, ethnicity, family structure, gender (including gender identity and gender expression), marital status, national origin, race, religion and sexual orientation
-Social justice and social change
- Promotion, prevention, treatment and rehabilitation
- A knowledge base of behavioral and social science research
The NASW professional code of ethics provides a foundation for identifying the responsibilities the School and its graduates have to clients, client systems, employing organizations, the profession and society. Each course in the curriculum and field instruction addresses relevant ethical issues.
The School's foundation and advanced curricular objectives reflect the faculty's conviction that the School must:
- Innovate and enter into emerging arenas for social work practice
- Foster social change through research and knowledge development
- Expand and improve collaboration with other instructional and research units and social welfare agencies
- Consolidate resources to enhance educational quality
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MSW Curriculum Curricular Integrative Themes and Intensive Focus on
Privilege, Oppression, Diversity, and Social Justice
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12 Minor Method Option
12.00 Minor Method Option
In addition to their Practice Method concentration, students also have the option of selecting a second Practice Method as a minor method. It is possible to concentrate in one Practice Method and have a minor in another (e.g., concentrate in Management of Human Services and minor in Social Policy and Evaluation). There is no option for a minor in a Practice Area. The requirements for a minor in Interpersonal Practice, Community Organization, Management of Human Services, or Social Policy and Evaluation consist of (a) two methods courses in the selected method and (b) completion of 171 hours of advanced field work providing service related to the minor method concentration. This requires careful planning and utilizes six of the student's elective credits hours.
Students who want to elect a minor method should do so prior to beginning Field Instruction, which is necessary to ensure that the Field Instruction site can provide appropriate learning opportunities for both the concentration and minor method. It is possible to change the elective minor method or to add or drop an optional minor. Prior to the first day of classes for a new MSW student, requests to change the minor can be made by emailing the Office of Student Services (firstname.lastname@example.org). After the first day of classes (in the first term of enrollment), allrequests to add or drop the minor must be made by completing a Request for Change in Concentration and/or Minor Form and submiting it to the School of Social Work Registrar's Office. Following the beginning of coursework in the MSW program, concentration changes require approval from a student's faculty advisor, field educator/liaison (if in field) and the Director of Field Instruction (if in field). Approval of the Director of Field Instruction and the student's field educator/liaison is required in order to ensure that the Office of Field Instruction is aware of any changes that need to be accommodated by the fieldwork site. In addition, the approval of the faculty advisor is required to ensure that it is possible to meet the course requirements for the new minor method option. Students wishing to drop a minor are not required to obtain signatures from the faculty advisor, field educator, or the Director of Field Instruction. The Request for Change in Concentration and/or Minor Form can be found at: http: //ssw.umich.edu/programs/classes/forms.html. Having made the decisions about a Practice Method concentration and the optional minor method, a student must then fulfill the course requirements and options which are identified above in each of the Practice Method concentrations.
Note: The same course used to fulfill a minor method cannot also be used to fulfill a concentration Practice Method requirement. Example: A Community Organization concentrator with a Management of Human Services minor cannot use SW 651 to fulfill both requirements.
Additionally, if a course in the minor method category is used as a substitution for another degree required course (which is rare) that course cannot also be used to fulfill the minor.
Please go to http://www.ssw.umich.edu/studentGuide/PDFFiles/minorMethodRequirements.pdf for a listing of Minor Methods Options.
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13 Dual Degree Options
13.00 Dual Degree Program Options
This section will have information on the following:
- Dual Degree Credit
- Dual Degree in Social Work and Business Administration
- Dual Degree in Social Work and Public Health
- A Student Initiated Combined Master's Program in Social Work and Public Policy
- Dual Degree Program in Social Work and Law
- Dual Degree Program in Social Work and Information Science
- A Student Initiated Combined Master's Program in Social Work and Urban and Regional Planning
- Other Student Initiated Combined Master's Programs with Social Work and Other Units
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13.01 Dual Degree Credit
Regularly admitted students in the School of Social Work may pursue a dual degree in another program at the University of Michigan, provided they have been admitted to that program. For example, in addition to their work toward a master's degree in Social Work, students may simultaneously work toward a master's degree in Public Health, Urban Planning, Public Policy, Business Administration, Information Science, or Law.
Each dual degree program allows students to utilize some credit hours of course work taken in the other program toward the MSW degree. The number of credit hours completed in the other program, which can be utilized for the MSW degree, varies by dual degree program. Course credit hours completed in another unit and used toward the MSW degree must have content that applies directly to the student's program of study in social work and meet the following conditions:
1. The student has earned a grade of "B" or better in any course being counted;
2. The student earns a minimum of 30 hours of credit within the University of Michigan School of Social Work;
3. The student's total credit hours, including the credit hours taken in the other program and counted toward the MSW, must meet the distribution requirements for the foundation curriculum areas (i.e., methods, human behavior in the social environment, social welfare policies and services, research, and field instruction);
4. All requirements for the degree are satisfied, including the completion of all the credits to be counted within the required four-year limit.
Students in any dual degree program must be admitted to both programs. At some point during their course of study, students must register in both the School of Social Work and in the other School or College (e.g., Horace H. Rackham School of Graduate Studies, Business School, School of Public Health, etc.). Students must keep both programs informed of their enrollment plans each term.
A student enrolled in the School of Social Work who opts to drop the dual degree and pursue only one of the degrees independently must inform the School of Social Work Registrar in writing at the earliest date possible.
Any student who has enrolled in the School of Social Work and is not pursuing a dual degree and would like to must also inform the School of Social Work Registrar in writing at the earliest date possible.
A student in the MSW program who desires to pursue an additional degree as a dual degree student must seek and receive approval as such prior to their final term in the MSW program. Approval must include matriculation admission status in the additional program. The student must also provide written notification to the School of Social Work Registrar unless the student entered their first term as a dual degree student during the admitting process. Students are also limited to the pursuit of no more than two degree programs or one degree and one certificate program. Any exception that may have a limited chance of approval must go through the Associate Dean For Educational Programs. Such an exception will without exception include no more than double counting of any course credit accepted toward the two programs.
Under no circumstances will the MSW degree be awarded prior to award of the other degree unless a minimum of 60 credit hours (45 for advanced standing) in the Social Work program is recorded on the student's transcript and all other MSW degree requirements have been met.
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13.02 Dual Degree in Social Work and Business Administration
The Schools of Social Work and Business offer a dual degree program, which enables students to pursue concurrent work in social work and business administration leading to the MSW and MBA degrees.
The program is arranged so that all requirements for both degrees are completed in two and one-half years of enrollment. The degrees are awarded simultaneously.
This combined degree program is not open to students who have already earned either the MBA or MSW
degrees. Students registered in the first year of either program may apply.
Students admitted to this dual degree program must satisfy the following requirements:
1. The MBA 57 credit hour degree program including:
- 45 Business Administration Credits, made up of
- Roughly 30 credit hour MBA core (no credit is awarded for Business Administration core courses successfully waived: credit must be earned with Business electives);
- Roughly 15 elective hours in Business Administration;
- MBA Communication Requirement;
- Up to 12 credit hours of transferable electives from the School of Social Work.
2. The MSW 60 credit hour degree program including:
- 42 credit hours of required course work, of which 15 are Field Instruction;
- 2 elective hours in Social Work;
- 16 hours of transferable credit hours from the School of Business Administration.
The total credit hours for the dual degree must be at least 89.
Dual degree students are required to take the complete sequence of first-year courses in one school during year one of the program and the complete sequence of first year courses in the other school during year two of the program. The final requirements for each school will be completed in year three.
The 89 graduate hours of the dual program comprise two and one-half academic years consisting of the six 14-16 hour semesters, including Spring/Summer term. The Spring/Summer term must follow the first year in the School of Social Work. In the preferred sequence, students will take the MBA core courses in the second year and the final business electives in the Fall term of year three. No course work completed prior to admission in either of the two programs may be counted toward the MBA requirements of the dual program.
Applicants interested in the MBA/MSW combined program must file separate applications to each school and be admitted by both schools. Applicants must indicate on both applications that they are applying for this specific dual degree program (please make sure the correct box is checked on the MBA application).
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SCHOOL OF SOCIAL WORK STUDENT GUIDE
The application fee can be paid to either of the two schools. Please include a note regarding the disposition of the fee to the school not receiving the fee. Each school will apply its own deferred admission standards to students who elect to take the first year in the other school.
All applicants must take the GMAT for admission to the Business School.
Students interested in the Dual Degree Program in Social Work and Business Administration should review the Stephen M. Ross School of Business website regarding the MBA program, and then consult with or make an appointment with SSW Professor Diane Kaplan Vinokur (email@example.com).
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13.03 Dual Degree in Social Work and Public Health (Health Behavior and Health Education)
The goal of the MSW/MPH program in Social Work and Public Health (Health Behavior and Health Education) is to provide academic training and practical experience to improve public health social workers' effectiveness in a variety of settings, fieldwork sites and arenas. These include health care, state and local departments of public health and social services, workplace environments, health-focused nonprofit fieldwork sites, school and universities, and advocacy and policy. The purpose of this training is to develop an understanding of the intersection of public health and social work. The specific objectives of the program are as follows:
A. To provide an opportunity for dual degree students to acquire the skills and competencies necessary to work with health care professionals in meeting the health care and social support needs of various "at-risk" populations in our society, such as the elderly, persons with AIDS, pregnant women, persons who use alcohol, tobacco and other substances, and persons with developmental disabilities.
B. To provide specialized training for public health social workers in the development, management, implementation, and evaluation of health promotion/disease prevention, and health intervention programs in public health and social service fieldwork sites and organizations.
This dual degree program is a 93-credit-hour program but is based upon 120 credit hours: the 60 credit hour minimum requirements for the MSW program and the 60 credit hour MPH in the Department of Health Behavior and Health Education. This is consistent with Rackham Graduate School guidelines and existing dual degree programs. The total requirements of each of the programs when pursuing the dual degree are as follows:
1. 46 credits hours in the School of Social Work, including a 15-hour social work field instruction experience to fulfill degree requirements. Completion of foundation courses and both areas and methods concentrations are required. The Social work research requirements are fulfilled by the required MPH Methodological Core course. Elective courses are limited in this program and are dependent on the student's previous academic coursework.
2. The 47 credits required in the School of Public Health curriculum are organized in two core areas. Students must complete the Methodological Core consisting of an approved course in both Biostatistics and Epidemiology. Students must also satisfy requirements for Breadth, Integration and the Capstone (BIC) in public health. The Breadth requirement is satisfied by completion of approved courses in the areas of (a) Health Administration, Planning and Policy Analysis, (b) Physical, Chemical and Biological Aspects of Health, and (c) Social and Behavioral Aspects of Health. These core courses are designed to give students knowledge in the social, economic, and cultural determinants of health status and the ways in which these factors affect health behavior and access to health care.
The Integration Requirement, which is designed to integrate areas of knowledge that are basic to public health, is satisfied by the completion of HBHE 600: Psychosocial Factors in Health-Related Behaviors. In fulfillment of the capstone requirement, students are also required to complete the M-Portfolio with guidance and supervision from their departmental faculty advisor.
In addition, each student must complete the required department course HBHE 651: Program Development in Health Education and at least one course from the HBHE Analytic Methods area. The dual degree further requires that a minimum of 24 of the 47 credits for the MPH degree are in the Department of Health Behavior and Health Education. Finally, each student completes an HBHE field
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placement experience which results in a reduction in credit hours (from 3 to 6) required for the MPH degree.
The MSW-MPH Dual Degree curriculum has been structured to ensure that all requirements of both programs will be met fully. The 93 graduate hours of the dual degree program comprise two and one-half academic years plus two summers for field experiences. Prospective students interested in the combined MPH/MSW program will be required to meet each School's entry requirements and standards of admission and be admitted by both schools.
For additional information on this program, students can contact Professor Linda Chatters at firstname.lastname@example.org.
13.04 Dual Degree Program in Social Work and Law
The School of Social Work and Law School jointly offer a dual degree program that enables qualified students to pursue concurrent work in social work and law, leading to the Masters of Social Work (MSW) and Juris Doctor (JD) degree. The goal of this program is to provide students with the knowledge and skills to practice in the nexus of law and social work, whether it be in community organization and development, social welfare administration and policy, or in problem solving at the interpersonal level.
Students applying for the dual degree program must file separate applications and be admitted to each School. Social Work students must complete 60 credit hours including foundation and concentration requirements, but 15 hours of credit taken at the Law School can be used to meet requirements, where appropriate, and elective options. The program is arranged so that all requirements for both degrees can be completed within three years and four months of enrollment.
Generally, students must complete the foundation requirements in one of the respective schools before enrolling for classes in the other. As an example, students may complete the first year of Law School and then enroll in social work courses, or the alternative, complete two terms in the School of Social Work before taking classes in the Law School.
Students must work very closely with their Social Work advisor in curricular planning for the dual degree program. It is imperative that such planning occur from the time of initial enrollment if not before. For further information, students can contact Professor Karen Staller (email@example.com) in the School of Social Work, or Christine Gregory, Assistant Dean for Student Affairs in the School of Law at (734) 615 -0019.
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13.05 Dual Degree Program in Social Work and Information Science (MSW/MSI)
The MSW/MSI Dual Degree Program at the University of Michigan is offered by the School of Social Work (SSW) and the School of Information (SI). The two-and-one-half-year program leads to the simultaneous award of both the MSW and MSI degrees. Applicants must meet both Schools' admission requirements.
The goal of the MSW/MSI Dual Degree Program is to provide academic training and practical experience to improve social workers' effectiveness when dealing with information issues and to extend the reach of information specialists in furthering the public good.
The dual-degree program requires 90 credits. Students may concentrate in any macro method and any practice area in Social Work. In Information, students follow a self-tailored program. The foundation requirements for both programs are distinct and serve as prerequisites for advanced coursework; therefore, all dual-degree students are required to complete all foundation courses in both disciplines.
The MSI portion of this dual degree requires 39 SI credits, including 15 credits in foundation and distribution course requirements:
SI 500 Information in Social Systems; Collections, Flows, and Processing (3 Hours)
SI 501 Contextual Inquiry and Project Management (3 Hours)
SI 502 Networked Computing: Storage, Communication and Processing (3 Hours)
SI elective to meet management distribution requirement (3 Hours)
SI elective to meet methods distribution requirement (3 Hours)
The remaining MSI credits will be selected by the student in conjunction with a faculty advisor. SI's requirement of six practical engagement credits is met as part of the 12 advanced credits of SSW field instruction.
The MSW portion of this dual degree requires 51 SSW credits, including 18 credits of foundation courses:
SW 500 Human Differences, Social Relationships, Well-being, and Change (3 Hours)
SW 502 Organizational, Community, and Societal Structures and Processes (3 Hours)
SW 521 Interpersonal Practice with Individuals, Families, and Small Groups (3 Hours)
SW 522 Basic Social Work Research (3 Hours)
SW 530 Introduction to Social Welfare Policy and Services (3 Hours)
SW 560 Management, Community Organization, and Policy Practice (3 Hours)
Additionally, students must complete 18 credits of advanced SSW courses and 15 field instruction credits.
For additional information on this program, students can contact the SSW Associate Dean's Office.
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13.06 A Student Initiated Combined Master's Program in Social Work and Public Policy
The School of Social Work and the Gerald R. Ford School of Public Policy offer a student initiated combined master's program enabling students to pursue concurrent work in Social Work and Public Policy leading to the MSW and MPP degrees.
Applying to both schools is necessary. Each program makes an admission decision independently of the other. If both programs approve admission, the applicant is considered a dual-degree student. Overall administration of the degree from the Ford School of Public Policy is by the Horace H. Rackham School of Graduate Studies.
The MSW/MPP is a 90-credit-hour program designed for completion in two and one-half years (6 terms). Students take 43 credit hours in Social Work, including 15 credits for field placement, 36 credit hours in Public Policy, and 11 credit hours from double-counted or jointly accepted courses, including electives taken in other schools.
In Social Work, students can select any method for their practice method concentration although most dual degree students choose either Community Organization, Management of Human Services, or Social Policy & Evaluation. Students can elect any of the practice areas.
In Public Policy, students take core courses in calculus, statistics, micro-economics, the politics of public policy, public management, values and ethics, program evaluation, and advanced analytic methods and may concentrate in a variety of public policy areas, including social welfare and policies, or public management. They also participate as group members in an integrated policy exercise.
A policy internship is an important part of the program, providing opportunities to integrate knowledge and practice in diverse policy settings. Students spend time working under the supervision of experienced practitioners. Policy internship placements include government agencies, nonprofit and volunteer organizations, and urban neighborhood groups.
For additional information on this program, students can contact Professor Sandra Danziger at firstname.lastname@example.org.
http://fordschool.umich.edu/curriculum/msw.php
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13.07 A Student Initiated Combined Master's Program in Social Work and Urban & Regional Planning (MSW/MUP)
The School of Social Work and the Taubman College of Architecture and Urban Planning facilitate this dual degree program, which enables students to pursue concurrent work in the School of Social Work and in Urban Regional Planning program through the Rackham School of Graduate Studies. This course of study leads to the MSW and MUP degrees, with an emphasis on Community-Based Planning. The 90hour program requires six terms over two and one-half to three years.
This program provides knowledge to organize and plan programs, services, and resources responsive to social values and human needs at the community level. It develops skills to:
- Organize groups for community action
- Plan programs at the community level
- Develop community-based resources and services
- Activate people to participate in the planning decisions that affect their lives
Students must apply to be admitted to each degree program. Such applications and admission need not occur simultaneously. Students admitted to this dual degree program are required to earn credit in each school as follows:
a. 42 credit hours in the School of Social Work,
b. 31 credit hours in the College of Architecture and Urban Planning,
c. 17 credit hours from double counted or jointly accepted courses.
Dual degree students are required to take a complete sequence of courses in one school during the first year of the program and a complete sequence of courses in the other school during the second year of the program. The remaining requirements for each school will be completed in the final semester. Each school will apply its own deferred admission standards to students who elect to take the first year in the other school.
The 90 graduate hours of the dual degree program comprise two and one-half academic years or six terms, including one Spring/Summer term following the first year in the School of Social Work. In the preferred sequence, the student will take Urban Planning courses in the second year and the remaining Urban Planning and Social Work courses in the final fall term. No coursework completed prior to admission may be counted toward the requirements of the joint program. Urban Planning requires a statistics and an economics course, one of which can count as Urban Planning credits if taken after admission.
Enrollment in the program involves two separate units. It is the responsibility of the student to follow the procedures of both units. Because the MUP is awarded by the Rackham School of Graduate Studies, Rackham policies and procedures concerning student initiated dual and combined degree programs must be followed. Key aspects of those policies and procedures, which appear in detail in Volume I of the Rackham Student Handbook, are as follows: Permission for enrollment in a student initiated dual degree program is given in each specific case by the Graduate School on the recommendation of the two departments or programs involved. Students must petition Rackham for the double-counting of particular courses on the Student Initiated Dual Degree Course Election Form (form 6010). The petition for a Student Initiated Combined Degree Program should be submitted after the student has been admitted to both programs and has successfully completed one or two terms of coursework in each program.
For additional information on this program contact Professor Barry Checkoway at email@example.com or
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SCHOOL OF SOCIAL WORK STUDENT GUIDE
the Urban and Regional Planning Program, (734) 764-1298, or visit http://taubmancollege.umich. edu/planning/ .
13.08 Other Student Initiated Combined Master's Programs with Social Work and Other Units
Occasionally an MSW student is interested in combining the study of social work with another master's degree offered at the University of Michigan for which the School of Social Work does not have a formal dual degree program. Such interests may be accommodated with careful advanced planning. Students who are interested should contact the School of Social Work Office of Student Services, room 1748 SSWB.
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14 Specializations, Certifications, and Special Program Options
14.00
Specializations, Certifications, and Special Program Options
This section will have information on the following:
- Specialist in Aging Certificate Program
- Social Work in the Public Schools
- Jewish Communal Leadership Program
- Child Welfare Scholarship Program
- Geriatric Scholarship Program
- National Community Scholars Program
- Community-Based Initiative Program
- Nonprofit and Public Management (NPM) Center
- Certificate in Women's Studies
- Certificate in Global Social Work
- Global Activities Scholars Program (GASP)
- Peace Corps Master's International Program (MI)
14.01 The Specialist in Aging Certificate
The Specialist in Aging Certificate offers students the opportunity to develop individualized programs of interdisciplinary graduate study for academic credit in gerontology. The program draws upon the resources and course offerings of Literature, Science, and the Arts and the Schools of Public Health, Social Work, and Nursing, as well as other academic units.
The Specialist in Aging Certificate granted by the School of Social Work is awarded upon successful completion of academic course requirements and approved field instruction. Course requirements for the Specialist in Aging Certificate may be met by completing courses during the regular University Fall, Winter, and Spring/Summer terms.
For further information please edu/programs/msw/curriculum/specialization/aging.html or contact Professor Lydia Li at firstname.lastname@example.org .
go to
http://www.ssw.umich.
Students interested in the Specialist in Aging Certificate may pick up materials in the Office of Student Services or the Registrar's Office (1772 SSWB).
DRAFT from Verna for possible addition to or replacement of the comment to pick up materials in the Office of Student Services:
Students interested in the Specialist in Aging Certificate should submit the on-line application: https://www.ssw.umich.edu/certificateProgram/
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14.02 Social Work in the Public Schools
During the first term of enrollment, students interested in school social work should consult with the appropriate faculty advisor about the practice of social work in schools and certification requirements for such practice. Since requirements vary from state to state, and these are not all covered by the usual MSW program, it is necessary to plan the academic program of each prospective school social worker individually and early in the MSW program. The appropriate faculty advisor can provide more information about requirements for temporary approval as a school social worker in the state of Michigan.
The requirements of the University of Michigan as per the Michigan State Department of Education for a recommendation for temporary approval as a school social worker in Michigan are as follows:
1. MSW from the University of Michigan.
2. Field Instruction which includes direct practice with families and children.
3. SW 612 - Mental Health and Mental Disorders of Children and Youth or equivalent at graduate or undergraduate level.
4 . SW 614 - Uses and Implications of Psychological Testing in Social Work or the equivalent at graduate or undergraduate level.
5. SW 642 - Social Work in Educational Settings or the equivalent from another graduate course at a School of Social Work in Michigan.
Prior to graduation (last term) students who have met the requirements for the State of Michigan should request a letter stating they are eligible for a recommendation for approval from the appropriate faculty advisor.
Contact for Social Work in the Public Schools is Professor Beth Sherman at email@example.com or (734) 763-6276.
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14.03 Jewish Communal Leadership Program
A collaborative effort of the University of Michigan School of Social Work and the Frankel Center for Judaic Studies, the Jewish Communal Leadership Program (JCLP) offers a distinctive educational opportunity for individuals committed to helping Jewish communities meet 21st-century challenges while also addressing broader social concerns.
The Jewish Communal Leadership Program combines a Masters in Social Work, a Certificate in Jewish Communal Leadership from the Frankel Center for Judaic Studies (http://www.lsa.umich.edu/judaic/), and supervised field work in a range of regional, national, and international change-making agencies.
JCLP students will be equipped to bring innovative contributions to a wide range of organizations, from local Jewish federations and service organizations, to the emerging sector of Jewish organizations advancing social change and service initiatives, to nonsectarian efforts engaging the varied communities that make up our multi-cultural society.
JCLP students must enroll in the 20-month program and select the Community and Social Systems Practice Area with a Practice Method in either Community Organization or Management of Human Services. Note that schedules for JCLP students differ from the usual 20-month curriculum because the first field placement occurs during the Spring/Summer term instead of during the first year.
JCLP students will earn:
Masters of Social Work (MSW) degree, consisting of:
45 graduate-level academic credits
15 credits of professional field placement experience in non-profit settings. These will be earned in a Winter/Fall placement (2 days a week) spanning the first and second years of the program, and a Spring/Summer placement (4 or 5 days a week) after the first year of the program. At least one of these placements must be with an agency identified with the Jewish community. The Spring/Summer field placement may be at regional, national, or international site.
Certificate in Jewish Communal Leadership, consisting of:
A total of 15 credits of Judaic Studies courses. JCLP students may enroll in undergraduate Judaic Studies courses, but at least six Judaic Studies credits must be at the graduate level. Students lacking a substantial background in Judaic Studies will be required to take Judaic Studies 205/505 or Judaic Studies 601.
Four-semester Proseminar in Jewish Communal Leadership
Students have the option of participating on the governing board of a Jewish nonprofit organization, as a part of the U-M Nonprofit and Public Management Center's Board Fellowship Program, and accompanying management seminars.
Extracurricular group activities, including team-building and collective interaction with local Jewish communities and agencies are required as a part of the program.
For more information and course grids, see http://www.ssw.umich.edu/programs/jclp/.
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14.04 Child Welfare Scholarship Program
Child Welfare Scholarships are awarded to at least 10 students who are interested in becoming child welfare specialists. The purpose of the program is to train committed specialists in child welfare. Child Welfare Scholars will concentrate in children and youth, take 9 hours of special child welfare courses, and complete their internships in field placements that offer opportunities for cutting-edge practice in child welfare. Agencies include the University of Michigan Family Assessment Clinic, the University of Michigan Child Protection Team, the Detroit Center of Family Advocacy, Michigan Department of Human Services, and the Guidance Center.
Child Welfare Scholars must enroll in the 16-month curriculum schedule and select the children and youth in families and society practice area.
For more information about the Child Welfare Scholarship Program, please visit http://www.ssw.umich. edu/cws or contact the Office of Student Services at (734) 936-0961 or firstname.lastname@example.org.
14.05 Geriatric Scholarship Program
The Geriatric Scholarship Program aims to address the need for geriatric social workers by creating more aging-rich placements and increasing the number of students in the field of health care and social work for older people. Scholars enroll in the 16-month curriculum, select the aging in families and society practice area, and participate in all post-Scholarship evaluation activities, including job search/placement surveys.
See special course planning worksheet for scheduling classes:
http://ssw.umich.edu/studentGuide/2011/geriatric/WorkSheetSelect.html
For more information about the Geriatric Scholarship Program, please visit the following web site: http: //www.ssw.umich.edu/gsw or contact Warren Clark, LNSW, email@example.com or http://www.ssw.umich. edu/geriatricSocialWork .
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14.06 National Community Scholarship Program
The purpose of the National Community Scholars program is to prepare professionals for enabling young people and adult allies to create community change.
National Community Scholars will gain skills to organize groups for social action, plan programs at the local level, advocate for socially just policies, and develop community-based services.
The National Community Scholars Program summer field placement is coordinated by the Michigan Youth and Community Program, which places students with experienced practitioners who promote youth participation and community change. Unique field opportunities for scholars are available in one of the following areas:
-Mississippi Delta, an area rich with diversity and history known for its unique role in the civil rights movement.
-Central Appalachia, an area in the mountains and coalfields of eastern Kentucky known for its strong cultural and activist traditions.
-San Francisco Bay Area, a culturally diverse urban area with a dense concentration of community youth organizations.
Applicants must be enrolled in the 16-month curriculum schedule and select the Community and Social Systems practice area concentration.
Please refer to the Special Course Planning Worksheet for scheduling classes at http://ssw.umich. edu/studentGuide/2011/childwelfare/worksheetselect.html .
For more information about this program please go to http://www.ssw.umich.edu/ncs or contact Dr. Barry Checkoway, firstname.lastname@example.org or Katie Richards-Schuster, email@example.com .
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14.07 Community-Based Initiative Program
The purpose of the Community-Based Initiative program is to train and support new generations of social workers dedicated to transformative community based work in urban cities, neighborhoods, and communities. This is done through courses, projects, and field placements in Detroit, and east Dearborn communities, institutions and organizations.
The mission of the Community-Based Initiative is to work together with the diverse communities of Detroit and Dearborn to strengthen MSW student learning and practice while addressing community identified priorities and needs.
Students accepting CBI positions will complete their internships from a select list of SSW-approved CBI field placements that offer opportunities for community practice in community-based agencies, institutions and organzations. With the exception of the Detroit Initiative placement, all CBI placements must be located in Detroit (includes Highland Park, Hamtramck, and Mid-Eastern communities of East Dearborn that are directly adjacent to Detroit's boundary).
Admitted students who accept the CBI position must enroll in the 16-month curriculum (which includes enrollment in the following spring/summer term), complete the Community and Social Systems concentration requirements, complete winter term CBI sections of SW 647 and SW 697, attend the CBI Orientation and Integrative Seminars and complete community-based field placement in Detroit or Dearborn. Applicants must select from any of the three following practice method concentrations: Community Organization, Management of Human Services, or Social Policy and Evaluation. Effective Fall 2013, neither an IP method concentration nor minor are available in CBI.
See special course planning worksheet for scheduling classes: http://ssw.umich.edu/studentGuide/
For further information about the Community Based Initiative please visit http://sitemaker.umich. edu/cbi/home or contact the Office of Student Services at (734) 936-0961.
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14.08 Nonprofit and Public Management (NPM) Center
The NPM Center is a collaboration of the University of Michigan's School of Social Work, Gerald R. Ford School of Public Policy, and Stephen M. Ross School of Business. Its mission is to advance and promote understanding of the contributions of nonprofit and public organizations and the challenges of leading them successfully. Its educational mission is to build the University of Michigan's capacity to offer sophisticated and comprehensive educational opportunities for professional graduate school students who seek to understand the role and management of nonprofit and public organizations. Toward this goal, NPM offers action learning programs for students and presents expert speakers, workshops, career development panels and other events to enrich students' education and training. Each term, the Center's website lists all graduate courses across campus that pertains to nonprofit and public management topics.
NPM's research mission is to create a stimulating and supportive environment for faculty and graduate students with interests and expertise in the nonprofit and public sectors through such vehicles as seminars, speakers, and conferences. The Center also provides stipends to selected students serving summer internships at public-serving organizations and to doctoral students engaged in research related to nonprofit and public management.
The Nonprofit and Public Management Center's Board Fellowship Program places qualified graduate students in the three partner's schools as Board Fellows on the governing boards of nonprofit organizations in Southeast Michigan. The program is designed to create a cadre of professionals ready to take on board leadership roles upon graduation. It provides graduate students in Business, Public Policy, and Social Work with firsthand insight into the workings and procedures of an actual board, as well as opportunities to contribute to the board's success.
Students apply to participate in the program and are matched to organizations based on the mutual interest of both parties.
NPM's administrative office is located in Room ER 2602, Stephen M. Ross School of Business. Please check the Center's website for information on events, stipends, job opportunities, courses, internships, faculty expertise areas, and research.
To receive NPM announcements and further information, students can send an e-mail to firstname.lastname@example.org .
Nonprofit and Public Management (NPM) Center website: http://www.nonprofit.umich.edu
Contact Information:
Email: email@example.com
Phone: (734) 763-4214
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14.09 Certificate in Women's Studies
The Program in Women's Studies offers a graduate Certificate program through the Rackham Graduate School that can be elected by students in the School of Social Work with careful planning. The Certificate program provides students the opportunity to deepen their knowledge of gender and/or feminism, to theorize about gender and how gender intersects with other socially constructed group memberships (e.g., race, ethnicity, age, sexual orientation, ability status), and to apply gender, intersectional, and feminist analyses to other topics. The Certificate requires 15 hours of courses. Students matriculated in master's programs in the School of Social Work can double count at least 7 hours of credits towards the Certificate and towards their MSW, but will need to take an additional 8 or 9 hours of credits beyond the 60 required for the MSW. Several Social Work courses meet the WS criteria and others can be adapted with certain instructors.
9 hours must be taken from Women's Studies core courses, including:
WS 530 Theories of Feminism (or designated alternative) and
WS 890 Advanced Research Project,
Plus one from the following:
WS 601 Feminist Scholarship in the humanities
WS 602 Feminist Scholarship in the Social Sciences
WS 603 Feminist Scholarship on Women of Color
WS 604 Approaches to Feminist Practice
WS 605 Interdisciplinary Approaches to Women's Health
Plus
6 credits in cognates (approved by Women's Studies to contain sufficient analysis and content consistent with Women's Studies guidelines).
WS 890 is handled like an independent study and can involve a research project focused on women, gender analyses, or something else that meets particular criteria, library research on a topic of interest to the student that meets particular criteria, or an applied project focused on women/gender/feminist analyses, conducted in conjunction with a professional field placement or other community-based setting.
Some MSW students who have completed the Certificate have been able to take the additional 9 hours during their 16 or 20 month program by carrying more than 15-16 hours required in most terms by Social Work over several terms. This usually requires beginning work on the Certificate during the first term with careful advising. The logistics are easier for students in the 20 month sequence. Some students who have elected to complete the Certificate have extended their schedule a term and completed the MSW and the Certificate in five terms.
There is an application process that must be completed through Women's Studies and with an application fee. Students must enroll through Rackham Graduate School for one of their terms, but this does not change the mix of courses elected in that term. Beth Glover Reed (firstname.lastname@example.org) is the faculty member within the School of Social Work most knowledgeable about this process, and is available to assist students to navigate through the process as is the graduate advisor within Women's Studies.
For more information visit http://www.lsa.umich.edu/women/graduate/graduatecertificateprograms .
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14.10 Certificate in Global Social Work
The Certificate in Global Social Work offers students the opportunity to engage in specialized interdisciplinary graduate study for social work practice in the global arena. The program draws upon the resources and course offerings in social work as well as those of LSA, and the Schools of Public Health, Law, and Public Policy, as well as other academic units.
The Certificate in Global Social Work granted by the School of Social Work is awarded upon successful completion of academic course requirements, approved field instruction, and of language proficiency requirement. Course and field requirements for the Certificate in Global Social Work must be completed during the regular University Fall, Winter, and Spring/Summer terms. The requirements for the certificate cannot be met through activities or coursework completed before enrollment in the School of Social Work or after receipt of the MSW degree.
For further information please visit http://ssw.umich. edu/programs/msw/curriculum/specialization/globalSocialWork.html or contact the Office of Global Activities at 734-936-1964 or email@example.com.
Students interested in the Certificate in Global Social Work should submit the online application: https://www.ssw.umich.edu/certificateProgram/
14.11 Global Activities Scholars Program (GASP)
The Global Activities Scholars Program is a unique opportunity for students interested in working with individuals, communities, and organizations in a global context as part of their MSW field placement requirements. The purpose of the program is to provide students committed to global social work practice an opportunity to live in a foreign country while completing a part of their field placement requirements.
The Global Activities Scholars Program is open to students in all practice methods and areas, though placements for Interpersonal Practice and Social Policy and Evaluation students are limited. Students in the program must enroll in the Out-of-Sequence 16-month curriculum schedule.
Please refer to the Special Course Planning Worksheet for scheduling classes at http://ssw.umich.edu/studentGuide/2013/international/WorkSheetSelect.html.
For further information please visit www.ssw.umich.edu/public/OGA/GASP.html or contact the Office of Global Activities at 734-936-1964 or firstname.lastname@example.org.
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14.12 Peace Corps Master's International (MI)
The UM-SSW Peace Corps MI program (MI) will allow students interested in working with children and youth to incorporate 27 months of Peace Corps service into their MSW program. Students must be U.S. citizens due to Peace Corps requirements.
Students interested in the MI program must first be accepted to the UM-SSW before applying to the Peace Corps. Applicants must ultimately be accepted both to the UM-SSW and the Peace Corps.
MI students must select the children and youth in families and society practice area and must enroll in either the 12-month advanced standing or 20- month curriculum schedule. Students in the MI program will first complete one year of coursework on campus (including field placement). Afterward they will serve overseas in the Peace Corps for 27 months in a youth development assignment. Students will then return to campus to complete their last year or semester of coursework depending on their curriculum schedule. Generally, students cannot extend their Peace Corps assignment to a third year (any exception must be approved by the Associate Dean for Educational Programs).
Please refer to the Special Course Planning Worksheet for scheduling classes at http://ssw.umich.edu/studentGuide/2013/peaceCorps/WorkSheetSelect.html.
For further information please visit http://ssw.umich.edu/peacecorps/ and http://ssw.umich. edu/peacecorps/schedule.html contact email@example.com.
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2 MSW Curriculum
15 Options for Scheduling Terms
15.00 Advanced Standing Option for Eligible Students
Students have been notified if they are eligible for Advanced Standing. Students qualify for Advanced Standing status if they:
a. Graduated from a CSWE accredited BSW program;
b. Maintained a GPA of 3.5 or the equivalent over the last 60-75 semester hours of undergraduate study;
c. Completed the undergraduate degree within six years of expected completion of the MSW degree.
Students who are granted Advanced Standing have the number of hours required to receive the MSW degree reduced from 60 to 45 credits. These 15 credit hour reduction in requirements is detailed in: Advanced Standing Students' First Term Course Selection.
Advanced Standing students must follow the same rules of entry into closed courses as other students. Advanced Standing students begin Advanced Field Instruction (SW 691) in the fall term and continue in classes and field for the following winter and spring/summer terms. Advanced Standing students are typically in field instruction for two days per week for the three terms; however, if students are placed in public school settings they often enroll in field placement for three days per week during the fall and winter terms. Graduation normally occurs at the end of the spring/summer term. For further information on Field Instruction, please see the Manual for Field Instruction.
The advantage of Advanced Standing is that it may shorten the time necessary to complete all requirements for the degree to three terms of full-time enrollment, but this will require careful planning. The disadvantage of Advanced Standing is that a student may not be able to make maximum use of the richness in course selections if the student is only enrolled for three terms.
Because of these and a number of related issues, it is recommended that a student think carefully about accepting Advanced Standing status and discuss the issue with an admissions counselor.
If a student chooses to decline the Advanced Standing status, they must complete a form through the Office of Student Services (if prior to registration) or indicate this in writing to the School's Registrar early in the first term of enrollment. Upon receipt of this signed agreement, the decision is irrevocable.
Advanced Standing eligible with graduate coursework and advanced standing IS renounced: Graduate coursework eligible for transfer that includes any of the foundation courses, SW 500, SW 521, SW 522, SW 530, SW 515/531, may be transferred. If any of these courses were not taken at the graduate level or do not meet the transfer credit guidelines they may be considered for possible exemption looking at the student's undergraduate program.
Advanced Standing eligible with graduate coursework and advanced standing is NOT renounced: Graduate coursework eligible for transfer that includes any of the foundation courses, SW 500, SW 521, SW 522, SW 530, SW 515/531, will not be transferred (the student already has their program reduced by these 15 credits due to their advanced standing).
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SCHOOL OF SOCIAL WORK STUDENT GUIDE
15.01 Options in Scheduling Your Terms
This section will have information on the following:
Advanced Standing Curriculum Schedule
Alternative Curriculum Schedules
- The 16-Month Option
- The 20-Month Option
- The Extended Degree Program
- The Fifth Term Option (4th Term Option for Advanced Standing-Eligible Students)
- Choice of Schedule and Changes
- Out-of-Sequence Plan for Field Instruction
15.02 Choice of Schedule and Changes
Upon admission, students are required to indicate their program schedule, since it will determine their Field Instruction assignment. After enrollment, students wishing to change to a different schedule must submit an "Out of Sequence" petition to the Office of Field Instruction. Such petitions may be granted only if the Field Instruction requirements and course requirements can be met and are deemed educationally sound.
Regardless of the curriculum schedule, all students must enroll for at least two consecutive terms. If, after initial enrollment in the Program, a student is unable to enroll for two or more consecutive terms, then withdrawal from the Program is required (any exception must be approved by the Associate Dean for Educational Programs). To re-enroll, the student must complete and submit a reapplication form to the School's Office of Student Services at least six weeks prior to the term in which the student wishes to reenroll. Students are expected to keep the Office of the Registrar informed of their enrollment plans each term.
15.03 The 16-Month Curriculum Schedule
This schedule is designed for students who will benefit from completing their course requirements through full-time enrollment in four consecutive terms, including the spring/summer. Students entering in the fall term will graduate at the end of the subsequent fall term. Course Planning Worksheets are located at http: //ssw.umich.edu/studentGuide/.
Of particular importance is the Field Instruction schedule, which starts in the winter term for two days a week (3-credit hours including the field seminar), continues in the spring/summer term for four days a week (8-credit hours), and concludes in the fall term for two days a week (4-credit hours). Field Instruction is completed in one fieldwork site.
The advantage of such a course schedule is that students graduate early and have an intensive Field Instruction experience in the spring/summer term. The disadvantage of such a schedule is that students do not get a break from fieldwork and classes during the spring/summer term In addition, for certain Field Instruction experiences such as school social work, the spring/summer is normally unavailable. Students typically may elect only one field placement in the 16-month curriculum schedule.
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15.04 The 20-Month Curriculum Schedule
This schedule is designed for full-time students who will benefit from a spring/summer break in their coursework. Students entering in the fall term will graduate 20 months later at the end of the second winter term (January through April). In this schedule, Field Instruction is scheduled for two days a week each term (3 credit hours including the field seminar in the first fall term and 4 credit hours in each of the 3 subsequent terms). Course Planning Worksheets are located at http://ssw.umich.edu/studentGuide/.
The advantage of such a schedule is that students have a break from fieldwork and classes during the spring/summer term. In this schedule, the intensity of the Field Instruction experience is distributed more evenly. The disadvantage of such a schedule is the extended time needed for graduation and the elimination of certain placement options which may require a continuous three-term Field Instruction experience or four days of field in the spring/summer term (e.g. some hospital and outpatient psychiatric settings and family fieldwork sites).
Twenty-month students have the option of choosing one or two field placements. Students who elect one placement remain in that placement for four terms; those who elect two placements have one during their first and second terms, and the second placement during their third and fourth terms. The advantages of electing one placement for both years is that students obtain more in-depth experiences at one fieldwork site and are much better positioned to achieve some mastery in practice skills. The main disadvantage is that students experience only one particular fieldwork site. The advantage of selecting two placements is that students obtain exposure to two fieldwork sites. Another disadvantage is the decreased availability of some placement options, such as those in health care, psychiatric, family, and other settings that tend to accept interns for a minimum of three terms.
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15.05 Extended Degree Program
The Extended Degree Program allows students to complete the Master of Social Work degree requirements through a combination of part- and full-time enrollment. The program increases access to the MSW degree for qualified students who cannot enroll full-time initially. Students applying for admission to the Extended Degree Program must meet the same admission criteria set for all students admitted to the Master's of Social Work Degree Program. Students enrolled in courses as non-degree students are not considered to be enrolled in the Extended Degree Program.
All applicants must submit a brief statement describing why they desire to be admitted to the Extended Degree Program and their plans for completion of degree requirements. Only a limited number of students are admitted to the Extended Degree Program each year.
Students admitted to the Extended Degree Program must complete all degree requirements within four years of their first term of enrollment in the Extended Degree Program. Extended Degree Program students are permitted to earn a total of one-half (30) of the total credit hours (60) required for the MSW degree on a part-time basis prior to assuming full-time status on the Ann Arbor campus. Once students acquire full-time status, they must remain full-time students (any exception must be approved by the Associate Dean for Educational Programs). Full-time enrollment is defined as 9 credit hours or more per term on-campus/Ann Arbor which may include Field Instruction courses. In the Extended Degree program, all courses used toward the MSW degree must be completed within a four-year time period. Well in advance of registration, students must inform the School Registrar (in writing) of the term in which they plan to begin full-time enrollment.
Students are required to enroll in Field Instruction after acquiring 15 credit hours of coursework and must spend two to four terms fulfilling their Field Instruction requirements. Students can earn Field Instruction credit prior to enrolling full-time only if they enrolled in at least one methods course concurrent with their field placement. When students begin field work, they should expect to follow one of two plans:
PLAN A: Students beginning Field Instruction in the Fall Term. Students are in placement for two days per week in the fall term, two days per week in the winter term, and four days per week in the spring/summer term.
PLAN B: Students beginning Field Instruction in the winter term. Students are in placement for two days per week in the winter term, four days per week in the spring/summer term, and two days per week in the fall term.
PLAN C: Students who prefer enrollment according to the 20-month schedule. Students are enrolled in field for two days per week in the fall and winter terms, do not enroll in the spring/summer Term off, and enroll in field for two days per week the following fall and winter terms.
Extended Degree students with an exemption from one term of the Field Instruction requirements must follow either PLAN A or PLAN B. They cannot enroll in the 20-month curriculum (PLAN C). Students do not apply for an exemption from a portion of the Field Instruction requirements until after admission to the MSW degree program.
Once admitted to the Extended Degree Program, students are expected to be enrolled continuously for each term in the academic year. If, after initial enrollment in the Program, a student is unable to enroll for two or more consecutive terms, then withdrawal from the Program is required. To re-enroll, the student must complete and submit a reapplication form to the School's Office of Student Services at least six weeks prior to the term in which the student wishes to re-enroll. Extended Degree students are expected to keep the Office of the Registrar informed of their enrollment plans each term.
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15.06 Fifth Term Option (Fourth Term Option for Advanced Standing Eligible Students)
The Fifth Term Option (or Fourth Term Option for students eligible for Advanced Standing) is available to all students who wish to enroll in a somewhat reduced load of coursework but still maintain full time student status. Typically, this means that the student enrolls in one fewer course each term, or several fewer courses in a given term.
The advantage of such a schedule is that it enables students to enroll in fewer courses each term without disrupting their educational progress. This option puts less pressure on students and gives them more time to concentrate on their coursework. A significant disadvantage of the fifth term option is the cost of tuition for an additional term. Typically, grant and scholarship financial assistance is not available for a fifth term of study or fourth term of study for Advanced Standing Eligible Students.
15.07 Out-of-Sequence Plans for Field Instruction
Under some circumstances students may find it necessary to alter their Field Instruction sequence from either the 16-month or the 20-month schedule. Students wishing an out-of-sequence schedule must access a petition form at http://ssw.umich.edu/programs/msw/ofi/out_of_sequence.pdf .
Students cannot start Field Instruction during the Spring/Summer Term. Any student who changes his/her curriculum schedule for Field Instruction such that it does not follow either the 16- or 20-month schedule must submit an Out-of-Sequence Petition, indicating the reasons for the requested change. Such a petition must be signed by the field educator/liaison and approved by the Director of Field Instruction. The signature of the Director of Field Instruction is required to ensure that this office is aware of any changes that will need to be accommodated by the field placement.
Petition forms must be submitted at the earliest date possible.
NOTE: Approval of the Out-of-Sequence plan should be determined before the beginning of the Winter term so necessary adjustments in the second term program may be made.
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EDUCATION (CSWE)
Volume 3 Field Instruction
WELCOME, INTRODUCTIONS, & COUNCIL ON SOCIAL WORK
1 WELCOME, INTRODUCTIONS, & COUNCIL ON SOCIAL WORK EDUCATION (CSWE)
1.01 School of Social Work (SSW) Dean's Welcome
Welcome to the University of Michigan School of Social Work's field program. As an MSW student, your field placement will be the arena in which you test the theories and develop and refine the skills you learn in class. You will have the opportunity to observe how other practitioners are applying their knowledge in real-world situations.
As you apply your knowledge in your work with organizations, agencies, and the people they assist, you will also be responding to the mission of social work. You will be working to empower those in need, pursue social and economic justice, and participate in the development of more equitable social polices. Your field experience is a chance for your to explore the differences you personally can make as a social worker.
In this era of political transformation and economic upheaval, social work skills and values have an ever more powerful role to play. Increased hardship and intensified global issues have left countless people in need of services. As you continue your education, your field experience will help you to acquire the skills necessary to address social issues, enhance quality of life, and provide essential services.
Please accept my congratulations and best wishes as you enter this exciting stage of your social work education.
With Best Wishes,
Laura Lein, Ph.D. Dean and Katherine Reebel Collegiate Professor of Social Work Professor of Anthropology The University of Michigan
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1.02 Office of Field Instruction Welcome
Welcome and congratulations on your admission to the School of Social Work! We are excited to have you join one of the greatest social work programs in the country. You have made the right choice and we are looking forward to working with you over the course of your graduate education as you begin your professional journey.
The Council on Social Work Education requires that all social work students successfully complete a field placement. The field placement will help you to learn about social work's professional values and ethics and will give you an opportunity to integrate your classroom learning with practice in a fieldwork site. You will enter into a teaching relationship with your field instructor, and thus will receive valuable feedback, supervision, and evaluation from a qualified practitioner. How you approach and engage in the process of field instruction will imprint your future success. A motto to strive for could be "A key to a vital life is an eagerness to learn and a willingness to change."
As a student, approximately 25% of your time will be spent in a field instruction courses so we hope to engage you in a thoughtful exploration and discussion of your past experiences and future goals as we facilitate your placement experiences. We encourage you to approach this adventure with an open mind and with a willingness to learn new things. Wherever you are placed, it is important that you obtain broadbased social work skills and experiences that will prepare you for more advanced practice. Your graduate education is the first step along your professional journey and we hope that you are excited and looking forward to your fieldwork experiences.
We are proud of our profession and hope to capture and share our excitement and passion with you as you enter this stage of your professional education and development.
Please stop by and introduce yourself. I have an "open door" policy and look forward to working with you.
Most Sincerely,
Elizabeth (Betsy) Harbeck Voshel, MSW, ACSW, LMSW,
Associate Clinical Professor
Director of Field Instruction
OFFICE OF FIELD INSTRUCTION TEAM MEMBERS:
o Lisa Kelley, B.A, Administrative Coordinator, firstname.lastname@example.org
o Mandy Wortz, Project Coordinator, 734.763.6321
Field Educators/Liaisons:
Office of Field Instruction Web Site: http://www.ssw.umich.edu/programs/msw/ofi/
FAX: 734.763.4885
1080 S. University Ave., Room 1704
Ann Arbor, MI 48109-1106
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1.03 The Office of Field Instruction Mission Statement OFFICE OF FIELD INSTRUCTION MISSION STATEMENT
To serve as both a representative of the University of Michigan School of Social Work and its students as well as an advocate for the community-based fieldwork sites where students are accepted. Our intent is to establish and maintain continuous and viable representative links between the School and its surrounding communities where quality student learning, training, and service to said communities can occur. Equally important, our goal is to highlight the integral role of the student in utilizing University resources to complement the educational, financial, and social development of the community.
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EDUCATION (CSWE)
1.04 The Council on Social Work Education (CSWE)
(The following information is taken from this website: http://www.cswe.org)
The Council on Social Work Education (CSWE) is a nonprofit national association representing over 3,000 individual members as well as graduate and undergraduate programs of professional social work education. Founded in 1952, this partnership of educational and professional institutions, social welfare agencies, and private citizens is recognized by the Council for Higher Education Accreditation as the sole accrediting agency for social work education in this country.
CSWE works to ensure the preparation of competent social work professionals by providing national leadership and a forum for collective action. The main responsibility of CSWE is therefore to promote and maintain the high quality of social work education. In addition, CSWE strives to stimulate knowledge and curriculum development, to advance social justice, and to strengthen community and individual well-being.
Educational Policy and Accreditation Standards (EPAS-2008) Preamble
Purpose: Social Work Practice, Education, and Educational Policy and Accreditation Standards
The purpose of the social work profession is to promote human and community well-being. Guided by a person and environment construct, a global perspective, respect for human diversity, and knowledge based on scientific inquiry, social work's purpose is actualized through its quest for social and economic justice, the prevention of conditions that limit human rights, the elimination of poverty, and the enhancement of the quality of life for all persons.
Social work educators serve the profession through their teaching, scholarship, and service. Social work education—at the baccalaureate, master's, and doctoral levels—shapes the profession's future through the education of competent professionals, the generation of knowledge, and the exercise of leadership within the professional community.
The Council on Social Work Education (CSWE) uses the Educational Policy and Accreditation Standards (EPAS) to accredit baccalaureate and master's-level social work programs. EPAS supports academic excellence by establishing thresholds for professional competence. It permits programs to use traditional and emerging models of curriculum design by balancing requirements that promote comparability across programs with a level of flexibility that encourages programs to differentiate.
EPAS describes four features of an integrated curriculum design: (1) program mission and goals; (2) explicit curriculum; (3) implicit curriculum; and (4) assessment. The Educational Policy and Accreditation Standards are conceptually linked. The Educational Policy describes each curriculum feature. The Accreditation Standards are derived from the Educational Policy and specify the requirements used to develop and maintain an accredited social work program at the baccalaureate (B) or master's (M) level.
Council on Social Work Education, Inc. 2008. Educational Policy and Accreditation Standards. Alexandria, VA. (Revised March 27, 2010).
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1.05 Field Manual Stipulation
It is important for the reader to understand that critical Office of Field Instruction (OFI) policies, procedures and guidelines are subject to modifications at any time. Please refer to the OFI website for the most up to date version of the policies, procedures, guidelines, and forms.
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2 GOALS, FIELD PREREQUISITES, & PROFESSIONAL MANDATES
2.01 Field Manual Purpose, Professional Mandates, and Prerequisites
This Field Manual is the standard guide for the Office of Field Instruction. It presents policies and procedures to assist students, field instructors, and faculty. Readers are encouraged to discuss and review this manual with all parties involved in field instruction in the School of Social Work at the University of Michigan. The Field Instruction Manual is intended to assist readers with content related to professional mandates, field instruction roles and responsibilities, field instruction procedures, the Educational Agreement, student performance, and the curriculum. All of the forms required for the program can be found in the links available throughout the document or on the OFI web site:
http://www.ssw.umich.edu/programs/msw/ofi/
The Office of Field Instruction is located in the School of Social Work off the McGregor Commons area in room 1704. Questions can be directed to the Administrative Coordinator: 734.763.5441, FAX: 734.763.4885, or e-mail email@example.com.
Field instruction is an integral part of the MSW Degree Program. Opportunities to integrate classroom knowledge with social work practice, and develop professional skills in fieldwork settings are provided. The field experience is closely supervised by credentialed professionals. Only those students who are admitted to the School of Social Work and remain in good standing to the Advanced Standing, 16-month, 20-month, or extended degree curriculum schedules are eligible to enroll in field instruction courses. Additionally, only those students who have successfully completed Foundation field instruction (SW515) and Foundation Field Seminar (SW531) may enroll in Advanced field instruction (SW691).
The primary purpose of field instruction is to provide students with educational opportunities that lead to competent practice that complement MSW curricular objectives. The provision of generalist practice opportunities for all students in both macro and micro practice methods are mandatory in the field instruction courses. Generalist practice pertains to problem solving at multiple levels of intervention. It is not considered a discrete methodology, but a perspective that involves a variety of methods, strategies, and roles for social work intervention. The field experience also provides for the acquisition of in-depth knowledge and skills in social work roles in a practice concentration method and practice area in which to apply the method. For those students who choose a minor practice method, the field experience also provides for the acquisition of basic competency in knowledge and skills in social work roles in the selected minor practice method and practice area. Fieldwork is closely integrated with classroom courses so students are enrolled concurrently in classes and in fieldwork that coincide with their practice method concentration and practice area. This enables the student to have fieldwork assignments that coincide with courses in their practice method concentrations, practice areas, and research interests.
The Director of the Office of Field Instruction is responsible for the administration and management of the Office of Field Instruction. This includes developing, facilitating, and monitoring all aspects of the student's field placement experience as well as providing oversight and supervision for all field related functions of the School. The Director supervises and oversees the work of the Field Educators/Liaisons, who are assigned a cohort of fieldwork sites to work with based on geography and practice area interest, and experience. Students are assigned to a Field Educator/Liaison who will work with them to facilitate their field placement. Field Educators/Liaisons also teach the Foundation Field Seminar and function as the Field Liaison monitoring each student's placement progress after they are placed.
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MANDATES
2.02 Goals of Field Instruction
Graduates of the School are expected to be able to apply knowledge and skills of a generalist social work perspective to practice with systems of all sizes, and apply knowledge and skills of advanced social work practice in their chosen practice method concentration and practice area. In addition to assisting in developing skills that are transferable from one setting to another, the School is committed to providing a field experience in which the student can develop a professional identity. Specifically, the goals for competency training in field instruction include:
Offering Foundation level, structured learning opportunities which enable student to:
o Assess unique strengths, resources, and needs of diverse populations.
o Demonstrate sensitivity, respect, and competence in responding to the experiences and needs of socially and economically disadvantaged populations and populations at risk.
o Demonstrate beginning competence in assessing needs and developing interventions, across multiple identified client groups.
o Identify and utilize appropriate professional roles.
o Communicate professionally and participate effectively with colleagues, other professionals, and staff to utilize supervision effectively.
o Assess the policy context and policy documents relevant to the practice setting.
o Compare their practice experiences with other students and integrate knowledge acquired in the classroom.
o Gain technical proficiency in the student's elected practice method concentration (interpersonal practice, management of human services, community organization and social policy and evaluation), and in one of the five practice areas (children & youth in families and society, aging, mental health, health and communities and social systems). Fieldwork opportunities are also available for those students who choose to elect a minor.
o Apply and test theory and knowledge in social work settings that are transferable from one setting to another, and to a variety of systems.
o Acquire knowledge and skills necessary to understand and utilize social work ethics and values in dayto-day practice and to refine professional awareness, judgment, and decision-making abilities.
o Understand the interdependence of the range of social work roles and skills, from interpersonal to macro levels, within various settings and fields of service, and engage in these roles and skills, wherever possible.
o Gain proficiency in practice with individuals and groups without discrimination on the basis of the following diversity dimensions: ability, age, class, color, culture, ethnicity, family structure, gender (including gender identity and gender expression).
Advanced field instruction builds on Foundation field instruction in that students will have exposure to a variety of different roles and skills in Foundation fieldwork and in Advanced, they focus on their practice method concentration and practice area, have more opportunities to apply their skills in a greater variety of circumstances, in greater depth and breath over a sustained period of time.
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MANDATES
2.03 Ethics, Values, and the National Association of Social Workers (NASW) Code Of Ethics All students and field instructors in the social work program have the responsibility to be familiar with the National Association of Social Workers (NASW) Code of Ethics. It is expected that all students, field instructors, and faculty will abide by the Code. A link to the current Code can be found on the NASW web site: http://www.socialworkers.org/pubs/code/code.asp
The development of ethical standards should also be an integral part of each student's Educational Agreement and incorporated into supervision sessions. Students are to learn the intrinsic principles of the Code and have opportunities to operationalize these principles in their field placement. Part of professional social work training includes commitment to the NASW Code of Ethics, which states in part that social workers' primary goal is to help people in need and to address social problems.
For additional information, please refer to the SSW Student Guide Volume 1, Chapter 13: The Social Worker's Code of Ethics: Adoption of the NASW Social Worker's Code of Ethics for Professional Conduct.
2.04 Disability and Compliance with the Americans with Disabilities Act (ADA)
The American With Disabilities Act (ADA) of 1990 extends and implements civil rights protections for individuals with a disability on the basis of race, color, age, religion, gender, sexual orientation, national origin, veteran status, or disability. The University of Michigan complies with federal and state laws which affect qualified persons with disabilities. It is the policy and practice of the School of Social Work to provide equitable educational opportunities for students with documented disabilities in all programs and activities, including field instruction. The University's Office of Services for Students with Disabilities (SSD) provides assistance regarding academic, economic, social, and recreational activities to students who have documented disabilities. Staff in SSD serve as intermediaries and advocates for students with disabilities. Any student seeking accommodations is encouraged to contact the Office of Services for Students with Disabilities (http://ssd.umich.edu/) at the beginning of the term, G664 Haven Hall, Ann Arbor, MI 48109 -1045, 734.763.3000 (Voice/TYY/TDD).
The Office of Field Instruction strongly encourages students with a disability to contact the field office well before the field placement process begins in order to discuss any special considerations that may be requested and to help arrange for aids or services that students may need to negotiate fieldwork. The Office of Field Instruction team, in cooperation with the Office of Services for Students with Disabilities, and the student's Faculty Advisor, are available throughout the academic year to assist students with disabilities and the respective field instructors in fieldwork related matters. Students with disabilities are strongly urged to contact G. Warren Clark, MSW, LMSW, Field Educator/Liaison in the Office of Field Instruction, 734.647.9433, at least one month before their placement process begins.
For additional information, please see the SSW Student Guide Volume 1, Chapter 19: Students with Disabilities - Relevant Policies.
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2.05 Privilege, Oppression, Diversity and Social Justice (PODS) and Affirmative Action
Every aspect of the School's educational program is conducted without discrimination on the basis of the following diversity dimensions: ability, age, class, color, culture, ethnicity, family structure, gender (including gender identity and gender expression), marital status, national origin, race, religion, sex, and sexual orientation. The School's goal is that every student will be exposed and encouraged to become competent with regard to privilege, oppression, diversity, and social justice (PODS). These competencies are very interrelated and really represent multidimensional matrices.
The overarching principles that are infused in all four clusters of competencies are as follows: Work towards social justice from a strengths perspective. Always work towards a social justice vision and positive change goals, while assessing and building on strengths and assets.
Incorporate an understanding of intersectionality. Apply an intersectional perspective to an understanding of one's own and others' positionalities and standpoints, since they work together and must be considered together. It also includes recognizing how dimensions of power, privilege, oppression and difference associated with positionalities influence people's actions, perceptions and choices, and group, organizational, and community structures and processes.
Consider all competencies in relation to their implications for both oppressed and/or privileged positions.
Recognize the importance of contexts on individual, group, and interpersonal dynamics. This recognizes how people's identities, positionalities, and sense of power shift and change as they move across different group and institutional contexts.
Engage in critical socio-political-historical-structural analyses. Examine how history and societal contexts shape meaning and how current circumstances need to be interpreted in light of that history. Includes a critique of knowledge, research, theories, and practice methods/actions in terms of the paradigms and assumptions they represent, illuminate or obscure.
Use a multilevel analysis and perspective. Understand and address (in practice) the interrelationships among micro and macro structures, processes, and the many roles that mediating structures, symbols and interactions play in linking the micro and macro in recreating and sustaining inequities.
Acknowledge the role of power. Understand how power and inequities are being initiated or reinforced, and make distinctions among types of power that convey unearned advantage in ways that disadvantage others and power that can be harnessed to work for social change.
Engage in praxis. Employ iterative and interactive cycles of theorizing, acting, and reflecting in order to deepen critical consciousness, in order to increase insights about social justice, and identify and reduce barriers to justice.
The University of Michigan School of Social Work certifies that it will agree to comply with all state and federal laws on discrimination and specifically agree not to discriminate in acceptance of students and against any student in field placement based on diversity. It is the expectation that all field fieldwork sites will agree to comply as well.
The faculty, staff, and student body of the School of Social Work will reflect the diversity of our society. The School will maintain an atmosphere in which there is an appreciation of human diversity and where people of varied backgrounds and characteristics feel supported, valued, and empowered to pursue their individual professional development.
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SCHOOL OF SOCIAL WORK STUDENT GUIDE
For additional information, please see the SSW Student Guide Volume 2, Chapter 11: Curricular Integrative Themes
2.06 Student Agreement - Release of Information
Each student signs a "Student Agreement to Participate in Field Placement/Release of Information" when they submit their online Placement Request Forms. This statement allows the Office of Field Instruction to release all placement related materials to a potential fieldwork site. It also stipulates that students are not covered by workman's compensation in the State of Michigan for any accident/injury that may occur during their field placement. It indicates that the student's individual medical insurance plan is responsible for all expenses incurred during field placement time and that the University and the School of Social Work assume no responsibility or liability for any injury that may be sustained during field placement. This agreement also stipulates that if students are required to utilize their personal vehicle for field placement related business, that they are responsible for arranging appropriate vehicle insurance, they possess a valid driver's license, and they release the University of Michigan from any liability.
It should be noted that the Release form also stipulates that the student understands that if they don't have transportation or access to transportation that their field placement options will be quite limited. OFI has "local" field locations as far west as Grand Rapids, as far north as Saginaw, as far east as Detroit and as far south as Toledo and students need to be aware that there are limited public transportation options within and between Washtenaw and other counties. Students also need to understand that a majority of field placements are going to be a minimum of a 30-40 minute commute one-way and some longer and that they are responsible for their own transportation meaning that the University of Michigan and/or the School of Social Work is not responsible for student travel to and from field placement.
In addition, students need to understand and be ready to accept a field placement that may not be with the population or the fieldwork site that they have chosen. For example, if a student is an interpersonal practice student, they need to be aware that "clinical" placements are defined in a multitude of ways and that very few fieldwork sites offer training in learning how to do long term "therapy". The low number of these placement options is due to insurance reimbursement regulations and the fact that this type of work is not usually within the mission/scope of practice of a majority of social work agencies.
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2.07 Criminal History Record Checks and Professional References
Many fieldwork sites will require that students (some at their own expense) complete a criminal background check and/or provide professional references in order to be considered for field placement. Students need to inquire about these requirements during the initial contact with the fieldwork site. Students will be asked to provide information to the field office regarding criminal history. This information will not be provided to the fieldwork site but is necessary for the field office to know in order to make informed decisions regarding the placement match as many fieldwork sites require many different types of background checks (criminal, substance use screening, fingerprinting, etc.) and are unable to host students who may have particular criminal histories.
The following question appears on the Placement Application form:
Have you ever been convicted of a misdemeanor or felony including alcohol or drug-related driving offenses? Driving convictions such as operating while intoxicated, operating in the presence of drugs, operating without a license, etc., are generally misdemeanors or felonies and should be included. Please provide a short explanation which includes the date(s) of occurrence, what happened, and the outcome.
Student references that were provided for purposes of admission to the School of Social Work cannot be released for purposes involving field instruction. Students will need to re-contact their references and seek additional copies.
Students need to be aware that a large majority of fieldwork sites require that students participate in criminal history record checks and/or drug screening as a prerequisite for acceptance. Typically, corrections programs, public schools (see below), and other fieldwork sites that serve children, adolescents, or the elderly require criminal history record checks. Fingerprint Application/Information can be found here:
http://www.michigan.gov/documents/sos/DES-025_Livescan_Fingerprint_Request_179196_7.pdf
ALL public school MSW interns should be aware that they will be required to complete and pass a criminal background check. The fee for this service is the responsibility of the MSW intern and is typically about $70.00. L-1 Identify Solutions (http://www.L1id.com) is available to assist interns. Other options may be provided by the respective school district. Fees are determined independently. In addition, MSW interns should be prepared to provide 3 references during this process.
The criminal history record check is a process whereby the student completes a set of forms that are sent to the State of Michigan and reviewed for previous criminal activities and convictions that would prevent the student from working with a specified group of people. Information obtained through a criminal history record check includes registered home address, driving status, aliases, criminal history (including drug possession arrests), and personal protection orders.
Fieldwork sites requiring criminal history record checks and drug screenings are designated in the Placement Listings found on the OFI website, if the fieldwork site has notified the Office of Field Instruction about this requirement. In most cases, the fieldwork site will absorb the cost. Students who have a criminal conviction need to be aware that this may affect acceptance for a field placement at a particular fieldwork site and/or future ability to become licensed.
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2.08 Substance Use Screening Policy and Guidelines
Students need to be aware that many fieldwork sites require routine or random drug screenings for all employees and as a prerequisite for acceptance in a field placement. Students should know that a positive drug test result could be grounds for not accepting them for the field placement. Students are encouraged to also review the SSW Student Guide Volume 1, Chapter 12: Student Code of Academic and Professional Conduct. Students are required to comply with the Student Guide.
OFI Substance Use Screening Policy & Guidelines
On many occasions, students will be required to participate in random substance/drug screenings as a condition for acceptance for a field placement. This is particularly true for those students working in fieldwork sites whose mission includes services to children/youth and those serving geriatric populations.
In most cases, it will be clear on the fieldwork site's web page that substance/drug screening (or criminal background checks, or certain immunizations, etc.) are a requirement of the placement. Upon interviewing for placement and conditional acceptance, students may be asked to participate in a substance/drug screening, which if they pass, leads to an official offer of field placement.
Should a student refuse to participate in a substance/drug screening, the fieldwork site has the opportunity to decline to host the student for field placement.
Should the student fail the substance/drug screen and thus be refused for placement, the student needs to contact the Director of Field Instruction to report the incident. The Director of Field Instruction upon consultation with the Associate Dean for Educational Programs and with assistance from the Office of Student Services will refer the student for a professional level substance use assessment. Only upon completion of the recommendations provided by the professional assessment, may the student once again be referred for field placement. Given the time that this may take to complete, students need to be aware that they may need to change curriculum schedules, which may necessitate adding an additional term. Students may also be asked to seek and share professional level recommendations regarding their future participation in field placement related activities.
Should the student fail a second substance/drug screening for field placement, they will be referred to the Academic Concerns Committee, which could result in being disenrolled from the School of Social Work. All students need to be aware that they are required to follow all School and University rules and regulations governing student conduct found in the SSW Student Guide Volume 1, Chapter 12: Student Code of Academic and Professional Conduct.
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2.09 Medical Insurance
Students are strongly encouraged to have health insurance. Students should become familiar with how their health insurance works and carry their insurance card with them at all times. If students need health insurance, they should call the University of Michigan Health Service at 734.764.7380 or go to the following web site: http://www.uhs.umich.edu/msa.
The University of Michigan plan offers coverage to help meet hospital, surgical and medical costs which students, spouses/domestic partners, and their dependent children may incur. If students do not have adequate health insurance coverage for the treatment of sickness and injuries, or if they lack eligibility for continued coverage under a current policy, it is strongly recommended that they consider enrolling in the University of Michigan plan. A separate plan is also available for international students through the International Center. International students should contact the International Center directly for information and forms. Please refer to the following web site for more information: http://www.ii.umich.edu/ii/
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2.10 Safe Health Practices: Immunizations/Vaccination Recommendations
There are established Federal guidelines regarding occupational health and safety in health care (OSHA). These guidelines are established to protect the working public and have been developed to help employees become knowledgeable so that they can take the proper precautions, which will enhance their well-being. Certain immunizations are recommended for anyone who plans to interact with clients in many community-based settings. Given the nature of our health care system, a majority of the clients that many of our students may be working with may not have access to or utilize the health care options available to them. Therefore, it is advisable for students to obtain the most up-to-date set of immunizations before fieldwork begins.
As a condition of accepting students in certain field placements, some sites will require students to present documentation verifying that they have received particular immunizations before they begin the field placement. The guidelines are interpreted very differently in each fieldwork setting, so students are required to find out from the fieldwork site which immunizations are required during the interview process. If immunizations are required, students need to find out from the field instructor whether they can obtain the immunizations at the fieldwork site and/or whether the site will cover the costs.
The Office of Field Instruction will inform students what medical forms are required by individual fieldwork sites. It is the student's responsibility to complete the form including required signatures and give it to the fieldwork site for review and disposition. The fieldwork site is responsible to evaluating the forms and instructing the student should additional information be required.
A variety of immunizations are available through University Health Service, 207 Fletcher Street, 734.764.8304. Please consult the web site for a list of available services:
http://www.uhs.umich.edu/immuninfo
In addition, the Washtenaw County Department of Public Health offers immunizations as well. More information can be obtained from:
Human Services Building, Room 121
555 Towner St.
P.O. Box 915
Ypsilanti, MI 48197
Phone: 734.544.6700
Fax: 734.544.6705
Website: http://www.ewashtenaw.org/government/departments/public_health
The Washtenaw County Health Department charges an immunization fee per injection. If students have any questions about fees, they need to discuss them with the clinic nurse. If students are eligible for Medicaid, the administration fee will be billed to Medicaid. Students should contact their insurance company to determine coverage.
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2.11 Malpractice and Liability Insurance
Social work students are covered for malpractice under the University of Michigan's policy, but NOT general liability insurance. Malpractice insurance protects and covers the student in cases of professional negligence or misconduct which results in mental or physical injury to a client. It is focused on the student's professional interactions with client systems. Students pay for this coverage in their fees when they register for field instruction courses. Coverage applies to all enrolled students while acting within the scope of University sponsored activities including course-related activity to complete their degrees. The University's self-insurance program is permanently funded, non-cancelable, and provides limits in excess of $1,000,000 each occurrence and $3,000,000 annual aggregate.
General liability insurance covers one for personal negligence or misconduct which results in injury to another. Examples are auto insurance, homeowners insurance, or business (agency) insurance, which covers the individual or fieldwork site for injuries occurring as a result of the failure to meet reasonable standards of care and conduct. If the fieldwork site does not provide general liability insurance for student interns, it is the student's responsibility to obtain this insurance, if so desired. Questions regarding this policy should be directed to the University of Michigan Risk Management Services, 734.764.2200, or http://www.finance.umich.edu/treasury/risk.
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2.12 Vehicle Insurance: Use of Personally Owned Vehicles for Fieldwork Site Business THE SCHOOL OF SOCIAL WORK IS NOT RESPONSIBLE FOR STUDENT VEHICLE INSURANCE COVERAGE.
In some field placements, students may be required to use their personally owned vehicle for transportation purposes. Some fieldwork sites will have vehicles for fieldwork business for students to utilize. Given this, all students are required to have a valid driver's license, indicate that they can operate a motor vehicle without restriction, carry current vehicle insurance, and agree to be in compliance with the laws of the State of Michigan while on fieldwork business.
If a student is to utilize their personally owned vehicle for field placement activities (including the transportation of clients), it is the field placement's responsibility to inform the student of these expectations prior to acceptance into the placement and also to evaluate the student's ability to perform the required tasks. This includes, but is not limited to, ensuring that the student's vehicle is in good, safe, working condition.
Guiding Principles
Students should check with their insurance carrier relative to these and other contingencies before using their personally owned vehicle to carry out fieldwork related business.
o Students who are enrolled in field instruction are sometimes asked to use their vehicles for fieldwork business; e.g., transporting clients, making home visits, attending case conferences, court hearings, or organizational meetings. Before responding to such requests, the student should ask whether or not the fieldwork site has a vehicle or vehicle insurance to cover these activities. We encourage fieldwork sites to reimburse for travel expenses incurred in a personally owned vehicle while on fieldwork related business.
o Michigan is a no-fault insurance state. Students coming into the state with vehicles registered out-ofstate should pay particular attention to the Michigan no-fault auto insurance laws. Simply stated, no-fault means that, with some exceptions, each person who is involved in an auto accident is responsible for his or her own property losses.
o Car insurance policies issued out-of-state may assume that the principal use of the vehicle will be in the home state. If students should be required to use their personally owned vehicle for field placement business, they should check with their insurance carrier about their coverage. In no case should the students undertake fieldwork related business in their personally owned vehicles without adequate insurance coverage.
o Michigan requires that all drivers carry liability insurance. If students are transporting clients, students will want to carry substantially more than the minimum requirement. We recommend that students check with their insurance carrier as to the appropriate amount they should carry given their use of their vehicle for field placement business.
2.13 Mandatory Reporting and Duty to Warn State Of Michigan Laws
The State of Michigan has laws which cover the mandatory reporting of child or elder abuse and the duty to warn if a client is harmful to him/herself or others. Field instructors are responsible for educating all students with regard to these laws. Students are not allowed to be the primary mandated reporter while functioning as an intern in a field placement. This role is reserved for the fieldwork site field instructor who is responsible for ensuring that all field placement polices, regulations, laws, and ethical obligations are followed. The student can assist and should have exposure to situations that involve mandatory reporting and duty to warn.
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2.14 The Health Insurance Portability and Accountability Act (HIPAA)-Federal Requirements
In response to federal guidelines regarding occupational health and safety in health care settings, many fieldwork sites will require that the student (regardless of their practice method concentration or practice area) participate in training with regard to The Health Insurance Portability and Accountability Act (HIPAA) which was enacted by the US Congress in 1996. Fieldwork sites will inform students of this requirement during the placement process. For more information see:
http://en.wikipedia.org/wiki/Health_Insurance_Portability_and_Accountability_Act
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2.15 Social Networking and the Social Work Competencies
In the age of technology and information, social media (Facebook, MySpace, Twitter, YouTube, Blogs, SMS/texting, etc.) can be particularly helpful in building connections with colleagues and maintaining relationships with friends and family; however, as a result, the boundary between personal and professional matters has become increasingly blurry. Due to social work's professional standards and the obligation to follow the National Association of Social Workers Code of Ethics (http://www.socialworkers. org/pubs/code/code.asp), social workers need to continually assess the ethical implications/complications of social media use, not only as practicing social workers but in the training of social work students.
While social media tools obviously present many useful and exciting opportunities, the features that enable these benefits also present potentially serious challenges in a professional setting. Privacy, confidentiality, and the establishment of professional boundaries in particular, can be hindered when the necessary precautions to protect the student/employee and clients have not been taken.
If the fieldwork site/agency already has a policy on social media use, this policy should be shared with social work students as part of their orientation to the fieldwork site. Even without its own formal social media policy, the fieldwork site should have clear guidelines and expectations for students regarding social media use at home and at the fieldwork site.
Because of the diverse needs and settings of fieldwork sites and the perpetually changing nature of the online social media world, the School of Social Work Office of Field Instruction does not have a formal social media policy. In lieu of an overarching social media policy, these guidelines have been developed to aid fieldwork agencies in determining appropriate online conduct within the context of their field work sites.
Here are a few important issues to explore and discuss:
1. What type of information is okay to share on a personal social media site?
a. It seems that it should be inappropriate for students (or employees)to refer to any fieldwork site/agency, client, or client situation, etc. on their personal social media pages (e.g. Facebook, My Space, Twitter, Blog), no matter how many security settings have been invoked.
b. Should students/employees share their personal contact information including
email, cell number, address, etc. with a current or former client or client group?
c. While social workers have an ethical obligation to protect the privacy of their clients, no such restrictions prevent a client from searching online for information about a student or employee. Any photos, videos, written comments, and other postings can serve to undermine a social worker's personal safety and/or professional competence.
d. Students (and employees) should be expected to exercise great care in how they represent the social work profession as a whole in any online activities. It is very easy for an outsider to misinterpret statements or images out-of context. (See NASW Code of Ethics Section 4.06a: Misrepresentation.)
2. When, if ever, is it permissible to conduct an online search for information about a client?
In a macro setting, this may be common practice when doing evaluation or other work, but in a clinical setting, such searches may lead to boundary violations and other interference with both client trust and the therapeutic process. (See NASW Code of Ethics Section 1.07a: Privacy and Confidentiality.)
3. What is the policy on "friending" current or past clients? Are there contexts in which this might be acceptable? (See NASW Code of Ethics Section 1.06c: Conflict of Interest.)
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4. How can social media be used to further the goals of the fieldwork site? How does a student or employee present information on a social media page in a professionally-appropriate manner?
5. What types of information should not be sent via email? Because the privacy of email can never be completely ascertained, students and employees should take precautions to ensure they are not sending sensitive information in an email. (See NASW Code of Ethics Section 1.07e: Privacy and Confidentiality.)
It is in the profession's best interest to remind students that social media sites are public domains and any and all information can be accessed by anyone. Once information is in cyber space, it never goes away.
The challenges of social media use are particularly important as they relate to a few of the established social work competencies listed below:
1. Values and Ethics: Demonstrates how the value base, ethical standards and principles of the social work profession are applied to social work practice.
2. Professional Identity and Professional Behavior: Identifies as a professional social worker and conducts oneself as a representative of the profession, its mission and core values.
3. Organizational Context: Demonstrates an understanding of the organizational structure of the fieldwork setting, how it operates, the services offered, and its service delivery system
4. Critical Thinking: Demonstrates ability to analyze, process and implement decisions within the context of professional social work practice
5. Engagement: Demonstrates ability to connect to a client/constituent base, colleagues, community, etc. in a professional manner
When reflecting upon the importance of preparing students to function as solid, ethical, social work professionals, it seems that supervision/discussion/consultation regarding the social work competencies is critical in navigating the challenges social media presents in practice.
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3 ROLES, RESPONSIBILITIES, & FIELDWORK REQUIREMENTS
3.01 Director of Field Instruction
The Director of the Office of Field Instruction is responsible for the administration and management of the Office of Field Instruction and reports to the Associate Dean for Educational Programs. The Director has the authority and responsibility for all facets of the field instruction program including development, facilitation, implementation, and monitoring of all policies, procedures, which includes providing oversight and supervision for all fieldwork related functions in the School of Social Work.
In addition, the Director collaborates with fieldwork sites/field instructors developing placement opportunities, providing training, and ensuring that standards are met. The Director supervises and oversees the work of the Field Educators/Liaisons assigned to the Office of Field Instruction. The Director also functions as a Field Liaison for a cohort of students and teaches a section of the Foundation Field Seminar and/or an elective e-Portfolio integrative learning seminar. In addition, the Director collaborates with field instruction coordinators and field faculty at other colleges and universities regarding the enrichment of field instruction.
The Director is responsible for all aspects of planning, policy/procedure development, placement problem solving with students, Field Educators/Liaisons, fieldwork sites, coordination and evaluation of all placement related activities, resource procurement, works to ensure that field instruction objectives are met and classroom curriculum integrated with the field experience, and all other matters related to the office as the Associate Dean or Dean may assign.
3.02 Field Educator/Liaison
Full-time Field Educator/Liaisons are assigned to the Office of Field Instruction. In this dual role, this position is responsible for placing an assigned cohort of students (Field Educator role) and following/monitoring those students (Field Liaison role). In most cases, the student's Field Educator will also function as the student's Field Liaison. Where possible, the student will also have the same Field Educator/Liaison as their Foundation Field Seminar instructor. This provides multiple vehicles for integration of classroom learning, student placement monitoring, relationship building, and problem solving. Field Educators/Liaisons are also responsible for being aware of and implementing all policies and procedures related to field instruction.
3.03 Field Educator Role
During the pre-placement phase, students indicate a desire for a placement in a particular fieldwork site when they complete the on-line Placement Request Application found on the OFI web site: http://ssw.umich.edu/programs/msw/ofi/placementInformation.html
The student is then assigned to the Field Educator who "owns" the fieldwork site to assess the "fit" between the student and the fieldwork site. The Field Educator facilitates the student's placement by communicating directly with the fieldwork site and sharing the student's Goal Statement and Résumé.
The Office of Field Instruction operates in a team format meeting on a regular basis to discuss program issues and monitor student placement activity and follow-up. The office has a "Daily Resource Person" (DRP) available to meet with any student who "walks in" requiring assistance. By virtue of the database system available, the ability to track student field activity is available to the team thus affording a team member prompt opportunities to address student concerns and issues.
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3.04 Field Liaison Role
Combining the role of Field Educator with Field Liaison has provided the OFI team the opportunity to develop a "wrap-around" or "continuity of care" type of model whereby students are assigned to one Field Liaison for the duration of their field placement in any academic year. This allows for improved relationship building between the student, the fieldwork sites, and the Field Liaison. Problems are quickly identified, addressed and long term accomplishments are more easily recognized when utilizing this model. Both students and fieldwork sites have commented on the positive aspects of this model.
Student education and experience in the fieldwork site is monitored by virtue of the Field Liaison role where the placement related activities are monitored. The Field Liaison responsibilities include:
o Reviewing and approving the student's Educational Agreement, ensuring that it is consistent with educational guidelines. This document is developed by the student and the assigned field instructor. This includes recommending revisions when appropriate and is accomplished prior to the verbal mid-term review held by the field instructor. Students are expected to treat the Educational Agreement as a contract for the learning/work to be accomplished in the field placement.
o Monitoring student progress by virtue of fieldwork site visits (in person, teleconference, Skype, etc.), telephone and electronic mail discussions, and be available for individual meetings to counsel students and/or field instructors relative to field instruction as requested. A minimum of one site visit per term is held and more if needed. For those students placed out-of-state or globally, students may participate in a webbased (CTools) course management system. The site visit may be accomplished by a conference call or a Skype call with the field instructor and the student once per term in addition to electronic or telephone communication on a regular basis. When appropriate and/or necessary, the Field Liaison assists the field instructor and/or student in the initiation and development of an educational plan for identified placement issues/concerns/problems.
o Reviewing, monitoring, and assigning a course grade for field placement experiences (SW515 and SW691) for those students assigned to their section of Foundation Field Seminar (SW531).
o If a placement is terminated, The Field Liaison works closely with the student and the field instructor to professionally "close the loop", and works with the student to facilitate a new field placement.
o Assisting in the monitoring and reviewing of fieldwork site suitability on an ongoing basis. This is accomplished by virtue of the breadth and depth of the relationship between the fieldwork site and the Field Educator (placement phase)/Liaison role (placement monitoring). In this capacity, the Field Educator/Liaison is capable of monitoring field instructor performance very closely. Annual evaluation instruments also help to inform the Field Liaison/Director with regard to student experiences in the placement setting.
o Assisting in identification and development of new fieldwork sites in conjunction with the Director. Participates in training sessions for field instructors.
o Performs related tasks, maintains or prepares reports as requested by other School entities, and meets as a member of the Office of Field Instruction team on a regular basis. Also participates in supervision and/or consultation with the Director of Field Instruction which addresses significant changes, problems or positive developments in the field instruction program. Participates in School related fieldwork activities including those involving School committees or student oriented activities.
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3.05 Faculty Advisor
The Faculty Advisor is a member of the faculty in the School of Social Work and is responsible for counseling students relative to planning an educational program, course selection, and helping ensure that students meet requirements for the MSW degree. The Faculty Advisor must authorize course drops/adds, and make recommendations regarding student petitions for waiver of general curricular requirements. In addition, the Faculty Advisor provides counseling and assistance with regard to academic difficulties and serves as an information and referral source on nonacademic problems. The Faculty Advisor is called to collaborate with the Office of Field Instruction regarding issues pertinent to field instruction on a regular basis.
3.06 Fieldwork Site Selection
The School of Social Work has established standards for selecting fieldwork sites. The ability of the School to provide sound, educationally focused field experiences relies heavily on a partnership with the community by their vested interest in the training of students. The goal is to utilize fieldwork sites which agree not to discriminate based on the diversity dimensions (ability, age, class, color, culture, ethnicity, family structure, gender [including gender identity and gender expression], marital status, national origin, race, religion, sex, and sexual orientation). The motivation to participate as a training site may stem from a number of sources. These include increasing the social work labor force, staff recruitment, professional stimulation to staff and the fieldwork site, and implied recognition of fieldwork site's practice standards.
As required by federal and state law and by University of Michigan policy, field instruction sites, as a whole, must be accessible to students with disabilities. (Please refer to the SSW Student Guide Volume 1, Chapter 19: Students With Disabilities-Relevant Policies). The "as a whole" requirement means that students with disabilities should have the same kinds of educational opportunities - including field instruction in particular kinds of settings - as students without disabilities. However, given the wide range of disabilities, it is possible that not every placement site will have the capability to accommodate every student. It may not be feasible, for example, for a site to accommodate students who use wheelchairs because of the site's location and existing architecture, but this same site could easily accommodate students with visual or hearing impairments. Every effort is made by the Office of Field Instruction to ensure equal access to fieldwork opportunities.
The selection of fieldwork sites is largely dependent on the fieldwork site's ability to accommodate the broad demands of a multifaceted curriculum, the range of target populations and experiences which it can offer, and its commitment to the training of social work practitioners. All fieldwork sites must complete the required paperwork including an Affiliation Agreement with the University of Michigan, in order to initiate the approval process.
The forms and the process of evaluating fieldwork sites are sent electronically after a request has been made and can be found here:
http://ssw.umich.edu/programs/msw/ofi/resources-fieldInstructors.html
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3.07 Fieldwork Site Approval Process
Approval of fieldwork sites is accomplished in several ways. Due to the relationship between the Field Educator/Liaison during the placement phase and the placement monitoring phase, evaluation of the quality of field instruction is possible in an ongoing fashion. Because Field Educator/Liaisons are monitoring all aspects of students placements, they are able to quickly identify problems, develop solutions in conjunction with the fieldwork site, and monitor the implementation and subsequent success (or failure) of the plan. Students also provide individual feedback regarding their experiences through 1:1 contact (in person, telephone, or electronic) with their assigned Field Educator/Liaison. Since Field Educator/Liaisons also teach the Foundation Field Seminar, students have an additional opportunity to dialogue with their seminar instructor regarding their field experience. Students are also requested to complete a formal evaluation of their field experience on an annual basis which helps to identify overall trends regarding the opportunities they received and the quality of the supervision among other things. These trends influence the training agenda for field instructors and assist the Office of Field Instruction when identifying new fieldwork sites.
The Fieldwork Site Must Be Able to Demonstrate
o The ability to provide a supportive atmosphere that is conducive to learning and opportunities for students in the foundation level (committed to helping students with a beginning level of professional competence with generalist perspective and fundamental skills through exposure to multiple roles and practice approaches with diverse populations) and the advanced level (committed to helping students deepen their knowledge and/or skills in their particular practice method concentration and practice area).
o A commitment to the diversity dimensions (ability, age, class, color, culture, ethnicity, family structure, gender [including gender identity and gender expression], marital status, national origin, race, religion, sex, and sexual orientation) and in concurrence with the School's mission and to the extent possible, its four curricular themes; to services on behalf of populations at risk, and is compatible with social work values and ethics.
o A commitment to release time thus allowing staff members who qualify as field instructors time to attend the School's OFI Field Instructor Workshop, provide student supervision and time to meet with the assigned Field Educator/Liaison. All field instructors must be a MSW post-Masters by 2 years and possess a State of Michigan license as a Licensed Master Social Work (LMSW). Qualified field instructors should possess commitment, sound practice skills, ability to work with a secondary field instructor if indicated, and an interest and competence in teaching (See Chapter 3, Section 10, 11 and 12).
o Use of administrative policies regarding service to clients, other fieldwork sites, and to the community that are consistent with sound standards of practice appropriate to the particular type of field placement. The fieldwork site should show a willingness to participate in the educational process and should be perceived by faculty and students as providing consistent, professional, and high quality experiences.
o Interest and accessibility for participation in the educational process and the staff should be of such a size as to maintain and develop the basic program of the agency without reliance on students. The fieldwork site is encouraged to make available and provide access to suitable workspace, telephones, computers, supplies, parking and other items as necessary to the student to enhance the agency functioning in conjunction with field instruction.
o Ability to reimburse students for travel expenses incurred while conducting field placement business, especially if the student's personally owned vehicle is utilized.
o Ability to offer students assignments based on educational value in accordance with the student's current stage of learning, their learning objectives, their practice method concentration and practice area, and their required Educational Agreement.
o That fieldwork site administrators will adjust the work assignments and responsibilities of field instructors in such a way that it will enable them to administer these responsibilities in an effective and responsible manner. This includes time for preparation for student instruction, for regular conferences with the student, consultation with Field Educator/Liaison, School faculty, and attendance at trainings and/or meetings.
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o Commitment to a long-term relationship with the School and to training students over time by endeavoring to meet progressive standards of practice, showing stability of program and financial support, and by responding to the changing needs of the community.
o Develop formal guidelines for student safety (See Volume 3, Chapter 8).
3.08 New Fieldwork Site Required Forms
All new fieldwork sites must be approved by the Director of Field Instruction. The following forms are required for new fieldwork sites and must be completed in addition to an approval site visit by the Field Director and the assigned Field Educator/Field Liaison prior to students being referred for placement:
http://ssw.umich.edu/programs/msw/ofi/resources-fieldInstructors.html o Agency Letter
http://www.ssw.umich.edu/shared/forms/agencyLetter.pdf
o Instructions For Completing Forms
http://www.ssw.umich.edu/shared/forms/a_instructions.pdf
o Agency Field Placement Form http://www.ssw.umich.edu/shared/forms/Agency_Cover_Application_Form.pdf
o Program Information Form
http://www.ssw.umich.edu/shared/forms/a_slot.pdf
o Agency Field Instructor Application (must include a current résumé) http://www.ssw.umich.edu/shared/forms/a_field_instructor.pdf
o Affiliation Agreement Letter
http://www.ssw.umich.edu/shared/forms/agencyLetter.pdf
o Affiliation Agreement
http://www.ssw.umich.edu/shared/forms/affiliationAgreementRevised.pdf
After the forms are received, the Director of Field Instruction will arrange for a fieldwork site approval visit to review the paperwork, meet the proposed fieldwork staff, discuss the School's expectations, review the appropriate applicable Educational Agreement form, and discuss the educational opportunities available for students. Once approved, the fieldwork site will be added to the Office of Field Instruction web-based Placement Listings.
o Frequently Asked Questions
http://ssw.umich.edu/programs/msw/ofi/FAQ.pdf
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3.09 Functions of the Field Instructor
The functions of a field instructor are multifaceted. The list below provides an outline of some of the most common functions:
o Conducts a structured and well-planned orientation to the field placement's programs, policies, resources, and sociopolitical context for the student. For an example of a Student Orientation Check List, see: http://www.ssw.umich.edu/shared/forms/studentOrientationChecklist.pdf
o Develops with the student their Educational Agreement, which outlines learning objectives, means for their attainment, and criteria for assessment of goal achievement.
o Is accessible to the student and Field Liaison for consultation, participates in conferences with the Field Liaison and student on a routine basis and/or whenever problems arise, and keeps the Field Liaison routinely informed regarding the student's progress and/or problems.
o Holds regularly scheduled supervision conferences (a minimum of one hour per week per student in addition to preparation time), with the student utilizing a Supervision Agenda.
o Provides the student continuing and clear feedback throughout the field placement. If a problem with a student develops, gives the student the opportunity to overcome the problem behaviorally, keeping in mind the distinction between educational supervision and employee related performance supervision.
o Monitors the student's hours.
o Helps the student assess and reassess educational needs, i.e., what they know, what their learning needs are, and what their learning style is. Ensures that the student is not under or over utilized.
o Teaches the student the skills and appropriate behaviors needed to accomplish tasks in the field placement.
o Encourages and supports the student's integration of the values and ethics of the social work profession utilizing the NASW Code of Ethics as a guide
(
http://www.socialworkers.org/pubs/code/default.asp
).
o Helps the student integrate theoretical knowledge and knowledge from previous experiences with present practice.
o Is available and participates in site visits with the Field Liaison and student.
o Participates in a formal evaluation process with the student and the Field Liaison at the end of every term.
o Provides the student with a verbal midterm evaluation utilizing the student's Educational Agreement instrument.
o Provides feedback to the Field Liaison and/or the Director of Field Instruction regarding recommendations for improving the overall field education program, classroom preparation for field, curriculum, etc.
o Field instructors are strongly urged to document concerns, issues, or problems regarding student performance; to communicate concerns to the student and Field Liaison as they develop; and to suggest recommendations for improvement.
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3.10 Field Instructor Criteria and Credentialing Requirements
The Council on Social Work Education (CSWE) mandates that all field instructors must possess a CSWE accredited master of social work degree, and have completed at least two or more years of post-degree experience (CSWE/EPAS standard 2.1.6). In addition, the School of Social Work mandates that all field instructors be licensed as an LMSW (licensed master social worker) in good standing in the State of Michigan. This applies to all practice method concentrations because the state of Michigan requires a license for micro and macro practice. When students are placed in other states, the field instructor must meet the CSWE standard and be licensed if the state requires this.
In cases where an MSW social worker is not available, the goal is to identify a human service professional that possesses the requisite skills and experiences and desires to function as the student's primary field instructor (task assignments, daily involvement, etc.) based on the student's practice method concentration and practice area. In settings where there is not an LMSW, the "task," or primary non-LMSW field instructor provides the day-to-day assignment of projects and oversight/direction for students in addition to mentoring and supporting the student throughout their placement which includes all facets of field instruction. In these situations, the fieldwork site will be required to have in place a secondary LMSW field instructor who provides supervision for the student on a weekly basis for an hour to discuss the field placement experience, the student's assignments, and how their experience working in the placement relates to social work. The duties of the secondary LMSW field instructor include providing the student with regular supervision, cosigning the student's Educational Agreement, participation in the evaluation process and being available to meet with the Field Liaison, primary field instructor, and student during site visits and/or during problem solving. In fieldwork sites with more than one intern, the LMSW often meets with the students in a group. This arrangement does meet the School's credentialing requirements.
The proposed field instructor(s) must:
o Have the ability to provide supervision in foundation and/or advanced field instruction, provide students educational experiences that provide opportunities for the student to become proficient in the designated social work competencies, and have the ability to meet the overall educational objectives of the field instruction program.
o Possess standards and values which are consistent with those of the social work profession and demonstrate a competent and reasonable level of successful practice with appropriate experience.
o Have experience in teaching, training and/or supervision with professionals and/or students in the areas indicated above.
All professionals providing field instruction are required to abide by the NASW Code of Ethics.
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3.11 Field Instructor Selection
Field instruction requires not only experience and knowledge of the field of social work, but a desire to supervise and mentor students. A field instructor should have positive feelings toward social work education as a process and be aware that student supervision can be frustrating, stressful, and time consuming as well as rewarding, energizing, and educational. Field instructors are nominated by the fieldwork site and approved by the School upon completion of credentialing procedures (see Volume 3, Chapter 3, Section 11). Field instructors select specific student field-based assignments and instruct students in the skills necessary to fulfill these assignments in relation to the student's course work and the student's Educational Agreement (Foundation and Advanced). Field instructors should be on site and on duty when students are in fieldwork. During time periods when the field instructor's availability is not possible, other qualified staff members must be available for back up or consultation to the students.
Persons nominated to be field instructors should demonstrate:
o Evidence of competence in the practice of social work.
o Concern for continuing professional development.
o Commitment to the teaching function of social work education.
o Interest in, and time available, for the regular instruction and supervision of students.
The Office of Field Instruction has developed a fieldwork site orientation manual that field instructors should reference for information regarding field instruction expectations: http://ssw.umich. edu/programs/msw/ofi/fieldSiteOrientationInformation.pdf
It is expected that field instructors have had formal training and experience in one of the School's practice method concentrations and practice areas because typically, students are assigned to a field instructor on the basis of the student's practice method concentration and practice area. The instruction of students can be shared by various fieldwork site personnel, but the School appointed field instructor assumes overall responsibility for field instruction. The cornerstone of responsibility for field instructors includes the ability to provide students with orientation, supervision and evaluation.
The Field Educator/Liaison and the Office of Field Instruction team will ensure that the proposed field instructor receives mandatory field instruction training which ensures the social work perspective. The Field Educator/Liaison will also work diligently with the proposed field instructor to interpret the Office of Field Instruction's policies and procedures, Educational Agreement, and to provide orientation to social work values, and ethical standards. Field instructors will receive ongoing support by virtue of orientation activities (in person and on-line), fieldwork site visits, field instructor workshops, U-M Course Tools, and communication by telephone, e-mail, and regular field office newsletters and School publications. All field instructors are required to fill out the Agency Field Instructor Application Form: http://www.ssw.umich. edu/shared/forms/a_field_instructor.pdf. Attach an updated résumé to this form, and submit these to the Office of Field Instruction for review and approval by the Field Director.
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3.12 Student Supervision: The Field Instructor Imprint
Typically, field instruction of students occurs through a variety of styles and methods, including formal conference time with the field instructor, group supervision, demonstration, coaching, and team meetings etc. The choice of which activity best fits the student and the assignments is left to the field instructor and the student. However, the pattern of instruction must be by design and minimum contact time per week must be established. The School requires a minimum of one hour of supervision per week; and recommends more. Students are expected to take a proactive stance in regard to the use of instructional time. This can mean formulating questions and gathering/presenting any relevant written materials (such as case notes or reports or drafts) for field instruction conferences or meetings.
Students are required to utilize a Supervision Agenda tool. The goal of utilizing a Supervision Agenda is to guide the student/field instructor reflection process. Students should prepare for their supervisory conferences by creating and utilizing an Agenda whereby their cases/projects are reviewed and discussed in the following areas:
o Administrative duties/functions
o Knowledge, skills and professional practice behaviors
o Reflective learning related to PODS. (privilege, oppression, diversity, social justice)
o Professional and personal growth and development
Students and field instructors will share several of these Supervisory Agendas with the assigned Field Liaison during the required site visit. These Agenda should capture and document the student's field experience, their specific field-based assignments, and areas that needed strengthening. This tool more or less forces the student to prepare for field supervision in addition to helping the field instructor prepare as well. In situations where there are performance concerns, this tool functions as ready-made documentation regarding concerns. This allows the Field Liaison an easy venue to enter into the problem solving process with the field instructor and the student. Should performance not improve, then a Field Placement Performance Learning Plan (see http://www.ssw.umich. edu/programs/msw/ofi/PerformanceLearningPlan.pdf) could be initiated since the Agenda provided a way to track the issues of concern.
The field instructor and student are also encouraged to utilize these Supervision Agendas when they complete the required field instructor and student narratives during the evaluation process at the end of each term. It is difficult at best to remember all the things that the student may have accomplished during the term so the Supervision Agendas assist in tracking the learning process.
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3.13 Fieldwork Site Student Orientation
The School provides the student with a general orientation to the profession and to field instruction, which occurs before placement starts. The fieldwork site is responsible for fieldwork site-based orientation, which typically occurs during the first few weeks of fieldwork. See http://www.ssw.umich.
edu/shared/forms/studentOrientationChecklist.pdf for an example of a Student Orientation Checklist. In general, the orientation should consist of acquainting the student with the various services offered by the fieldwork site and the range and scope of possible assignments. Planning for these assignments should begin right after the orientation period, and specific initial assignments should be identified. The student should use the orientation period to share their Practice Behavior Inventory which will assist them in developing their written Educational Agreement, which will serve as a guide for the current and subsequent terms of fieldwork experience (http://www.ssw.umich.
edu/programs/msw/ofi/agreementsForms.html --- Educational Agreements forms).
The School's rationale for the fieldwork site orientation to field instruction is twofold. First, before the student engages with clients, fieldwork site staff, communities, etc., they should have some knowledge of professional roles and relationships, the ethics of the profession, and the nature of service delivery systems, as well as some acquaintance with various theories of human behavior. Second, students are expected to gain knowledge about the range and type of specific fieldwork site services, fieldwork site structure, and staff roles and responsibilities, as well as interagency and community relationships. A wellplanned and organized orientation within the fieldwork site will not only provide information useful for student performance, but will benefit the fieldwork site by enhancing the potential for greater student productivity.
Examples of Orientation Activities include but are not limited to:
Fieldwork Site Documents and Demographics - review: annual reports, policy manuals, special reports, grant applications, characteristics of the service population, relevant legislation, and census data on community.
Fieldwork Site Meetings and Conferences - attend: staff, board, committee, department, and team meetings, City Council, County Commission meetings, Interagency meetings, consultations, professional conferences, and staff development sessions.
Community Visits - neighborhood and community organizations, schools, police agencies, human services offices, accompany/shadow visits of staff, other departments within the fieldwork site, referral agencies and programs, and contract agencies.
Preparing for Direct Service - shadow multiple experiences, assist in intake, assist with group work, begin client assessment, review case records, review project guidelines, learn about fieldwork site funding sources, review organizational charts, and receive supervision and feedback.
The field curriculum utilizes Blooms taxonomy of cognitive development as a reference tool in the development of competent social work professionals. Fieldwork sites should become familiar with these stages of development as they relate to the identification and creation of field-based assignments that allow students to participate in a beginning, middle and end stage approach to their learning. The assigned Field Liaison is always available for consultation to the fieldwork site.
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3.14 Fieldwork Site Safety Requirements
Most field placements are under enormous pressure. Reduced budgets and clients with increasingly critical needs and histories of negative involvement with social services have resulted in increasing tensions in social work settings. As a result, social workers have experienced a variety of threatening situations, and some have been harmed. Social work students cannot be completely insulated from the realities of professional life, nor should they be. On the other hand, students frequently lack the experience and skills that help more seasoned practitioners assess danger and take appropriate precautions. The School recognizes its responsibility to help prepare students to handle potentially dangerous situations by providing students with content on safety training and classroom content on safety issues. Volume 3, Chapter 8, Section 1-3 of this manual-Guidelines for Student Safety should be reviewed by field instructors carefully. The field instructor should provide each student with a copy of the fieldwork site specific policies and procedures related to safety as part of the student orientation to the field placement, and provide fieldwork site required training on safety issues and procedures and requirements related to immunizations and vaccinations. The field placement and each of its programs should have a well rehearsed specific plan of action in which every member of the staff knows exactly what to do in case of danger. This plan of action should be rehearsed with students and reviewed on a regular basis. It is everyone's responsibility to concentrate on reducing risk in the fieldwork setting.
Though a student has the right to refuse a dangerous assignment, a common understanding about the kinds of assignments that are appropriately safe should be reached by the student, the field instructor, and the Field Liaison when appropriate. The student's field instructor should know, or be able to easily ascertain, the student's location during fieldwork hours at all times and should discuss on a regular basis any activities that require special planning with regard to safety. The following types of activities should be discussed with the Field Liaison to determine if these activities are appropriate learning activities for students as these require an added element of preparation, support and possibly back-up:
o Community-based home visits.
o Client transportation.
o Treatment of client with a history of violence (particularly unsupervised or in areas where other staff are not present).
o Clients who require physical restraint.
Students should be given the same consideration as employees regarding all aspects of safety within the fieldwork setting and assignments. If staff are issued cell phones as an example for community visits in case of emergencies, then students should be provided with similar accommodations in all circumstances. Fieldwork sites are reminded that students are in a learning role and that every precaution must be taken to ensure student safety. It is the responsibility of the fieldwork site to ensure that student's safety at all times during field placement hours.
If a student is threatened or injured while in field instruction, or involved in an incident where their safety is compromised, the incident should be reported immediately to the Field Educator/Liaison or the Director of Field Instruction in the Office of Field Instruction 734.764.5331, or to the Office of the Associate Dean for Educational Programs 734.763.2345.
For additional information, please refer to the SSW Student Guide Volume 1, Chapter 21, Section 21.03: Campus Safety Statement.
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3.15 Permission to Use Information in Video/DVD and/or Audio Cassettes for SSW Instructional Course Assignments
Often times, graduate level social work students are enrolled in practice classes while they are completing a field placement. Professors/instructors may give these students assignments that involve the participation of clients at the fieldwork site. In order for client's to participate, permission must be obtained and documented. The fieldwork site has the final say as to whether or not students can use their fieldwork site for a class assignment that requires recording. Fieldwork sties may require their own permissions as well. This 3-page form indicates that voluntary permission has been officially obtained from client participants with the acknowledgment and signature of the supervisory field instructor and/or fieldwork site representative. See the following link for the required form:
http://ssw.umich.edu/programs/msw/ofi/PermissionToTapeForInstructionalCourseAssignment[1]. pdf
For additional information please refer to the SSW Student Guide, Volume 1, Chapter 20, Section 21.02: Permission To Use Information In Video/DVD and/or Audio Cassettes for School of Social Work Instructional Course Assignment.
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3.16 Field Instructor Benefits and Supportive Services Supportive Services and Field Instructor Benefits
The Office of Field Instruction supports the efforts of field instructors in a variety of ways. A biannual workshop is held, whereby field instructors are invited to attend a new field instructor orientation (policies, procedures, roles, responsibilities, expectations, etc.). In addition, other professional development workshops are offered through the School of Social Work (SSW) Department of Continuing Education. There is no fee for the new field instructors orientation and Continuing Education Units (CEUs) are provided.
Continuing Education Programs
The School of Social Work (SSW) offers numerous continuing professional education opportunities for field instructors and the social work community at large. Effective January 15, 2012, U-M SSW field instructors who maintain "active" status (supervising a student during the current academic year: September-August) may register for any workshop and/or minicourse for FREE. Please note that institutes and certificate programs are not included in this offer.
This is an incredible benefit to help field instructors support lifelong learning goals and fulfill licensing requirements. It is just one way to show our appreciation and thank you for your service to the School and our students. For more information and a complete listing of our continuing professional education programs, visit http://www.ssw.umich.edu/programs/ce.
SSW Office of Field Instruction Agency Fair
Field instructors are invited to partner with the School in various recruitment efforts several times throughout the academic year. A very popular event includes an opportunity to participate in as Agency Fair whereby approximately 70 fieldwork sites gather to share their mission and vision with potential students who are visiting the School during the Spring Open House.
Additional Benefits
Materials: Field instructors are provided with web based field instruction materials (such as the Field Instruction Manual: http://ssw.umich.edu/programs/msw/ofi/fieldInstructionManual.pdf ) that include information, guidelines, and policies related to the field instruction program and curriculum. The OFI web site is also an excellent resource: http://ssw.umich.edu/programs/msw/ofi/)
M-Cards: Field instructors are eligible for M-Cards, which are a University sponsored benefit that entitles "active" (currently hosting a student in the current academic year) field instructors benefits that include discounts on some University sponsored events, various bookstore discounts, public transportation discounts etc. Field instructors are also eligible for on-site privileges from the campus libraries using their M Card. The application for these cards is available in the Office of Field Instruction (ssw.ofi@umich. edu).
UM SSW Library Resources
Field instructors are also eligible for onsite access to library resources (with an MCard), as well as free access to online databases, government information, and other resources. The U-M Libraries provide resources and tips for keeping current with social work research. Field instructors should reference the following online site for additional assistance with regard to eligibility for library resources: http://guides. lib.umich.edu/stayinformed and http://www.opendoar.org. For additional help with the Social Work library resources, please feel free to contact Sue Wortman (firstname.lastname@example.org) or call 734.764.5198.
Faculty Collaboration Opportunities: Faculty occasionally conduct research projects in conjunction with
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SCHOOL OF SOCIAL WORK STUDENT G
UIDE
fieldwork sites. For further information, contact the Director of Field Instruction or the Associate Dean for Educational Programs.
Cultural/Intellectual Events: Field instructors may attend a variety of cultural and intellectual events on the campus; and, on an individually arranged basis, may attend specific sessions of courses offered by the School of Social Work.
3.17 SSW Community Advisory Board
This Board consists of exceptional social work practitioners who are usually field instructors and who have been nominated by the faculty, field instruction staff and/or students. Additional members include the Associate Dean for Educational Programs, the Director of Field Instruction, the Associate Dean, Student Services among others. The Board is responsible for providing the School with consultation and advising on curriculum initiatives, developing, evaluating field opportunities and strengthening the field instruction program/processes, and special projects and/research collaborations. This group functions as a "sounding board" for maintaining the integrity of the interface between social work education and practice, and will collaborate with faculty regarding the School's mission and philosophy.
The Board provides consultation in the following areas:
Office of Field Instruction
o Developing new and innovative field opportunities.
o Strengthening the field instruction curriculum and program.
Curriculum
o Review/critique of current curricular content.
o Developing new curricular initiatives.
o Providing leadership in the integration of class and field learning experiences.
o Developing/evaluating the role of technology and distance learning in class and field instruction.
o Developing new teaching, learning, and research collaborations.
Special Projects/Grants: Previous examples include:
o Whittaker Grant: An effort focusing on the development of curriculum (school-based and field-based) aimed at an intensive focus on Privilege, Oppression, Diversity and Social Justice (PODS).
o Alternative Reaffirmation Project: A school-wide re-accreditation effort focusing on promoting socially just practices in the field.
o Others as they are developed.
The School's Community Advisory Board meets 2 times per year. Membership is voluntary and members are appointed on a term basis.
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4 EXEMPTIONS, ELECTIVE & TRANSFER CREDIT, & ENROLLMENT & MINOR REQUIREMENTS
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4.01 Exemption Policy and Process, Field Credit Requirement, and Revocation of Exemption
Policy
All students must complete a minimum of 12 credits of Advanced fieldwork (SW691) and 8 credits of fieldwork in their chosen practice method concentration and practice area. If the student has been granted Advanced Standing status, the exemption is automatic.
A student can obtain a 3-credit exemption from fieldwork if the student has not been granted Advanced Standing status but has earned a BSW from a CSWE accredited program if they have completed the equivalent of 8 semester hours of field instruction during their undergraduate program with grades of 'B' or better. All BSW's, who meet the above criteria, are eligible for a 3-credit fieldwork exemption, but they must submit an application and it has to be formally approved. "Application For Exemption From Foundation Field Instruction" Form:
http://www.ssw.umich.edu/programs/msw/ofi/exemption.pdf
For additional information please see the SSW Student Guide Volume 1, Chapter 20, Section 20: Exemption from Foundation Field Instruction for BSW without Advanced Standing.
Process
Students with a Bachelor of Social Work (BSW) from a college or university accredited by CSWE may apply for a fieldwork exemption. A maximum of 3 credits of field instruction representing Foundation field instruction (SW 515) and the Foundation Field Seminar (SW 531) may be filled by such an exemption, thereby reducing from 15 to 12 the total number of required field instruction credits if the student has received a grade of "B" or better. This exemption will be determined during the student's course selection/registration process.
Advanced Standing status students are automatically exempt from SW515 and SW531. Information regarding the exemptions from field instruction is contained in the letter sent to all newly admitted students with information about the placement application process. Students must complete and submit an "Application For Exemption From Foundation Field Instruction" Form (http://www.ssw.umich. edu/programs/msw/ofi/exemption.pdf) by the deadline for submitting the Field Placement Request Materials.
For additional information please see the SSW Student Guide Volume 1, Chapter 20, Section: 20: Exemption from Foundation Field Instruction for BSW without Advanced Standing.
Field Credit Requirement
For students not awarded Advanced Standing status, the exemption does not reduce the total degree requirement of 60 hours. Exempt students receive a 3-credit reduction of fieldwork requirements and therefore do not register for Foundation field instruction (SW515 or SW531). The three credits can be taken in elective course work. The student is required to earn 12 credits of advanced (SW691), with at least 8 credits in their practice method concentration and practice area.
Students who meet the criteria for exemptions but are not advanced standing (including SW515 and SW531) still are required to complete 60 credits and can choose to elect additional field credits up to a total of 21.
The School of Social Work will consider field coursework that was graded by letter, narrative evaluation, Pass/Fail, or Satisfactory/Unsatisfactory or other evaluative scales when evaluating exemption requests.
For additional information please see the SSW Student Guide Volume 1, Chapter 20, Section 20.00: Exemption from Foundation Field Instruction for BSW without Advanced Standing.
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Revocation of Exemption
The exemption will be revoked if the student receives a grade below Satisfactory in SW691 at the completion of the first advanced term of fieldwork.
For additional information please see the SSW Student Guide, Volume 1, Chapter 20, Section 20: Exemption from Foundation Field Instruction for BSW without Advanced Standing.
4.02 Elective and Transfer Field Credit Policies
Elective Field Credit
Additional credit hours for fieldwork may be elected by the student upon the approval of the student's Field Educator/Liaison, Faculty Advisor, and field instructor under the following conditions:
1. Students whom have not been granted advanced standing status and whom are not eligible for field instruction exemptions are allowed to register for a maximum of 21 total field instruction credits consisting of 2 required credits of SW515, 1 required credit of SW531 and 12 required credits of SW691. Students may elect to add additional SW691 credits up to a maximum of 21.
2. Students who have been granted advanced standing status are allowed to register for a maximum of 18 credits of SW691.
3. Students with field instruction exemptions or who declined advanced standing status are allowed to register for a maximum of 18 credits of SW691.
Students wishing to add field credits must submit an Out of Sequence Petition: http://ssw.umich.edu/programs/msw/ofi/out_of_sequence.pdf
Transfer Credit Policy
Foundation field instruction credits transferred to the University of Michigan cannot exceed the credits earned for Foundation field instruction at another institution. Therefore, the maximum credits transferred for Foundation field instruction cannot exceed 3 credit hours. If a student has earned more than 3 credit hours for Foundation field instruction, the remaining credits may be eligible for transfer to the University of Michigan as elective credits. No credit may be awarded toward Advanced field instruction regardless of the number of clock hours if the transferred credit is identified as Foundation field instruction.
Field instruction credits transferred to the University of Michigan as Advanced field instruction from another institution must be designated as Advanced field instruction by the other institution. A student may transfer up to 4 credits of advanced field instruction and 3 credits of Foundation field instruction to cover fieldwork requirements. All students must complete a minimum of 8 credits of Advanced field instruction in their practice method concentration and practice area at the University of Michigan.
For additional information please see the SSW Student Guide, Volume 1, Chapter 20, Section 20.01: Transfer Credit Policy for Field Instruction.
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4.03 Field Instruction Enrollment Requirements and Out-of-Sequence Field Plans
Students must enroll in field instruction during the terms in which fieldwork is conducted. Students are only covered by the University's liability insurance when officially enrolled. No academic credit will be given for fieldwork conducted during a term for which a student is not enrolled in fieldwork courses.
Under some circumstances students may find it necessary to alter their field instruction sequence from either the 16-month or the 20-month schedule. Students wishing an out-of-sequence schedule must access a petition form at: http://ssw.umich.edu/programs/msw/ofi/out_of_sequence.pdf
Advanced standing students who wish to alter their program plan as it relates to field instruction must also submit an Out of Sequence Petition.
Students cannot start Field Instruction during the Spring/Summer Term. Any student who changes his/her curriculum schedule for field instruction such that it does not follow either the 16-month, 20-month, or advanced standing standard curriculum schedule must submit an Out-of-Sequence Petition, indicating the reasons for the requested change. Such a Petition must be signed by the Field Educator/Liaison and approved by the Director of Field Instruction. The signature of the Director of Field Instruction is required to ensure that the field office is aware of any changes that will need to be accommodated by the field placement. Petition forms must be submitted at the earliest date possible.
The fieldwork site must also agree to the proposed schedule and be able to accommodate the student's request. Failure to submit this Petition may result in inaccurate audits of the student's academic record before graduation. The Out-of-Sequence Petition allows the School to monitor the student's progress toward completing MSW degree requirements, to project the need for certain courses, and to increase the likelihood that students who require certain classes during particular terms will be able to enroll in them. Out-of-Sequence Petitions are required for any other schedule that is considered a deviation.
Some field placements require 16-month students to have a planned sequence of 3 fieldwork days per week in each of the Winter, Spring/Summer and Fall terms, rather than the typical sequence of 2-4 days per term, respectively. Students who need to enroll for 5 credits during the first term due to the requirements of the fieldwork site, should register for SW515 and SW531 for 3 credits (2 credits of SW515 and 1 credit of SW531), and SW691 for 2 credits. Students are required to complete 228 field hours utilizing the Foundation Educational Agreement form and include advanced field-based assignments for a minimum of 2 competencies. Once the Foundation hours are completed, the student then must utilize the Advanced Educational Agreement form appropriate to their practice method concentration and practice area and all field work activities must be at the advanced level.
For additional information, please see the SSW Student Guide, Volume 2, Chapter 15, Section 15.07: Out of Sequence Plans for Field Instruction.
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4.04 Field Instruction Credit and Hours Requirements and Student Curriculum Schedules Requirements
The School of Social Work cannot grant fieldwork credit for current or past work experience or life experience (see CSWE-EPAS Standard 3.2.5: http://www.cswe.org/File.aspx?id=13780). The Master of Social Work (MSW) degree is earned through satisfactory performance in 60 credits of course work. Please see the SSW Student Guide for additional information, Volume 2, Chapter 8: Field Instruction, and Volume 2, Chapter 8, Section 8.01: Field Credit Requirements.
Field instruction constitutes 15 of the 60 credits, with 3 credits earned at the Foundation level (SW515-2 credits and SW531-1 credit seminar) and 12 credits earned at the Advanced level (SW691) unless the student has been granted an exemption. Students must complete a total of 912 hours of fieldwork unless Advanced Standing status has been approved. If students are granted Advanced Standing status, they must complete 684 hours of fieldwork. The field placement offers an opportunity for students to add depth and breadth to their previous experience and is also a time to explore a new area or field of study. The field placement is an integral part of the MSW program and has strict standards from the Council on Social Work Education (CSWE) that must be adhered to.
Each credit of Foundation field instruction equals 114 clock hours. A total of 2 credits of SW515 or a total of 228 clock hours of onsite Foundation field instruction are required. Each Advanced field instruction credit equals 57 clock hours. A total of 12 credits of SW691 or a total of 684 onsite clock hours of Advanced field instruction are required.
The number of days per week that a student logs in the field placement setting is based on the number of credits registered for and is figured based on a 15-week term. Each student needs to enroll for a minimum of 16 hours of fieldwork per week for each term of enrollment so that they are in attendance at the fieldwork site for a minimum of 2 days per week. Exceptions to this will be reviewed by the Director of Field Instruction on a case-by-case basis.
One fieldwork day is considered to be that which the fieldwork setting defines as such, typically 7 or 8 hours. Students placed in settings such as public schools, where a typical work day might be less than 6-7 hours, should be especially careful in developing a fieldwork schedule to ensure that the required number of fieldwork hours is completed per term.
The student earns fieldwork credits sequentially by electing one of the three curriculum schedules depicted in the next section, unless the student has permission to elect an Out-of-Sequence placement schedule (see Volume 3, Chapter 4, Section 3 and 4). Once the student begins fieldwork, that elected schedule must be followed until completion.
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4.05 Fieldwork Weekly Schedule Guidelines and Typical Advanced Standing, 20-Month, and 16Month Placement Schedules
Students must be in field for a minimum of two days or 16 hours per week during times when their field instructor is also on duty and available to the students. The idea is to log approximately 16 hours per week to allow for a full range of learning experiences over time. It is also important for these learning experiences to build over the course of each term. It is difficult for students to work full-time, take classes, and do fieldwork (see Volume 3, Chapter 5, Section 1: Guidelines for Conflicts with Classroom Schedules, Absences from Field Placement and Employment Conflict Guidelines).
The fieldwork site may have different scheduling needs so students should discuss all schedule arrangements during the field placement interview. In addition, students are encouraged to log a few additional hours to cover an unexpected absence or an illness, but the bulk of the required hours must be logged continuously and contiguously over the course of the term(s). Students at times may also be required to attend their field placements during the University breaks for a few hours so that client relationships are maintained. These scheduling issues are decided by the student and their assigned field instructor.
The School has designated the following days for fieldwork:
16-Month Curriculum Schedule
Fall: None
Winter: any 2 days per week (SW515- 2 credits, SW531- 1 credit)
Spring/Summer: Tuesday - Friday (SW691- 8 credits)
Fall: Monday & Tuesday (SW691- 4 credits)
o One placement for duration of program.
o Some hospitals, mental health, and family field placements prefer the 16-month track student.
o Placements in public schools are not possible.
o Students must be enrolled in fieldwork during the Spring/Summer term in addition to enrolling in courses that meet their program plan.
Advanced Standing Curriculum Schedule
Fall: Monday & Tuesday (SW691- 4 credits)
Winter: any 2 days per week (SW691- 4 credits)
Spring/Summer: Tuesday - Friday (any two days) (SW691- 4 credits)
o One placement for duration of program.
o Students have the option of placement in a public school, three days per week (6 credits) for fall and winter terms. Hospitals tend not to be available.
o Students must be enrolled in fieldwork during the Spring/Summer term.
20-Month Curriculum Schedule
Fall: Thursday & Friday (SW515- 2 credits, SW531- 1 credit)
Winter: any 2 days per week (SW691- 4 credits)
Fall: Monday & Tuesday (SW691- 4 credits)
Winter: Thursday & Friday (SW691- 4 credits)
o Students have the option of electing two placements.
o Public school placements possible.
o Placements in hospital settings tend not to be available.
o Students not enrolled in classes or fieldwork during Spring/Summer term
Please see the SSW Student Guide, Volume 2, Chapter 15, Section 15.01: Options for Scheduling Terms for additional information.
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4.06 Changing the Dual Concentration After Enrollment in the MSW Program
Occasionally, a student may wish to switch chosen concentrations after beginning the MSW program. It is in the student's best interest to make any changes in concentrations prior to being assigned to a field placement. In general, note that:
o Changing concentrations after the second term of Advanced field instruction may result in lengthening the duration of the program since students must complete at least 8 credit hours of Advanced field instruction (SW691) in their chosen practice method concentration and practice area.
o Advanced Standing students who change concentrations after the second term of Advanced field instruction will, in all probability, need to enroll for an additional term of study.
o Students who elect a minor method, specialization, or certificate program will, in all probability, need to enroll for an additional term of study if they change concentrations after the second term of Advanced field instruction.
o Financial assistance is generally awarded to eligible students for no more than four terms, and therefore, may not be available to students who elect to lengthen their course of study to accommodate changes in concentrations.
After the first term of Advanced field instruction, students may switch the practice method concentration or practice area and may do so under the following circumstances:
o A plan is completed demonstrating that all requirements can be met
o There is room available in the required courses
o Permission of the Faculty Advisor is obtained
o Permission of the Field Liaison and the Director of Field instruction is obtained
o An appropriate field placement can be secured to accommodate concentration changes
If students wish to change either their practice method concentration or practice area, they must meet the deadlines below in order to complete degree requirements within four terms:
16-month Students
Must submit all necessary forms by the end of the second term of study (April 1).
20-month students
Must submit all necessary forms by the end of the second term of study (April 1).
Advanced Standing Students
Must submit all necessary forms by the end of the first term of study (December 1).
Out-of-Sequence Students (those who have previously changed their field registration) May not be able to change concentrations without extending the program of study.
The forms necessary for changing practice method concentrations or practice areas are located in the Registrar's office and the Office of Field Instruction or can be found here:
http://www.ssw.umich.edu/programs/msw/ofi/change_of_concentration.pdf
Students receiving training grant stipends/scholarships should confirm with the Office of Student Services that a change of concentration will not conflict with the conditions stated in the original award letter regarding the stipend/scholarship.
For additional information, please see the SSW Student Guide Volume 1, Chapter 10, Section 10: Changing Areas of Concentration (Method or Practice Area) Prior to the First Term of Enrollment.
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4.07 Field Instruction Minor Requirements
Students have the option of electing a minor in a different practice method concentration while enrolled in the School of Social Work. Students cannot minor in a practice area. The minor cannot be completed in Foundation field instruction (SW515). Students who wish to elect a minor method should do so prior to beginning field instruction to ensure they are assigned to a fieldwork site that provides learning opportunities for both the practice method concentration and minor methods. Students should meet with their assigned Faculty Advisors to insure that they enroll in the required coursework for their minor and they should discuss their plans for a minor with their assigned Field Educator/Liaison to secure field placement experiences that meet the minor requirements in the same fieldwork site where they have been placed. It is difficult to place a student in another fieldwork site for the 171 hour experience due to fieldwork site constraints.
Students with minors should begin planning for minor assignments with their field instructors by reviewing the relevant SW691 field instruction methods course descriptions and objectives for the competencies students are expected to attain. Students minoring in Interpersonal Practice should refer to the Interpersonal Practice Course Statement; students minoring in one of the macro methods should refer to the course statements on Management of Human Services, Community Organization, or Social Policy and Evaluation.
Students must earn 12 hours of Advanced field instruction credits (SW691) in order to graduate and at least 8 hours of Advanced field instruction credits must be in the student's practice method concentration and practice area. Students who elect a minor spend 25% or 3 of 12 advanced field credits in field assignments in the minor practice method concentration. The minor constitutes 171 hours of the 684 required hours in advanced field instruction. A total of 912 field hours are required (except for Advanced Standing students who must complete 684 hours) and 171 of those hours can be devoted to a minor.
Minor assignments must be documented on students' Educational Agreement. Completion of the minor requirements for fieldwork are documented on the student's Educational Agreement evaluation, signed off on by the field instructor, and included in the overall grade for field instruction within the term the student completes the assignments.
For additional information please refer to the SSW Student Guide Volume 2, Chapter 12: Minor Method Option.
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5 FIELD ABSENCES & EMPLOYMENT-BASED POLICIES & PROCEDURES
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5.01 Guidelines for Conflicts with Classroom Schedules, Absences from Field Placement and Employment Conflict Guidelines
Classroom Schedule Conflicts
Class offerings throughout the four terms are organized to accommodate students' distribution requirements and interests. However, many classes are only offered once during the academic year. For this reason, days allocated for classes and field instruction are specific and not very flexible.
On occasion, the student or fieldwork site may find it necessary to schedule a fieldwork activity during class time. In this event, the student must obtain permission from the classroom instructor to miss the class. A single occasion may be acceptable to most instructors; a planned pattern of absences is not. Similarly, fieldwork is also considered a class. Therefore, a student should not skip fieldwork activities to study or complete classroom assignments without first discussing this with their field instructor.
Absences From Field Placement
Attendance is a beginning benchmark of the developing professional social worker. Students should treat their fieldwork and fieldwork expectations as they would a formal job. In keeping with professional standards, if a student is not going to be able to go to fieldwork for a legitimate reason, the field instructor should be notified and a plan to make the hours up initiated. All absences/hours from fieldwork must be made up. There may be circumstances in which a student is absent for good and compelling reasons from the fieldwork site for such an extended period of time that the absences cannot be made up in the term in which they occurred. In such a case, if the plan is approved by the field instructor and the Field Liaison where the student will be making the absences up in a subsequent term, then a grade of "I" (Incomplete) will be entered by the Field Liaison and replaced by a letter grade once the absences are made up. The grade of "I" will remain permanently on the student's transcript. Field instructors are encouraged to notify the Field Liaison immediately if there are issues surrounding the attendance of the student.
Students participate in field instruction on assigned days throughout the term, with the exception of University holidays and recesses which include Fall Study Break, Thanksgiving, Winter Break (December), Spring Recess (February), legal holidays, and other holidays officially observed by the fieldwork site. Each year the school provides a calendar to students and field instructors specifying the inclusive dates of academic classes and field instruction:
http://www.ssw.umich.edu/programs/msw/ofi/ImportantDeadlines.pdf
When University recesses and holidays conflict with those of the fieldwork site, the student is expected to observe those of the University. However, if desired, the student may elect instead to observe fieldwork site recesses and holidays, provided the required number of fieldwork hours are fulfilled. Attendance at conferences or all-day professional meetings is permitted when the content pertains to the student's fieldwork assignments and the field instructor has given approval.
Students, who miss fieldwork, including students who start field late at the beginning of a term, should have a plan in their Educational Agreement to make up the hours during the term in which they were missed. The plan can include working during evenings, weekends, or academic term breaks. The plan must be developed with the field instructor and approved by the Field Liaison. Absences taken for religious holidays that occur when school is in session must be made up. The schedule to make up the missed days is the responsibility of the student and must be approved by the field instructor and the Field Liaison.
Employment Conflicts
All students should be in field at least 16 hours per week for each term that they are enrolled in field instruction. Field instruction terms should be consecutive. Many students have full-time or part-time employment while enrolled in the MSW program and request fieldwork schedules to accommodate their
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employment schedules. These requests generally cannot be honored by the School since students need to accommodate to the fieldwork site's scheduling requirements in order to allow the student to participate as fully as possible in the life of their field placement which includes attending staff/team meetings, client contacts, community functions etc.
It is important for students to experience the rhythms of a typical work day in the fieldwork setting which includes being supervised on a regular basis by the assigned field instructor. Students who work full-time are strongly encouraged to either reduce their work hours to no more than 20 hours per week while they are enrolled in classes and 16 hours per week of field, or take longer to complete the MSW program than the standard four terms such as is offered in the Extended Degree Program.
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5.02 Employment-Based Field Placement Policy and Guidelines
The relationship between education and employment is central to the evaluation of an employment-based field placement proposal. The achievement of learning, attainment of social work competencies, and overall educational objectives is the central focus involved in the consideration of an employment-based field placement proposal. In addition, the Council on Social Work Education guidelines (EPAS 2.1.8:http: //www.cswe.org/File.aspx?id=13780) must be followed at all times.
The employment-based field placement proposal must demonstrate that educational time will be protected and that the educational and learning objectives of fieldwork will be accomplished within the perimeters of the Office of Field Instruction policies and requirements. Each proposal must meet the requirements outlined in Volume 3, Chapter 5, Section 3 (link to the policy and proposal form can be found here: http://www.ssw.umich.edu/shared/forms/employmentBasedProposalGuidelines.pdf. All inquiries regarding Employment-based field placement proposals should be directed to the Director of Field
Instruction.
Each proposal will be examined on its merits. Submitting the proposal does not guarantee approval of the request. If the proposal is not approved, the student will need to consider other field placement options. Approval of an employment-based placement proposal does not affect the total number of fieldwork credit hours a student must earn. If a student becomes employed after field placement begins, then this arrangement must be reported, reviewed, and approved by the Field Liaison and Director of Field Instruction.
All proposals will be reviewed prior to each term of fieldwork by the Field Liaison and revised as needed in conjunction with the student's Educational Agreement. All revisions to the proposal are subject to the review and approval of the student's assigned Field Liaison. Students are required to submit an "Employment Based Field Placement Schedule Documentation for Subsequent Term" to their assigned Field Liaison each term which clearly delineates their field instruction and their employment schedules for the term: http://www.ssw.umich. edu/programs/msw/ofi/EmploymentBasedScheduleDocumentationForSubsequentTerm.pdf. These must be signed by the student, the field instructor, and the current employment supervisor.
In general, Advanced Standing students are not allowed to complete a placement at their current or previous place of employment. These proposals will be evaluated on a case-by-case basis.
Employment-based proposals that request a field placement in the same fieldwork site for both placements (20-month students) is highly unusual. Exceptions will be evaluated on individual merit as related to the School's expectations. A student may petition for an exemption to this policy in the case of employment at a large diverse fieldwork site that can demonstrate the ability to offer two distinct learning opportunities with two different field instructors, both of whom were not employment supervisors.
The fieldwork site Director or Chief Executive Officer must sign off on all employment-based fieldwork site proposals. It is the fieldwork site's decision as to what type of compensation the student receives while in placement.
The planning process for an approval of an employment-based field placement proposal can several months so students are strongly encouraged to complete these forms early. All fieldwork sites must complete the required paperwork including an Affiliation Agreement.
All proposals must be submitted for review and approval to the Director of Field Instruction by the following dates in order to be considered:
First year 20-month students: May 13
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16-month students: October 21
Second year 20-month students: February 8
5.03 Employment-Based Field Placement Requirements and Proposal
Requirements
If a student wishes to request a field placement in which he/she will be simultaneously employed, the following requirements must be met. Signatures indicate that all parties have read and understood all stated policies, and requirements.
o The fieldwork site must be approved by the Office of Field Instruction. All required paperwork as well as a site visit must be completed prior to the start date of the field placement (see Volume 3, Chapter 3, Section 6: Fieldwork Site Selection).
o The field instructor must have an MSW degree, a minimum of two-years post-masters experience, hold a Licensed Master Social Work (LMSW) license, and have been employed at the agency a minimum of one-year. The State of Michigan licensing law requires anyone who calls them self a social worker (micro AND macro practice levels) to be licensed (see Volume 3, Chapter 3, Sections 10-11: Field Instructor Criteria and Credentialing Requirements and Field Instructor Selection).
o The student's field placement must be in a different program than which they are employed.
o The student's field instructor and employment supervisor must be different people.
o The student's employment hours and field hours must be clearly defined and delineated.
o The student must have been employed by the fieldwork site for minimum of 60-days prior to submitting an employment-based field placement proposal.
o Students must log the same number of field hours in an employment-based field placement as in a nonemployment-based field placement.
o The focus of the field placement must be on meeting the student's learning and educational objectives as outlined in the student's Educational Agreement. Learning opportunities need to exceed present job skills and knowledge.
o Field credits will not be granted for previous professional work experience (Council on Social Work Education, EPAS 3.2.5: http://www.cswe.org/File.aspx?id=13780).
o Retroactive approvals for employment-based field placement proposals will not be granted.
Proposal Guidelines
All proposals must be submitted on the Employment-Based Field Placement Proposal Form: http://www.ssw.umich.edu/shared/forms/employmentBasedProposalGuidelines.pdf
5.04 Emergency Policies Related to Attendance
Emergency Policy
1. If the School of Social Work/University of Michigan is closed due to an emergency, the student should follow the School's policies related to attendance and notification.
2. If the fieldwork site is closed due to an emergency, the student should follow the fieldwork site's policies related to attendance and notification.
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6 EXPENSES, FINANCIAL SUPPORT, & WORK-STUDY & GSI POLICIES
6.01 Financial Support, Stipends, Supplemental Field-Related Financial Aid, Work Study Stipulations and Graduate Student Instructor (GSI) Policies
Fieldwork Site Stipends
Field instruction settings, whenever possible, are encouraged to provide some financial support for students, who are typically undertaking extraordinary expenses to attend graduate school. While the Office of Field Instruction strongly encourages fieldwork sites to offer stipends, these that do vary and the decision is entirely up to them. Fieldwork sites may receive grants that allow them to give the student a small amount of funds in the form of a stipend. Sometimes, fieldwork sites offer stipends depending upon the amount of time the student can give to the site, or to make the field placement more attractive to students. Stipend amounts vary but are usually quite small. Fieldwork sites that offer stipends are indicated on the Placement Listings: http://www.ssw.umich.edu/programs/msw/ofi/slots. Students can also discuss stipend availability with the assigned Field Educator during the field placement process.
Financial Support Guidelines
The purpose of these guidelines is to help ensure that educational objectives and requirements are met and to eliminate any possibility of such practices could negatively influence the educational process. Policies and procedures relating to financial support of students by fieldwork sites are as follows:
o Fieldwork sites that provide stipends to students must include this information on the Agency forms they complete for the Office of Field Instruction.
o When the fieldwork site or grantor provides a stipend and the School assigns a specific student to the fieldwork site as the stipend recipient, the final field placement decision is controlled by the School.
Request for Supplemental Field-Related Financial Aid
Students are eligible to apply for additional financial aid for fieldwork related purposes. If granted, the amount is added to the student's financial aid package. Students must fill out an application: Request for Supplemental Field-Related Financial Aid: http://www.ssw.umich.edu/programs/msw/ofi/field- related_financial_aid.pdf
Work Study Stipulations
Students who are eligible for work-study financial support cannot receive work-study moneys while assigned to a field placement. Work-study moneys/hours logged must be in addition to the hours logged/enrolled in field instruction credits.
Graduate Student Instructor (GSI) Field Policy
Students are not permitted to work as a Graduate Student Instructor (GSI) in the same fieldwork site where they are placed for the same person who is their assigned field instructor. The role of a student learner must be separate from that of a student employee.
PLEASE NOTE: ANY ADDITIONAL FINANCIAL SUPPORT A STUDENT RECEIVES IS REPORTABLE TO THE U-M OFFICE OF FINANCIAL AID.
For additional information please refer to the SSW Student Guide, Volume 1, Chapter 18: Financial Aid Policies.
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6.02 Field Placement Related Expenses, Transportation Responsibilities and Fieldwork Site Stipend Program for Designated U-M SSW Approved Sites
Field Related Expenses
Students will have expenses related to fieldwork. These could include immunizations/vaccinations or tests that may be required by the fieldwork site, possibly criminal background checks, health insurance, liability insurance, gas, parking, or additional vehicle insurance if the student's personally owned vehicle is used for fieldwork. Fieldwork sites are strongly encouraged to reimburse the student for expenses related to fieldwork. For example, if field placement staff is reimbursed for travel, it is encouraged that the student will benefit from the same fieldwork site policies. Such arrangements are strictly based upon negotiations between the fieldwork site and the student, usually during the placement interview.
Transportation Responsibilities of the Student
Transportation to and from the field placement is the responsibility of the student. A large majority of the field sites offer services that are community-based and the majority of fieldwork sites require the use of a vehicle for fieldwork. This means that many field placements require students to have a car to perform field placement related tasks such as community outreach, home visits, community work, attending meetings, etc., so it is important that all students have a valid driver's license and access to a vehicle. Not having a car will severely limit field placement options. It is to the student's advantage to have a vehicle or be prepared to carpool to the extent that this is available. Students are encouraged to utilize the email@example.com to advertise for carpool availability. Many field opportunities are located in the larger urban areas (such as Detroit or Lansing) and students without cars may need to compromise their interests and preferences to be accommodated due to a lack of transportation.
Fieldwork Site Stipend Program For Designated Sites
Introduction and Purpose
In order to complete requirements for the MSW degree, students are required to complete 912 hours of field placement (Advanced Standing students must complete 684 hours of fieldwork). In order to encourage students to participate in quality fieldwork sites largely focused on training in the interpersonal practice method, in under served areas outside of the Ann Arbor/Washtenaw County geographic area, the School is providing a stipend for participation at selected fieldwork sites. Should a student be placed in one of such sites and meet the requirements below they will be eligible for the stipend. The Stipend Program is restricted to the guidelines as outlined here and the following conditions apply:
http://ssw.umich.edu/programs/msw/ofi/StipendProgramForIdentifiedFieldworkSites.pdf
Policy Guidelines
o This program is limited to fieldwork sites that have been identified and approved by the Director of Field Instruction and are designated in the OFI Placement Listings.
o The stipend amount for each qualified site is determined by the Director of Field Instruction in concert with U-M SSW administration.
o Students who are enrolled in the SSW Scholarship Programs (Child Welfare, Geriatric, Global Activities, National Community, Community Based Initiative in Detroit, Jewish Communal Leadership, National Program, etc.) are not eligible for funding under this program.
o Funding is a predetermined amount provided for a set number of term(s) based on the standard curriculum tracks. Extending the field placement past the standard number of terms will NOT result in an increase or continuation of the stipend. Students completing less than 15 weeks of fieldwork at the specified fieldwork site in a given term will have the amount of the stipend prorated.
o If the student's field placement is terminated, a refund to University of Michigan School of Social Work (U-M SSW) will be required and processed by the U-M SSW Office of Student Services
o Final approval for funds is at the discretion of the Director of Field Instruction.
o Funds for approved applicants are dispersed through the U-M SSW Office of Student Services (OSS) in conjunction with the University Office of Financial Aid.
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Funds will be distributed only when ALL of the following conditions are met. Students must:
o Complete the required electronic Placement Verification Form (PVF). The form is not considered complete unless it is signed by the student's field instructor and received by the due date.
o The OFI Project Coordinator will generate an e-mail to the student and OSS, with an attached letter documenting approval from the Director of Field Instruction for this stipend.
o Funds distributed as a result of this policy are considered stipends. Students who are fully funded will need to have their financial aid budget expanded by the U-M Office of Financial Aid (OFA) or this stipend may reduce their loan eligibility.
o Students are required to contact the U-M SSW Office of Student Services to determine if a University Office of Financial Aid budget expansion is necessary. It is the student's responsibility to pursue a budget increase, if necessary.
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7 FIELD CURRICULUM SCHEDULES & REQUIREMENTS, SCHOOL SW (K-12) POLICIES
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7.01 Distinctions Between Foundation and Advanced Field Instruction
For information regarding the Distinction Between Foundation and Advanced Field, please see the SSW Student Guide, Volume 2, Chapter 8, Section 8.02.
Field Credit Structure
o Foundation Field Instruction (SW515 and SW531)
o 3 of total of 15 required field instruction credits; includes a 1 credit field seminar which is a total of 228 clock hours of fieldwork.
o Advanced Field Instruction (SW691)
o 12 of a total of 15 required field instruction credits which is 912 clock hours of fieldwork. (684 hours if granted Advanced Standing.)
Fieldwork Goals
o Foundation Field Instruction (SW515 and SW531)
o Students attains generalist perspective and fundamental skills through exposure to multiple roles and practice approaches while being introduced to the required social work competencies.
o Advanced Field Instruction (SW691)
o Student deepens knowledge, skills and proficiency in the social work competencies of their chosen practice method concentration and practice area.
Skill Level
o Foundation Field Instruction (SW515 and SW531)
o Beginning competency.
o Advanced Field Instruction (SW691)
o Level of mastery.
Fieldwork
o Foundation Field Instruction (SW515 and SW531)
o Assignments are based on the course statements for SW515 and SW531 found in Volume 3, Chapter
8, Sections 9-10 respectively.
o Fieldwork assignments are in both micro (IP) and macro (MHS, CO, SP & E) methods.
o Advanced Field Instruction (SW691)
o Advanced fieldwork assignments are based on the SW691 Course Statement that pertains to the student's practice method concentration and practice area linked in Volume 3, Chapter 8, Section 11.
o Assignments are in student's practice method concentration, IP, MHS, CO, or SP & E.
o At least 80% of assignments should involve practice in student's practice method concentration and practice area.
Elective Minor Method
o Foundation Field Instruction (SW515 and SW531)
o Neither classroom nor field instruction in the minor occurs during the foundation term.
o Advanced Field Instruction (SW691)
o Minor method assignments = 3 of 12 advanced credits, or 171 total clock hours. Minor field-based assignments must be designated on the student's Educational Agreement.
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7.02 Advanced Standing Curriculum Schedule
Advanced Standing students must complete 12 fieldwork credits out of the total of 45 credits required to complete the MSW Program. They must begin fieldwork during the Fall term. They are usually in field 2 days a week for 3 terms, and enrolled in Advanced field instruction (SW691) for each term. Advanced Standing students are exempt from SW515 and SW531 (Foundation field instruction and the Foundation Field Seminar).
Advanced Standing students placed in public school settings should enroll in 6 credits of SW691 for Fall and Winter terms. These students will be in field instruction 3 days a week for both terms (see Volume 3, Chapter 7, Section 7: School (K-12) Social Work Field Placement Requirements). Students who deviate from the usual Advanced Standing curriculum track must complete an Out-of-Sequence Petition (http: //www.ssw.umich.edu/programs/msw/ofi/out_of_sequence.pdf). Students' field schedules are designed to be congruent with academic coursework.
ADVANCED STANDING CURRICULUM SCHEDULE (684 Fieldwork Hours)
Term 1 (Fall) - Classes and 2 fieldwork days per week = 4 credits of SW691 (228 hours)
Term 2 (Winter) - Classes and 2 fieldwork days per week = 4 credits of SW691 (228 hours)
Term 3 (Spring/Summer) - Classes and 2 fieldwork days per week = 4 credits of SW691 (228 hours)
The minor method can be completed in 12 hours a week during one of the terms; or in 6 hours a week for two terms; or in 4 hours a week for three terms, totaling 171 hours.
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7.03 20-Month Curriculum Schedule
Students in the 20-month curriculum schedule usually elect this schedule because they are interested in two field placement experiences, a field placement in a public school setting, and/or because they need the Spring/Summer term to attend to family responsibilities or work. These students are not enrolled during the Spring/Summer term, but are in class and field instruction during the Fall and Winter terms for two days per week. Along with Foundation field instruction (SW515) in the first term, students are also enrolled in the Foundation Field Seminar (SW531), which convenes usually biweekly for 2 hours.
Students in the 20-month curriculum schedule have the option of choosing one or two placements. 20month students who elect one placement remain in that placement for four terms. Students need to consult with their field instructor and their Field Liaison to insure that the fieldwork site can offer advanced learning opportunities that exhibit increased breath, depth, and complexity in assignments, and are able to offer increased levels of independent practice if they elect to remain in the same placement. All field placements must be approved by the Field Liaison assigned to the student.
Students who elect two placements have one placement during their first and second terms, and the second placement during their third and fourth terms. 20-month students are required to complete the "Second Year 20-month Student Placement Decision Form (Continuing Placement Request Application: http://ssw.umich.edu/programs/msw/ofi/placementInformation.html) in February of their first year to in form the Office of Field Instruction regarding their second placement decision. Students' field schedules are designed to be congruent with academic coursework.
20-MONTH CURRICULUM SCHEDULE (912 Fieldwork Hours)
Term 1 (Fall) - Classes and 2 fieldwork days per week + biweekly field seminar = 3 credits (2 of SW515, 1 of SW531) (228 hours)
Term 2 (Winter) - Classes and 2 fieldwork days per week = 4 credits of SW691 (228 hours)
Term 3 (Fall) - Classes and 2 fieldwork days per week = 4 credits of SW691 (228 hours)
Term 4 (Winter) - Classes and 2 fieldwork days per week = 4 credits of SW691 (228 hours)
The minor method cannot be completed in Foundation field instruction. It can be completed logging 12 hours per week during one of the terms; or logging 6 hours per week for two of the terms; or logging 4 hours per week for three of the terms, totaling 171 hours on assignments in elective minor method.
For additional information please see the SSW Student Guide, Volume 2, Chapter 15, Section 15.04: The 20-Month Curriculum Schedule.
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7.04 16-Month Curriculum Schedule
All students in the 16-month curriculum schedule complete fieldwork requirements in one fieldwork setting. Students in the 16-month curriculum schedule enroll in classes only during the Fall term, and in classes and Foundation Field Instruction (SW515) and Foundation Field Seminar (SW531) during the Winter term. The Field Seminar convenes for a total of 14 hours (for two hours, usually biweekly). Students cannot enroll in foundation field work starting in the Spring/Summer term.
In the Spring/Summer terms and the second Fall term, students enroll in SW691 Advanced field instruction. The weekly schedule of field placement days is two days per week in the Winter term, four days per week during the Spring/Summer term, and two days per week in the Fall term. (Some 16-month students have a planned sequence of three fieldwork days a week in each of the Winter, Spring/Summer, and Fall terms totaling of 18 field instruction credits. Students in this sequence should see Volume 3, Chapter 4, Section 11 elective Field Instruction Credits), which requires an Out of Sequence Petition.
16-month curriculum schedule students who desire two placements must change to the 20-month track. Students who wish to change curriculum schedules should receive the Admissions Office (due to financial aid issues) and Faculty Advisor's approval and then notify the Office of Field Instruction immediately. Students will be required to submit an Out-of-Sequence Petition Form (http://www.ssw.umich. edu/programs/msw/ofi/out_of_sequence.pdf) as well. Students' field schedules are designed to be congruent with academic coursework.
16-MONTH CURRICULUM TRACK (912 Fieldwork Hours)
Term 1 (Fall) - On campus classes only; 0 fieldwork credits.
Term 2 (Winter) - Classes and 2 fieldwork days per week + biweekly field seminar = 3 credits (2 of SW515, 1 of SW531) (228 hours)
Term 3 (Spring/Summer) - Classes and 4 fieldwork days per week = 8 credits of SW691 (456 hours)
Term 4 (Fall) - Classes and 2 fieldwork days per week = 4 credits of 691 (228 hours)
The minor method can be completed logging 12 hours per week during one of the advanced field instruction terms; or in 6 hours per week for two terms; totaling 171 hours on assignments in elective minor method. The minor cannot be completed in Foundation fieldwork.
For additional information please see the SSW Student Guide, Volume 2, Chapter 15.03: The 16-month Curriculum Schedule.
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7.05 Extended Degree Curriculum Schedule
This option enables students to complete their degree on a part-time basis. Students must be enrolled full-time (at least 9 credit hours per term) for at least two terms. Such students are required to start their fieldwork after completing 15 credit hours of academic work. Students elect the 16-month or 20month fieldwork schedule outlined in Volume 3, Chapter 7, Sections 4 and 5. Students cannot start fieldwork in the Spring/Summer term.
Those who have completed 15 credit hours of coursework may elect the pattern below for their fieldwork schedule:
Fall: 2 credits of SW515, 1 credit of SW531 = 2 days per week (228 hours)
Winter: 4 credits of SW691 = 2 days per week (228 hours)
Spring/Summer: 8 credits of SW691 = 4 days per week (456 hours)
All extended degree candidates are required to submit an Out of Sequence Petition prior to completing 15 credits of coursework that informs the Office of Field Instruction about their desired fieldwork plan: http://www.ssw.umich.edu/programs/msw/ofi/out_of_sequence.pdf
For additional information please see the SSW Student Guide, Volume 2, Chapter 15.05: Extended Degree Program.
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7.06 Doctoral Degree (Pre-MSW) Field Schedules and Requirements
Students entering the Doctoral Program without the MSW (professional degree) enroll simultaneously in the School of Social Work and the Doctoral Program. They must complete all required coursework and satisfy requirements for field instruction. In consultation with their Faculty Advisor, the doctoral student may elect to substitute the research internship (or departmental equivalent) for up to 8 credits of fieldwork.
Students can only start field placement in the Fall or the Winter terms. The field application deadline for Fall term placement start is in May, for the Winter term placement start is in October. All students must enroll in SW515 (2 credits) and SW531 (1 credits) and SW691 (4 required credits) for a minimum of 7 field credits. Doctoral students can substitute up to 8 of the 15 required field placement credits with their research practicum.
See the following information regarding field placement options for pre-MSW Doctoral students. Students are encouraged to work with their Faculty Advisor upon admission regarding their field instruction requirements and are required to submit an Out-of-Sequence Petition outlining their field plan upon admission to the School
(http://www.ssw.umich.edu/programs/msw/ofi/out_of_sequence.pdf). Students cannot start fieldwork during the Spring/Summer terms.
PRE-MSW/DOCTORAL STUDENTS FIELD PLACEMENT OPTIONS
Fall Field Placement Start Option
SW515: 2 credits Foundation Fieldwork = 228 hours or 2 days per week.
SW531:1 credit Foundation field seminar (meets biweekly for 2 hours) required concurrent enrollment with SW515.
Following Winter Term: SW691: 4 credits Advanced Fieldwork = 228 hours or 2 days per week. Following Spring/Summer Term: Additional Elective Field Credits up to the maximums outlined in Volume
3, Chapter 4, Section 3. Requires an Out of Sequence Petition.
Winter Field Placement Start Option
SW515: 2 credits Foundation Fieldwork = 228 hours or 2 days per week in the fieldwork setting. SW531: 1 credit foundation field seminar (meets biweekly for 2 hours) required concurrent with SW515.
Following Spring/Summer Term: SW691: 4 credits Advanced Fieldwork = 228 hours or 2 days per week. Following Spring/Summer Term: Additional Elective Field Credits outlined in Volume 3, Chapter 4, Section 3. Requires an Out of Sequence Petition.
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7.07 School (K-12) Social Work Field Placement Requirements
Students interested in school (K-12) social work should consult with the School's assigned Faculty Advisor who provides information about the practice of social work in schools and the certification requirements during their first term of the program to ensure that the requirements can be met in the academic coursework and the field placement. Information can also be found in the SSW Student Guide, Volume 2, Chapter 14.02: Social Work in the Public Schools or on this web page:
http://ssw.umich.edu/programs/msw/curriculum/specialization/swinschools.html. Since requirements vary from state to state and these are not all covered by the U-M MSW program, it is necessary to plan the academic program of each prospective school social worker individually and early in the MSW program. At that time, further information about requirements for temporary approval as a school social worker in the State of Michigan can be discussed. Prior to graduation (last term) students who have met the temporary approval requirements for the State of Michigan should request a letter stating they are eligible for a temporary approval from the School's assigned Faculty Advisor.
The requirements of the University of Michigan, as per the State of Michigan Department of Education, for recommendation of temporary approval as a school social worker in the state of Michigan are:
o Master of Social Work degree.
o Field instruction which includes direct practice with families and children.
o SW612 - Mental Health and Mental Disorders of Children and Youth or equivalent at graduate or undergraduate level.
o SW614 - Uses and Implications of Psychological Testing in Social Work or the equivalent at graduate or undergraduate level.
o SW642 - Social Work in Educational Settings or the equivalent from another graduate course at a School of Social Work in the state of Michigan.
Based on public school requirements and schedules for students, Advanced Standing and continuing 2nd year 20-month students are eligible for placement in public school settings. Rarely does a school placement accept a Foundation level student.
All MSW students interested in school-based field placements should be aware that they will be required to complete and pass a criminal background check. The fee for this service is the responsibility of the MSW student and is typically about $70.00. L-1 Identify Solutions
(http://www.L1id.com) is available to assist interns. Other options may be provided by the respective school district. Fees are determined independently. MSW students should also be prepared to provide three references during this process.
While the University's Winter term ends in April or May, public schools are often in session until June. Most school settings will require students to remain in assigned school field placement until June as a qualification for the placement. These students must make schedule arrangements with their field instructor during the placement interview. Students placed in a school setting cannot register for field instruction credits during the Spring/Summer term.
Students should be aware as well that many schools require a 3 day per week commitment for fieldwork. If the student chooses to accept the placement on condition of remaining in field beyond April, the following conditions apply:
o The schedule arrangement between the student and the field instructor must be approved by the Field Liaison in the first Fall term.
o The student completes and submits an Out-of-Sequence Petition, which must be approved by the Director of Field Instruction (http://www.ssw.umich.edu/programs/msw/ofi/out_of_sequence.pdf).
o The student will be assigned a "Y" grade at the end of the Winter term by the Field Liaison. The "Y" grade will be replaced by the appropriate fieldwork grade by the Field Liaison when the fieldwork hours for
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that term are completed (Volume 3, Chapter 7, Section 9: School (K-12) Social Work Grading Policy). o When the student is in placement during this extended period, the student is covered for malpractice throughout the extended period under the University of Michigan Insurance policy. 20-month students who have been awarded financial aid and who elect to extend their schedules into May or June to complete Winter term fieldwork should be aware that they are not eligible for additional financial aid during this extended period.
Students placed in K-12 school systems should use the School-based Interpersonal Practice Educational Agreement.
7.08 School (K-12) Social Work Credits and Field Hours
Each semester, at least 228 hours (16 hours a week) of fieldwork must be completed. Typically, 228 clock hours are completed by attending field 2 days a week, 8 hours per day, which equals 4 credits of advanced field instruction. In some school settings, many placement days are only 6 or 7 clock hours instead of 8. Therefore, students may need to register for 4 credits of field instruction while putting in 3 days a week of fieldwork during each term in order to meet the field hour requirements. Many school system breaks and holiday schedules do not match the University's schedule. All missed days must be made up in the term they were registered for.
Advanced Standing students who are placed in a school setting should complete all 12 field credits in the Fall and Winter terms (6 credits each term). Students should arrange to do fieldwork 3+ days a week in order to complete 24 clock hours each week for the two terms. Advanced Standing students most likely will have to remain in fieldwork until June when the public school session ends. An Out-of-Sequence Petition must be completed for all Advanced Standing students following this schedule (http//www.ssw. umich.edu/ofi/out_of_sequence.pdf).
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7.09 School (K-12) Social Work Grading Policy
The following information pertains to those students who are enrolled in a school (K-12) field placement. The majority of all school placements will require that MSW interns remain in field placement until the end of the K-12 school year. The grading policy for these placements is different that the normal policy due to the nature of the school academic year calendar and the commitment students are required to make when seeking a school placement.
Please note that the School of SW and the Office of Field Instruction grading policies must also be adhered to and explanations for these can be found in Volume 3, Chapter 11, Sections 8-9. The following policies relate to the timetable for those students placed in a K-12 school as this relates to the submission of the required evaluation materials.
The following applies to the MSW students who are planning on graduating in MAY:
1. MSW students planning on graduating in May will be issued a grade of "Y" (if they have been successful thus far in placement). MSW students will be required to turn in ALL evaluation materials (Educational Agreement form with all signatures and hours entered, the field instructor narrative, and the student's required narrative) by May 15th.
2. Once all the completed evaluation paperwork has been received and indicates that the MSW student has been successful, the grade will be changed to an "S" grade with the understanding that the MSW student will remain in field placement until the end of the public school year. Interns and field instructors are able to negotiate an ending date that is different from this date. If this transpires, the assigned Field Liaison must be notified in writing so that this can be entered into the field instruction database.
The following applies to the MSW students who are planning on graduating in AUGUST:
(typically Advanced Standing students)
1. MSW students planning on graduating in August will be issued a grade of "Y" (if they have been successful thus far in placement). MSW students will be required to turn in ALL evaluation materials (Educational Agreement form with all signatures and hours entered, the Field Instructor Narrative, and the student's required narrative) by July 1st.
2. It is assumed that MSW students will commit to remaining in field placement until the end of the public school year and that they will have completed all required hours prior to July 1st.
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8 GUIDELINES FOR STUDENT SAFETY
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8.01 Guidelines for Student Safety
University of Michigan Campus Safety Handbook: http://police.umich.edu/docs/clery.pdf
Safety Training Workshop
Many students arrive at their field placement with concerns about personal safety that can significantly impact their learning opportunities and their experiences. Due to increasing incidents of violence against social workers, the School strives to make students aware of safety issues and to prepare them to handle potentially dangerous situations. A safety orientation webinar is available on the OFI web site for all incoming students to view ("Student Safety: Identifying & Reducing Risk":
http://ssw.umich.edu/programs/msw/ofi/Safety_Orientation_Webinar.mp4 and the Safety Summary Handout: http://ssw.umich.edu/programs/msw/ofi/Safety_Summary_Handout.pdf) prior to beginning their field placement. Content includes raising personal awareness, history and common profiles, warning signs, intervention skills to de-escalate potentially violent client situations, prevention, intuition, and management of dangerous situations at home, on the street, while traveling, in public places, and in fieldwork. Because safety issues relate to fieldwork, campus life, and other settings, general information about risk assessment and reduction is important. This information can be used to assess environmental risk levels, determine if a client or another individual could be dangerous, make decisions about managing risky situations, or protect oneself or clients.
The Goals of the Safety Webinar
o Provide content that is consistent with social work values and principles and congruent with the School's curriculum.
o Help students develop a framework and various options for responding to potential dangers.
o Raise student consciousness about potential violence and place such violence in a contextual frame so that students maintain empathy with clients.
o Place emphasis on preventing violence by providing students with knowledge of precautionary measures, including alertness to possible danger signals about the immediate environment and behavior of clients.
o Encourage students to assume responsibility for their own safety and to trust their feelings and intuition.
Guidelines for Risk Reduction
It is sometimes difficult to predict when dangerous incidents will occur. The factors most often considered to be predictors are: history of violent behavior, and abuse of drugs and/or alcohol. Aggressive behavior may be direct or indirect; determinants include fear, anger, over-stress, chemical alteration, need for attention or power, and paranoia. The important variable is the intent or perceived intent of the individual who appears to be dangerous. It is important to determine whether the behavior is a characteristic adaptive style or if it is reactive to a particular situation. However, the best protection in a threatened or actual assault is to follow one's intuition. Problem-solving skills are also transferable to risky situations: gather data, evaluate the information, decide on a course of action based on the evaluation, implement it, evaluate the outcome and adjust accordingly. This process may occur in an instant or over a longer period of time.
Several basic goals should be the focus of all risk management programs. They include the following:
o Protect the client, staff, and others in the environment.
o Help the individual gain control with the least amount of pain and guilt.
o Help the individual focus on the source of anger, fear, frustration, etc.
o Assist the individual to express these feelings verbally rather than in actions.
STUDENTS ARE RESPONSIBLE FOR THEIR OWN SAFETY! REMEMBER TO ALWAYS HAVE A PLAN!
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8.02 Field Placement Guidelines for Risk Reduction
Fieldwork sites are expected to provide students with specific orientation to field placement policies and procedures regarding risk management. If the field instructor does not provide this orientation, students must ask for it. Students should also learn about the fieldwork site's informal methods for assessing and handling risky situations.
Each situation is different, but the guidelines that follow may generally apply in the management of potentially dangerous situations:
o Appreciate realistic limitations. Be reasonable about what is and is not possible. Know when to stay and leave. A sound preventive approach is to avoid seeing clients with reputations for unprovoked assaults or those in acute paranoid psychotic distress in an empty office without back-up staff or security available.
o Keep your work area as safe as possible, keeping it clear of items which could be harmful to anyone involved in a physical intervention. For example, keep objects, which can be used as weapons (e.g., ashtrays, sharp objects, and a hot cup of coffee) away from potentially aggressive clients.
o When possible, alert available staff members that assistance may be needed before entering.
o Act calmly. Keep the scream out of your voice. An emotional or aggressive response to a distraught individual is likely to reinforce that person's aggression. Remember, clients and others who are violent are often reacting to feelings of helplessness and loss of control. Therefore, you need to be in control of the situation.
o Take a non-threatening posture to avoid appearing confrontational, but take a protected posture as well. This usually means standing slightly sideways to the individual, at a safe distance away from sudden lunges, punches, and kicks, with arms and hands held near the upper body for possible quick selfprotection. Avoid a stare-down by periodically breaking eye contact.
o Don't walk away from the individual who is escalating. Acknowledge the individual's feelings and attempt to talk them down. Encouraging the individual to sit down may sufficiently delay or divert the possibility of attack. Usually, a one-to-one situation with available staff at a distance works well. The most appropriate staff member to be with the individual is the one who has the best rapport with them, not necessarily the staff with the most authority or rank.
o Observe the progress of the aggression and the stages of escalation. Identify those actions on your part which serve to calm and those which serve to inflame the individual, and act accordingly.
o Avoid sudden movements or the issuance of strident commands, as these may only inflame the individual. Whenever possible, allow the individual to make behavioral choices. Directives or alternatives should be stated concretely and in terms of actions, which can be performed immediately.
o Be direct and state clearly and specifically the required or prohibited behavior.
o Allow the individual to choose between two acceptable behavioral alternatives.
o Do not touch the individual unless you are willing to restrain them; and only when you have been trained by the fieldwork site and always act in a manner consistent with all fieldwork site protocols.
What to do if Attacked or Seriously Threatened During Fieldwork
o Follow fieldwork site procedures to manage the immediate situation and report the incident.
o Get any needed medical care, notify, and debrief with your field instructor.
o IMMEDIATELY report the incident to your Field Liaison and the Director of Field Instruction in the Office of Field Instruction (734) 764-5331, or the Office of the Associate Dean for Educational Programs (734) 763-2345.
Recognize that a physical attack or threatening behavior is frightening and that you may respond emotionally to the stress. Seek help if needed.
Closing The Loop: Field Placement Issues
Fieldwork sites are encouraged to have policies and procedures regarding employee and student safety. These policies should be reviewed, prioritized, and reinforced on a regular basis.
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Students need to be:
o Exposed to triaging client situations, peer review (where possible), and the importance of seeking consultation in potentially unsafe situations.
o Instructed about cases that are "at risk" and students should receive more intense supervision, consultation and monitoring with these cases.
o Debriefed after any incident.
8.03 Fieldwork Site Safety Orientation Recommendations and SSW Emergency Closure Policies
Field Placement Safety Orientation Should Include
o Information about the prevalence of, or potential for, violence while in the field placement assignments.
o Orientation to the surrounding community and neighborhoods, or areas where the student may work, and discuss concerns that students may have regarding their work in a community-based setting.
o Opportunities for students to observe and shadow their field instructor on community-based visits.
o Opportunities to observe and mentor students on community-based visits.
o Resources such as safety training, pagers, cellular telephones, etc. to students for community-based visits if available to staff.
o Careful consideration of all assignments given to students and assess the assignments' potential for risk, as well as the student's ability to perform the assignment.
o Safety protocols, including building and office security, emergency procedures, management of violent clients, and train students in home visit safety procedure and working with high risk clients.
o Infectious disease control procedures and OSHA requirements.
o Discussion and evaluation regarding student's use of their personally owned vehicle specifying that the vehicle is insured and in good working order when it is appropriate to transport clients on fieldwork business. The transportation of clients in personally owned vehicles is highly discouraged due to liability concerns and insurance issues.
Emergency Closure Policies
1. If the School of Social Work/University of Michigan is closed due to an emergency, the student should follow the School's policies related to attendance and notification.
2. If the fieldwork site is closed due to an emergency, the student should follow the fieldwork site's policies related to attendance and notification.
For additional information, please see the SSW Student Guide, Volume 1, Chapter 21.03: Campus Safety Statement.
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8.04 References and Additional Resources for Safety Preparation
The following web sites have useful information regarding safety issues:
o http://police.umich.edu/docs/clery.pdf (University of Michigan Campus Safety Handbook)
o http://ssw.unc.edu/fcrp/cspn/vol3_no2.htm (North Carolina Division of Social Services Resource Book)
Additional Resources:
o DeBecker, G. (1997). The gift of fear. New York, NY: Little, Brown & Company.
o Dillon, S. (1992). Social workers: Targets in a violent society. New York Times, p. F11.
o Dillon, S., & Wiernik, J. (1992). Dangers are rising for social workers. New York Times,
p. A1.
o Fernandez, T. (1995). Stop in your tracks: An alternative to violence. (Available from Concept Media, P.O. Box 19542, Irvine, California, 92623-9542, 800-233-0727).
o Griffin, W., Montsinger, J., & Carter, N. (1995). Personal safety handbook: Targeting safety in human services. (Available from Independent Living Resources, Inc., 411 Andrews Road, Suite 230, o Durham, North Carolina, 27705, 800-820-0001).
o Griffin, W. V. (1994). Staff safety-Early warning. Durham, NC: Brendan Associates & ILR, Inc.
o Griffin, W. V. (1995). "Social worker and agency safety." Encyclopedia of Social Work, 19th ed.
o Horehsi, C., Garthwait, C., & Rolando, J. (1994). A survey of assaults and violence directed against child protection workers in a rural state. Child Welfare,73, 173-179.
o Jayaratne, S., Vinokur-Kaplan, D., Nagda, B. A., & Chess, W. A. (1996). A national study on violence and harassment of social workers by clients. Journal of Applied Sciences, 20, 1-13.
o Jennings, J. (1994). Personal safety training for empowering social work students. Paper presented at the 40th Annual Program meeting of the Council on Social Work Education, Atlanta, GA.
o Littlechild, B. (1995). Violence against social workers. Journal of Interpersonal Violence, 10, 123-130.
o Newhill, C. E. (1992). Assessing danger to others in clinical social work practice. Social Service Review, 64-84.
o Newhill, C. E. (1995). Client violence towards social workers: A practice and policy concern for the 1990's. Social Work, 40, 631-636.
o Norris, D. (1990). Violence against social workers: The implications for practice. London: Unwin Hyman.
o Street Smarts: How to Avoid Becoming a Victim with Detective J.J. Bittenbinder. (1992). (Available from Video Publishing House, Inc., 930 N. National Parkway, Suite 505, Schaumburg, Illinois, 60173 -9971, 800-824-8889).
o Toscano, G., & Weber, W. (1995). Violence in the workplace. U.S. Department of Labor, Bureau of Labor Statistics.
o Weinger, S. (2001). Security risk: Preventing client violence against social workers. Washington, D.C.: NASW Press.
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9 SPECIAL SCHOLAR - CERTIFICATE PROGRAMS
9.01 The Specialist in Aging Certificate
The Specialist in Aging Certificate offers students the opportunity to develop individualized programs of interdisciplinary graduate study for academic credit in gerontology. The program draws upon the resources and course offerings of Literature, Science, and the Arts, and the Schools of Public Health, Social Work, and Nursing, as well as other academic units.
The Specialist in Aging Certificate granted by the School of Social Work is awarded upon successful completion of academic course requirements and approved field instruction. Course requirements for the Specialist in Aging Certificate may be completed by completing courses during the regular University Fall, Winter, and Spring/Summer terms. For further information contact Professor Lydia Li at lydiali@umich. edu or go to:
http://www.ssw.umich.edu/programs/msw/curriculum/specialization/aging.html
For additional information, please refer to the SSW Student Guide, Volume 2, Chapter 14.01: Specialist in Aging Certificate Program.
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9.02 Child Welfare Scholarship Program and Certificate (CWS)
The Child Welfare Scholarship
The University of Michigan School of Social Work Child Welfare Scholarships are awarded to students who are interested in becoming child welfare specialists. The purpose of the program is to train committed specialists in child welfare. Following graduation, child welfare specialists have worked as clinical social workers, therapists, program managers, executive directors, evaluators, community organizers, and policy makers.
These scholarships address the need for child welfare social workers. Students must note an interest in Child Welfare scholarship on their application to be considered for this award. Selection is based on demonstrated, outstanding potential for professional practice. Awards are based primarily on all previous academic work, recommendations, human services employment experience, the applicant's written supplementary statement, and other application documents.
When students apply for admission to the MSW program, they can request to be considered for the Child Welfare Specialist Scholarship and elect any method but must select the Children and Youth practice area. The Admissions Office screens applicants and the final selection is made by Professor Kathleen Faller and Ms. Mary Ortega, ACSW, LMSW. Professor Faller serves as the Faculty Adviser for the Child Welfare Fellows. Taking into account students' methods concentrations and interests, the Office of Field Instruction make students' fieldwork site selection, consulting as needed with Professor Faller and Ms. Ortega. Fellows will complete their field placements in areas that offer opportunities for cutting edge practice in child welfare. Agencies include the University of Michigan Family Assessment Clinic, Michigan Department of Human Services, Catholic Social Services, to name a few.
It should be noted that students must elect the 16-month curriculum schedule and if admitted as Advanced Standing students, must give up this status and change to the 16-month schedule.
The Child Welfare Certificate
The certificate curriculum is the same as the scholarship curriculum but students may elect any curriculum schedule and they will be placed in a fieldwork setting that focuses on services to children, youth, and families with a child welfare focus. Details about the certificate and a link to the application are listed at http://www.ssw.umich.edu/programs/msw/curriculum/specialization/childWelfare.html
For additional information:
http://www.ssw.umich.edu/finaid/msw/CWSP.html or http://ssw.umich.edu/finaid/msw/grants-scholarships.html#ChildWelfare or and the SSW Student Guide, Volume 2, Chapter 14.04: Child Welfare Scholarship Program
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9.03 Community-Based Initiative Scholarship Program (CBI)
The purpose of the Community Based Initiative program is to train committed specialists in communitybased work through courses, projects, and field placements in southwest Detroit and east Dearborn.
The mission of the Community Based Initiative is to work together with the diverse communities of southwest Detroit and Dearborn to strengthen student learning and practice while addressing community identified priorities and needs.
Students accepting CBI positions will complete their field placements in areas that offer opportunities for cutting edge practice in community-based field agencies. These placements must be in Detroit (includes Highland Park, Hamtramck, and Mid-Eastern communities of East Dearborn that are directly adjacent to Detroit's boundary).
Students must elect the 16-month curriculum track. Please refer to additional information found here: http: //www.ssw.umich.edu/finaid/msw/CBI.html or refer to the SSW Student Guide, Volume 2, Chapter 14.07: Community-Based Initiative in Program.
9.04 Geriatric Scholarship Program
Geriatric social work is one of the fastest growing career fields. The numbers of older persons in the US will more than double between the years 2000 and 2030. As the population ages, employment opportunities in gerontology social work are expanding greatly. In geriatric social work there are endless possibilities to make a difference in people's lives and limitless opportunities for advancement.
The University of Michigan Geriatric Scholarship to strengthen geriatric social work was originally developed by a grant from the John A. Hartford Foundation (1999-2003) and was funded in part by the McGregor Foundation from 2005 to 2007. The School of Social Work has continued the funding. The program aims to address the increasing need for geriatric social workers by creating more aging-rich placements and increasing the number of students in the field of health care and social work for older people.
Students awarded the geriatric scholarship must choose the 16-month curriculum schedule (Advanced Standing students must give up their Advanced Standing status) and the aging practice area. Fieldwork rotations at 2 or 3 sites that expose students to the continuum of care for well-to-frail elderly are required. Students will have the flexibility to move between "anchor sites" and "satellite sites" that provide a variety of services to older adults. Agencies in the geriatric consortium represent a diverse range of populations served, services offered, and methods of intervention. Prior to completion of the online Placement Request Application, students will need to know the fieldwork options and rotations as they will be required to select them when applying for field placement.
Fieldwork rotations begin in the fall term. During the program each student will be placed at two or three sites, with at least one required in Detroit. Fieldwork is designed to expose students to a range of practice interventions on behalf of elderly in rural and urban settings and in direct service, policy, and management environments.
For more information about the Geriatric Scholarship Program please refer to: http://www.ssw.umich. edu/geriatricSocialWork/ or the SSW Student Guide, Volume 2, Chapter 14.05: Geriatric Scholarship Program.
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9.05 Global Activities Scholarship Program (GASP) and Certificate Program
The Global Activities Scholars Program is a unique opportunity for students interested in working with individuals, communities, and organizations in a global context as part of their MSW field placement requirements. The purpose of the program is to provide students committed to global social work practice an opportunity to live in a foreign country while completing a part of their field placement requirements.
The Global Activities Scholars Program is open to students in all practice method concentrations and practice areas, though placements for Interpersonal Practice and Social Policy and Evaluation students are limited. Students in the program must enroll in the Out-of-Sequence 16-month curriculum schedule. Please refer to the Special Course Planning Worksheet for scheduling classes at http://ssw.umich.edu/studentGuide/2013/international/WorkSheetSelect.html.
For further information about field requirements, please visit www.ssw.umich.edu/public/OGA/GASP. html or contact the Office of Global Activities at 734-936-1964 or firstname.lastname@example.org.
9.06 Jewish Communal Leadership Program (JCLP)
The University of Michigan's Jewish Communal Leadership Program (JCLP) offers a distinctive educational opportunity for emerging leaders committed to helping Jewish communities meet twenty-first century challenges while also addressing broader social concerns. Students combine study of community systems, theories of social change, and Jewish history and community, with training and experience in community organizing, nonprofit management, dialogue facilitation, and coalition building within and across groups.
The JCLP is a five-semester program conducted over 20 consecutive months combining:
o A Master in Social Work.
o A Certificate in Communal Jewish Service and Judaic Studies from the Jean and Samuel Frankel Center for Judaic Studies.
o Experience and training in nonprofit management through participation in the University of Michigan's Nonprofit and Public Management Center's Board Fellowship Program.
o Supervised field work in a range of local, national, and international change-making agencies. JCLP students have supervised fieldwork opportunities in local, national, and international agencies, and serve as nonvoting board members at a range of Jewish communal, service, and educational agencies in Michigan and Ohio.
For additional information please see the SSW Student Guide, Volume 2, Chapter 14.03: Jewish Communal Leadership Program or http://www.ssw.umich.edu/programs/JCLP/index.html
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9.07 National Community Scholarship Program (NCS)
As one of our Community Scholars Programs, the purpose of the National Community Scholars Program (NCS) is to prepare professionals for enabling young people and adult allies to create community change. National Community Scholars will gain skills to organize groups for social action, plan programs at the local level, advocate for socially just policies, and develop community-based services. The program offers unique opportunities for students to collaborate with leading practitioners and complete a Spring/Summer term field placement in one of the following areas:
o Mississippi Delta, an area rich with history and significant roles in the civil rights movement.
o Central Appalachia, with strong cultural and activist traditions in the mountains of eastern Kentucky.
o San Francisco Bay Area, a culturally diverse urban area with a dense concentration of community youth organizations.
Students must elect the 16-month curriculum track and complete a local/domestic placement during the Fall and Winter terms. Please see the web site for additional information: http://www.ssw.umich. edu/finaid/msw/NCSP.html
For additional information please refer to the SSW Student Guide, Volume 2, Chapter 14.06: National Community Scholarship Program.
9.08 Peace Corps Master's International (MI)
The U-M SSW Peace Corps MI program (MI) will allow students interested in working with children and youth to incorporate 27 months of Peace Corps service into their MSW program.
Students must be U.S. citizens due to Peace Corps requirements. Students interested in the MI program must first be accepted to the U-M SSW before applying to the Peace Corps. Applicants must be accepted both to the U-M SSW and the Peace Corps.
Students must select the children and youth in families and society practice area and must enroll in either the 12-month Advanced Standing or 20-month curriculum schedule. Students in the program will first complete one year of coursework on campus (including field placement). Afterward they will serve overseas in the Peace Corps for 27 months in a youth development assignment. Students will then return to campus to complete their last year or semester of coursework depending on their curriculum schedule. Generally, students cannot extend their Peace Corps assignment to a third year (any exception must be approved by the Associate Dean for Educational Programs).
Please refer to the Special Course Planning Worksheet for scheduling classes at http://ssw.umich.edu/studentGuide/2013/peaceCorps/WorkSheetSelect.html. For further information please visit http://ssw.umich.edu/peacecorps/ and http://ssw.umich.edu/peacecorps/schedule.html or contact email@example.com.
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10 FIELD PLACEMENT APPLICATION PROCESS
10.01 Field Placement Application Process
The responsibility for approving and selecting fieldwork sites and initiating placement arrangements rests with the Office of Field Instruction. The Director of Field Instruction assesses the suitability of field placements as student training sites and approves only those that meet the School's requirements. Only School-approved fieldwork sites can be utilized for field instruction.
The field placement experience offers students an opportunity to learn about social problems, social welfare, community organizations, diverse client groups, communities and social systems, communitybased resources, social policy and evaluation, and issues that are interpersonal in nature while working with people across the diversity dimensions, in settings that provide services to children and youth in families and society, aging, people with health and mental health issues. Field placements typically occur in a fieldwork site setting under the direct supervision of an approved, credentialed, and licensed field instructor. Students are assigned to a field placement based on their practice method concentration and practice area. Students in field placement must be placed in the fieldwork site for a minimum of two consecutive terms.
PLEASE NOTE:
IN RESEARCHING POSSIBLE PLACEMENTS, STUDENTS MUST NOT CONTACT FIELDWORK SITES DIRECTLY. THE OFFICE OF FIELD INSTRUCTION MUST ARRANGE ALL PLACEMENTS. STUDENTS MUST NOT INITIATE CONTACT WITH ANY FIELDWORK SITES SEEKING A FIELD PLACEMENT WITHIN THAT FIELDWORK SITE WITHOUT PRIOR APPROVAL OF THE OFFICE OF FIELD INSTRUCTION. ANY FIELD PLACEMENTS INITIATED WITHOUT THE KNOWLEDGE OF OFFICE OF FIELD INSTRUCTION WILL NOT BE APPROVED. ADDITIONALLY, STUDENTS MAY NOT INTERVIEW AT MORE THAN ONE FIELD PLACEMENT AT A TIME. ALL INTERVIEWS MUST BE COORDINATED BY THE ASSIGNED FIELD EDUCATOR/LIAISON.
Students sometimes request a change of placement for one term only. The Office of Field Instruction and a majority of fieldwork sites are unable to accommodate students for a one term placement. Fieldwork sites cannot provide substantial assignments nor invest in training a student who will leave the field placement after only one term. Students are encouraged to utilize the minor (171 total field hours) as a means of experiencing alternate fieldwork in another method (see the OFI Field Manual, Volume 3, Chapter 4, Section 7 for detailed information).
10.02 Frequently Asked Questions (FAQs) About Field Placements
This document contains a series of questions designed to address the most common issues and questions related to the field instruction program. A complete text can be found here:
http://www.ssw.umich.edu/programs/msw/ofi/faq.html
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10.03 Placement Calendar and Deadlines
Student placements are facilitated 3 times during the academic year. Placement Request Applications are due for incoming students in July, for continuing 20-month curriculum schedule students in February, and for 16-month curriculum schedule students in October. All students are required to submit a Placement Request Application and supporting materials (Goal Statement and updated Résumé) which are utilized to determine fieldwork site assignment.
Continuing 20-month curriculum schedule students are required to complete the "Continuing Placement Request Form": https://www.ssw.umich.edu/programs/msw/ofi/slots/continuingApplication.html by the February deadline. Forms received after the deadlines will have lower priority than those received on time, could affect the availability of a placement slot in a desired fieldwork site, and also could delay the student's field placement start date.
10.04 Freedom of Information ~ Placement Materials
Information about a student that a field instructor shares with the Office of Field Instruction may be shared with the student, Faculty Advisor and any other person associated with the School of Social Work on a need to know basis. Similarly, students are free to see any forms or notes the Field Educator/Liaisons may maintain on students to assist in planning and developing field instruction and assigning them to particular placements.
Students sign a Release of Information when completing the placement application materials (see Volume 3, Chapter 2, Section 6).
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10.05 Field Placement Request Materials ~ Placement Listings
The placement process is completed online and students are e-mailed the welcoming letter with links to the field placement materials in the summer before school starts. All information regarding the placement process can be found here:
http://ssw.umich.edu/programs/msw/ofi/placementInformation.html
Students are required to upload with their Placement Application a written Goal Statement and an updated, professional résumé. Guidelines for Writing a Goal Statement and Guidelines for Writing a Résumé can be found here:
http://www.ssw.umich.edu/programs/msw/ofi/resume.html
Students are reminded that these documents will be sent to fieldwork sites for review so they should be professionally written. Once submitted, students have agreed to release their field information to prospective fieldwork sites.
The assigned to a Field Educator who is responsible for implementing the placement plan once the online application is received. These forms must be filled out in their entirety and submitted by the deadline. Materials received past the deadline may result in a delay in the start of fieldwork for that term.
The Student Placement Request Form is very detailed and is utilized by the Field Educator to determine "best fit" for a field placement. Students will be asked to complete a section on the form that identifies a list of fieldwork sites and rank order in terms of preference. Students utilize a web-based placement slot list (http://www.ssw.umich.edu/programs/msw/ofi/slots) to accomplish this. This listing is used to find specific fieldwork sites where the student could accomplish their identified learning goals. This list contains a short description of the field placement, its services, the available student experiences, practice method concentration, practice area, curriculum schedule that can be accommodated, and URL links to web sites. The placement listing is updated daily. Students are encouraged to research fieldwork sites utilizing the Placement Listings so they can be prepared and informed prior to meeting with their Field Educator.
Information about the student's curriculum schedule and practice method concentration and practice area are the major factors that influence placement decisions. The student and Field Educator assess the student's learning needs relative to the student's concentration, key interests, and any special circumstances the student may present. Then the types of fieldwork settings in which the student's educational goals and interests could be accommodated are explored.
The Office of Field Instruction cannot guarantee that students will be placed in one of their preferred field placements, but student requests will be used to help determine appropriate fieldwork sites.
Advanced Standing students should be aware that only under extraordinary circumstances, would they be allowed to seek field placement at the same fieldwork site where they completed their undergraduate BSW field placement. One of the goals of the MSW degree is to provide advanced training as well as exposure to increase proficiency in the student's elected practice method concentration and practice area. Additional exposure and experience beyond the BSW experience is required to accomplish this goal.
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10.06 Field Placement Assignment
Field Educator/Liaisons are assigned a cohort of fieldwork sites to work with. They are responsible for referring students for placement in their assigned group (Field Educator role) and they also function as the student's Field Liaison for these fieldwork sites (Field Liaison role). Since they are working with these sites during the placement phase and the monitoring phase as a Field Liaison for the student, the Field Educator/Liaison develops solid working relationships with the fieldwork site staff and learns the fieldwork site's student referral expectations. Each fieldwork site has a designated contact person (who may or may not be a field instructor) who works with the Field Educator/Liaison to forecast the number of students and the methods that can be accommodated by the fieldwork site for the upcoming academic year. The Field Educators/Liaisons routinely gather information from approved fieldwork sites as to the number of students that can be effectively accommodated, the type and variety of practice assignments afforded, the availability of qualified supervision, in addition to other pertinent data.
When a student expresses interest in a field placement, their Placement Request Application and supporting materials (Goal Statement and Résumé ) are reviewed to ascertain if they meet the fieldwork site expectations. The assigned Field Educator/Liaison contacts the fieldwork site to determine their interest/availability and the student's paperwork is sent electronically to the fieldwork site contact, who will review these materials with their staff and decide whether or not to offer the student an interview.
Many fieldwork sites require additional application procedures and/or letters of reference as part of the routine of applying for field placement. Students will be notified of these requirements by the assigned Field Educator/Liaison during the placement process or the fieldwork site will inform them. Student references that were provided for purposes of admission to the School of Social Work cannot be released for purposes involving field instruction. Students will need to re-contact their references and seek additional copies.
In addition, many sites will require a criminal history background check and/or a drug screening. See Volume 3, Chapter 2, Sections 7 and 8.
The fieldwork site interviews only those students they feel best match their needs and ability to offer the type/kinds of student training that the student requires. All students must successfully interview and be selected for placement by the fieldwork site. Every effort will be made to assign students to fieldwork sites according to their expressed preferences. However, given that our program is very large, competition is stiff for many of the field placements. Students shouldn't be discouraged if they are not accepted for their first choice. As their assigned Field Educator/Liaison will work with them to secure an appropriate placement.
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10.07 Field Placement Interview
A key element involved in securing a field placement is the interview with the potential field instructor. It is an opportunity for the student to learn about the field placement and for fieldwork site to learn about the student. This interview gives the student a chance to share their interests, their previous experiences, and discuss the skills they would like to acquire. The outcome of the interview will determine if the field placement will be able to meet the student's learning goals and if the field placement will be a good "fit" for the field instructor and the student. The interview process allows the students to practice their job interviewing skills, to meet and be evaluated by the potential field instructor, to learn about the field placement expectations, and become familiar with the functions of the fieldwork site. It also gives the field instructor the opportunity to determine if the student would meet the needs and standards of the fieldwork site.
The Field Educator/Liaison and/or field placement contact person will call the student to arrange the interview. When contacted, students should return the call promptly. Students should also mention that they are enrolled at the University of Michigan School of Social Work and give the name of the Field Educator/Liaison who referred them. Many fieldwork sites are very busy so it is important to give the contact people a reasonable amount of time to return the inquiry. Fieldwork site interviews should be handled like a job interview, so students are reminded to wear appropriate professional attire. See "Tips on Dressing For Field: Dress for Success Tips": Creating a Professional Impression"- (http://ssw.umich.edu/programs/msw/ofi/Field_Placement_Dress_Code.pdf) and "Tips on Interviewing for a Field Placement"-
(http://www.ssw.umich.edu/programs/msw/ofi/interviewing.pdf).
The Field Educator/Liaison will electronically send the student's paperwork to the fieldwork site contact person to review but students should take additional copies of their Goal Statement and Résumé to the placement interview.
During the interview, fieldwork site personnel assess the student's level of interest, suitability for the general type of assignments they have in mind, and fieldwork schedules. Typically, it is at this point that placement decisions are finalized. However, if there are well-founded reservations about the suitability of the match between the fieldwork site and the student, the Office of Field Instruction should be informed at once by the student and/or the fieldwork site contact person so alternate placement planning can begin.
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10.08 Policy on Unsuccessful Field Placement Interviews
Students are required to successfully interview and be officially accepted by the fieldwork site in order to proceed with the field instruction courses (SW515, SW531 and SW691). Occasionally, a student is not accepted for placement after the initial interview because the fieldwork site thinks that the student is not appropriate professionally. Inappropriateness can include, but is not limited to, arriving late for an interview or not calling/showing up at all; unprofessional behavior, dress or language during the interview; unsuitable affect during the interview, or exhibiting behavior deemed not acceptable/suitable to the fieldwork site.
If a student is not accepted for a field placement after two different interviews for reasons of perceived professional inappropriateness, the student will not be allowed to interview at another fieldwork setting until a meeting occurs between the student, the assigned Field Educator/Field Liaison, the Director of Field Instruction, and/or the student's Faculty Advisor. The purpose of the meeting will be to assess and address the problematic behaviors, assist the student in correcting them, and establish deadlines by which the student must be accepted by a fieldwork site that term.
If the third interview is also unsuccessful, the student will be referred to the Associate Dean for Educational Programs. The Associate Dean may bring the matter up to the Academic Concerns Committee which reviews students in academic difficulty. Outcomes of meetings at this level will be decided on a case-by-case basis. If a student is not placed by mid-term, the student may need to drop field instruction credits for that term and add field instruction credits in the subsequent term. This may mean that the student must enroll for additional terms.
For additional information please see the SSW Student Guide Volume 1, Chapter 14: Definitions and Chapter 15: Academic Standing and Academic Difficulty.
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10.09 Global and National Field Placement Guidelines
The Office of Field Instruction (OFI) develops limited global and national field placements that correspond to the methods and practice areas of the curriculum, that are capable of providing advanced fieldwork practice experiences, and that reflect the richness and emerging trends of the social work profession. These field placements are approved by the Director of OFI to ensure that:
o The Council on Social Work Education (CSWE) accreditation and field curriculum standards are met and that students receive professional level credentialed supervision (minimum 2 years post-MSW-preferably licensed). Students seeking these experiences must be enrolled in the Advanced Standing or 16-month curriculum schedules and can expected to typically commit 5 days per week (8-10 advanced field instruction credits). Students must begin their local/domestic field placement in the Fall and Winter terms and complete the global or national placement during the Spring-Summer term.
Extensive course planning and scheduling is involved and students need to be aware that these the majority of these placements are for those with a macro method (CO, SP&E, MHS). There are limited IP sites due to the nature of IP learning, and the need to have breadth and depth treatment related experiences. These placements have implications for the financial aid package and the curriculum schedule that is chosen which is why the decision must be made PRIOR to registration for classes.
Students will be required to complete a rigorous application procedure, complete the required proposal form, meet all deadlines, and secure the required references. Students seeking a global experience are required to work closely with the Office of Global Affairs (http://www.ssw.umich.edu/public/OGA/index. html) upon admission to the School and will be required to enroll in a mandatory one credit transition seminar that will meet before departure (Winter term) and upon return (Fall term).
Students must accept that all arrangements for funding, travel, lodging, food, and other living expenses related to the field placement are the responsibility of the student. We recommend that students begin research funding opportunities as soon as possible.
Special field schedules are required for those considering a global or national field placement:
Out of Sequence 16-month Curriculum Schedule
Must submit an Out-of-Sequence Petition (http//www.ssw.umich.edu/ofi/out_of_sequence.pdf) that indicates the total number of field credits planned.
Incoming Fall: 2 credits (2 days/week) Foundation Field Instruction - SW515, 1 credit of Foundation Field Seminar - SW531. In a local/domestic field placement.
Winter: 4 credits (2 days/week) Advanced Field Instruction - SW691. In a local/domestic field placement. Spring/Summer: National or global field placements occur during this term 8-10 credits (5 days/week) Advanced Field Instruction - SW691.
Fall: Not enrolled in field instruction. Classes only.
Advanced Standing Curriculum Schedule
Must submit an Out-of-Sequence Petition (http//www.ssw.umich.edu/ofi/out_of_sequence.pdf) that indicates the total number of field credits planned.
Incoming Fall: 4 credits (2 days/week) Advanced Field Instruction - SW691. In a local field placement. Winter: 4 credits (2 days/week) Advanced Field Instruction - SW691. In a local field placement. Spring/Summer: occur during this term 8-10 credits (5 days/week) Advanced Field Instruction - SW691. Advanced Standing students need to be aware that they will need to enroll in a minimum of 8 credits of Advanced Field Instruction during the Spring/Summer Term, which means dedicating elective credits to field
Global option not available for Advanced Standing students. National field placements instruction.
20-Month Curriculum Schedule - Must switch to the 16-month track. Requires the approval of the Office of
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SCHOOL OF SOCIAL WORK STUDENT GUIDE
Admissions as this has implications for financial aid.
For more information, refer to this web site:
http://ssw.umich.edu/programs/msw/ofi/national-InternationalPlacement.html
Students have the option of participating in a global or national experience as a Special Studies enrollment but they will not receive field instruction course credit and they must follow all Special Studies requirements and work with their Academic Advisor.
10.10 Global Field Placement Planning and Approval Process
The Office of Field Instruction (OFI) and the Office of Global Activities (OGA) work together to develop limited global field placements throughout the year. This effort provides the School of Social Work an array of field experiences that correspond to the methods and practice areas of the curriculum.
These field placement sites are approved by OGA and OFI to ensure that the following conditions are true:
o CSWE accreditation standards are met.
o Field curriculum standards are met.
o Students receive professional level credentialed (licensed where applicable) supervision.
Students will be selected based on placement slot availability, current academic standing, and the strength of their application. All students participating in an global field experience will be required to enroll in a mandatory 1-credit transition seminar that will meet the term prior to departure (winter term).
Furthermore, students must be enrolled in field instruction and select the Advanced Standing or the Outof-Sequence 16-month track. This allows students to be placed at a local/domestic fieldwork site for fall and winter terms, while freeing up the spring/summer term for the global experience. It should be noted that selecting the appropriate field plan does not guarantee an global field placement. If students do not secure a global field placement, they will remain in their local field placement during their third term.
Students must accept that all arrangements for funding, travel, lodging, food, and other living expenses related to the global field experience are the responsibility of the student. We recommend that students begin research funding opportunities as soon as possible.
Students must decide their commitment to securing an global field placement before they register for fall term classes. Please see the OGA web page to review the requirements, deadlines for applications, and approval process: http://www.ssw.umich.edu/public/OGA/ifp.html
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10.11 National Field Placement Planning
Introduction
The Office of Field Instruction (OFI) develops limited national field placements throughout the year to ensure that the School of Social Work has an array of field experiences to offer. These placements need to provide advanced fieldwork practice experiences, reflect the rich, emerging trends of the social work profession, and allow the School of Social Work to build sustainable relationships with fieldwork sites across the country.
These field placements are approved by the Director of OFI to ensure that:
o The Council on Social Work Education (CSWE) accreditation and field curriculum standards are met.
o Students receive professional level, credentialed supervision by a Licensed Masters Social Worker (LMSW) if the state requires or by a social worker with at least 2 years post-MSW experience.
Requirements
Students should:
1. Participate in extensive course planning with their Faculty Advisor to ensure that course requirements can be met. Participating in a national field placement has implications for financial aid and the student's curriculum schedule. Students must decide to pursue a national field placement before they register for incoming Fall term classes. Most national field placements take place in the Spring/Summer term and require that the student enroll in 8-10 credits (4-5 days per week). Students must contact the Office of Student Services before submitting this application to ensure that their financial aid plan and curriculum/class obligations can be met.
2. Be enrolled in advanced field instruction on the Out-of-Sequence 16-month curriculum schedule and start their field placement locally/domestically in the Fall-Winter terms. Spring/Summer terms are designated for the national field experience. Students not selected for a national experience will remain at their assigned fieldwork site for the remainder of their field hours.
3. Use the online Placement Listings and select from a list of approved fieldwork sites. Students may request that new field placements be developed particularly if there are student hardships, field opportunities that are generally recognized as "cutting edge" programs or programs that offer exceptional educational opportunities not available in the local/domestic placement area. In order for these sites to be considered for field placement, students must review the procedures below and submit a formal application by the established deadline in October. Sites not currently approved will be evaluated on a case-by-case basis.
4. Be aware that most of the national field placements are for those with a macro method (community organization, social policy/evaluation, and management of human services). There are limited interpersonal practice sites due to the nature of IP learning and the need for comprehensive treatment related experiences.
5. Understand and accept that all arrangements for travel, lodging, food, and other living expenses related to the national field experience are the responsibility of the student. Some fieldwork sites offer stipends, but the amount varies and will most likely not cover all expenses. The SSW Board of Governors offers a merit based scholarship for which students are encouraged to apply. PLEASE NOTE: The Office of Field Instruction does not make nor is responsible for any logistical arrangements related to the national field experience.
6. Work with the Director of Field Instruction or other OFI Field Liaison during the course of the placement which may include teleconferences, Skype communication, and possibly participation in a CTools site experience.
Application Deadline:
All applications for national field placement must be submitted to the Director of Field Instruction by the October deadline. Students are encouraged to submit applications earlier if possible particularly if they are requesting a new site since final approval takes time.
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References Deadline:
One reference is required from the student's current field instructor and must be submitted by December deadline.
Please see the following link for the proposal guidelines and application:
http://ssw.umich.edu/programs/msw/ofi/National_Field_Placement_Guidelines.pdf
10.12 National Field Placement Approval and Notification Process
Approval and Notification
In order for the fieldwork site to be approved and the student accepted for placement, the following must be met:
o The fieldwork site must qualify as an approved site and the field instructor must meet the requirements.
o The fieldwork site must complete all required paperwork and agree to sign the U-M Affiliation Agreement.
o The student must apply and be accepted by the fieldwork site based on the site's application process.
o Students must agree to utilize the appropriate Educational Agreement form that corresponds to their method for their field placement.
o Student's must have earned passing grades for all previous terms including a grade of Satisfactory for SW515 and SW531.
o Students must have strong reference scores on their application form.
o After applications are reviewed, students will be interviewed and informed of provisional acceptance by January.
Please see the following link for the proposal guidelines:
http://ssw.umich.edu/programs/msw/ofi/National_Field_Placement_Guidelines.pdf
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11 FIELD INSTRUCTION DOCUMENTATION, EVALUATION, & GRADING
11.01 Field Placement Verification Form
After the field placement is finalized, students are required to submit a Field Placement Verification Form (http://ssw.umich.edu/programs/msw/ofi/forms-fieldInstruction.html). This form must be submitted online each term students are enrolled in field instruction. Field instructors are provided a password in order to verify the information on the form. Should students fail to submit this form by the deadline may be informed that they cannot continue their placement and the hours won't count until they submit it. In addition, their grade for field instruction may be impacted as this form is considered a course assignment.
This form documents the final placement contact information, the days/hours the student will be dedicating to fieldwork, and confirms the number of credits the student is registered for. This information is entered into the shared student database and is utilized to confirm field instruction registration and emergency contact information while students are in fieldwork. It also provides the assigned Field Liaison the student's placement schedule so that the required site visit can be scheduled.
Finally, the signatures of the student and the field instructor document that everyone has reviewed sections of the Office of Field Instruction Field Manual Volume 3, Chapter 2: Field Manual Purpose, Professional Mandates, and Prerequisites and Chapter 8: Guidelines for Student Safety.
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GRADING
11.02 Educational Agreement Form ~ Documenting the Student Learning Experience
Field instruction strives to address and create opportunities for students to develop a working knowledge of the social work profession while integrating values and ethics. The goal is to encourage students to master their classroom learning and integrate this with their field-based professional practice behaviors/assignments under the guidance and supervision of their field instructor. Field-based learning differs from the classroom-based learning in that the experience is more directive, immediate, and personal. Field-based learning is an active, reflective process with a heavy emphasis on participation.
General Information
Students and field instructors are required to use the School's Educational Agreement forms. Each Agreement contains specific field competencies that the student will strive to obtain at the Foundation and Advanced levels. The forms should be downloaded from the Office of Field Instruction's web site (http: //www.ssw.umich.edu/programs/msw/ofi/agreementsForms.html) and students use the the form appropriate to their curriculum schedule, practice method concentration and practice area.
Social Work Competencies
Student's field performance is measured and evaluated utilizing a prescribed set of social work competencies relative to Foundation or Advanced practice which have been developed by the Council on Social Work Education (CSWE) and approved by the the School's Curriculum Committee, These competencies are found in the respective Educational Agreement forms pertaining to Foundation and Advanced field instruction (see Volume 3, Chapter 11, Section 3 and 4). The CSWE standards can be found here: http://www.cswe.org/Accreditation/2008EPASDescription.aspx
Using the Practice Behavior Inventory and Completing the Educational Agreement Students will be oriented to the use of the Agreements in pre-field orientation sessions where the Practice Behavior Inventory-
(http://ssw.umich.edu/programs/msw/ofi/Field_Instruction_Skill_Inventory_Instructions.pdf) and (http://ssw.umich.edu/programs/msw/ofi/Field_Instuction_Skill_Inventory.pdf) will be utilized.
It is the responsibility of the student to initiate with their field instructor, the required Educational Agreement and gather all necessary signatures. On the Agreement, students fill in required demographic data, specify their work schedules, the supervision time, other staff who will be working with the student, etc. Under each competency, students will identify specific culturally competent professional practice focused, fieldwork site specific related assignments in conjunction with the field instructor which illustrate how the student plans to achieve the competency. These should include a professional focus, a personal focus, exhibit classroom knowledge/integration, and include a focus on privilege, oppression, diversity and social justice (PODS). See Office of Field Instruction Field Manual Volume 3, Chapter 3, Section 12 regarding "Student Supervision: The Field Instructor Imprint" for information related to supervision which is required for one hour per week.
After the student and field instructor complete and sign the Educational Agreement form, the student should make one copy for their record and submit the original to their Field Liaison for review and approval. The original Agreement is returned to the student to utilize throughout the course of the field placement and is subsequently utilized as the evaluation tool at the end of the term.
Educational Agreement forms are due at the beginning of each term the student is enrolled and will be reviewed and monitored. Any modifications should be consistent with the student's skills, competencies, and interests; the School's requirements for field instruction; and the fieldwork site's expectations regarding fieldwork. Field Liaisons are unable to determine a grade for the field instruction courses if all evaluative material is not submitted by the established deadline each term. These forms remain part of the student's permanent academic record and are the primary documents used for licensing and other
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purposes to verify the student's fieldwork experiences after graduation with written student permission.
11.03 Foundation Field Instruction Educational Agreement Form
Students enrolled in Foundation field instruction complete the Foundation Field Instruction Educational Agreement Form (http://www.ssw.umich.edu/shared/forms/Foundation515.pdf). This form reflects the competencies for Foundation field instruction (SW515), which focuses on generalist practice. As such, students should be exposed to multiple social work roles and skills applicable to different problems, constituencies, settings, and multiple levels of practice. Therefore, assignments must include both micro and macro methods.
The field curriculum utilizes Bloom's taxonomy of cognitive development as a reference tool in the development of competent social work professionals. Students will become familiar with these stages of development as they relate to the identification and creation of field-based assignments that allow them to participate in a beginning, middle and end stage approach to their learning.
The Foundation Educational Agreement form is designed to assist students in gaining competency with generalist level of practice focusing on the following field competencies:
1. Professional Identity
2. Values and Ethics
3. Critical Thinking
4. Diversity
5. Social and Economic Justice
6. Research
7. Human Behavior and the Social Environment
8. Social Policy
9. Organizational Context
10a. Engagement
10b. Assessment
10c. Intervention
10d. Evaluation
Students will identify in conjunction with their assigned field instructor, specific culturally competent professional practice focused, fieldwork site specific related assignments which will illustrate skill development that are designed to guide and help the student and field instructor focus on the acquisition of the overall competency. Students strive to become proficient in the practice behaviors for each competency.
While being educationally focused, student assignments must contribute to the actual work of the fieldwork site. Students are encouraged to share their course syllabi and identify where a course-based assignment could be completed in the field setting. The goal is for the student to have field-based learning opportunities which will assist them in deepening, extending, and applying foundation level knowledge and skills.
For additional information, please refer to the SSW Student Guide, Volume 2, Chapter 3: Foundation Requirements.
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11.04 Advanced Field Instruction Educational Agreement Form
Students enrolled in Advanced field instruction complete one form (
http://www.ssw.umich.
edu/programs/msw/ofi/forms-students.html) for their practice method concentration and practice area. This form reflects the competencies for Advanced field instruction (SW691), which focuses on developing knowledge and skills in the student's chosen practice method concentration and practice area. Students are assigned a particular Educational Agreement form based on their practice method concentration (interpersonal practice, community organization, management of human services or social policy and evaluation). This will allow the student to develop specific field-based competencies related to their chosen practice method concentration that focus on their chosen practice area.
The Advanced Educational Agreement is based on the course statements for the practice method concentrations (interpersonal practice, management of human service, community organization or social policy/evaluation) and the practice areas (children & youth in families and society, aging, health, mental health or communities and social systems). Students placed in K-12 school systems should use the School-based Interpersonal Practice Educational Agreement. All practice method concentration competencies and practice area competencies have been developed by specific faculty work groups, approved by the Curriculum Committee, and approved by the governing faculty.
The field curriculum utilizes Bloom's taxonomy of cognitive development as a reference tool in the development of competent social work professionals. Students will become familiar with these stages of development as they relate to the identification and creation of field-based assignments that allow them to participate in a beginning, middle and end stage approach to their learning.
The Advanced Educational Agreement forms are designed to assist students in gaining competency at the advanced level of practice focusing on the following competencies:
1. Professional Identity
2. Values and Ethics
3. Critical Thinking
4. Diversity
5. Social and Economic Justice
6. Research
7. Human Behavior and the Social Environment
8. Social Policy
9. Organizational Context
10a. Engagement
10b. Assessment
10c. Intervention
10d. Evaluation
Students will identify in conjunction with their assigned field instructor, specific culturally competent professional practice focused, fieldwork site specific related assignments which will illustrate advanced skill development. These fieldwork specific assignments are designed to guide and help the student and field instructor focus on the acquisition of the overall competency at an advanced level. Students strive to become proficient in the practice behaviors for each competency. While being educationally focused, student assignments must contribute to the actual work of the fieldwork site. Students are encouraged to share their course syllabi and identify where a course-based assignment could be completed in the field setting. The goal is for the student to have field-based learning opportunities which will assist them in deepening, extending, and applying advanced level knowledge and skills.
Minor Practice Method Concentration in Field Instruction
Students have the option of completing a minor during their advanced field placement. Requirements for
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the minor include the completion of specific course work and 171 of the required 912 (684 if advanced standing) field hours must be completed on minor method related fieldwork assignments. Students are required to identify their minor method and 3 suitable competencies off the Advanced Educational Agreement that coincide with this method (excluding competencies #1, #3, #4, and #14). Students and field instructors collaborate on the development of assignments that will allow the student to develop professional practice focused, fieldwork site specific related assignments related to their minor method. Hours for an optional minor method must be logged on the Term Validation page at the end of the Educational Agreement form. Students are reminded that the minor method for field instruction cannot be undertaken or completed while enrolled in Foundation field instruction (SW515).
For additional information, please refer to the SSW Student Guide Volume 2, Chapter 4: Dual Advanced Concentrations, Chapter 5: Advanced Curriculum Objectives, Chapter 6: Practice Method Concentration, and Chapter 7: Practice Area.
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11.05 How To Use the Educational Agreement Forms
Introduction
The Council on Social Work Education (CSWE) has established specific competencies for social work education (see Volume 3, Chapter 11, Sections 3-4). Students are required to develop assignments, specific to their fieldwork site, each term, to show how they will achieve proficiency in each competency. Fieldwork site assignments must be individualized using the identified practice behaviors as abilities toward which to strive. Practice behaviors are defined as a blend of activities, knowledge and skills. Because students will complete an Educational Agreement form every term, and assignments should be behaviorally specific, measurable, and developmentally focused. The field curriculum utilizes Bloom's taxonomy of cognitive development as a reference tool in the development of competent social work professionals. Students will become familiar with these stages of development as they relate to the identification and creation of field-based assignments that allow them to participate in a beginning, middle and end stage approach to their learning.
Field Instruction Learning Process after Pre-Field Orientation
A. The student and field instructor set up a meeting and start the orientation process to the fieldwork setting.
B. The student shares their Practice Behavior Inventory (completed in pre-field orientation) and their course syllabi with the field instructor with the goal of identifying applicable classroom assignments that can be designated as fieldwork site assignments, thus helping to integrate the student's learning.
C. The student, in concert with the field instructor, develops behaviorally specific fieldwork site assignments for each competency. Students are required to focus on developing the identified practice behaviors.
D. The student sets up a weekly supervision meeting with their field instructor and establishes a Supervision Agenda template. The following are the suggested categories for the Supervision Agenda:
o Administrative issues
o Progress related to fieldwork site assignments
o Reflection on Privilege, Oppression, Diversity, and Social Justice issues (PODS)
o Reflection on personal and professional growth and development
Submission Protocol for the Initial Review of the Educational Agreement Form
A. The form must be completed each term and becomes contract for field placement.
B. At the beginning of each term, the student and the field instructor complete the original form in ink, sign/date the form, and turn it into the OFI office by the posted due date for review by the assigned Field Liaison (no faxes, copies, etc.).
C. Upon review of the form, the Field Liaison will make comments, sign the form, and e-mail the student to come pick up the form from the OFI office.
D. Students may be expected to revise the form based on Field Liaison feedback and recommendations.
E. The Educational Agreement form becomes a part of the student's permanent record upon graduation and can be utilized, with the student's permission, by licensing boards and employers after graduation.
F. It is recommended that students make a copy of the form for future reference. Completed forms cannot be released by OFI.
Students and field instructors should contact their Field Liaison should they have any questions about how to use the Educational Agreement forms.
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11.06 The Evaluation Procedures Using The Educational Agreement Form
Evaluation is both an individual and a shared process and should be considered a springboard for growth. Interaction in each student-field instructor supervisory conference has evaluation components. At the end of every term, the Educational Agreement form serves as the evaluation tool whereby the field instructor will score the student on the completion of the field assignments. Positive learning requires constant feedback. Therefore, students should be kept informed as to how they are doing throughout the placement as opposed to receiving all feedback at the end of the term. The regular supervisory conference held with the student the field instructor(s) is a vehicle for feedback. While a formal written midterm evaluation is not required, all students and field instructors should engage in a formal conversation to verbally dialogue about the student's performance at the midpoint in each term. The Field Liaison is always available to assist in the midterm discussion.
Field Liaison Site Visit
The assigned Field Liaison will contact the student and field instructor to arrange the required fieldwork site meeting to evaluate student's progress each term. Student prepares for the site visit with the Field Liaison by
o Explaining and discussing how their fieldwork site operates, and how they have acclimated to the setting
o Discussing how they chose the fieldwork site assignments with related progress on the practice behaviors
o Reflecting and discussing on how PODS issues have impacted their placement experience
o Discussing and reflecting on the progress they have made with regard to their personal and professional growth and development related to their skill development
End of the Term Evaluation Process Using the Educational Agreement Form
The student reviews the evaluation scoring scale with their field instructor. Students review fieldwork site assignments with their field instructor and discuss scoring. It is suggested that the student and the field instructor each score the student's accomplishments of the identified fieldwork site assignment separately on the form in the spaces provided and compare their scores in an evaluation meeting. At the end of each term, an evaluation score of 2 or below or NA on the fieldwork site assignment requires a comment by the student and the field instructor that illustrates how the competency and subsequent assignment will be met in the following term. Evaluations submitted without a comment for a score of 2 or NA will be returned to the student and considered incomplete.
The Scoring System on the Educational Agreement Form
Far Exceeds Expectations (5): Able to independently and skillfully demonstrate awareness, knowledge, and expertise. Fieldwork site assignments are completed in a highly competent manner and the student demonstrates high levels of understanding and proficiency.
Exceeds Expectations (4): Consistently demonstrates awareness, knowledge, and skills. Fieldwork site assignments are completed in a competent manner, and the student demonstrates increasing levels of understanding and proficiency.
Meets Expectations (3): Inconsistently demonstrates awareness, knowledge, and skills. Fieldwork site assignments are completed with some difficulty, and the student has not demonstrated an adequate level of understanding and proficiency. Additional training may be necessary.
Does Not Meet Expectations (2): Rarely demonstrates awareness, knowledge, and skills. Fieldwork site assignments are completed with many difficulties and the student is unable to demonstrate an adequate level of understanding and proficiency. Corrective action and additional training are required.
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Unacceptable (1): Unable to demonstrate awareness, knowledge, and skills. Most Fieldwork site assignments are completed with a high degree of difficulty and the student is unable to demonstrate a fundamental level of understanding and proficiency. Corrective action is required.
NA = No Opportunity – Fieldwork site assignment was unable to be completed due to not having an opportunity this term to do so for any variety of reasons. If the scores on the Educational Agreement form show 3 or more "NA" scores (no opportunity), then the student will automatically receive a grade of Incomplete ("I) for the term. The field instructor will be required to explain why these scores were given in their narrative. This grade of Incomplete will be changed after the student has completed the assigned work or developed and created a new assignment and completed this.
Term Validation Page on the Educational Agreement Form
The student and field instructor must complete the Term Validation page. Signatures provide an official record of the hours logged and the evaluation scores. Both field instructor and student are required to sign, date and enter the number of hours completed during the term. If the student has both a primary and a secondary field instructor, both signatures are required on the evaluation instrument. EVALUATIONS WILL BE CONSIDERED INCOMPLETE IF THEY ARE NOT SIGNED BY ALL PARTIES, DATED OR HAVE THE HOURS ENTERED ON THE FORM. INCOMPLETE EVALUATIONS MAY AFFECT THE STUDENT'S GRADE FOR THE TERM.
If the student disagrees with the content of the evaluation, he or she should feel free to write an addendum to the evaluation, and attach it to the form.
Grading (see Volume 3, Chapter 11, Sections 8 and 9 for full information)
The Field Liaison is responsible for issuing a grade each term based on information in the field site visit, verbal assessment of specific aspects of the student's performance provided by the field instructor as well as other fieldwork site personnel, the field instructor's written narrative, and the performance scores completed by the field instructor on the Educational Agreement form.
11.07 Required Evaluation Narrative Documents
Students and field instructor must complete the required narratives. Field instructors follow the guidelines appropriate to each term and note the progress of the student. These include specific topics that reflect the field instructor's perception of the student's skill development related to the term of field and are gauged to mirror the student's development utilizing a a beginning, middle, and end reflection. This document must be signed and dated by the field instructor.
The student reflects on their field experience and address differing levels of their work depending on the term of field placement they are in. Students are required to document their goal achievement and provide personal reflections on their fieldwork experience each term utilizing the specific topics that reflect their perception of their individual skill development related to the specific term of field enrolled in. Again, these are written so as to mirror the field instructor's perceptions of the student's development utilizing a a beginning, middle, and end reflection. This personalized assessment utilizes a graduated series of questions designed to help the student identify their personal and professional growth throughout their experience in the social work program.
The narratives are attached to the Educational Agreement form upon completion of the evaluation and turned into the assigned Field Liaison to determine the student's grade.
The guidelines for the narratives can be found here:
http://ssw.umich.edu/programs/msw/ofi/agreementsForms.html
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11.08 SSW Grading Policies in Field Instruction
As with any course, the grade a student receives is influenced by the quality and the timeliness of turning in assignments. In the case of fieldwork, the Placement Verification Form, the Educational Agreement form (includes initial review and final evaluation) and the field instructor and student Narratives are considered required assignments. Students are responsible for knowing the due dates by which assignments are to be submitted for the term. Students cannot qualify for a passing grade if the assignments are not turned in.
The grading system is "S" (Satisfactory), "M" (Marginal), and "U" (Unsatisfactory) for field instruction courses SW515 Foundation Field Instruction, SW531 Foundation Field Instruction Seminar, and SW 691 Advanced Field Instruction. The student's Field Field Liaison is responsible for grading. Grades are based upon the student's performance in fieldwork utilizing a variety of feedback mechanisms. The Field Liaison determines the grade through examination of the following information sources and documents:
o Reference to the student's Educational Agreement and appropriate course statements.
o The field instructor's scoring on the Educational Agreement form, and written evaluation of the student's performance.
o Verbal assessments of specific aspects of the student's performance provided by the field instructor during the site visit and other times as well as input from other fieldwork personnel involved in field instruction.
o Records, reports, logs, and other written materials produced by the student or required by the fieldwork site.
Students are expected to adhere to the NASW Code of Ethics, to follow fieldwork site policies and procedures, log the required number of hours, and to otherwise conduct themselves in a respectable, professional manner. Grades are also determined by evaluating the student's Professional Behavior in the fieldwork setting. Students are required to maintain appropriate professional behaviors such as attendance, time management, meeting deadlines, professional appearance, and professional demeanor all times. Students are required to maintain open relationships with their field instructor(s), their Field Liaison, colleagues, client groups, the community and the School of Social Work and learn to give and receive constructive feedback. Students must exhibit professional demeanor and exhibit personal responsibility, accountability and the ability to collaborate, and follow through on commitments. Students must demonstrate active listening, professional communication (verbal and in writing) in a timely, responsible, and sensitive manner and exhibit self-awareness and self-correction. Failure to meet these expectations will be reflected in fieldwork grades, termination of placement and/or may result in other action taken by the School.
See the Office of Field Instruction Field Manual Volume 3, Chapter 7, Section 9 or specific grading policies and timelines for submission of required evaluation materials for students placed in K-12 schools.
For students requiring 15 total field instruction credits, no more than 3 credits of a Marginal ("M") grade in Foundation Field Instruction (SW515 and SW531) will count toward the MSW degree. Students who receive a "M" grade in SW515 will be placed on academic probation. If the student receives an "M" in Foundation Field Instruction, the student may enroll in Advanced Field Instruction in the following term. The student does not have to repeat the hours or the credits. The student must work closely with their Faculty Advisor and Field Liaison to develop a plan for removal of probationary status.
All students must receive Satisfactory ("S") grades for the 12 required Advanced (SW691) field instruction credits. Students who do not meet this requirement (students who receives a marginal ("M") grade in Advanced Field Instruction) must complete additional fieldwork. The number of credits/hours that will need to be repeated depend on the circumstances involved. Students with a 3 credit exemption from Foundation field instruction (SW515 and SW531) will have the exemption revoked if a grade below "S" is
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received after the completion of the first term of advanced field instruction.
Students receiving an "M" Grade and who complete additional hours of fieldwork in a subsequent term and receive a grade of "S" for this work in this term will be eligible to have the previous "M" grade changed to a grade of "MS". Note: A grade of "MS" stays on the academic record permanently.
No student may receive credit for an Unsatisfactory ("U") grade in field instruction. This will require that the student repeat the course.
Students should also be aware that once the term is completed and the grade has been issued, adjustments to registration for SW515 or SW691 cannot be made.
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11.09 Field Instruction Grading Definitions
The following definitions have been established for grading in field instruction courses.
Grades are determined based on the number of points a student earns on the Educational Agreement form in addition to the field instructor narrative, and verbal and written input from all parties involved in field instruction. (See Section 11.08 for full details.)
The scoring scale on the form is based on an average number of points (determined by adding the scores for the assignments and dividing the total by the number of assignments):
42 or higher = Satisfactory
41-28 = Marginal
27 or below = Unsatisfactory
NOTE: If the scoring on the Educational Agreement form shows 3 or more "NA" scores (no opportunity), then the student will automatically receive a grade of Incomplete ("I) for the term. The field instructor will be required to explain why these scores were given in their narrative. This grade of Incomplete will be changed after the student has completed the assigned work or developed and created a new assignment and completed these.
The grade change will indicate the student has earned a grade of Satisfactory ("S"), Marginal ("M"), or Unsatisfactory ("U"). The grade of "IS" or "MS" stays permanently on the student's transcript.
"S" Grade (Satisfactory) is used when the quality of performance is acceptable and credit is granted for the course. The student has demonstrated through performance in fieldwork by obtaining an average score of 42 or higher for all field-based assignments documented on the Educational Agreement form.
"M" Grade (Marginal) is used when the quality of performance is less than satisfactory, but short of failing. The student has demonstrated through performance in fieldwork by obtaining an average score between 41-28 for all field-based assignments documented on the Educational Agreement form. Students receiving an "M" Grade and who complete additional hours of fieldwork in a subsequent term and receive a grade of "S" for this work in this term will be eligible to have the previous "M" grade changed to a grade of "MS". Note: A grade of "MS" stays on the academic record permanently.
"U" Grade (Unsatisfactory) is used when the quality of performance is inadequate and no credit is granted. The student has demonstrated through performance in fieldwork by obtaining an average score below 27 for all field-based assignments documented on the Educational Agreement form.
"I" Grade (Incomplete) is used when illness or other compelling reasons prevent completion of work, and there is a definite plan and date for completion of course or fieldwork approved by the field instructor/Field Liaison. An "I" may also be issued when a student fails to submit required field paperwork by the published deadline. Any "I" grade remaining on a student's record more than two terms after the conclusion of the term in which the grade was awarded reverts to a permanent Incomplete, and credit can be earned only by retaking the course. This limit includes the Spring/Summer term and applies regardless of the student's subsequent enrollment. However, if at the time the instructor agreed to the "I", an earlier date of submission and/or completion of final work was agreed upon then this date takes precedent over the twoterm policy.
A change in grade will not be accepted after two terms for any reason other than clerical error. Any exceptions to this policy must be approved by the Associate Dean for Educational Programs. Note: A grade of "I" stays on the academic record permanently. If a student makes up the course or fieldwork according to the guidelines stated above, the grade for the course will appear on the academic record as,
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for example, "IB+" or "IS". If the "I" is not made up in the approved time frame the grade is changed to an IPL (Incomplete Permanent Lapse) and is final.
"NR" Grade (No Report) is used when the reason a grade cannot be issued is due to factors related to the Field Liaison or field instructor and not due to any problem on the part of the student. "NR" grades are rare and are temporary.
"Y" Grade is used when the work exceeds the term's time limit rather than when the student is unable to complete work designed to be finished within the term. "Y" grades are typically issued when lack of completion is due to structural factors, such as placement into an fieldwork site that would not allow for completion within the normal semester time frame. A "Y" can be issued whether lack of completion is due to late placement or placement in an fieldwork site that is designed to require work beyond the end of the semester. "Y" grades are not used when work is not completed due to illness, lack of submission of paperwork by deadlines, or other factors related to the student. See "I" grading above.
"W" Grade (Withdrawal) is shown on student transcripts for all courses dropped after the drop/add deadline. Students withdrawing from courses for personal or health-related reasons may petition the Associate Dean for Educational Programs to have those courses with a 'W' designation removed permanently from the transcript.
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12 FIELD CHALLENGES, PLACEMENT TERMINATION & RE-PLACEMENT POLICIES
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12.01 Problem Solving in the Field Placement and Professional Decision-Making Tool
Field instruction is a program in which over 700 social work students participate each year with at least as many field placement sites and field instructors involved. When this many people get together with this many fieldwork sites, it is not surprising that a few problems arise from time to time. Most problems, whether personal, academic, or administrative, if identified and acted upon early, can and are resolved by the parties involved in a professional manner. As soon as a problem arises, field instructors and students should discuss these and together attempt to resolve them. Should problems arise, remember that the longer it goes on, the longer it will take to solve. Performance expectations vary with Foundation and Advanced field instruction and increase with each term of placement. Beginning competency is expected in Foundation field instruction, while greater mastery is expected in Advanced field instruction. With each successive term, students should be able to work more independently, and with increasingly difficult or complex fieldwork assignments. Bloom's taxonomy of learning is utilized and thus a developmental learning approach in field instruction is applied.
If students have questions/concerns, they should first talk to their field instructor and vice versa. It is natural for students to have questions, concerns and anxieties. The student must take the initiative and responsibility for their own learning and utilize the problem-solving model to work on resolving problems in the field placement with their assigned field instructor. Field instructors should contact the Field Liaison right away if they have any questions about the student's participation or other problems related to the field placement.
The following key strategies are recommended:
o Plan ahead, make the Educational Agreement form reflect interests and needs of the student, and review it carefully.
o Utilize an Agenda during supervision.
o Frequent and regular performance feedback should be given to the student. Include a mid-term verbal evaluation.
o If students have special constraints, i.e. a documented disability, pregnancy, illness in the family, transportation problems, childcare responsibilities, religious limits, etc. which may create future problems, these issues should be discussed with the field instructor and Field Educator/Field Liaison early in the term.
o Students should be sure they clearly understand directions, instructions, and requirements including field placement policies, guidelines, expectations, etc., and ask for assistance when needed.
Professional Decision-Making Tool: Reviewing Choices, Weighing Options, and Evaluating Consequences It is natural to experience conflict within ourselves related to the choices we need to make and options we need to explore in our professional and personal lives. Balancing these choices and options so that we take full responsibility for our decisions requires having a vision, setting goals and taking some risk. We are in control of the way we think, the way we behave and the choices we make. Even a "non-decision" is a decision as it is choosing not to take action. The following steps should be helpful as you attempt to reconcile your options with their inherent consequences and with your values.
I. WHAT? What is driving you/this situation/issue now?
II. WHAT 4 things are the most important to you now as you reflect on this?
III. WHAT factors, beliefs, assumptions impact the decision you need to make?
IV. SO WHAT? Now think about and reflect on the questions below and jot a few notes:
A. What am I currently doing that supports/hinders achieving my goal(s)?
B. Who else do I need to talk to in order to solicit support?
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C. What options do I have and what are the consequences AND what are the benefits of acting upon each option? Remember, sometimes your option is not about what to "do" but rather how to "react".
D. NOW WHAT? Change involves taking risks. Jot down the risks associated with each option you have identified.
E. NOW WHAT? After carefully weighing each option and the consequences, write down your decision and the next steps.
References:
Burton, Valerie.2007. How did I get so busy? New York. Broadway Books Wetmore, Donald. February 20, 2010. Top five time management practices. The Productivity Institute 1999.
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12.02 Performance Learning Plan
The following steps should be followed with the goal of resolving problems in field placement. If the issues are not resolved, the Field Liaison should be contacted and a Performance Learning Plan initiated.
Steps in the Process
o The student should first talk to the field instructor(s) about concerns and problems concerning the field placement. A student may choose to obtain advice from the Field Liaison before talking to the field instructor(s).
o Once the student has talked to the field instructor and problems still remain unresolved, the student may request a meeting with the Field Liaison and together they will develop a plan of action. The Field Liaison may consult with the Director of Field Instruction as needed.
o If a satisfactory solution is still not found, the Field Liaison and the student may begin the process of terminating the field placement or initiating a Performance Learning Plan (http://www.ssw.umich.edu/programs/msw/ofi/PerformanceLearningPlan.pdf) with the goal of improving student performance in the field placement. This plan becomes a contract between the student, the fieldwork site, and the Office of Field Instruction in the School of Social Work. A performance review meeting will be held with the student, the field instructor, and the assigned Field Liaison participating in order to develop the plan. The goal of the meeting is to identify the specific concerns/issues in behaviorally specific terms and to outline the tasks/actions that need to be accomplished in order for the student to be considered successful in placement.
Failure to accomplish the identified action steps could result in termination of the field placement which could mean receiving a grade of Marginal or Unsatisfactory for the field instruction course. Should the placement be terminated, consultation due to failure to meet the Performance Learning Plan, will be held with the Associate Dean for Educational Programs and could include referral to the Academic Concerns Committee for dispensation.
o If a student is experiencing problems related to the assigned Field Educator/Liaison, they should first discuss the issues with that person where and when possible. If this does not resolve the problem, the Director of Field Instruction should be consulted and attempts will be made to mediate the problem. If this does not resolve the problem, the student can consult with the Associate Dean for Educational Programs.
o If there is a dispute over a grade in field instruction, the normal University procedures will be followed.
For additional information, please see the SSW Student Guide, Volume 1, Chapter 14: Definitions and Chapter 15: Academic Standing and Academic Difficulty.
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12.03
Field Placement Termination, Replacement Protocol, and Grading
Field Placement Termination
Some students, for various reasons, seek approval to leave their original fieldwork site, which could include withdrawing from the MSW program. Students are not allowed to unilaterally terminate a field placement as terminating from a field placement must be for compelling circumstances only. The student in concert with the Field Liaison and field instructor must work together to professionally terminate the field placement.
Re-Placement Protocol: Students are required to read and follow this protocol that can be found here: http://ssw.umich.edu/programs/msw/ofi/Student-Replacement-Policy-and-Protocol.pdf
Students are encouraged to utilize the "Professional Decision Making Tool" (http://ssw.umich. edu/programs/msw/ofi/Professional-Decision-Making-Tool-Reviewing-Choices-Weighing-Optionsand-Eval-Consequences.pdf) to help them decide if terminating from their field placement is the best option for them given their individual circumstances. If a student decides to terminate from their field placement they are required to complete and turn in the following paperwork within 10 working days. Should students fail to turn in the paperwork by the established deadline, re-placement planning will be delayed and could mean the student may need to wait until the next term to start the new placement.
A. Petition to Terminate:
http://www.ssw.umich.edu/programs/msw/ofi/PetitionToTerminatePlacement.pdf
This form allows all parties involved to comment on the termination noting the following:
1. Educational rationale for the proposed change
2. The steps taken to modify the student's assignments in the original field placement
3. A termination plan
4. Recommendations for a grade
5. Documentation of the number of hours completed
6. The number of hours that need to be made up in the subsequent placement
7. The form must contain all the required signatures, which means that the student will be required to have a discussion with the field instructor much as would happen if a job were being terminated
8. Updated Goal Statement (see Guidelines here: http://ssw.umich.edu/programs/msw/ofi/resume. html)
9. Updated Résumé (see Guidelines here: http://ssw.umich.edu/programs/msw/ofi/resume.html) Once the paperwork has been logged into the database, the OFI Field Educator will contact the student informing them that they will be consulting with the OFI Team about potential placement slots ensuring that the fieldwork site can start a student in the middle of the term, accommodate the number of hours needed etc.
If a slot is identified, the Field Educator will provide the student with the re-placement option and facilitate an interview with the fieldwork site. If the student is accepted, the placement start date, the assignment of the Field Liaison, and the due date for the new Placement Verification Form and the initial review of the new Educational Agreement will be established.
Should the student not be accepted, they would be moved on to a second placement slot ONLY IF ONE IS AVAILABLE. Should there only be one re-placement slot available and the student was not accepted, then the student's program plan will need to be adjusted with the goal being to replace them at the beginning of the following term when more placement slots will become available due to graduation etc.
Students need to be aware that when field placements are terminated, often times there is often a delay in interviewing and starting at a new fieldwork site. All hours missed must be made up or a grade of "I" will be
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issued until the hours are logged. Finally, information regarding the terminated field placement will be shared with the potential new field instructor and fieldwork site to assist in the development of the student's new Educational Agreement form.
Grading When Placements Are Terminated
If a student is terminating a field placement and leaves the first placement prior to mid-term, the field instructor must provide a brief written performance evaluation on the "Petition to Terminate Placement" Form. If a student leaves the placement after mid-term, the field instructor evaluates fieldwork performance using the student's Educational Agreement form for that term. The final grade for the term will take into account the evaluations from both the first and second field placements.
If performance was Satisfactory ("S") in the first placement, clock hours completed at the first placement do not need to be repeated in the next placement. Students must repeat the clock hours completed at the first placement if field performance was Unsatisfactory ("U") in Foundation field, or Marginal ("M") or Unsatisfactory ("U") in Advanced field. See the Office of Field Instruction Field Manual Volume 3, Chapter 11 Section 8-9 School of Social Work Grading Policies In Field Instruction and Field Instruction Grading Definitions for detailed information.
If a student changes placements within the same term and the Field Liaison also changes, the second Field Liaison grades the student's fieldwork performance for that term. The Field Liaison utilizes the information provided on the Petition To Terminate Placement Form and the information provided on the student's second field placement's Educational Agreement form when determining the grade.
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12.04 Removal from Field Placement
Field instruction consists of several required courses and the Field Liaison has ultimate responsibility for decisions related to the student's placement. At any point in the field placement, the field instructor or Field Liaison can request immediate removal of the student from the fieldwork site. Removal could be related to the the student's behavior or performance. The field instructor or the Field Liaison can request immediate removal of the student should they deem that continuing the student seriously places at risk the quality of services delivered to clients and/or the reputation of the fieldwork site.
The Field Liaison and/or Director of Field Instruction should be contacted immediately whenever there is cause for concern. Students are expected to adhere to the National Association of Social Workers (NASW) Code of Ethics at all times-
(http://www.socialworkers.org/pubs/code/code.asp). The Code of Ethics can be utilized for making decisions about whether students have exhibited unethical/unacceptable behavior. Ethical behaviors as designated by the Code of Ethics are part of the requirements and standards for the social work field instruction program. Students are also expected to follow fieldwork site policies and procedures, and to otherwise conduct themselves in a professional manner at all times. Failure to meet these expectations will be reflected in fieldwork grades and/or may result in removal or other action being taken by the School. For additional information please refer to the SSW Student Guide, Volume 1, Chapter 12: Student Code of Academic and Professional Conduct.
Examples of unprofessional performance can include, but are not limited to, lack of commitment to the values and ethics of the social work profession, exhibiting professional inappropriateness, inability to establish and maintain positive and constructive interpersonal relationships with clients and field instructors, inability to perform professional duties due to personal problems, refusal to accept and follow through on field placement assignments, inability to accept constructive feedback from the field instructor and/or Field Liaison, attendance problems or failure to communicate with field instructor about schedule difficulties, consistent lateness, inability to meet deadlines or complete work, inability to apply professional skills and knowledge gained through classroom learning to the field experience, or violating the NASW Code of Ethics. Failure to meet a Field Placement Performance Learning Plan can also be grounds for removing a student from placement. Additional areas may also be identified by either the field instructor, the fieldwork site, or the Field Liaison.
If a student is terminated from a fieldwork setting, a grade of Marginal ("M") or Unsatisfactory ("U") will be awarded. All students are required to earn Satisfactory ("S") grades for at least 12 required Advanced field instruction (SW691) credits. Students who do not meet this requirement will be required to enroll in additional field instruction credits (SW691) which may mean that the student may need to enroll in an additional term(s).
If there is a concern that the student has committed serious misconduct, the situation will be referred to the Director of Field Instruction and/or the Associate Dean for Educational Programs prior to replacement which could result in a referral to the Academic Concerns Committee for dispensation. If a student is subsequently terminated from a second fieldwork site, the student will not be reassigned to a third fieldwork site until a review of the situation has been conducted by the Academic Concerns Committee. If the Committee approves that the student continue in field instruction, the student will be assigned to a third fieldwork site. The student must successfully complete all fieldwork requirements in the third setting or be disenrolled from the School.
For additional information, please see the SSW Student Guide, Volume 1, Chapter 14: Definitions, and Chapter 15: Academic Standing and Academic Difficulty.
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12.05 Return to Field Placement Policy and Procedures
The relationship between the student and the fieldwork site is a critical component of the learning experience. Students who experience an unnatural break in their field placement may not be able to return to their initial fieldwork site and may need to be reviewed and reassigned where possible. In order to respond to the student's needs and ensure a smooth transition upon return, the student will be required to prepare an action plan.
If a student experiences an unnatural break in field placement for any reason, they are required to complete a "Return to Field Placement Action Plan". Should the field instructor, student and Field Liaison agree that the "break" was acceptable/approved, then an Action Plan does not need to be completed. The goal of the action plan is to ensure that the student is ready and able to fulfill the responsibilities and expectations associated with field instruction. This plan must be submitted at least three weeks prior to the posted start date of field instruction for the term.
The student's Action Plan will be reviewed and approved by the assigned Field Liaison and must also have the approval of the Director of Field Instruction. This review will evaluate the student's proposed Action Plan, and if requested, any restrictions and/or accommodations that will involve the fieldwork site. If the fieldwork site is unable to provide the requested accommodation, and an equally effective accommodation is not available, the student will need to work with the Office of Field Instruction to obtain another field placement. Students are strongly encouraged to consult with the U-M Office of Services for Students with Disabilities if accommodations or restrictions are anticipated to be part of the student's Action Plan.
If a student has been under the care and/or supervision of a physician or other health care professional during the period of time he/she was unable to participate in field placement, a memo will be sent to the identified health care provider after the student has signed a release of information, requesting that the provider submit a healthcare release which indicates the student is ready and able to return to the field placement with or without accommodations.
If the release from the health care provider includes any restrictions or need for accommodations, then the statement must include the duration of the restrictions or need for accommodations, and the necessity for any follow up care that may impact the field placement. All documentation will be submitted to the Office of Field Instruction (OFI). If accommodations are indicated, then the information will be sent to the U-M Office of Services for Students with Disabilities for review. This office will advice OFI with regard to the implementation of the requested accommodations.
Please refer to http://ssw.umich.edu/programs/msw/ofi/returnFieldPlacement.pdf for the Return to Field Placement Action Plan that students must complete or see Volume 3, Chapter 12, Section 6.
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12.06 Return to Field Placement Action Plan
Return to Field Placement Action Plan
Student Name: ______________________________ Student Unique Name: _______________
Where previously placed: ______________________ Date left placement: _________________
Term/Date of Anticipated Return: ______________
Curriculum Schedule (circle one): SWAS SW16 SW20
I. Provide a brief explanation below addressing why your field schedule was interrupted:
II. If you have been under the care and/or supervision of a physician or other health care professional during the interruption of your field placement, you must contact the Director of Field Instruction to sign a Release of Information and receive a "Release Form to Return to University of Michigan Social Work Field Placement". You will be asked to take this to your current health care provider to complete prior to returning to field placement.
III. If you have any personal circumstances that may impact your field placement, you must attach an explanation that indicates how these circumstances may impact your field placement responsibilities and what your plan is to mitigate the impact on your field placement.
IV. This Action Plan, the memo from your health care provider, and any additional documentation must be returned to the Office of Field Instruction 3 weeks prior to the anticipated return to field placement.
________________________________________
Student Signature Date
________________________________________
Field Educator/Field Liaison
Date
________________________________________
Director, Office of Field Instruction Date
□ Approved
□ Disapproved
Remarks:
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13 FIELD INSTRUCTION COURSE STATEMENTS
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13.01 SW515: Foundation Field Instruction Curriculum: 2 Credits
Prerequisites
Only those students admitted to the School of Social of Social Work in good standing to the 16-month, 20month or extended degree curriculum tracks are eligible to be enroll in Foundation field instruction. Students can enroll in Foundation field instruction upon successful completion of all field placement application materials, successfully interviewing with a fieldwork site, and ultimately being accepted for placement. Students can enroll in Advanced field instruction where they will focus on their practice method concentration and practice area upon earning a grade of Satisfactory ("S") or a grade of Marginal ("M") in Foundation field instruction.
Course Description
Foundation field instruction is intended to help students apply and integrate Foundation knowledge of social work skills, values, and ethics with practice. The course consists of a field placement which is taken concurrently with the required Foundation Field Seminar. The fieldwork experience will provide the student with a series of supervised field-based assignments and tasks selected to complement Foundation academic courses and provide a basis for generalist practice. Students will be exposed to a variety of social work roles such as case manager, counselor, advocate, organizer, administrator, facilitator, mediator, educator, and planner. In this context, students will be expected to develop knowledge, understanding, and skills concerning relationships with clients, supervisors, coworkers and external constituencies. In addition, students will be expected to develop a Foundation understanding of the context of social work practice as it relates to multiculturalism and diversity; social justice and social change; prevention, promotion, treatment and rehabilitation and behavioral and practice/research-based practice.
In Foundation field instruction, students will engage in tasks and assignments that encourage the beginning development of social work skill sets while developing a professional identity as a social worker. Students in this course will focus on learning Foundation level skills through experiential learning opportunities, and professional, credentialed supervision, supplemental readings, case-based discussions/conferences, meetings, and other learning opportunities available in the assigned fieldwork setting. These field-based assignments are designed to help students become proficient in the established social work competencies by developing professional practice behaviors (a blend of activities, knowledge and skills), at the Foundation level of practice. These assignments will be evaluated and scored at the end of each term using the established scale. A developmentally focused narrative is also required by the field instructor and the student at the end of the term using the established guidelines.
The social work competencies for Foundation field instruction are indicated below and are found on the Foundation Educational Agreement form. The goal is for students to achieve proficiency in each competency indicated below and to find ways to integrate classroom knowledge with practice experiences.
1. Professional Identity
2. Values and Ethics
3. Critical Thinking
4. Diversity
5. Social and Economic Justice
6. Research
7. Human Behavior and the Social Environment
8. Social Policy
9. Organizational Context
10a. Engagement
10b. Assessment
10c. Intervention
10d. Evaluation
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Course Content
This course will provide Foundation field-based experiences in generalist practice. Students will be exposed to a range of essential skills that can be applied to different problems across a variety of settings and client groups and can be used at different levels of intervention, including individuals, families, groups, and communities. The array of skills will include those related to: a) communication, such as influence and group facilitation as well as written and oral presentation skills; b) intervention, such as advocacy, brokerage, and resource identification and development; c) prevention and promotion, such as needs assessment, social support and education; d) analytical skills, such as the ability to assess, implement and evaluate agency policies and procedures; e) conscious use of self in defining and developing interventions, such as sensitivity to gender, race, ethnicity, age, class and sexual orientation; f) multiculturalism, such as the formulation of intervention strategies in diverse contexts of practice; g) effective use of supervision and professional collegial discourse; and h) values and ethics of social work, such as clarifying value conflicts and decision-making regarding ethical dilemmas.
Specific field-based assignments will increase students' knowledge about the ways in which mechanisms of oppression and privilege affect various groups in culturally diverse communities. Students will build upon their understanding of any key similarities and differences between themselves and client population they serve and take these similarities and differences into account when engaging clients, assessing problems, setting goals, and applying change interventions. Differences to be taken into account will consist of the diversity dimensions; ability, age, culture, economic class, ethnicity, family structure, gender, gender identity and expression, race, religion, sex, and sexual orientation, as appropriate. By applying knowledge about privilege, oppression, and strengths based perspectives, students will have an opportunity to engage in and demonstrate competence in responding to client needs and client strengths.
The field curriculum utilizes Bloom's taxonomy of cognitive development as a reference tool in the development of competent social work professionals. Students will become familiar with these stages of development as they relate to the identification and creation of field-based assignments that allow them to participate in a beginning, middle and end stage approach to their learning.
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13.02 SW531: Foundation Field Instruction Field Seminar: 1 Credit
Prerequisites
Only those students admitted to the School of Social of Social Work in good standing to the 16-month, 20month or extended degree curriculum schedules are eligible to be enroll in Foundation Field Seminar (SW531). Students must successfully interview and be accepted for a field placement. Only those students who meet the eligibility requirement for SW515 may enroll in SW531.
Seminar Description and Design
Foundation Field Seminar (SW 531) is a 1-credit required course that is offered concurrently with Foundation Field (SW515) in the first term of a student's field placement. Office of Field Instruction field faculty and a student peer will facilitate the seminar which will meet for a total of 7 required sessions. Each enrolled section will be split into two groups of approximately 15 students: the Maize group and the Blue group. These groups will meet on alternate weeks with the two seminar facilitators. One facilitator will be a Field Faculty to provide knowledge and experience from a practitioner and OFI perspective. The other facilitator is a student peer who is an advanced field MSW candidate. This pair has received facilitation training and meets with the class and with each other to discuss and plan for individual seminar sessions. The entire team of student peers and OFI team members also meets as a large group with the student peer facilitators four times per term.
A combination of focused activities, generative interviews, and open-ended discussions about field placements will be held during these times focusing on a theme related to the required social work competencies and practice behaviors (from the Council on Social Work Education Standards-CSWE) found in the Foundation Educational Agreement form. Class discussion requires all participants to review and openly discuss examples from their field placement experiences and to participate in providing and receiving constructive feedback from their student colleagues with the goal of developing peer consultation skills. Attendance is required and will be taken at each session.
The purpose of the seminar is to:
* Provide a forum for the integration of classroom learning and the field experience through the introduction of the SW competencies and practice behaviors
* Introduce Bloom's Taxonomy and the beginning, middle and end stages of learning
* Facilitate discussion of field related issues including supervision, self-care, and ethical dilemmas
* Provide opportunities for trouble shooting of pragmatic and procedural aspects of field instruction (e.g. field related paperwork including the Placement Verification form, Educational Agreement form, and Student Narrative)
* Create a safe space for the discussion, development and practice of:
* Peer consultation
* Problem solving skills and professional decision making skills
* Expose students to other fieldwork sites, services, and School of Social Work practice methods and areas
* To learn to use the Self-Reflection Tool (WHAT?; SO WHAT?; NOW WHAT?
)
After completion of the course, students will:
1. Apply the National Association of Social Workers (NASW) Code of Ethics to their professional practice.
2. Begin to apply and integrate course material with their fieldwork practice.
3. Establish a peer support network.
4. Utilize collegial and professional peer consultation as a mechanism for problem solving and apply to field practice.
5. Understand and apply critical and creative thinking.
6. Identify appropriate self-care strategies for emerging social work professionals.
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7. Demonstrate the ability to negotiate supervision in a proactive manner.
8. Recognize and assess the impact of the diversity dimensions (i.e. client's ability, age, culture, economic class, ethnicity, family structure, gender, gender identity and expression, race religions, sex, and sexual orientation) as they relate to privilege, oppression, diversity, and social justice (PODS) in the fieldwork setting.
9. Begin to develop resource and referral networks.
10. Understand the fieldwork setting's mission, population served, policies, procedures, relationship to the community.
11. Share and discuss individual professional skill focused assignments related to Council on Social Work Education (CSWE) identified social work competencies and practice behaviors that they have developed in their Foundation Educational Agreement.
FOUR CURRICULAR THEMES
* Multiculturalism and Diversity issues will be a part of the field instruction experience and the field seminar will offer a context for the discussion of these issues. Attention will be given to service access and "at risk" populations. The PODS (Privilege, Oppression, Diversity and Social Justice) lens will be applied to practice situations and students will have an opportunity to discuss relevant field issues related to the diversity dimensions (ability, age, culture, economic class, ethnicity, family structure, gender, gender identity and expression, race, religion, sex, and sexual orientation)
* Social Justice and Social Change issues will be addressed by helping students to critically assess fieldwork setting policy manuals, procedures, and the impact of social forces on the fieldwork setting and its clients. Relevant legislation and policies that seek to promote an egalitarian view will be reviewed and discussed. The role of the social worker as a "change agent" will also be reviewed and discussed. The field seminar will offer a forum for the discussion of these issues
* Promotion, Prevention, Treatment, and Rehabilitation approaches will be addressed within the context of the field assignments and through supervision between the student and the field instructor. The
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13.03 SW691: Advanced Field Instruction Curriculum: 1-12 Credits
Prerequisites: Successful completion of SW515 and SW531.
Course Description
Advanced field instruction (SW691) builds on the prerequisite SW515 Foundation field instruction course. Students can enroll in advanced field instruction with a grade of Satisfactory ("S") or a grade of Marginal ("M") in SW515. Students are required to complete a practice method concentration (Community Organization, Interpersonal Practice, Management of Human Services or Social Policy and Evaluation) and choose a practice area in which to apply this method (Aging in Families & Society, Children & Youth and Their Families in Society, Communities & Social Systems, Health, and Mental Health).
In Advanced field instruction, students will engage in tasks and assignments that reflect a higher level mastery of knowledge and increased independence in functioning which is designed to facilitate growth as a practitioner while developing a professional identity as a social worker. Students in this course will focus on learning skills through experiential learning opportunities and professional, credentialed supervision, supplemental readings, case-based discussions/conferences, meetings, and other learning opportunities available in the assigned fieldwork setting. These field-based assignments are designed to help students become proficient in the established social work competencies by developing professional practice behaviors (a blend of activities, knowledge and skill), developed for each major practice method concentration.
The goal is for students to acquire and develop skills and practice behaviors that exhibit the attainment/proficiency for each social work competency. These will be evaluated through the development of specific field-based assignments and scored at the end of each term using the assigned Educational Agreement form specific to the student's practice method concentration and practice area. A written narrative will also be required. Students in Advanced field instruction have opportunities to apply their skills in a greater variety of circumstances with greater depth and breadth over a sustained period of time. The field competencies for Advanced field instruction are indicated below and are found on the Educational Agreement form. The goal is for students to achieve proficiency in each competency and to find ways to integrate classroom knowledge with practice experiences.
1. Professional Identity
2. Values and Ethics
3. Critical Thinking
4. Diversity
5. Social and Economic Justice
6. Research
7. Human Behavior and the Social Environment
8. Social Policy
9. Organizational Context
10a. Engagement
10b. Assessment
10c. Intervention
10d. Evaluation
Students are to identify a specific fieldwork site assignment that focuses on their practice method concentration and practice area. The field curriculum utilizes Bloom's taxonomy of cognitive development as a reference tool in the development of competent social work professionals. Students will become familiar with these stages of development as they relate to the identification and creation of field-based assignments that allow them to participate in a beginning, middle and end stage approach to their learning.
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SCHOOL OF SOCIAL WORK STUDENT GUIDE
Course Content
This course will build on the generalist practice skills learned in the Foundation level field instruction course. Field instruction is intended to develop mastery of practice skills through advanced responsibilities and supervised experiential learning in a fieldwork site that provides field-based learning opportunities focused on the student's practice method concentration and practice area. Each practice method concentration has developed course content specific to the method (see individual course statements on the OFI web page: http://ssw.umich.edu/programs/msw/ofi/forms-students.html)
Course Design
The course will use structured, experiential learning which is outlined in the student's individualized Educational Agreement form and assigned based on the student's chosen practice method concentration and practice area. Field placement learning experiences are developed in concert with the field instructor and are linked to the competencies outlined on the student's assigned Educational Agreement form. Students strive to develop field-based assignments which will exhibit that they have met the social work competencies. The field placement hours are logged at a fieldwork site and all student related activities are supervised by an approved, credentialed field instructor. The field placement is facilitated and monitored by the Office of Field Instruction Field Liaison who assigns the final grade. If a student elects a specialization or minor, these will be established during the placement phase. Each credit hour of field placement at the advanced level comprises 57 clock hours of work. Advanced students are required to log a total of 684 hours. Students electing a minor will complete a total of 171 clock hours out of the 684 total in their minor practice method concentration and complete the required documentation for the minor field-based assignments related to the assigned competencies.
Relationship of the Course to Four Curricular Themes
o Multiculturalism and Diversity: Students will be able to assess similarities and differences between themselves and the people represented in their fieldwork site where they will work focusing on their assigned practice method and practice area. Differences to be taken into account will include gender, race, ethnicity, social class, age and other forms of social stratification and disenfranchisement
13.04 Academic Methods Courses: Integration With Field Instruction
For every major and minor method and practice area, there are academic methods courses which students take that should be complemented by student assignments in field instruction. While an exact fit between course content and fieldwork assignment may at times be difficult to arrange, major discrepancies should be avoided. This situation can be controlled through careful attention to the composition of the Educational Agreement form each term. Advanced Standing students must be concurrently enrolled in Advanced field instruction and advanced methods and practice area courses. Therefore, it is especially important that they plan their program carefully when meeting with their Faculty Advisor at the beginning of the Fall term.
By the time most students enter their first full term of field instruction; they are taking or have completed two methods courses. Therefore, all students should be able to move into fieldwork site assignments within one month of field placement. Even more rapid movement into significant assignments in the field placement is essential if the student is in the 16-month curriculum track, as these students will have completed two methods courses and be taking at least one more methods course when they begin their fieldwork.
For additional information, please refer to the SSW Student Guide, Volume 2, Chapter 2: The Master's of Social Work Degree Requirements.
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Conseil Portuaire – Ports de La Teste-de-Buch
Mardi 9 décembre 2020
Ordre du jour
1. Etat des dossiers structurels;
2. Point sur le budget en cours;
3. Informations sur les tarifications 2020 et 2021;
4. Travaux, programmation;
5. Dragage.
1. **Le Syndicat Mixte des ports du Bassin d’Arcachon**
- 3 ans d’existence: nouvelle gouvernance suite aux élections municipales;
- J Touzeau réélu Président, J Chauvet et X Daney 1er et 2ème VP depuis juillet 2020;
- 151 délibérations (21 à venir), règlement de police, règlement de gestion, règlement sur bateaux patrimoniaux… Prochain conseil syndical le 17 décembre;
- 25 personnes pour gestion portuaire, investissements, maintenance portuaire terrestre et maritime, police portuaire et fonctionnement du SMPBA.
- Quelques chiffres: 14 ports, 4500 usagers, 1,76M€ de redevances, 5M€ de budget annuel...
- Un site internet smpba.fr (plus de 175 000 vues);
- Une lettre régulière d’information: « Et sur les ports » (7ème fin novembre);
- Réunions bi hebdomadaires avec le SIBA (tous dossiers dragages);
- Autres réunions régulières (sous-préfecture, DDTM, maires, professionnels…);
- AOT disponibles en ligne avec mise à jour tous les 1er du mois;
- CTAOT réunis parallèlement aux commissions de cultures marines avec compte rendu désormais mis en ligne (le dernier le 9 septembre, le prochain en décembre (?));
- Consultation sécurité avant les fêtes 2020/2021 (prestation assurée sur le port de Rocher);
- Listes d’attente La Teste: 16 attributions cette année (davantage l’an prochain avec aménagement pontons suite au dragage et réorganisation à venir Rocher), 348 personnes inscrites (le 1er date 2003);
- Commission ponton patrimoine fin décembre;
- Renouvellements 2021: Plan d’eau, corps morts jusqu’au 15 décembre;
- Pas de renouvellement à faire sur liste d’attente car facturation 2020 pour 3 ans;
Prochaines évolutions :
- Site de Robinville (Lanton) et du Lapin Blanc proximité prés salés ouest (La Teste): en attente de l’arrêté préfectoral (périmètres) transférant la gestion au SMPBA;
- Transfert de gestion de la ZMEL communale d’Ares (Tracasse);
- Attribution ZMEL Ares hors tracasse: en cours d'instruction. AOT janvier 2021;
- Souhait de transfert des ports de Biganos au SMPBA par la commune: travaux en cours pour mise en œuvre au 1er janvier 2021;
- Travail à venir sur le secteur du Canelot avec la commune;
- Aménagement des prés salés: AOT et PC pour pôle nautique, pas d’autre évolution à ce jour
Eléments de Gestion et Police portuaire sur les ports de La Teste :
Sur le port du Rocher :
- Amélioration notoire sur le respect des AOT et leur entretien. Une exploitation toutefois sous vigilance (matériel fréquemment en dehors de ses AOT et atteinte à la propreté du port due à des fuites d'huile et de carburant).
- Ex AOT Girard Frères, libérée et vidée par les services en vue d'une nouvelle attribution (1 candidature à ce jour).
Sur le port de La Teste centre :
- Encore quelques navires de particuliers en hivernage sur des AOT Pro ont dû faire l'objet de courriers (pratique interdite hors navire de plaisance du pro sur sa propre AOT);
- Interventions avec PM pour véhicules abandonnés sur la voie publique du port (compétence commune sur voirie, SMPBA sur AOT).
- Quelques navires en stationnement illicites au ponton de la digue Est dans le courant de l'année (régularisés en passage ou sortis après facturation).
- Dépôts de sacs ostréicoles à déplorer sur voiries neuves (au delà de l'interrogation sanitaire: dégradation évidente de la capacité drainante à terme); sensibilisation des professionnels.
## 2. Budget
### Point budgétaire - Dépenses 28 novembre 2020
| Comptes | Vote BP | Vote BS | Total | Payé 2020 | Reste à Engager | Niveau engagement consommé |
|------------------------------------------------------------------------|-------------|-------------|-------------|-------------|-----------------|---------------------------|
| Masse salariale agents SMPBA (chap 012) | 64 - 6336 - 6218 - 6215 | 1 130 000,00 € | 188 000,00 € | 1 318 000,00 € | 1 148 715,72 € | 169 284,28 € | 87% |
| Frais fonctionnement courant activité (véhicules, fluides, nrj...) | 60 - 61 - 62 - 65 - 67 (hors maintenance) | 475 035,00 € | 100 000,00 € | 575 035,00 € | 541 554,20 € | 33 480,80 € | 94% |
| Entretien maintenance ouvrage (comptes 6156 - 61521 - 61558...) | 61521 - 61528 - 61558 - 6156 - 618 - 61523 | 434 000,00 € | 200 000,00 € | 634 000,00 € | 634 000,00 € | - € | 100% |
| Impôts | 63 | 140 000,00 € | | 140 000,00 € | 123 095,00 € | 16 905,00 € | 88% |
| Emprunts (6611 : intérêts) | 66 | 195 535,00 € | | 195 535,00 € | 114 539,21 € | 80 995,79 € | 59% |
| **Total Fonctionnement** | | | 2 179 035,00 € | 488 000,00 € | 2 667 035,00 € | 2 447 364,92 € | 219 670,08 € |
| Comptes | Vote BP | Vote BS | Total | Payé 2020 | Reste à Engager | Niveau engagement consommé |
|------------------------------------------------------------------------|-------------|-------------|-------------|-------------|-----------------|---------------------------|
| Investissements de fonctionnement (informatiques, tel, outillages) | 2183 | 5 000,00 € | 4 500,00 € | 9 500,00 € | 7 668,00 € | 1 832,00 € | 81% |
| Investissement | 2313 - 2031 | 1 470 518,20 € | 374 374,25 € | 1 844 892,45 € | 1 761 213,69 € | 19 524,14 € | 95% |
| Emprunts (1641 : capital) | 1641 - 1687 | 438 000,00 € | - € | 438 000,00 € | 362 323,54 € | 75 676,46 € | 83% |
| RAR 2019 | | | 698 387,06 € | 698 387,06 € | 599 607,39 € | 98 779,67 € |
| **Total Investissement** | | | 1 913 518,20 € | 1 077 261,31 € | 2 990 779,51 € | 2 131 205,23 € | 195 812,27 € |
3. Tarification:
⇒ Redevances 2019 recouvrées à 98% (49280 €);
⇒ Tarifications 2020 quasiment terminées ; Résultat actuel 1 733 523 € ;
⇒ Réduction de 25% sur domanialité (Covid) pour les professionnels en terrestre;
⇒ Toutes dotations 2020 reçues (CD33 en fonctionnement et investissement);
⇒ Convention CD33 sur enveloppe exceptionnelle La Teste jusqu’en 2021(dragage);
⇒ Participation agence de l’eau pour Aire de carénage d’Andernos.
3. Tarification: bilan 2020
⇒ 424 contrats plan d'eau, 148 contrats « terrestre »;
⇒ 80% des recettes issues de la plaisance, en 2020 80% des investissements vers infra « pro ».
| Ports | Places port (quais linéaires publics SMPBA) | Corps-mort | Places devant AOT terrestres | Total places plan d'eau | Total global redevances plan d'eau et listes attente 2020 (1) + (2) + (3) | AOT terrestres | Total redevances plan d'eau et terrestre 2020 |
|-------|---------------------------------------------|------------|-----------------------------|-------------------------|--------------------------------------------------------------------------|---------------|---------------------------------------------|
| | Nbre contrats | Redevances 2020 | Nbre contrats | Redevances 2020 | Nbre contrats | Redevances 2020 | Total places plan d'eau | 291 933 € | 148 | 64 838 € | 356 771 € |
| LA TESTE DE BUCH | 294 | 219 131 € | - | - | 130 | 60 159 € | 424 | 291 933 € | 148 | 64 838 € | 356 771 € |
| TOTAL facturé au 19/10/2020 | 1 010 | 715 091 € | 649 | 222 090 € | 506 | 218 678 € | 2 165 | 1 286 991 € | 856 | 475 932 € | 1 762 923 € |
Physionomie tarification 2021
- Principe et arborescence maintenus (simple, réglementaire, équitable);
- Pas d’augmentation généralisée mais quelques propositions d’aménagements aux élus pour notamment prendre en compte les investissements réalisés et les coûts d’entretien maintenance des installations mises à disposition.
- Propositions plan d’eau:
- Pas de modification sur la domanialité plan d’eau;
- 3€ d’augmentation pour catégorie B (pontons aménagés avec eau ou électricité) et C (quais aménagés avec eau et électricité);
- Légère évolution mouillage 1ère ligne (matériel identique et écarts très important);
- Mouillage: création zone en attente non aménagée (idem 1ère ligne) notamment Ares
- Règles d’attribution: de janvier à août: année, ensuite passage;
- Nouvelle ligne domanialité port fluvial;
- Proposition terrestre:
- Légères revalorisations AOT (5cts/m2) pour couverture des frais d’entretien et maintenance;
- Légère revalorisation moyen de levage collectif mis en place et entretenu par le gestionnaire (10€/an);
- Légère revalorisation infrastructure d’eau de mer (+1€/m2). Info aujourd’hui cela coûte 25€/m2 au SMPBA en entretien (environ 1500€ par mois en énergie).
- Nouvelle ligne mise à l’eau navire entre 20 et 30m pour mieux coller à la réalité (Canal)
- Création ligne stockage de navire sur zone publique SMPBA à 2€/jour (fourrière).
- Précision: seul bateau pro entreprise ostréicole, de pêche ou de maintenance nautique dans l’AOT terrestre.
4. Travaux et programmation:
L’année écoulée s’est caractérisée par de nombreux aléas: ponton traque D Cassy, plateforme CNTC, quais effondrés sur le sud bassin, digue du Christ Gujan, plus-values et retards Covid, incendie Fontainevielle… générant des frais imprévus.
Toutefois:
4. Travaux et programmation: voirie port de la Teste centre: 786 133 € HT
Objectifs du projet :
- Renforcement de la voirie tenant compte de l’activité ostréicole et assainissement pluvial (bassins d’infiltration sous chaussée).
- Création d’un accès direct vers le parking municipal des prés salés,
- Coordination avec l’enfouissement des réseaux aériens
- Mise en œuvre d’un traitement paysager
Début des travaux de voirie : le 12 mars 2020
Interruption travaux pour cause de Covid-19 : du 17 mars au 06 mai 2020
Fin travaux de voirie : le 07 août 2020
Principales caractéristiques :
- 733 ml de chaussée,
- 1 225 ml caniveaux surbaissé et trottoir en diorite,
- 22 places de parking réhabilitées,
- 10 bassins d’infiltration créés sous chaussées de 45 cm de profondeur moyenne et représentant 2 254 m2 d’emprises, permettant de traiter 305 m3 d’eaux pluviales,
- Mise en œuvre de nuit d’une partie des enrobés
4. Travaux et programmation: voirie port de la Teste centre: 786 133 € HT
4. Travaux et programmation: réalisation d’un quai ostréiculteur (Quai Laboual)
- Création d’un nouveau quai au droit de l’AOT de M Laboual.
- Aménagement d’infrastructure de type défenses d’accostage, échelles et réseaux évacuation eau de mer, ainsi que les fondations pour la pose d’un portique
- Début des travaux : le 16 novembre 2020 pour 6 semaines
4. Travaux et programmation: réalisation d’un quai ostréiculteur (Quai Laboual)
Entretien et maintenance:
• 22 demandes d’intervention sur 2020 :
14 Sur La Teste
8 Sur Rocher
• 16 terminées
12 Sur La Teste
4 Sur Rocher
• 6 en cours
2 Sur La Teste
4 Sur Rocher
Pour très de 50k€ cette année
Entretien maintenance: quelques exemples
Fournitures pour actions régie :
- Anodes pour ponton patrimoine : 1 359.05 € ht
- Remplacement silent bloc Cuzacq : 649.19 € ht
- Remplacement planches pontons : 2 489.23 € ht
- Enrobé à froid nids de poules : 573.32 € ht
- Remplacement vannes bassin Udave (Rocher) : 327.96 € ht
Nettoyage AOT Girard (Rocher) : 3 550 € ht
Remplacement grilles caillebotis (Rocher) : 11 437.55 € ht
Reprise accotements et mise en place enrochements (Rocher) : 5 758.30 € ht
Reprise fissures cabane n°1 (Rocher) : 2 477.13 € ht
Signalisation horizontale et verticale (Rocher) : 621.04 € ht
Remplacement urinoirs sanitaire public (La Teste) : 3 311.60 € ht
Reprise accotements et raquette de retournement : 4 453.50 € ht
Mise en place potelets entrée (La Teste) : 4 597.35 € ht
Signalisation horizontale et verticale (La Teste) : 3 822.12 € ht
4. Travaux et programmation
A suivre:
Reprise des pontons digue Est port de La Teste (dans le cadre du dragage);
Aire de carénage port de La Teste Centre (études et dossier en 2021);
Sécurisation des places de plaisance à Rocher;
Réalisation de quais pour les professionnels port de La Teste Centre (digue centrale darse Est);
Travaux de reprise des digues de la Maline Port de Rocher (début 2021)
Construction/réparation de cabanes
Entretien/maintenance,
…
5. Dragage
- Evolution de la convention avec le SIBA pour les opérations de dragage:
- Inscrire les opérations de dragage dans la continuité avec une fréquence identifiée;
- Réalisation d’une programmation pluriannuelle ambitieuse en commun port et chenal;
- Développement des voies de valorisation en commun;
- Pérennisation et développement des sites de traitement
- Sécurisation de budgets dédiés au dragage.
- Le dragage du port de La Teste Centre:
- Enquête publique été 2020 ;
- Passage en Coderst (conseil départemental de l’environnement et des risques sanitaires et technologiques) le 3/12/2020 => avis favorable.
- Arrêté d’autorisation de dragage à suivre;
- Appel d’offre en cours, Ouverture des plis 24/12, notification début janvier 2021;
- Porter à connaissance sur la volonté d’aller plus vite et de « rattraper le calendrier initial »;
- Lettre aux usagers pour sortir les bateaux le 10/12/2020;
- Début des travaux février 2021 | a53fdef6-ccd2-4c51-b988-5ed689ad8760 | HuggingFaceFW/finepdfs/tree/main/data/fra_Latn/train | finepdfs | fra_Latn | 13,989 |
Why Choose a Niagara Systems’ Model 56?
- 100+ bottles processed per hour
- 304 or 316 stainless-steel heavy-duty construction
- Expected machine life is 20+ years
- Low maintenance
- Ease of use – operator friendly
- Reliable and repeatable results
- Flexible program to fit your process
- Recirculated wash and rinse tanks
- Minimizes water use
- Well insulated recirculated tanks
- Lowers Operating Costs
- Preserves chemical
- Minimizes water usage
- Lowers electrical draw
- 100% spray coverage on interior and exterior
- Flexible Control Packages
THE WORLD’S MOST TRUSTED REFINERY WASHER
Technical Data
| Capacity | 56 Bottles |
|----------------|------------|
| External Measurements | 81”W x 89”H x 79”L (Door Closed)
| 81”W x 89”H x 101”L (Door Open) |
| Cycle Time | 20-30 Min |
|----------------|-----------|
| Bottles Per Hour | 112-168 |
| Weight | 4,500Lb (approx) |
Available Machine Packages
- Electric Heat Package
- Steam Heat Package
- Hazardous Location Packages
- Class I Div.1
- Class I Div.2
- UL 480V 380V
- CUL 400V 240V
- CE 415V 208V
Additional Features
- Heated Dryer
- Multi-Stage Filtration
- Custom Fixtures
- Mobile Carts
- Oil Skimmer
- Chemical Feed
- Recirculated Wash Tank
- Touch Screen HMI
Trusted Partners
Marathon, Shell, Phillips 66, Exxon, Valero, Chevron
Since 1934, Niagara Systems has been designing and manufacturing industrial washing systems, as well as custom automation equipment.
Our ability to solve problems has opened the doors beyond washers. When there is a challenge, our team of engineers and skilled tradesmen collaborate with our customers to develop and produce the very best solution. Niagara Systems’ machinery is proudly made in the US and is delivered with the highest quality. Our wash systems are installed globally in over 30 countries.
The Niagara Value:
- Customized for your needs
- Design, Manufacturing & Controls all done under one roof
- Installation and maintenance services
- Efficient use of utilities
- Consistent results
- Minimal maintenance
- Machine Life Expectancy > 15+ years
- Designed to grow with production as needed
- Minimal operator involvement
- Proven Processes
- Collaborative Design
- Machine Effectiveness and ROI are paramount
WHY AUTOMATE YOUR WASHING PROCESS?
REDUCE OR REALLOCATE VALUABLE LABOR RESOURCES
- Manual process is labor intensive
- Labor position to complete process is hard to keep filled
- Strenuous work
- Undesirable work environment
- Personnel can be made available for more valuable & revenue driving operations
INCREASE PRODUCTION
- Eliminate wash bottle neck
- Integrate with existing material handling or automation to increase efficiency
AUTOMATE PROCESS REQUIREMENTS
- Improve wash quality
- Maintain chemistry
- Consistent & repeatable results
- Regulation compliance
RETURN ON INVESTMENT
- Labor reduction
- Increase utility efficiency
- Increase productivity & improvements
- Provides competitive edge
- Cuts operating costs
Learn more about Niagara Systems! | f6495741-8cad-4ca1-b491-441adccc29ef | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 3,072 |
Pratique. Écologique.
Retrouvez et présentez vos coupons sur
votre iPhone ou Smartphone Android.
Jusqu'à 100€ de remise !
OPTIC 2000
Votre OPTIC 2000 Gorbella vous propose une réduction de 50€ à partir de 250€ d'achat (monture + verres) ou 100€ à partir de 350€ d'achat (monture + verres) + la 2ème paire pour 1€ !
Voir conditions en magasin, contre ce coupon remis à la commande, offre non cumulable.
Valable jusqu'au 07/06/2020 www.olapromo.com
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2 Menus Maxi Best Of à 12.90€
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Hors signature. Offre valable dès votre prochain achat dans tous vos restaurants de Nice. Sur simple remise de ce bon. Une offre par personne et par jour, non cumulable avec d'autres promotions.
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Valable jusqu'au 07/06/2020 | <urn:uuid:685f162b-4710-43ba-83f5-fc6a61716f9f> | HuggingFaceFW/finepdfs/tree/main/data/fra_Latn/train | finepdfs | fra_Latn | 3,066 |
Ottobre 2017
La questione
Personae tra finito e infinito
Incontro con Marco Bersanelli e Gianni Riotta, Forlì, 25 settembre 2017
L'incontro, organizzato da CL Forlì, Centro Culturale "Don Francesco Ricci – La Bottega dell'Orefice" e Settimana del Buon Vivere, inizia con una sorpresa: buio in sala e i 700 presenti nella splendida chiesa di S.Giacomo vengono posti davanti a "Il grande spettacolo del cielo" (titolo del libro che viene presentato), a partire dagli oggetti visibili a occhio nudo fino alle galassie. Il silenzio assoluto è segno dello stupore che coglie tutti e viene rotto da Gianni Riotta che introduce il prof. Bersanelli, docente di astrofisica all'Università di Milano e autore del libro. Bersanelli parte con un excursus che ripercorre (seguendo il libro) lo sguardo dell'uomo al cielo a partire dallo stupore dell'uomo di cro-magnon fino a oggi, alla fotografia dell'universo com'era quasi 14.000.000.000 di anni fa, all'inizio del suo cammino. Inizia un dialogo appassionato con Riotta e il pubblico sul cielo, l'universo, (anche curiosità sul multi verso, gli alieni… ) e sulla vita di tutti i giorni, su come insegnare e su come apprendere. Ciò che caratterizza la cosmologia, dice Bersanelli, è la radice religiosa intesa come natura inscindibile dall'essere umano che lo porta a interrogarsi sull'origine nel senso del dato, sorpresa dell'esistere di me e dell'universo. La parola Mistero esprime laicamente quel quid a cui ogni cosa tende. La pratica della scienza ci mette sempre al confine tra ciò che riteniamo di conoscere e ciò che sta oltre e se il confine si sposta ci spostiamo anche noi e la cosa più incredibile è che questo sia possibile (dirà rispondendo a una domanda che tutta la storia dell'universo ha fatto sì che ci siano creature consapevoli, l'io è un Mistero enorme, più delle stelle)! Tutti i grandi scienziati a partire da Einstein hanno riconosciuto questa dimensione. L'autorità dello scienziato nasce dal dare testimonianza ai fatti (se l'orbita è ellittica non è circolare, non c'è niente da fare) e la sua crisi nasce da una disistima dei fatti, del dato. Rispondendo a una insegnante dice che la responsabilità nell'insegnamento è che l'insegnante rifaccia il percorso con entusiasmo come la prima volta (in montagna, se c'è una guida che gode del cammino siamo tutti più aiutati). Infine racconta l'incredibile collaborazione con il cantiere della "Sagrada Familia". Contattato dal direttore dei lavori per una consulenza su come rappresentare l'universo nella torre di Gesù Cristo (ancora da costruire), scopre una somiglianza impressionante fra la curva della torre e la curva di espansione dell'universo e propone allora di rappresentare la curva all'interno della torre, mettendo in verticale l'asse del tempo, rappresentando quindi in cima l'inizio del tempo e scendendo la storia dell'espansione dell'universo fino al presente.
Un anno dopo Carron-Bertinotti prosegue la collaborazione con gli amici della "Settimana del Buon Vivere" con l'incontro con un altro testimone della bellezza disarmata proposto alla città di Forlì.
L'edizione della "Settimana del Buon Vivere" del 2017 si intitola Personae. La manifestazione si è svolta a Forlì e a Cesena dal 23 settembre all'1 ottobre, e ha visto tanti protagonisti della scena economica, sociale e culturale sia italiana che internazionale, darsi appuntamento in Romagna per confrontarsi e dibattere sui temi del "Buon Vivere", ciascuno secondo il proprio angolo di osservazione. Tra gli ospiti: Eliott Erwitt, Neri Marcorè, Vito Mancuso, Marco Bersanelli, Mario Calabresi, Gianni Riotta, Giuseppe Cederna, Paola Minaccioni, Geppi Cucciari, Luca Bianchini, Serena Dandini, Ferdinando
Scianna, Massimo Recalcati, Simona Atzori, Ivano Marescotti, Massimo Cirri e Paolo Fresu. www.settimanadelbuonvivere.it | <urn:uuid:a4470849-5d75-40a0-a085-2401ab2db94c> | HuggingFaceFW/finepdfs/tree/main/data/ita_Latn/train | finepdfs | ita_Latn | 3,824 |
JOSEP PALAU I FABRE, PULCRAMENT ENDI MONIAT
per Jordi Coca'
Durant molts anys Josep Palau i Fabre ha estat, per a la immensa majoria de lectors catalans, un especialista picassí i, afinat una mica més, un dels homes que en la primera hora de la clandestinitat van treballar per la recuperació cultural de Catalunya. Era l'home de les revistes «Poesia» i «Ariel»; un intel·lectual de la resistència. El poeta ha trigat molt més a fer-se evident i, de fet, encara ara hi ha perfils que no s'hi han delimitat del tot.
La versió a l'ús per a justificar aquesta circumstància —i no passa només a l'àmbit català, que un creador trigué a ser acceptat— és que Palau s'exilià voluntàriament l'any 1945 i que no tornà a Catalunya fins el 1961. A l'exili, s'hi afegeix una llarga etapa d'ailament a Grijau (Llança) i, efectivament, la seva dedicació a l'estudi de la vida i de l'obra de Picasso. Però caldria anotar, també, altres raons: que la seva obra de poetà és quantitativament breu i, a més, que en el moment d'aparèixer els primers llibres —els anys quaranta, clandestinitat— sobtà l'erotisme exacerbat que els caracteritzava. Tot això és cert i ell mateix ho reconeix. Però no per això deixa de ser lamentable que la literatura catalana hagi hagut d'esperar fins l'any 1972 —any de la primera edició «legal» de la seva obra poètica, reunita sota el títol de Poemes de l'alquimista— per a disposar d'un autor tan intens i sincer com Josep Palau i Fabre.
A més de tot el que he dit fins ara —que ja fóra prou per a justificar una llarga entrevista— hi ha un seguit de precisions a fer en relació amb els anys de clandestinitat. L'octubre de 1977, a la revista «L'Avenç», Jordi Castellanos ja apuntava que «no sé fins a quin punt resulten satisfactories, avui, les solucions que adoptà aquest grup (els intelectuals catalans que no volgueren renunciar a la llengua)». Palau i Fabre opina, ara, com a protagonista que fou d'aquells moments difícils. Ell, que el 21 de març de 1943 escrivia: «Vull que ho sàpiguen bé les parentes i amigues: / Josep Palau no és àngel ni és un infant model, / Si tenien de mi una imatge bonica, / ara jo els n'oferixo una de ben fidel.» Ja aleshores, doncs, Palau decep les vagues expectatives que l'envoltaven. Sap que fóra més còmode oferir un gest conciliador; però no pot. Trenca —o, si es vol, inicia el trencaament— amb les «parentes i amigues», però no només amb elles. En realitat el que fa és tallar els llaços que el lligaven a una classe social i a un concepte de la vida, de la cultura, del bé i del mal, del que és correcte i del que és oportú.
—Ah, sí, sí, jo els anys quaranta sentia que un dels pocs llocs on podia anar era a les cases de meuques. Potser perquè...
novetats catalanes del mes
EDICIONS DELS QUADERNs CREMA
QUADERNs CREMA, 2, novembre de 1979.
Miscellània dirigida per Jaume VallcorbaPlana. 375 ptes.
MÉTRICA CATALANA, Salvador Oliva.
Quaderns Crema, 4. 500 ptes.
EDITORIAL BARCINO
LLIBRE DE SENT SOVÍ (Receptari de cuina), a cura de Rudolf Grewe.
Col·lecció «Els nostres classics», 115. 254 pàgines.
EL MEU PALLARS (volum IV), Joan Lluis.
Col·lecció «Tramuntana», 26. 240 pàgines, més de 32 làmines.
EDITORIAL CLARET
TERESA DE CALCUTA, José Luis González-Balado.
Col·lecció «Els Daus», 31. 160 pàgs., més de 8 làmines. 325 ptes.
REEIXIR, Michel Qoist.
Col·lecció «Els Daus», 32. 208 pàgines. 350 ptes.
EDITORIAL LAIA
EL PRESENT VULNERABLE, Feliu Formosa.
Col·lecció «Les Eines», 52. 280 pàgines.
L'EQUILIBRI MENTAL DEL NEN, C. Freinet.
Col·lecció «Llibres Quaderns de Pedagogia», 2.
EL PAÍS D'EN FULLARACA, Joaquim Carbó.
Col·lecció «El Nus», 23. 208 pàgines.
UN LLOC ENTRE ELS MORTS, Maria-Aurèlia Capmany.
Col·lecció «Les Eines», 55. 192 pàgines.
L'ETERN ADAM, Jules Verne.
Col·lecció «El Nus», 24.
EDITORIAL LUMEN
LA BARCELONA TENDRA. 3.* edició. Dibuixos: Aurora Altisent. Textos: Alexandre Cirici. Format 22×30 cm. (apaïsat). 80 pàgines. 550 ptes.
BOTIGUES DE BARCELONA. 2.* edició. Dibuixos: Aurora Altisent. Textos: Alexandre Cirici. Format 22×30 cm. (apaïsat). 80 pàgines. 550 ptes.
EDITORIAL MIQUEL ARIMANY
DICCIONARI CATALÀ GENERAL, Miquel Arimany. 5.* edició actualitzada. Format 20'5×14'5 cm. 1.418 pàgines. 1.300 ptes.
EDITORIAL MILLÀ
PROVERBIS, DITES I FRASES FETES DE LA LLENGUA CATALANA, S. Perramon.
Col·lecció «Llengua Viva», 2. 157 pàgines.
GENTILICIS DELS PAISOS CATALANS, Josep M. Soler i Janer.
Col·lecció «Llengua Viva», 3. 130 pàgines.
BLOC MILLÀ 1980 en català. Calendari de full diari. Conté el santoral, acudits, receptes de cuina, poesies, endevinalles, refranys, remeis, etc.
EDITORIAL PÒRTIC
PAU CASALS. Dades biogràfiques inèdites, cartes íntimes i records viscuts, Enric Casals. Col·lecció «Memòries», 26. 347 pàgines. Profusament il·lustrat.
Entre l'acció i l'esperança-2. CONSTRUIR CATALUNYA, Jordi Pujol.
Col·lecció «Pòrtic 71», 316 pàgines.
Entre l'acció i l'esperança-1. DES DELS TURONS A L'ALTRA BANDA DEL RIU (escrits de presó), Jordi Pujol. 4.* edició. Col. «Pòrtic 71», 236 pàgs.
COM ES FA UN LLIBRE (inclus un diccionari de les arts gràfiques), Miquel Joseph i Mayol. Col·lecció «Pòrtic 71». 336 pàgines.
NOU REÇULL DE MODISMES I FRASES FETES. Català-castellà castellà-català. Josep Balbastre i Ferrer. 2.* edició. Col·lecció «Pòrtic 71», 461 pàgines.
CATALUNYA I L'ESGLÉSIA AL BANQUET DELS ACUSATS. El TOP a porta tancada. Mossèn Josep Dalmau. Col·lecció «Llibre de butxaca». 211 pàgines.
DICCIONARI ANGLÈS-CATALÀ CATALÀ-ANGLÈS, Jordi Colomer. 4.* edició. Col·lecció «Llibre de butxaca». 255 pàgines.
EDITORIAL SELECTA/ CATALÒNIA
ANTOLOGIA POÈTICA DE JOAN MARAGALL, a cura de Carles Riba.
Col·lecció «Biblioteca Selecta», 148. 180 pàgines. 5.* edició.
PINYA DE ROSA (volum I), Joaquim Ruyra.
Col·lecció «Biblioteca Selecta», 19. 192 pàgines. 9.* edició.
TERRA BAIXA, Angel Guimerà.
Col·lecció «Biblioteca Selecta Teatral», 11. 86 pàgines. 2.* edició.
llegiu llibres en català
frontó, i va venir la pilota aquella, com una pedra, i em va trencar el timpà, amb un dolor terrible. Vaig estar unes setmanes a casa i em va caure a les mans el Hamlet. El vaig llegir vuit vegades, o deu, no ho sé. Em vaig tornar boig. Aleshores vaig començar a veure les coses diferents. Per sort, poc després, l'any 1931, el pare em va traslladar a l'Institut Tècnic Eulàlia. És clar, sortir dels Hermanos fou un trasbals. Es va ajuntar tot: el primer amor, un amor com només n'existeix un a la vida; una crisi religiosa molt profunda; les eleccions; l'ambient que hi havia pel carrer en proclamar-se la República... Em vaig fer ateu. Tant, que a l'Institut Tècnic Eulàlia, que passava per ser un centre liberal, un capellà un dia em va frotre un sermó i em va dir: Et trencaré la cara si tornes a dir això que aquí i que allà. Després he tingut alguna altra crisi religiosa, al començament del franquisme. Ara veig que era la soledat de casa, no poder comunicar-me amb els pares, i la guerra perduda...
A mi, Josep Palau i Fabre em fa la impressió d'un home per dessota de les maneres polides del qual batega, sempre, la temptació de perdre's. M'imagine, doncs, que se sotmet a un control estrictí i que per la mateixa raó és mieniucós i detallista; m'imagine, també, que no és per cap altra cosa que força fins al límit l'ordre mental en tot allò relacionat amb les dates. Sempre concreta amb precisió l'any i el mes en què tingué lloc un fet qualsevol, com si temés deixar res a l'atzar. Ultra això, durant la conversa és contingut i pulcre fins que, de sobte, apareix una expressió grollera que dota les seves frases d'una força insòlita. Els ulls li viuen intensament i s'enlaira amb una il·lusió d'infant.
—Ja a l'Institut Tècnic Eulàlia jo era lector de «Mirador» i dels «Quaderns Literaris» d'en Josep Janés. Un dia vaig anar a la redacció a buscar un número que em faltava i el vaig conèixer. Li vaig dir que escrivia, van parlar, i ell em va fer prometre que el tornaria a visitar. I així ho vaig fer. Fou a la redacció dels «Quaderns Literaris» que vaig conèixer en Josep Sol; i a través d'ell vaig començar a escriure a «La Humanitat». Tenia divuit anys quan vaig fer una entrevista a García Lorca, una entrevista que ara figura a les seves obres completes. A mi, de jove, Garcia Lorca em va entusiasmar; l'he llegit molt, sempre. Bé, poc després vaig anar a Proa i vaig poder conèixer en Puig i Ferreter, i en Caralt, i en Oliver. Un dia en Joan Teixidor em va dir: En Foix diu que el passeu a veure. Sembla que havia llegit els meus articles a «La Humanitat». Hi vaig anar, és clar, tu diràs, i ell em va proposar de col·laborar a «La Publicitat». Això per a mi va ser... Que el senyor Foix em cridés per veure si volia escriure a «La Publi-
—Quan va esclatar la guerra jo era a Eivissa. Havia sortit de Barcelona el 13 de juliol. La cosa estava malament, però no creia que passés res tan important. El 18 de juliol un coronel es va fer càrrec de l'Illa. Jo acostumava a bañar-me en una platja on només anaven tres homes, tres dones, una criatura i jo. Hi havia un madrileny, falangista, un alemany, un socialista i jo. Un dia el socialistà va desapareixer; es veu que el van agafar. Era fill de Luis Araquistain i fins molt després, ja a París, no el vaig tornar a veure. En fi, al cap de tres setmanes uns avions van deixar caure uns papers que deien: «Catalans i valencians, altra vegada a la conquesta de les Illes.» Uns coneguts em van convidar a anar a una caseta que tenien a Sant Antoni, per si hi havia bombardeig. Vaig passar-hi la nit i l'endemà, en llevar-me, vaig veure que al poble hi havia una bandera republicana i un cotxe negre amb les inicials UHP pintades de vermell. Ja devia ser mig agost quan vaig poder tornar a Barcelona amb un vaixell d'Estat Català.
—I?
—Oh, en arribar a casa em vaig trobar que hi havia, amb els meus pares, uns dels meus oncles i que tots plegats van plantejar-me la perspectiva del terror roig. És clar, el meu pare era franquistà. Aquest fet em va ajudar a veure les coses amb una certa objectivitat. És a dir, que ja durant la guerra jo veia clar que guanyaria Franco. Vaig començar a pensar, doncs, què caldria fer després. També fou aleshores que em va venir la idea d'escriure els Poemes de l'Alquimista. La guerra havia liquidat de cop l'ordre noucentista, el seny. Tot se'n havia anat avall. Llavors vaig considerar que havia d'acudir a una altra font, que era la de Llull, i de seguida vaig veure clarissíssimament la cosa de l'alquímia. Era una possibilitat per al país: ni noucentisme ni modernisme: una via més antiga, més universal, més moderna alhora.
—Com entens l'alquímia, en un poeta modern?
—Doncs el poeta, amb els mots, ha de cercar l'absolut. Jo estic en aquesta línia de poesia, que no és només estètica, segons la qual els mots són un instrument de recerca per al poeta. Els mots han de tenir un aliatge que converteixi el poema en la pedra de toc, en or, en aquella cosa preciosa que cerquem. Quan vaig començar el llibre em va semblar que el podria fer en quinze dies; i em va prendre quinze anys. Perquè llavors t'adones que els mots no serveixen fins que has pagat, fins que has plorat, fins que te'ls has fet teus. Aquell experiment que et pensaves que es feia a l'exterior, en realitat el fas al cervell, al cos, i pagant un preu molt alt. Recordo molt bé aquella lluita, que no fou gens fàcil.
El Cangur
Col·lecció universal de butxaca
El cronomòbil
Pere Verdaguer
El cangur 50, 176 pàgs., 150 ptes.
Aquell noi, als catorze anys, havia inventat un cronomòbil de debò, és a dir, un aparell capaç de transportar persones i objectes a través del temps.
Cops de bec a Pasadena
Manuel de Pedrolo
El cangur, 49, 232 pàgs., 175 ptes.
Si sou lector de Pedrolo hi retrobareu el Pedrolo divertit, dins la línia d'aquell inoblidable "Domicili provisional", i, si no en sou, també us hi divertireu.
Els argonautes
Baltasar Porcel
El cangur 48, 264 pàgs., 200 ptes.
Tot un món de mar i d'aventura, de brutalitat i de lirisme sorgeix de la Botafoc, la llanxa carregada de contraban que navega des de Gibraltar a Mallorca.
Edicions 62
Provença, 278, telèfon 216 00 62. Barcelona-8
Durant la guerra, Josep Palau i Fabre va servir a la Infanteria i més tard a la Secció de Sanitat del Ministeri de la Guerra. Acabada la contesa va passar a un camp de concentració i s'hi va estar quaranta dies. De seguida, altre cop a Barcelona, compren que allò durarà i que cal reorganitzar-se. Es dedica, d'una manera obsessiva, a intentar reconstruir, en la mesura del possible, els enllaços que s'havien trencat. Ho fa amb energia, amb passió, sense tèmer l'enfrontament amb la família i amb molts d'altres del seu estament social que van preferir esperar-se i veure què passava.
—Si, però l'u d'abril del 39, el dia de la victòria franquista, jo era a Barcelona. Vaig refugiar-me a l'església de la Concepció. Només hi havia una velleta, en un racó. Al defora la gent cridava i cantava el Cara al sol. Feia un sol que espetegava. Ja feia un any que no escrivia res. I durant el primer any de franquisme tampoc no vaig poder escriure. És a partir de 1940 que hi torno una altra vegada. El que sí que vaig fer de seguida, però, fou anar a veure gent. Potser el primer pas va ser anar a l'Institut Italià, on vaig conèixer el professor Zanotti, que després va ser professor a la Universitat. Pel fet de ser italià i aparentment feixista, ens va servir de paravent. El curs va començar tard, el novembre o el desembre de 1939. El primer dia de classe recordo que va preguntar com es deia una determinada paraula en català. Vam ser dos o tres que ens vam traïr. A l'entorn d'aquest home es va formar un grup de catalanistes: en Frederic-Pau Verrié, en Triadú, en Romeu, en Tarradell, jo mateix, etc. Naturalment vaig anar a veure altra gent, els pocs que quedaven, però sobretot a la Universitat es van poder fer coses. El professor Zanotti ens va protegir, aquesta és la veritat.
—Quan va sorgir la idea de reorganitzar els «Amics de la Poesia»?
—Aviat. En això, en Serrahima s'equivoca a les seves memòries, ja li ho vaig dir. Les dues primeres sessions van ser a casa meva, exactament aquí, al carrer del Bruc, el març i l'abril de 1941. A la segona reunió hi havia una dotzena de persones: en Sagarra, en López-Picó, el professor Zanotti, en Francesc Mirabent, l'Aramon, en Serrahima, en Triadú, en Tarradell, en Romeu, en Verrié, jo, i em sembla que en Miquel Dolç. La cosa, doncs, havia agafat una certa volada. Tant, que el meu pare em va dir: Això, a casa no ho vull veure més. En aquella segona sessió en Sagarra va llegir fragments de la Divina Comèdia. Era la primera vegada que en López-Picó i en Sagarra es trobaven després de la guerra. Més tard, a través de l'Aramon i d'en Serrahima van ampliar la cosa. Un cop això ja funcionava, l'Aramon va convocar una reunió a l'Ateneu per a reorganitzar els Estudis Universitaris Catalans. En Santiago Pey i jo vam parlar amb en Rubió, i ens va dir que sí, que estava disposat a fer classes. Els diners van sortir d'en Janés, les coses com siguiu; en Janés ha estat un personatge molt criticat, però, el primer any, la mensualitat d'una de les classes va sortir íntegrament d'ell.
L'any 1943 Palau edita, clandestinament, els dos primers llibres de poesia. L'erotisme dels seus poemes sobta tothom i es converteix en un personatge incòmode per a molts. Els trets anaven per un altre cantó. L'any següent, el 1944, inicia l'edició de «Poesia», una revista que a hores d'ara resulta insòlita per la qualitat i imprescindible quan es parla d'aquells primers anys de resistència.
—Tot molt reduït, aleshores. Jo, de «Poesia», en tirava cent exemplars i en repartia uns seixanta, a mà, a gent de confiança. Tot i això, en Janés em va dir un dia que a censura tenien una col·lecció completa de la meva revista i que li havien dit que no em passaria res, tal com sona: M'han dit que no et preocupis, que no et passarà res. I pensar que jo els donava d'un a un, a gent de confiança... Però, en fi. Jo veig que «Poesia» ja no era, en realitat, noucentista; més aviat hi havia surrealisme, si és que s'ha de definir així, en dues paraules. Em sembla que, si els hagués conegut, hauria encaixat millor amb el grup de gent que després va fer «Dau al Set». Però aleshores era difícil connectar amb la gent. Tots tenim por i aínavem amb molt de compte.
Fins aquell moment, 1945, i en paraules de Joan Triadú, «el silenci s'havia convertit en una manera vibrant de dir les coses». Acabada la Guerra Mundial, però, va renéixer una certa esperança, i la gent sent la necessitat d'expressar-se altre cop públicament. I és aleshores que Palau i Fabre s'adona de tot el que el separava de molts amb els quals havia treballat des de l'any 1939. Segons ho conta ell mateix, les diferències es van fer evidents en una reunió que tingué lloc a casa de Josep M. de Sagarra.
—Ah, sí, sí, l'any 1945 hi va haver una reunió molt important, em sembla que el mes d'agost, a casa d'en Sagarra. Erem: en Sagarra, en Rubió, l'Aramon, en Janés, en Pous i Pagès, en Puig Quintana, em sembla que en Riba, i jo. En Janés venia de Madrid amb unes ofertes, les primeres, per a fer unes possibles publicacions i una revista en català. Recordo molt bé que només varem ser en Pous i Pagès i jo que ens hi vam oposar. Els altres hi estaven d'acord. Això va fer que la meva situació, que ja era difícil a causa de la meva poesia, empitjorés. Fins i tot en Ferran Soldevila, a qui vaig anar a veure a propòsit d'això, va dir que ho havíem d'agafar tot. Jo vaig escriure un article a «Per Catalunya», del Front Nacional, que es
titulava *CoHaboracionisme*. Això va acabar de fer les coses impossibles per a mi. Però fins i tot ara penso, com ho pensava aleshores, que, el franquisme, allò que buscava era, i en certa manera ho va aconseguir, separar la intel·lectualitat catalana del poble. Jo creia que havíem de continuar fent coses clandestines, connectar amb l'exterior, amb «Le Monde», el «Times»..., costés el que costés. Aquella posició, no la van voler seguir ni en Riba, ni en Sagarra, ningú. Com pots veure, la meva posició era insostenible. Potser el problema es reduïa a la meva formació, que era més aviat plàstica. Ells eren intel·lectuals, acadèmics i universitaris. El fet és que els permisos que s'esperaven no van arribar. Crec, sense ànim de personalismes, que jo era un obstacle. Aleshores es funda «Ariel», en preparem els dos primers números i decideixo marxar a París. Vaig continuar enviant coses des de França, i segurament són les que més desentonen: Articles sobre Picasso, Rimbaud, Artaud... Tot això no és noucentista. Ja ho veus, jo no podia continuar; havia de marxar. Vaig obtenir una beca del govern francès, i ho vaig aprofitar. Em sentia asfixiat pel franquisme i per la meva posició a contracorrent dels intel·lectuals catalans. Tenia ganes d'airejar-me. Estava cansat, fins i tot físicament; molt esgotat, i gairebé no podria escriure. A més, hi havia l'ambient de casa... Després, a través dels addictes al règim, Pla, d'Ors, van venir els primers permisos.
—La beca deuria durar poc temps i, en canvi, a París, hi vas estar molts anys; de què vas viure?
—La beca va durar dos anys, i després, durant quatre anys més, vaig fer els oficis més diversos; el que es presentava. Jo tenia tots els defectes d'un noi que no ha après a guanyar-se la vida. Més aviat pensava a fer estalvis, a no gastar tant. Vaig començar per rentarme la roba, després vaig deixar d'afaitar-me i vaig deixar-me la barba, la barba negra d'aquella època. Però tot això no era suficient, és clar, i el meu pare va enviar-me uns quants diners durant cinc anys. Vaig fer de professor d'espanyol, de periodista, de cambrer, de vigilant nocturn, de tot. També vaig fer cinema. Especialment *Le salaire de la peur*, de Clouzot, em va anar molt bé perquè vaig poder treballar uns mesos. Per sort jo havia conegut, a casa de l'Octavio Paz, un professor mexicà i un dia, anant per la Ciutat Universitària, me'l vaig trobar i em va dir: *Estoy de director en la casa de México*. Li vaig dir que jo buscava feina, i que potser ell... I em respon: *Véngame a ver*. Com que els mexicans són així..., vaig dubtar d'anar-hi. Però, noi, ho necessitava tant, era un moment tan fortut; i el vaig anar a veure. Em va dir que no hi havia res, però que hi tornés. Al cap de dues o tres visites em va parlar de la possibilitat de reemplaçar un conserge, els diumenges. I afegeix: *Pero esto no es para usted.* —*Pues sí que es para mí*, vaig saltar. És clar, tu diràs! I així vaig anar tirant fins que un dia, el que era secretari de la casa de Mèxic va enganvetar un antic director. Aleshores em van proposar a mi de secretari. Allí va durar set anys. És clar, a la fi vaig trobar-me amb l'alternativa d'haver d'anar a Mèxic o tornar aquí. A Mèxic, segurament hi tenia un futur d'administrativi fàcil; però, d'altra banda, ja tenia escrites set o vuit obres en català, i de què m'hauria servit allò? Potser també hi havia un altre factor, al qual aleshores jo no vaig donar importància i que ara, vist en perspectiva, considero de molt de pes. Jo m'havia comprat per pocs diners un tros de terreny a la Costa Brava. Durant un cert temps no hi vaig pensar, però, és clar, estic segur que, inconscientment, això hi va comptar. Són coses que actuen per dins, involuntàriament. Deuria anar fent feina, saps: Allà hi tinc el terreny, i si em puc fer una caseta, viure-hi i treballar-hi, escriure... I vaig tornar, amb cent vint mil pesetes, pensant que amb aquests diners em podria fer la casa. Però aquí, tot seguit vaig adonar-me que no hi arribava i aleshores vaig demanar diners al meu pare. I ell em va dir que no. Immediatament vaig tornar a escriure a França, buscant feina. Era l'any 1961. Però poc després va morir el meu pare i vaig tenir els diners que ell, per desgràcia, no em va voler deixar. Així que em vaig poder fer la caseta, doble del que havia pensat, amb un pis que llogava als turistes. Jo no sóc gaire comerciant, però això és elemental. Així he viscut durant molts anys. Tot molt estricte; però era independent, llegia, escrivia. És clar que també vaig tornar perquè passaven els anys i pensava: això pot durar; encara em moriré jo abans que ell...
A París, Josep Palau i Fabre, mentre s'esforçava per solucionar com podia les qüestions quotidianes, continuava elaborant la seva obra d'alquimista. A causa de la curiositat extrema per l'experimentació i l'autenticitat —i tal com havia passat amb Strindberg—, Palau frega el desequilibri i veu obrir-se als seus peus l'abisme esporugidor de la follia.
—Si, a París vaig tenir una crisi molt forta, és cert. Potser és l'únic moment de la meva vida que... Va durar un any. Vaig sentir una alienació aguda, sí. Hi ha un fet molt concret, i vaig creure que em perdia. Ara no et podria dir res d'allò, perdona. Ara, hi hagué un fet molt concret, això sí. Aleshores fou quan vaig llegir Artaud i, és clar, vaig comunicar-hi de seguida. Era com un
mèdium. Vaig dir: carall!, a l'Institut Francès m'han parlat de Breton, d'Eluard, d'en tal i d'en tal altre, de tots!, i aquest, que és el millor, aquest no me l'havien esmentat. Aleshores vaig començar a buscar per les llibreries de Montparnasse i vaig trobar *L'art et la mort*, un dels seus millors llibres, en una edició de paper d'holanda, numerada. Recordo que em va costar la meitat de la beca d'un mes. Vaig continuar trobant tres o quatre coses més fins que vaig tenir ganes de conèixer-lo. Com que l'havia vist amb l'Adamov, vaig adreçar-me a ell. L'Artaud?, em va dir, està tancat. I me'n va donar l'adreça. Vivia en una mena de llibertat condicional; és a dir: si algú se'n responsabilitzava, el deixaven sortir a passejar. La primera visita va ser molt dura, molt. Em va rebre molt malament. S'estava en una antiga porteria, com si fos un pavelló per a ell sol, on no hi havia ni calefacció. Les portes eren vidriades i donaven directament al jardí. Jo vaig trucar als vidres i vaig sentir: *Qui est là? —Quelqu'un qui veut vous voir.* —*Qui êtes-vous?*, va dir ell, i jo vaig contestar: *Je m'appelle Palau, vous ne me connaissez pas.* —*Je ne veux pas vous voir*. Això era als afores de París. Aquell dia havia nevat i fotia un fred espantós. *Je suis venu pour vous voir.* —*Je ne suis pas là*, va afegir. Però, és clar, jo vaig insistir. I vaig insistir tant que a la fi, amb una veu seca, terrible, diu: *Attendez!* Però com que m'havien dit que tenia un martell i que atacava la gent, vaig pensar: què vol dir, aquests *attendez*? Si et fot un cop de martell estàs llest. Així que vaig posarme a una banda de la porta. Al cap de molta estona sento: *Entrez!* Sec, amb una veu seca i d'una duresa... Vaig entrar i em trobo amb un home que era com un faquir, en calçotets i samarreta, amb les cames i els braços prims i els cabells al davant de la cara. *Qui êtes-vous? Que voulez-vous?* Li vaig dir que havia escrit un article parlant d'ell i que el volia conèixer (es tractava d'Ariel, que li vaig mostrar). Però de seguida va saltar, molt violent: *D'où sortez-vous l'argent pour faire cette revue?* Jo vaig voler explicar-li que érem uns amics... Però hi va tornar, una vegada i una altra: *D'où sortez-vous l'argent...* Es va emprenyar. Al cap d'una mica veig que agafa el martell, un martell que feia respecte, i va començar a picar contra la paret, al llit, pertot arreu. Jo pensava: Aguanta, aguenta! Has vingut al ball i has de ballar. I ell sense deixar de cridar, botant per l'habitatció... Ah, sí, sí, va ser una sessió espantosa. És clar, després he comprès que el vaig interrompre. Quan jo vaig arribar s'estava prenent la droga. A la fi em va oferir seient, una mica més calmat. Al cap de poc em diu: *Regardez ce dessin*. Tenia dibuixos d'ell clavats a les parets, amb xinxetes. Me'l miro, però ell diu: *Celui qui est derrière vous. Levez-vous, tournez-vous*. Pensa que ell era al meu davant, amb el martell a la mà... Jo sóc covard, però aquell dia potser és el moment de la meva vida que he necessitat més coratge. Vaig pensar: Ara aquest home et mata, però ho has vingut i has d'aguantar; tu ho has volgut. I em vaig girar com em giro ara, li dono l'esquena i miro el dibuix. És clar, jo pensava: ara, ara ve el cop. Però al cap de mig minut no havia passat res i em vaig tornar a girar. Em vaig asseure, meravellat, i vaig pensar: estic viu! Mai no he passat tant can-gueli. Ah, però, no s'havia acabat, no. De seguida em pregunta si jo li he amagat els mitjons. M'ho va preguntar fitant-me, amb molta intenció. Però jo vaig entendre el que volia i, com si s'hagués produït una transmissió de pensament, vaig alçar una punta del matalàs; i hi eren. Ell els havia amagat mentre jo li donava l'esquena. Volia veure si jo el prenia per boig. Això va semblar que el calmava i vam continuar parlant. Al cap de molta estona em va dir, en veure que portava un llibre seu: *Voulez-vous une dédicace?*, i em va agafar el llibre i hi va escriure una dediPOSTSIMBOLISME
S'ha d'acabar la prehistòria: dibuixar un bisó a la cova no vol pas dir haver-lo caçat. I, tanmateix, la mica de confiança en aquesta màgia ens pot haver significat a estones un bon estímul inicial. Vegem els croats de la Renaixença adobant el present amb les cendres de l'au Fènix pairal: record de gramalles sobiranes, ruïnes de castells encimbellats... I més ençà els noucentistes: tant del Latinòrum que es reclamen i tan lligats com són, paradoxalment, al simbolisme del temps medieval en què Olivier de la Marge enllestexi el seu tractat d'etiqueta. L'aristocratism fa de pont: la forma els és l'essència de cada cosa, i l'anècdota en ella mateixa, categoria.
Per al simbolisme (parlar de postsimbolisme literari en els anys vint és una manera de dir), més que ésser és important aparentar. I el prestigi de l'apparat, de la cerimònia, és també el prestigi del trobar clus. Res de miralls a la vora del camí, doncs!... Símbols, si de cas!... Res de novel·la!... Res de teatre!... Poesia!!!... I, tanmateix, a desgrat que consideriss Zola i Ibsen francament ordinaris —i no parlem ja dels modernistes casolans...—, els noucentistes aportaren al futur l'exigència de l'obra ben feta, i el treball constant. És en aquesta tenacitat —i passem per alt l'entronització de la poesia que encara avui cueja— on podriem trobar la força per a l'alternativa dinàmica al simbolisme èstàtic que, pare del cofoisme, encara podria emmordassarnos, i per sempre més. Des d'aquest precedent de treball caldria, doncs, dreçar contra la política-símbol la política-realitat, contra l'essència potinejada de la pàtria l'existència renovallada de la catalanitat, contra la retòrica buida dels discursos, la contundència plena de la lluita quotidiana...
Més enllà del populisme d'enganyifa, de les paraules-símbol i les institucions-símbol amb què ens voldrien acontentar, caldria rellançar de baix a dalt aquella realitat que encara ens queda. Tal vegada així, un dia, arribarà l'era del postsimbolisme en què podrem prescindir de banderes, himnes i metàfores d'èxit en ple franquisme... Llavors, tal vegada, podrem estalviar de dir-nos radicalment nacionalistes, o de veure'n poetes en llengua obscura, drapaires del passat... Mentrestant, l'exigència en el treball quotidiat ens durà, ben a poc a poc, tota la història que ens falta. Ara per ara, però, comencem a deixar els símbols, si us plau, per a la poesia. O per si encara hi havia algú que, ben políticament, confés en el dibuix polidament naïf al sostre, fet i fet limpiutcèn, de la platònica cova... Car els bisons la campen al defora i projectenombres que, si ens paralitzaven, mai no ens deixarien reeixir.
ORIOL PI DE CABANYES | ba7f3ef6-f4ae-4f0f-801c-f4e3b958e623 | HuggingFaceFW/finepdfs/tree/main/data/cat_Latn/train | finepdfs | cat_Latn | 29,565 |
PORTARIA nº 794/2019 – GP/PMSSBV, SSBV, 19 de Junho de 2019.
O Prefeito do Município de São Sebastião da Boa Vista do Estado do Pará, Exmo. Sr. JOSÉ HILTON PINHEIRO DE LIMA, no uso de suas atribuições que lhes são conferidas por lei etc.
RESOLVE:
Art. 1º. CONCEDER FÉRIAS REGULAMENTARES de 30 (trinta) dias aos servidores municipais abaixo relacionados lotados na E. M E. I. F. “NOSSA SENHORA DE LOURDES” SECRETARIA MUNICIPAL DE EDUCAÇÃO DO MUNICÍPIO DE SÃO SEBASTIÃO DA BOA VISTA, referente ao período aquisitivo de 2018 para serem gozadas de contar de 01 a 30 de Julho de 2019.
| N.º | NOMES | CARGO | MÊS |
|-----|--------------------------------------------|------------------------|-----|
| 01 | FLORISVALDO CAMPOS SERRÃO | PROF. DOCENTE | JULHO |
| 02 | JAIRO RODRIGUES CARNEIRO | PROF. DOCENTE | JULHO |
| 03 | IVANA FARIA BALIEIRO | PROF. DOCENTE | JULHO |
| 04 | JOSÉ JINALDO PINHEIRO MALATO | PROF. DOCENTE | JULHO |
| 05 | JOSENALDO BARRETO DE FREITAS | PROF. DOCENTE | JULHO |
| 06 | JOSÉ MARIA GONÇALVES DOS SANTOS | PROF. PEDAGÓGICO | JULHO |
| 07 | VILMA CRISTINA R. DA SILVA | PROF. PEDAGÓGICO | JULHO |
| 08 | LUCIVALDA SEÑA PAIXÃO | PROF. DOCENTE | JULHO |
| 09 | MARCELO DE JESUS CAMPOS FERREIRA | PROF. DOCENTE | JULHO |
| 10 | MARIA BENEDITA GOMES CASTRO | PROF. DOCENTE | JULHO |
| 11 | MARIA EUNICE FARIAS BRABO | PROF. DOCENTE | JULHO |
| 12 | MICHELE COELHO DE CARVALHO | PROF. DOCENTE | JULHO |
| 13 | REGINA CELIA DO SOCORRO A. SANTANA | PROF. DOCENTE | JULHO |
| 14 | SHIRLEY MARIA FARIA | PROF. DOCENTE | JULHO |
| 15 | GENISON BORGES GOMES | PROF. DOCENTE | JULHO |
| 16 | EDMARCIA CAMPOS TAVARES | PROF. DOCENTE | JULHO |
| 17 | RODRIGO DIAS MATOS | PROF. DOCENTE | JULHO |
| 18 | NATALIA MONIQUE PAIXÃO | PROF. DOCENTE | JULHO |
| 19 | JAX RODRIGUES DE MORAES | PROF. DOCENTE | JULHO |
| 20 | GEANDESON MARQUES DE MORAES | ASSIT. EDUCACIONAL | JULHO |
| 21 | ODILENA DE MELO MORAES | AUX. EDUCACIONAL | JULHO |
| 22 | RAQUEL DE MELO BALIEIRO | AUX. EDUCACIONAL | JULHO |
| 23 | CLEIA CARVALHO PEREIRA | AUX. EDUCACIONAL | JULHO |
| 24 | NELIO DA SILVA MONTEIRO | AUX. EDUCACIONAL | JULHO |
| 25 | ANA LUZIA SANTANA MAIA | AUX. EDUCACIONAL | JULHO |
| 26 | JEOVANE CHAVES DO NASCIMENTO | AUX. EDUCACIONAL | JULHO |
| 27 | ROSIELSON NOGUEIRA SANTANA | AUX. EDUCACIONAL | JULHO |
| 28 | CARLOS ALBERTO DRAGO CASTILHO | AUX. EDUCACIONAL | JULHO |
| 29 | JEOVANE CHAVES DO NASCIMENTO | AUX. EDUCACIONAL | JULHO |
Palácio do Executivo – Endereço Praça da Matriz nº 01 – Bairro Centro
CNPJ 05.105.143/0001-81 – São Sebastião da Boa Vista – Marajó - Pará. CEP 68.820-000
Art. 2.º - Esta Portaria entra em vigor na data de sua publicação.
Art. 3.º - Dê-se ciência, Registre-se, Publique-se e Cumpra-se.
Gabinete do Prefeito Municipal de São Sebastião da Boa Vista, 19 de Junho de 2019.
JOSÉ HILTON PINHEIRO DE LIMA
PREFEITO MUNICIPAL.
Publicado e Registrado em 19/06/2019
DÂMASO BRASILEÓ BARRIGA
Sec. Mun. De Administração e Finanças.
Palácio do Executivo – Endereço Praça da Matriz nº 01 – Bairro Centro
CNPJ 05.105.143/0001-81 – São Sebastião da Boa Vista – Marajó – Pará. CEP 68.820-000 | <urn:uuid:8c2836d0-981b-4e85-9541-d57da474d235> | HuggingFaceFW/finepdfs/tree/main/data/por_Latn/train | finepdfs | por_Latn | 3,924 |
Днес, 28.07.2022 г. в 10.00 часа в гр. Кърджали, област Кърджали тръжна комисия за отдаване под аренда на свободните земеделски земи от ДПФ в област Кърджали, назначена със Заповед №РД-07-25/26.07.2022 г. на директора на ОД “Земеделие” – Кърджали в състав:
**Председател:** Иван Илиев – главен експерт ГД “АР” на ОД “Земеделие” – Кърджали;
**Секретар:** Христина Вълова – старши експерт в ГД „АР“ в ОД “Земеделие” – Кърджали;
**Членове:**
- Златина Кузманова – главен юрисконсул в Д „АПФСДЧР“ в ОД “Земеделие” – Кърджали;
- Тонка Толева – главен експерт ГД “АР” на ОД “Земеделие” – Кърджали;
- Жени Ламбова – главен експерт в Общинска служба по Земеделие – Кърджали.
на свое заседание разгледа постъпилите в ОД “Земеделие” – Кърджали документи за участие в търг (първа тръжна сесия) за предоставяне под наем/аренда на свободни земеделски земи от ДПФ на територията на област Кърджали за стопанската 2022/2023 г., обявен в местен вестник: “Нов живот” на 21.06.2022 г.
Търгът се провежда по реда и условията на ППЗСПЗЗ въз основа на Заповед № РД 19-04-70 от 16.06.2022 г. на директора на Областна дирекция „Земеделие” – Кърджали, издадена на основание Заповед № РД 46-96/30.03.2022 г. на Министъра на земеделието.
До 17.30 часа на 21.07.2022 г. в ОД “Земеделие” са подадени документи за участие в търга от 37 участника.
Председателят на комисията, в обявения ден: 28.07.2022 г. и час: 10.00 часа, провери присъствието на членовете на тръжната комисия и констатира, че основният състав на комисията е наличие и не се налага заместването на основни членове от резервни, след което ги представи на кандидатите. Всички явили се кандидати бяха поканиени да удостоверят присъствието си като попълнят присъствен лист за участие в първа тръжна сесия. След представяне на присъствения лист на тръжната комисия и установяване отсъствие на следните кандидати: Танер Дауд, ЕТ „АЛЕМ – Сабахтин Карайбрам“, Гюлер Карайбрам, „Аска Енерджи“ ЕООД, Шинка Ирикова и Сали Мехмед на основание чл. 47к, ал. 3 от ППЗСПЗЗ, търгът се отложи с един час и заседанието на тръжната комисия се откри в 11.00.
На председателя на комисията бяха предадени с приемо-предавателен протокол – входящ регистър (тетрадка) 1 бр. и запечатани непрозрачни пликове – 37 бр.
Председателят на комисията обяви откриването на търга (първа тръжна сесия) с тайно наддаване за отдаване под наем/аренда на свободните земеделски земи от държавния поземлен фонд (ДПФ) в област Кърджали за стопанската 2022/2023 година за отглеждане на едногодишни полски култури и многогодишни фуражни култури – житни, бобови и техните смески, за създаване и отглеждане на грайни насаждения.
Всички членове на комисията попълниха и подписаха декларации по чл. 47ж, ал.2 от ППЗСПЗЗ.
Председателят на Комисията пристъпи към отварянето на пликовете с документите за участие в търга по поредния номер на подаването им, представи участниците и ги покани да се легитимират, извърши проверка на редовността на документите, съдържащи се в пликовете, самоличността и пълномощията на кандидатите.
Комисията се запозна с редовността на постъпилите заявления – оферти. Кандидатите в търга са представили документи съгласно чл. 47з, ал. 1, ал. 2 от ППЗСПЗЗ.
На основание, чл. 47з, ал. 1, т. 2 и чл. 47к, ал. 5 комисията не допуска до класиране следните кандидати:
| № | дата | Име фамилия | Община | Землище | Имот № | Площ дка | Предложена цена лв./дка | Основание |
|---|----------|------------------|----------|------------|----------|----------|------------------------|------------------------------------------------|
| 7 | 19.7.2022| Севинч Топал | Крумовград| Гулийка | 18071.5.3| 9,703 | 67,00 | Заявлението не отговаря на изискванията |
| 13| 20.7.2022| Теодора Чакърова | Кирково | Чакаларово | 80090.24.1120 | 2,202 | 33,00 | чл. 47з, ал.1, т. 2 |
| 14| 20.7.2022| Орхан Махмуд | Крумовград| Доборско | 21302.13.48 | 1,000 | 40,00 | чл. 47з, ал.1, т. 2 |
| 14| 20.7.2022| Орхан Махмуд | Крумовград| Перуника | 55899.11.307 | 28,572 | 30,00 | чл. 47з, ал.1, т. 2 |
Комисията установи, че в заявлениета-оферти за участие в търга кандидатите са предложили една и съща цена лева на декар за 1 имот, както следва:
| № | дата | Име фамилия | Община | Землище | Имот № | Площ дка | Предложена цена лв./дка |
|---|----------|------------------|----------|------------|----------|----------|------------------------|
| 17| 21.7.2022| Севдалина Бостанджиева | Крумовград| Благун | 04306.19.14 | 2,000 | 27,00 |
| 35| 21.7.2022| Мая Добрева | Крумовград| Благун | 04306.19.14 | 2,000 | 27,00 |
На основание чл. 47л от ППЗСПЗЗ се проведе търг с явно наддаване между кандидати, предложили една и съща цена за определени имоти. На участниците бе разяснена процедурата за провеждане на търга с явно наддаване и в съответствие с изискванията на чл.47ж, ал.1, т.10 от ППЗСПЗЗ бе определена стъпката за наддаване, в размер на 1.00 лв. от предложената цена.
На основание чл.47л от ППЗСПЗЗ между горецитираните участници се проведе търг с явно наддаване с начална цена – предложената от кандидатите цена. Резултатите са както следва:
| № | дата | Име фамилия | Община | Землище | Имот № | Площ дка | Предложена цена лв./дка |
|---|----------|------------------|----------|------------|----------|----------|------------------------|
| 17| 21.7.2022| Севдалина Бостанджиева | Крумовград| Благун | 04306.19.14 | 2,000 | 27,00 |
| 35| 21.7.2022| Мая Добрева | Крумовград| Благун | 04306.19.14 | 2,000 | 28,00 |
КОМИСИЯТА КЛАСИРА УЧАСТНИЦИТЕ, КАКТО СЛЕДВА:
| Класиране | № | дата | Име фамилия | Община | Землище | Имот № | Площ дка | Предложена цена лв./дка |
|------------|---|----------|------------------|----------|------------|----------|----------|------------------------|
| 1 | 22| 21.7.2022| Сали Мехмед | Джебел | Джебел | 20746.132.242 | 16,243 | 38,00 |
| 1 | 29| 21.7.2022| Милен Киочуков | Джебел | Поточе | 57947.5.20 | 38,227 | 5-7 г 41 лв 8-25 г 61 лв |
| 1 | 8 | 19.7.2022| Агро Завой 2022 ЕООД | Кирково | Дрянова глава | 23892.10.48 | 2,649 | 31,00 |
| 1 | 4 | 15.7.2022| Бисер Пехливанов | Кирково | Китна | 37071.10.208 | 94,603 | 33,00 |
| 1 | 13| 20.7.2022| Теодора Чакърова | Кирково | Кран | 39445.5.81 | 0,881 | 33,00 |
| 1 | 13| 20.7.2022| Теодора Чакърова | Кирково | Кран | 39445.5.82 | 0,849 | 33,00 |
| 1 | 13| 20.7.2022| Теодора Чакърова | Кирково | Медевци | 47531.1.111 | 6,173 | 33,00 |
| 2 | 8 | 19.7.2022| Агро Завой 2022 ЕООД | Кирково | Медевци | 47531.1.111 | 6,173 | 31,00 |
| 1 | 13| 20.7.2022| Теодора Чакърова | Кирково | Медевци | 47531.1.125 | 9,943 | 33,00 |
| 2 | 3 | 15.7.2022| Христо Топалов | Кирково | Медевци | 47531.1.125 | 9,943 | 29,00 |
| 1 | 13| 20.7.2022| Теодора Чакърова | Кирково | Медевци | 47531.1.51 | 7,294 | 33,00 |
| № | Кандидат | Дата на подаване | Место на проживяване | Место на работа | Цена | Страна |
|---|----------|-----------------|----------------------|----------------|------|--------|
| 1 | Ангелина Солакчиева | 15.7.2022 | Кърджали | Звеница | 30524.14.16 | 17,998 | 32,00 |
| 2 | Стоян Стоянов | 21.7.2022 | Кърджали | Звеница | 30524.14.16 | 17,998 | 31,00 |
| 3 | Ангелина Солакчиева | 15.7.2022 | Кърджали | Звеница | 30524.23.13 | 6,354 | 30,00 |
| 4 | Христо Топалов | 15.7.2022 | Кърджали | Мост | 49120.11.24 | 9,268 | 61,00 |
| 5 | Ивет Юсуб | 20.7.2022 | Кърджали | Мост | 49120.11.24 | 9,268 | 36,00 |
| 6 | Христо Топалов | 15.7.2022 | Кърджали | Мост | 49120.48.6 | 5,288 | 45,00 |
| 7 | Ивет Юсуб | 20.7.2022 | Кърджали | Мост | 49120.48.6 | 5,288 | 36,00 |
| 8 | Христо Топалов | 15.7.2022 | Кърджали | Мъдрие | 49521.22.26 | 48,585 | 47,00 |
| 9 | Ивет Юсуб | 20.7.2022 | Кърджали | Мъдрие | 49521.22.26 | 48,585 | 46,00 |
| 10 | Бисер Пехливанов | 15.7.2022 | Кърджали | Соколяне | 67982.30.16 | 19,709 | 32,00 |
| 11 | Бисер Пехливанов | 15.7.2022 | Момчилград | Джелепско | 20755.13.220 | 33,629 | 25,00 |
| 12 | Бисер Пехливанов | 15.7.2022 | Момчилград | Конче | 38409.15.60 | 24,780 | 33,00 |
| 13 | Христо Топалов | 15.7.2022 | Момчилград | Конче | 38409.21.106 | 20,261 | 43,00 |
| 14 | Теодора Чакрова | 20.7.2022 | Момчилград | Конче | 38409.21.106 | 20,261 | 35,00 |
| 15 | Теодора Чакрова | 20.7.2022 | Момчилград | Конче | 38409.21.107 | 5,520 | 33,00 |
| 16 | Г-Трейдинг-ХТ ЕООД | 21.7.2022 | Ченоецене | Бърза река | 67472.500.238 | 4,067 | 44,00 |
| 17 | Рубтин Шевкед | 21.7.2022 | Ченоецене | Каняк | 36066.10.507 | 54,331 | 36,00 |
| 18 | Бисер Пехливанов | 15.7.2022 | Ченоецене | Каняк | 36066.10.507 | 54,331 | 28,00 |
| 19 | Рубтин Шевкед | 21.7.2022 | Ченоецене | Лясково | 44820.18.1 | 22,724 | 41,00 |
| 20 | Ивет Юсуб | 21.7.2022 | Ченоецене | Лясково | 44820.18.1 | 22,724 | 38,00 |
| 21 | Вилдан Кадир | 15.7.2022 | Ченоецене | Свободиново | 65841.10.104 | 22,502 | 41,00 |
| 22 | Бисер Пехливанов | 15.7.2022 | Ченоецене | Свободиново | 65841.10.104 | 22,502 | 36,00 |
| 23 | Рубтин Шевкед | 21.7.2022 | Ченоецене | Соколите | 67893.502.424 | 23,975 | 41,00 |
| 24 | Ресмие Айдын | 14.7.2022 | Ченоецене | Соколите | 67893.502.424 | 23,975 | 37,00 |
При отказ на спечелилия участник да сключи договор, съгласно чл. 47м, ал. 5 от ППЗСПЗЗ, кандидатът класиран на второ място, се поканва да сключи договор при предложена от него цена, но не по-ниска от 90 на сто от цената, предложена от първия кандидат. В случай на отказ процедурата се прекратява.
Съгласно чл. 47м, ал. 7 от ППЗСПЗЗ депозитите на кандидатите класирани на първо и второ място, не се възстановяват в случай на отказ за сключване на договор.
На основание чл. 47м, ал. 6 от ППЗСПЗЗ внесените депозити от некласирани кандидати се възстановяват в 14-дневен срок след приключването на търга, а депозитът на кандидата класиран на второ място - след подписване на договора за наем или аренда със спечелилия кандидат.
На основание чл. 47н от ППЗСПЗЗ участниците в търга могат да обжалват протокола на тръжната комисия по реда на Административно процесуалния кодекс - в 14-дневен срок от обявяването - чрез Областна дирекция "Земеделие" – Кърджали.
Настоящият протокол се състави в три еднообразни екземпляра.
Председател: .............П. .......................
/Иван Илиев /
Секретар: .............П. .......................
/Христина Вълова /
Членове:
.............П. .............. .............П. .............. .............П. ..............
/Златина Кузманова/ /Тонка Толева/ /Жени Ламбова/ | ca6c5542-9e4f-45fe-a5eb-6841e1ca0ebc | HuggingFaceFW/finepdfs/tree/main/data/bul_Cyrl/train | finepdfs | bul_Cyrl | 11,029 |
Solar Irradiance Variations in Chromospheric Spectral Lines
Debi Prasad Choudhary, Cristina Cadavid, Angie Cookson and Gary A Chapman
Department of Physics and Astronomy / San Fernando Observatory
California State University Northridge, Northridge, CA, 91330
Sergey Marchenko
Science Systems and Applications, Inc., Lanham, MD 20706, USA
NASA Goddard Space Flight Center, Greenbelt, MD 20771, USA
Motivation: Identification of Physical Processes for solar brightness variation.
- Solar basal quiet atmosphere is immutable (Livingston and Wallace, 2003).
- Solar cycle variation of Solar Spectral Irradiance is the consequence of multiple active region outbursts (Woods et al, 2015).
- The variation in Fraunhoffer lines define the amplitude of the solar brightness variability (Shapiro et al 2015). Continuum variations only contribute negligibly compared to spectral-line to the total irradiance variations on solar-cycle time scales (Unruh et al, 1999, AA, 345, 635).
- Deep photospheric lines show little or no variation with solar cycle unlike the chromospheric lines (White, Livingston, Wallace, 1987).
- Complex relationship with magnetic field was found and areas of strong magnetic field can appear either dark or bright, depending on wavelength (Norris et al, 2017).
High Resolution Full Spectra Observations
• The Solar Spectral Irradiance from UV to IR through visible wavelengths depend on non-LTE effects in chromosphere, coronal radiation and photodissociation of molecules. (Fontenla et al, 2011, JGR, 116, D20108)
• No continuum intensity enhancement with respect to the quiet photosphere can be ascertained of bright facular or network points from Ca II K spectra with spatial resolution better than 1”. (del Toro Iniesta et al 1990, AA, 233, 570)
• Magnetic Bright Points (MBP) and faculae are distinct radiative signatures of the magnetic field:
MBPs have a constant or slightly decreasing contrast with increasing magnetogram signal, while facular contrast increases linearly with signal. Faculae are much larger than MBPs, with an average radial width of 400 km.
(630.25 nm magnetogram, 430.5 nm G band and 436.4 nm “continuum” bandpasses. Berger et al, 2007, ApJ 661, 1272)
Variability in irradiance and photometric indices during the last two solar cycles (Choudhary et al 2020)
1. The photometric indices and TSI have three main statistically significant periods in the solar rotation scales. (27, 29/30 and 34/35 days)
2. During the solar maxima, TSI and Sigma_r exhibit common high power at solar rotation scales.
3. During the solar minimum phase Sigma_K captures in large part the information carried by magnetic flux. This indicates that the TSI changes during the minimum are due to the reduced line-blanketing effect of the Ca II K-line by the diffused magnetic field.
4. While the magnetic flux and TSI signals are in-phase, Sigma_K appears to lead the TSI variations.
Ca H
Call 8542
Hα
Mn
Ha Line Depth
Relative Intensity)
Days (082007 to 102017)
Equivalent width
- $W_\lambda = \int_{\lambda_1}^{\lambda_2} \left( \frac{F_c - F_\lambda}{F_c} \right) d\lambda$
By normalizing the continuum to 1.
- $W_\lambda = \int_{\lambda_1}^{\lambda_2} (1 - F_\lambda) d\lambda$
In an absorption spectrum, the darkest absorption lines are those whose equivalent widths are greatest while the faintest spectra have smaller equivalent widths. The equivalent width is dependent on the number of atoms that are in the correct state in which they can absorb the specific wavelength. When the line depth becomes brighter, the equivalent width becomes smaller.
Equivalent Width (EW) of Chromospheric lines
SOLIS Full Disk Spectra.
Sun-as-a-Star
(a) All H-α spectrum
(b) H-α spectrum shifted to 656.3 nm
(a) All He I spectrum
(b) He I spectrum shifted to 1082.7 nm
Magnetic field dependence of Ca H and K EW.
(e) Ca II H EW vs FDMTMF
(f) Ca II K vs FDMTMF
Na 589.0 nm and Ca II 854.2 nm EW
(c) Na D I EW vs FDMTMF
(d) Ca II EW vs FDMTMF
Hα and HeI 1083.0 nm EW
Ha 656.3 nm Equivalent Width (nm)
He I 1083.0 nm Equivalent Width (nm)
Magnetic field Vs He I 1083 nm EW.
Transition region
Photosphere
Chromosphere
Corona
UV/EUV spectrograph
SOLAR-C
UV-Vis-NIR telescope
Temperature
10^6 K
10^5 K
10^4 K
Height (km)
100
10000
Hinode/BFI
Ca II 8542 Å
Mg II h/k
Ca II H/K
He I 10830 Å
Mg I b
Na I D1/D2
Fe I
Hinode/NFI
Hinode/SP
Lyα
Hα
Mg II h/k
Ca II H/K
Ca II 8542 Å
Mg I b
Na I D1/D2
Fe I
Hinode/NFI
Hinode/SP
Lyα
Hα
Summary
• EW decrease with full disk mean total magnetic flux (FDMF) for all chromospheric lines except HeI 1083.0 nm. The chromospheric lines become brighter.
• The slope of FDMF versus chromospheric lines are different for the lines forming at different heights. (Fraunhoffer lines originating in deep photosphere are unchanged through the solar cycle.)
• Understanding the role of magnetic field in line-formation mechanism of chromospheric lines will help understand the SSI variability.
High Resolution Full Spectra Observations
• Contrasts of the radiation from simulation boxes with different levels of magnetic flux relative to an atmosphere with no magnetic field are a complicated function of position, wavelength and magnetic field strength. Complex relationship with magnetic field was found and areas of strong magnetic field can appear either dark or bright, depending on wavelength. (Norris et al, 2017, AA, 605, A45.)
• Non-LTE radiative transfer codes show that the variations in Fraunhofer lines define the amplitude of the solar brightness variability on timescales greater than a day and even the phase of the total solar irradiance variability over the 11-year cycle. (Shapiro et al, 2015, AA, 581, A116)
Magnetic field dependence of Ca 854.2 nm and Halpha EW.
Maximum
Year
Minimum
Wavelength (μm) | 86801e23-2f92-479f-af9d-ad1e628d9c3c | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 5,835 |
ENTE ACQUE UMBRE TOSCANE
AVVISO POST INFORMAZIONE
Affidamento ai sensi dell'art. 125 comma 11 D.lgs 163/2006 del servizio di sorveglianza archeologica nella fase di esecuzione dei lavori: Opere di stabilizzazione e messa in sicurezza del versante destro dell'invaso dell'opera di presa della diga di Casanuova sul fiume Chiascio.
CIG Z261858121
Importo stimato dalla stazione appaltante per il servizio di sorveglianza archeologica di cui all'oggetto euro 15.184,00 oltre oneri previdenziali ed IVA.
Indagine di mercato svolta tra i seguenti concorrenti:
Soc.. L.A.S.A. srl - Brufa di Torgiano (PG)
Dr. Francesco Giorgi - Perugia (PG)
Dr Francesca Germini - Perugia (PG)
Dr.Stefano Creatore - Deruta (PG)
Themis Archeologica-Studio associato- Perugia
Hanno presentato offerta 4 (quattro) concorrenti.
Il servizio di sorveglianza archeologica è stato affidato in data 23/02/2016 al Dr. Stefano Creatore di Deruta (PG) per l'importo di € 7.592,00 oltre oneri previdenziali ed I.V.A..
Il Responsabile del procedimento: Ing. Andrea Canali | <urn:uuid:ffbeb201-959c-4679-af9a-4c6d64a06b88> | HuggingFaceFW/finepdfs/tree/main/data/ita_Latn/train | finepdfs | ita_Latn | 1,067 |
Supporting children with severe or profound learning difficulties and complex communication needs to make their views known: Observation tools and methods
Scot Greathead\textsuperscript{1}, Rhiannon Yates\textsuperscript{1}, Vivian Hill\textsuperscript{1}, Lorcan Kenny\textsuperscript{1}, Abigail Croydon\textsuperscript{1}, and Elizabeth Pellicano\textsuperscript{1,2}
\textsuperscript{1}Centre for Research in Autism and Education (CRAE), UCL Institute of Education, University College London, UK; \textsuperscript{2}School of Psychology, University of Western Australia, Perth, Australia
Correspondence: Scot Greathead
Address: Centre for Research in Autism and Education, UCL Institute of Education, University College London, UK.
Email: email@example.com
Disclosure of Funding: This work was funded by the Office of The Children’s Commissioner for England. Research at the Centre for Research in Autism and Education (CRAE) is supported by The Clothworkers’ Foundation and Pears Foundation.
Key words: Participation, Communication, Complex needs, Emerging Language, Ethnography, PMLD, Pre-verbal, SCERTS
All children have the right to shape the decisions that influence their lives (United Nations Convention on the Rights of the Child, 1989). Current policy frameworks in the United Kingdom (UK) emphasize the importance of involving young people with special educational needs (SEN) in the decisions that ultimately affect their education and wellbeing (e.g., UK Department of Education, 2014). For children to play a meaningful role in shaping these decisions, adults must be skilled at recognizing and discriminating communication bids by children. Facilitating children to contribute to decisions in this way can be accomplished by adults who recognize their communicative attempts and respond appropriately and consistently. The opportunity to contribute is crucial to the development of their autonomy (Nota, Ferrari, Soresi, & Wehmeyer, 2007). This can be a challenge for any child, but especially for children and young people with SEN, who often have speech, language, and social communication difficulties and who may not use traditional spoken means of expression (Cavet & Sloper, 2004).
Despite school staff being legally mandated to facilitate all children, regardless of their abilities, to participate in everyday decisions, there is little research on the extent to which children’s experiences and perspectives are elicited in schools and the methods for doing so. This is particularly true of those who have intellectual disability and are pre-verbal\(^1\) or who have emerging language skills (determined by the use of signs, spoken words or symbols), with often-idiosyncratic ways of communicating, requiring a skilled adult communication partner for interpretation (Ware, 2004).
In research settings, these children are often excluded by virtue of their limited communication and/or intellectual ability. One study, for example, reported the exclusion of 17 children who were pre-verbal, even though researchers had developed a range of creative
\(^1\) By ‘pre-verbal’, we mean a child or young person who can communicate intentionally (via verbal and nonverbal behaviors such as vocalizations, gestures or eye movements/gaze patterns), but does not yet use spoken words (or symbols) to communicate.
techniques to engage children in the study to communicate about their life aspirations (Rabiee et al., 2005).
One potential reason for the scarcity in seeking the views of children with intellectual disability and complex communication needs may be related to people’s negative beliefs and low expectations of these children (Crombie, Sullivan, Walker, & Warnock, 2014; Milton, Mills, & Pellicano, 2014; Nind, Flewitt & Payler, 2010; Simmons & Watson, 2014; Sheehy & Nind, 2005). Another possible explanation relates to the challenges inherent in attempting to elicit the children and adolescents’ views and experiences. Without a shared (spoken) language, educators can find it difficult to understand the distinctive nature of these children’s communicative attempts, which can depend on context. There is also little work delineating the most effective ways to access these children’s communicative behaviors across different learning contexts and to determine how their communicative attempts are interpreted and responded to by the people who know them well (Ware, 2004).
This multiple case study, therefore, focused on the utility of a set of tools to gain information about the communicative acts of children with severe-to-profound intellectual disabilities and complex communication needs in school. We present three case studies of such children, extending previous studies that have revealed the communicative acts of such children through the use of structured communication protocols and observational checklists (e.g., Brady, Marquis, Fleming, & McLean, 2004; DiStefano, Shih, Kaiser, Landa, & Kasari, 2016; Jones, 1989; Kiernan & Reid, 1987; McLean, McLean, Brady & Etter, 1991; McLean, Brady, McLean, & Behrens, 1999; Stillman & Battle, 1985). Using protocols and checklists, these previous researchers have provided detailed descriptions of children’s communicative behaviors, demonstrating how features such as sustained communicative adult-child exchanges (DiStefano et al., 2016), children’s gestural competence, and partner responsiveness can be predictive of positive language outcomes (Brady et al., 2004). These studies, however, were
not designed to investigate children’s communicative behavior in naturalistic settings. Thus far, they have been unable to capture the evolving, dynamic relationship between a child and his or her communicative partner as it occurs in their day-to-day lives. To fill this gap, our study used a combination of observational and checklist measures to examine both the child’s communicative acts (initiations and responses to the adults supporting them) \textit{and} the supports provided by the adults during different learning contexts within a typical school day. Adults play a critical role in supporting the learning and communicative needs of these children. For example, one study investigated the nature of interactions between pre-school autistic\footnote{Identity-first language is the preferred language of many people on the autism spectrum (see Sinclair, 1999) and their parents (Kenny et al., 2016). In this article, this led us to use the term \textit{autistic} as well as person-first language to respect the wishes of all individuals on the spectrum.} children or developmental delays and their teachers (Wong & Kasari, 2012). The researchers focused on how joint attention, which was defined as the sharing of attention between the child, another person and an object or event (Bakeman & Adamson, 1984), is fostered between children and adults in the classroom. Joint attention is a pivotal early-emerging behavior (at least in typical children), which can be used to express needs and preferences (Mundy & Gomes, 1998; Prizant, Wetherby, Rubin, Laurent, & Rydell, 2006; see also Rollins, 2016, this issue). It also supports the development of more sophisticated communication skills (Charman et al., 2003; Kasari, Paparella, Freeman, & Jahromi, 2008; Loveland & Landry, 1986; Mundy, Sigman, Ungerer, & Sherman, 1986; Sigman & Ruskin, 1999). Wong and Kasari (2012) conducted two-hour structured observations in special education classrooms to examine children’s engagement levels, joint attention, and play behaviors, as well as the extent to which teachers taught or prompted these skills. Children were given opportunities to initiate interactions that resulted in joint attention, but when children made more subtle bids for joint attention, by pointing or showing, these were not always acknowledged or reinforced as joint attention behaviors by their teachers. Crucially, Wong and Kasari reported that teachers often missed
opportunities to teach children actively both how to initiate bids for joint attention and how to respond to a teacher’s bid for their attention. Moreover, on the few occasions when teachers did support children’s responses to bids for joint attention, they tended to be testing comprehension or supporting answers to adult-directed questions rather than helping children to express themselves.
Another study (Nind et al., 2010) applied ethnographic methods to examine a wider range of the communicative behaviors expressed by children with intellectual disabilities and complex communication needs. These researchers sought to describe how communication partners supported these children. To do so, they presented case studies of three 4-year-olds to detail how the children’s agency was affected by the structure and culture of the different “early years” settings the children attended. For one child (Mandy), Nind and colleagues showed how a particular communication partner fostered Mandy’s sense of competence using multiple modes of communication. This partner was able to demonstrate the belief that Mandy could – and should – be able to make choices. For example, in one interaction, Mandy’s adult communication partner took time to provide visual support, which enabled Mandy to make choices at her own pace. This success was contrasted with an observation in a different setting, which highlighted how gestural communicative acts may be missed by communicative partners. In this instance, Mandy’s communicative act, which entailed reaching out for objects and signing “more,” went unnoticed by the supporting staff. The researchers pointed out how an adult partner’s failure to validate a communicative attempt ultimately reduced the number of successful interactions experienced by the child.
In these two studies, Nind et al. (2010) and Wong and Kasari (2012) demonstrated that adults have a fundamental role in either enhancing a child’s communicative competence by reinforcing and facilitating communicative behavior, or hindering a child’s development and autonomy by failing to recognize that communication has occurred or failing to provide the
appropriate support. These authors used different methods, including ethnographic (Nind et al., 2010) and structured observation methods (Wong & Kasari, 2012), to examine children’s communicative exchanges and the way that adults attune to them by proactively adapting their own communication style and aspects of the environment. In the current study, we examined the utility of a combination of observational tools to understand the extent to which three children with severe-to-profound intellectual disabilities (called “learning difficulties” in the U.K.) and emerging language skills were able to express themselves and the extent and nature of adult support they received across a given day in their school.
First, we used ethnographic methods to capture the dynamic, evolving interactions that children who are pre-verbal or who have emerging language experienced with their adult communicative partners. Second, we used structured observations to produce a systematic record of the extent and nature of children's communicative behavior and adults’ responses to them. These observations were further interpreted through the lens of the Social Communication, Emotional Regulation and Transactional Support (SCERTS®) framework (Prizant et al., 2006). SCERTS is an educational model that provides specific guidelines for helping a child become a competent and confident social communicator, while also identifying the necessary supports to be used by the child’s communicative partners. Specific criterion-referenced checklists from the SCERTS framework enabled us to examine the range of communicative behaviors shown by the child and, importantly, the nature of the environmental (i.e., learning supports) and social adaptations (i.e., interpersonal supports) adopted by adults to support the children’s communicative behavior.
We use these three case studies to illustrate (1) that children with severe-to-profound intellectual disability and complex communication needs have ways to make their intentions known, even though they may use idiosyncratic ways of doing so; (2) that adults play important roles in supporting these children’s communicative bids; and (3) application of a set of
observational tools for gathering both qualitative and quantitative data concerning subtle and fine-grained nonverbal cues that might otherwise be overlooked.
METHOD
Participants
This research focused on three children (two girls and one boy) whose needs were considered so extensive that they received around-the-clock care for 52 weeks of the year. The children were enrolled in three different residential special schools in England. All children were in receipt of a Statement of Special Educational Need, which is a legal document that details a child’s needs and the services that the local education authority has a duty to provide. One child (male; age 8) had an independent clinical diagnosis of autism and was described by staff to have severe learning difficulties (called intellectual disability in the US); two (both female; ages 11 and 13) were described as having profound learning difficulties. All three young people presented with complex communication needs.
These students formed part of a larger study on the views and experiences of children with special educational needs within UK residential special schools (Pellicano et al., 2014). Ethical approval for this study was awarded by a Research Ethics Committee UCL Institute of Education, University College London (approval number FCL 612). Information letters and consent forms were sent out to the parents of students in several classes of each school. Parental written informed consent was obtained for each of the three individuals who took part. Given the limited communicative abilities of these students, their assent was managed by monitoring their behavior and responses towards the researchers throughout the day (see Harrington et al., 2013; Cameron & Murphy, 2007). Pseudonyms are used to protect the students’ identities.
Procedure
A multi-disciplinary team including a speech and language therapist (called speech-language pathologist in the US), a research psychologist, and several educational psychologists
discussed in detail the tools and agreed on their application in this context. Both ethnographic methods and structured observations were used to capture adult-child interactions throughout the day, including activities within the school and residential settings. The SCERTS checklists were used to examine further children’s wellbeing and the nature of the supports provided by the adults working with them.
**Ethnographic methods.** One researcher, an educational psychologist, spent time with the young person from the beginning of the student’s day, during educational lessons and break times, and after returning to the residential part of the school in the evening. In this way, she was able to capture a ‘day in the life’ of the young person living and being educated in school. This involved unstructured interactions with the young people, conversations with those around them, and at times, joining in the activities (e.g., accompanying young people on a trip or having dinner with them). This approach gave us an insight into their experiences and interactions with school staff, which in these cases, including teachers, teaching assistants, a physiotherapist and care staff.
The researcher took ‘scratch notes’ (notes made in the field including scribbles, notes, or small reminders), including information from informal discussions with staff throughout the day. These field notes were written up immediately after the school visit. They described the researcher’s observations in detail, including the students’ activities, their environments, the nature and degree of support given by others, and the amount of choice they were perceived to have during the day.
**Structured observation.** We used a structured time-sampling technique to record simultaneously child-initiated and adult-initiated communication within discrete 60-second intervals for the duration of a single activity (e.g., eating breakfast, a school lesson, book time in the evening). Before each structured observation period began, the researcher recorded information regarding the activity in which the young person was involved, including who was
present and the extent to which she or he took part in choosing the activity. The researcher then coded the presence of child-initiated or adult-initiated communication within the 60-second interval, whether it elicited a response from the adult or child, and whether the bid for interaction led to brief reciprocal communication, defined as circumstances “where the child initiates and responds to bids for interaction for two consecutive exchanges … with an exchange consisting of a turn from the child and a turn from the partner” (Prizant et al., 2006, p. 166).
**Observational Checklists.** Once a student completed a single activity, the researcher completed four criterion-referenced observational checklists (described below) derived from the SCERTS framework (Prizant et al., 2006). This framework is a comprehensive, multidisciplinary approach to enhancing communication and social abilities of those on the autism spectrum and with related difficulties (Prizant, Wetherby, Rubin, & Laurent, 2003). Specifically, checklists from the “Social Partner stage, which largely represents the pre-symbolic stage of communication development, were used to document the range and frequency of communicative behavior used by each child during the period of observation (see Prizant et al., 2006). Information about the environmental adaptations (i.e., learning supports) and social adaptations (i.e., interpersonal supports) used by others during the observation period were also recorded (see below).
*The SCERTS Social-Emotional Growth Indicators Checklist* examined the range of a young person’s communicative behaviors that, when combined, describe eight social-emotional growth indicators that reflect common priorities and concerns expressed by parents and professionals about autistic children. These include happiness, sense of self, sense of other, active learning and organization, flexibility and resistance, co-operation and appropriateness of behavior, independence and social membership, and friendships. Each of these domains is defined by clusters of five items describing a range of children’s communicative behavior. For example, the Happy domain is defined as “the capacity to experience, express and derive
positive emotion from everyday activities and engagement with partners” (Prizant et al., 2006, p.155). Example items include: Shares positive emotion using facial expressions and vocalizations, Greets, and Expresses happiness. The researcher rated the presence of these behaviors during a single activity.
*SCERTS Expression of Intentions and Emotions Worksheet* was used to record the presence of any expressive strategies used by the young person from a list of 16 operationally-defined socio-communicative behaviors (e.g., Requests desired food, Takes turns, Comments on object, and Expresses happiness). Whether the young person used pre-symbolic means (e.g., eye-gaze, facial expressions, reaching, showing, or waving) or symbolic means (e.g., delayed echolalia, sign language, or a picture system) also was recorded.
*The SCERTS Interpersonal Support checklist* was used to record the social or interpersonal supports. These are the strategies that adults use to adapt their communication style to suit a young person’s needs. This checklist included 33 criterion-referenced items, which relate to how a child’s communication partner can adapt his or her communicative style. These supports can be categorized into the following groups: being responsive to the child, fostering initiation, respecting a child’s independence, setting the stage for engagement, providing developmental support, adjusting the adult’s language input, and modeling appropriate behaviors.
*The SCERTS Learning Support checklist* was used to record environmental or learning supports, which represent the way the environment is organized to foster young people’s communicative competence. These supports comprise, for example, the use of Alternative and Augmentative Communication (AAC); the use of visual and organizational support; and the adjustment of goals, activities, and the environment in an attempt to foster active participation from the young person. The presence of any of these supports from a predefined list of 25 potential strategies was recorded.
**General Procedure**
Observations were made in an unobtrusive manner. The structured observation schedule was completed as soon as an activity (such as a breakfast routine, playtime or subject lesson) started, until the activity ceased. Immediately following the activity, the researcher completed the four SCERTS checklists. This process was repeated throughout the day, during different activities and interactions with different adults and across settings for each of the three participants and their communicative partners.
**RESULTS**
Overall, the researcher spent a total of 27 hours with the students to understand how they spend a day in a residential school with the people who support them. Within this time, spent 9 hours and 33 minutes conducting structured observations across a range of 16 activities. In this section, we detail students’ experiences during our observations on a case-by-case basis, using illustrative vignettes to identify their communicative attempts and the degree and nature of adults’ responses to them.
To begin, we present information about the individual student’s background, followed by summarizing results of the structured observations. Here, we focus on (i) the total number of bids made by the young person across the observed activities, (ii) whether these bids were responded to by the adult and (iii) whether any subsequent interactions were reciprocal in nature. We also examine the extent and nature of children’s communicative acts as a function of activity, which we classified into three categories: instructional, recreational, caregiving. Next, we report the results from the SCERTS checklists, which describe the range of the student’s communicative behaviors, evidence of his or her social-emotional well-being, and the number of social and environmental adaptations that the adults used across the structured observation. Finally, we present vignettes (two for each child) to illustrate the nature of the
child-adult interactions for two different activities and how successful the child was in making his/her views known.
**Evie**
Evie is a 13-year-old girl with Rett Syndrome, who is non-ambulant and who has a history of epileptic seizures. She attended a school that catered for children and young people with profound learning difficulties and complex medical needs. At the time of this study, Evie had attended the school for 4 years. According to her parents, she is a sociable child, whose vocalizations are well understood by school staff. ‘School staff stated that they understood Evie’s preferences through eye gaze, vocalizations and sometimes reaching or touch, explaining, “they recognize them and they think, ‘yeah, this is just her being fed up, this is her in pain.’ It’s not very often where they think, ‘I’ve got no idea’.”.
Teaching staff reported that Evie was working at P level\(^3\) 3 and aspects of P level 4. At P level 3, pupils are described to be communicating intentionally, such as seeking attention through eye contact, gesture or action. They will be able to request events or activities, by reaching, for example. At P level 4, pupils are starting to use emerging conventional communication and can greet familiar people, initiate interactions and activities and respond to choices with actions, such as picking up one object over another (U.K. Department for Education, 2014).
One researcher spent a total of 12 hours with Evie, beginning the observation at 7am during the ‘home’ part of school. Evie then transitioned into school and was supported by school staff and a physiotherapist across group activities, including time in the hydrotherapy and sensory room. Structured observations were conducted for 5 hours and 9 minutes, across eight different activities including three home caregiving activities (breakfast, brushing teeth
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\(^3\) In England, performance attainment targets (P scales) supplements the National Curriculum by specifying performance descriptors for children who are not able to access the national curriculum. The performance descriptors are used to describe the types and range of performance that pupils may demonstrate when they are at an early developmental stage (U.K. Department for Education, 2014).
and dinner), four school instructional activities (hydrotherapy pool, art, ‘body bonanza’ and sensory lights) and one school caregiving activity (lunch) (range for each activity = 16 – 60 minutes). This particular school had an open door policy for family members to work with Evie throughout her day. On the day of the observation, Evie’s grandmother supported her during three school activities (see Table 1) in the afternoon until the end of the day when the observation ceased, at 7pm.
Child-initiated interactions. Over the course of the structured observations, Evie initiated communication 101 times (0.33 per minute) (see Table 1). The majority of these initiations (93%) were responded to by her communication partner, but just over one-third of these bids (36%) led to further reciprocal interaction.
Examination of Table 1 shows that the frequency of Evie’s communicative acts depended on the type of activity and who was her communicative partner (Evie’s grandmother versus school staff). Evie made 56 bids for communication (almost 1 per minute) during an hour-long Art session – where adults had offered both developmentally appropriate activities and offered her pieces of a banana to soothe her after she became unhappy – but she made many fewer initiations during other instructional or caregiving activities. School staff responded to all of Evie’s communicative bids during the home and school activities, but Art was also the only activity that generated reciprocal (child-staff) interactions.
Furthermore, across Activities 6, 7 and 8 for which Evie’s grandmother was her main communicative partner, Evie initiated communication 37 times (0.34 per minute). Her grandmother responded to the majority of these initiations (81%), and most of these (70%) led to an interaction that was reciprocal in nature. Across the five activities that were supported by
staff, Evie made 64 bids for communication (0.32 per minute). All of these bids (100%) were responded to by teachers and support staff but, interestingly, only eight of these interactions (12%) were deemed reciprocal.
**Adult-initiated interactions.** Adults initiated a total of 128 interactions (0.41 per minute) with Evie across the 8 different activities (see Table 1) of which she responded to 98 of them (77%). Twelve of these interactions (9%) were reciprocal in nature. Of the 128 adult-initiations, staff members initiated the majority of these (92 bids), with 70 of these (76%) being responded to by Evie. Again, the activity that generated the most responses from Evie was Art. None of these, however, resulted in reciprocal interaction. By contrast, Evie’s grandmother initiated the remaining 36 interactions across 3 activities, with Evie responding to the majority of them (78%). Most notably, just under one half of these interactions with her grandmother (43%) led to a reciprocal interaction.
**Range of communicative behaviors.** Evie displayed an almost complete range of non-verbal social communicative behaviors to express herself, including eye gaze, facial expression, simple motor actions, crying, reaching, pushing away, showing, headshakes, nods and differentiated vocalizations (see Table 2). These were used for the purposes of behavior regulation, social interaction and expression of emotions, and communicating. She did not, however, demonstrate any joint attention behaviors with the intent of commenting on objects, actions, or events.
**Social Emotional Growth Indicators.** Evie experienced activities that were generally supportive of her social emotional growth across the day. The highest social emotional growth scores (70%) were recorded during Art (see Table 1), which also elicited the greatest number of communicative exchanges. Conversely, her social emotional growth scores were rated to be the lowest (40%) when she was brushing her teeth, a ‘must do’ activity that potentially has little room for flexibility, choice and autonomy. The most variation across activities was found
within the active learning and organization domain, which related to Evie’s opportunities to problem solve and interact with her environment – areas that may be particularly difficult for adults teaching a child with Evie’s significant mobility challenges.
Insert Table 2 about here
**Supports used by adults.** Across the entire 5-hour structured observation period, adults were observed to use a wide range of interpersonal supports (range = 21 – 30 of a possible 33) (see Table 1 for scores and Table 3 for examples). Similarly, adults were also observed to use a variety of learning supports (range = 10 – 20 of a possible 25), adapting the environment in a range of ways within individual activities.
Insert Table 3 about here
Vignettes describing the researcher’s observation of Evie during two activities (Table 3) illustrate the significant challenges Evie faces in participating independently within an activity. She became disengaged at several points during the activities, either through a lack of available support and/or through her own difficulties expressing herself. Nevertheless, the resulting narratives paint a picture of a caring and responsive relationship between Evie and the adults who support her. Data obtained from the SCERTS checklists divide the nature of each interaction into its constituent parts – the nature of Evie’s communicative bids and the types of supports that adults used. In both activities, it was clear that adults were responding to Evie’s communicative needs, recognizing that both her eye gaze and vocalizations have communicative intent, and then acting accordingly. The nature and degree of support increased
during the activities, so that the adults supporting Evie responded consistently to her communicative behavior, with regard to making choices, sharing emotions, and protesting.
**Adam**
Adam is an 8-year-old boy educated within a school that cares for children and young people with ‘the most severe and complex learning difficulties’. Adam has a diagnosis of autism spectrum disorder. Adam is energetic and ambulant. According to school staff, he can use a range of photographs and pictures to express his choices.
Adam was described to be working at P levels 3 and 4. P level 3 describes how a pupil can communicate intentionally by seeking attention and requesting activities. At P level 4, pupils are able to use a repertoire of objects of reference or symbols. They can use signs and/or symbols for familiar objects and communicate their likes and dislikes. Pupils working at P level 4 can respond to simple requests which contain one key word and can also understand that symbols convey meaning, by placing or choosing photographs, for instance (U.K. Department for Education, 2014).
The researcher spent 5 hours with Adam, during which his teacher provided one-to-one support. The observations began at breakfast, followed by a 1:1 sensory-based activity, a music session, and ended after Adam had finished his lunch. Of these 5 hours, structured observations of Adam were completed for 2 hours and 10 minutes across 3 different activities (see Table 4).
Insert Table 4 about here
**Child-initiated interactions.** Over the course of the structured observations, Adam initiated communication 31 times (0.24 per minute). Most of these initiations (77%) were responded to by his communicative partner and the majority of these (67%) went on to become reciprocal interactions. The extent of Adam’s communication differed according to activity
(see Table 4), with his interaction during breakfast eliciting substantially more bids for communication during that time (0.48 per minute) than for the other two activities (0.17 per minute each).
**Adult-initiated interactions.** Adults working with Adam initiated a total of 22 interactions (0.17 per minute), of which 18 (82%) were responded to by Adam. Only a minority of these interactions (11%), however, led to further reciprocal interaction in one (instructional) activity only.
**Range of communicative behaviors.** Of the 16 behaviors detailed in the SCERTS intentions and emotions worksheet, the researcher observed Adam use 9 of these, including proximity, eye-gaze, facial expressions, crying, reaching, pushing away, spitting and the use of pictures (see Table 2). These were largely pre-symbolic, although he was able to use pictures to communicate his needs on one occasion. Adam did not demonstrate any behaviors with the intent of commenting on objects, actions or events during the observation session.
**Social Emotional Growth Indicators.** Adam’s scores were reasonably consistent across all activities (see Table 4). It is notable that, even in a lesson (Activity 3) that broke down (see Vignette 2, Table 5 for details), his social emotional growth was nevertheless rated as relatively high due to the nature of the strategies that his teacher used to re-engage him in the activity. When the adult provided respectful supports such as ‘interpreting Adam’s behaviors as communicative / regulatory’, ‘allowing him space and time to organize himself’ and ‘following Adam’s interests and attention focus’, Adam was rated highly in terms of sense of self, social membership and independence domains even though he scored less in active learning and cooperation.
**Supports used by adults.** Across the structured observation period, the researcher observed adults use the majority of interpersonal supports outlined in the SCERTS checklist (range = 24 – 26 of a possible 33) (see Table 4 for scores and Table 5 for examples). Adults
were also observed using a large range of learning supports (range = 17 – 20 of a possible 25), making many adaptations to the environment within individual activities (see Table 5 for examples).
Insert Table 5 about here
In the illustrative vignettes described in Table 5, Adam was observed to be a young man with clear and often strong views about how he wanted to spend his time. This is evidenced across both activities through his communication of clear choices at breakfast time and through the intensity of his protests at school regarding horse riding. Differences in the type of adult supports during these two child-adult interactions are noteworthy. During breakfast, there were a range of visual supports enabling Adam to make a series of unambiguous, spontaneous requests. Later that morning during school time, the adults supporting him provided no visual supports – at least to begin with. Consequently, Adam’s communication attempts for this period were ambiguous. For example, he sat down when shown the horse-riding symbol. At this point, the class teacher attempted to repair this communication breakdown. He checked that Adam had understood what had been communicated to him by showing him a pair of riding boots, thus providing an alternative cue to the meaning of the original message. When this was met with similar refusals, he employed a range of sophisticated social and environmental adaptations to find out how Adam wanted to spend his time. The teacher selected a motivating activity, responding to Adam’s bid for joint attention, and allowing the activity to develop slowly. Finally, he created an opportunity for Adam to confirm that this was an activity that he wanted to continue.
Leah
Leah is an 11-year-old girl, attending a residential school supporting children and young people with profound learning difficulties. Leah is a twin, who was born at thirty weeks and shortly after birth, she contracted meningitis, which has had a lifelong impact on her development. Leah has profound and multiple learning difficulties, she is a wheelchair user and also has visual impairment. She is visited by her mother three times per week and by her father once a week. A member of her care staff described her as a ‘sociable’ and ‘happy’ girl. Leah is able to turn her head towards sounds that interest her and will smile and vocalize in response to an event that she enjoys. Leah is described by her mother as being socially aware and a person who often responds to familiar people with a smile.
Leah was assessed by school staff to be working at P levels 1 and 2. For pupils attaining these levels, they are described to encounter activities and experiences in a passive or resistant way and to show emerging awareness by having periods of alertness. This awareness may include focusing attention on certain objects and attending briefly in interactions with another person. Students at this level will start to respond consistently to familiar people, such as by smiling, and will engage in shared exploration and fully supported participation (U.K. Department for Education, 2014). The researcher spent 10 hours with Leah and collected 2 hours and 14 minutes of structured observational data across 5 activities, including a range of instructional, caregiving and recreational activities (see Table 6).
Child-initiated interactions. Over the course of the structured observation, Leah’s rate of communication was relatively low (0.17 per minute), with her initiating communication only 23 times over the 134 minutes of observation (see Table 6). Leah’s rate of communicative acts did not vary greatly between the different activities, with the exception of story time during
school, which elicited slightly more bids for communication from Leah (0.31 per minute). Adults responded to her bids for communication the majority of the time (70%). Only one (3%) of Leah’s successful bids for communication, however, led to a reciprocal interaction.
**Adult-initiated interactions.** Adults initiated many interactions with Leah during the observation (0.77 per minute), of which Leah responded to only a minority (4%) of them. None (0%) of these interactions, however, led to an interaction that was deemed reciprocal in nature.
**Range of communicative behaviors.** Leah displayed fewer communicative behaviors than the two other children described herein, displaying only half of the behaviors described in the SCERTS intentions and emotions worksheet (see Table 2). Nevertheless, she was able to use eye gaze, facial expressions, crying, reaching, differentiated vocalizations and pushing away as a means to communicate with the adults supporting her. Like the other children, she did not demonstrate any behaviors that seemed to indicate a bid for shared attention on objects, actions, or events.
**Social Emotional Growth Indicators.** Across the 5 observed activities, Leah’s social emotional growth scores were commensurate with other parts of her observation. She scored the lowest of the 3 children achieving scores between 17 (43%) in the morning and 9 (23%) at the end of the day. Her scores reduced across the day, which staff suggested could be due to her feeling uncomfortable in her wheelchair. Across the 5 activities, the researcher recorded the highest scores in the ‘happiness’ domain (range = 5 – 2 of a possible 5). Leah’s lowest scores were across the sense of self, independence and active learning domains but this may not be surprising, given her complex and significant needs and challenges with vision and mobility.
**Supports used by adults.** Adults demonstrated a large range of interpersonal supports (range = 9 – 23 of a possible 33) and environmental adaptations (range = 5 – 15 out of a possible 25) (see Table 6). Note that 6 of these (organizational and visual) supports detailed in the
SCERTS checklist could not be employed with Leah due to her visual impairment. Nevertheless, it is noteworthy that the scores on the interpersonal and learning supports checklists were particularly low for the school storytime session (Activity 4) and, unusually, was an activity in which only 5 out of 12 (42%) of Leah’s communicative bids were responded to. Information from notes made during the observation revealed that this activity involved a high proportion of spoken language and had potential for a wider range of environmental and social modifications to be used, which may have better facilitated Leah’s engagement.
The vignettes illustrated in Table 7 describe a child whose levels of participation can vary dramatically across the course of a day. Data from the SCERTS checklists across the two activities clearly show that while Leah showed no observable communicative behaviors in the hydrotherapy pool, she nevertheless showed six different ways to communicate her wishes during the *Gruffalo* book-reading session (Activity 5). In the former case, the first vignette shows that the social and environmental adaptations made in the pool – namely securing Leah’s attention, modelling activities and adjusting language – did not result in any communicative behaviors. By contrast, in the *Gruffalo* book-reading session, Leah was able to express a range of different emotions including happiness. Although there are seemingly a low number of supports used, the environment was structured to be motivating, predictable and repetitive, and Leah received responses to her communicative bids.
**Discussion**
Previous studies (Nind et al., 2010; Wong & Kasari, 2012) have demonstrated that the relationship between children with intellectual difficulties and complex communication needs and the adults who support them is dynamic and transactional. Here, we implemented a set of tools designed to detail the nature and extent of children’s communicative acts \textit{and} the supports used by the adults working with them. The ethnographic methods, observational schedules and checklists allowed a fine-grained analysis of children’s spontaneous communicative behavior
in naturalistic school and ‘home’ settings and of the way that these behaviors were recognized, interpreted and responded to by their communicative (adult) partners. The three case studies of children with severe-to-profound intellectual disability and complex communication needs clearly illustrate that they each had various ways to make their intentions known and that the adults supporting them recognized the majority of their bids for interaction – their often-idiosyncratic vocalizations, gestures and expressions.
Nevertheless, children’s rates of bids for communication were low (Evie: 0.33 per minute; Adam: 0.24 per minute; Leah: 0.17 per minute). These estimates are in contrast to the rates of initiation documented by Shumway and Wetherby (2009) for much younger (18–24 month-old) autistic (M=1.23 bids per minute), developmentally-delayed (M=1.81 per minute), and typically developing (M=2.4 per minute) children. These rates are also lower than the rate of intentional communication acts measured by Brady et al. (2004) in younger, preverbal children (M= 2.74 bids per minute) of mixed etiology using the Communication and Symbolic Behavior Scales (Wetherby & Prizant, 1993).
Discrepancies in rates of initiations between studies may be related to sampling characteristics. The children observed herein appear similar in their rate of initiations to those described in McLean, McLean, Brady and Etter (1991) as ‘contact communicators’ (i.e., those who use communicative acts but make little use of words, signs, or conventional distal gestures) but dissimilar to those described in Brady et al. (2004) as ‘distal communicators’ (i.e., those who make use of a distal communicative act, such as pointing or eye contact with a person not in immediate contact with the participant). Although it is likely that the severity of the children’s intellectual ability accounts for some of the differences between studies, it is particularly relevant that two children in our study had complex physical needs that may have prevented them from making, or from a communicative partner noticing, certain distal bids for communication relative to children with less severe difficulties.
Interestingly, and in keeping with the findings of McLean et al. (2000) and Brady et al. (2004), the structured observation schedule used in this study was effective in capturing a range of communication acts, including initiations and responses and showed differences both between and within individuals. For instance, the extent of some children’s communicative bids during the observations varied according to context. Evie’s rate of (child-initiated) communication during one particular activity -- Art -- far exceeded her rate for other activities. Importantly, the in-depth ethnographic work revealed why this was the case. Within Art, the adult was especially attuned to Evie’s needs, presenting a range of developmentally-appropriate activities, meaningful interaction and food to soothe her when she became upset, thus increasing the range of communicative opportunities Evie enjoyed during this period.
The observations also revealed marked inconsistencies in the extent to which children’s bids for interactions developed into a reciprocal exchange. Evie’s grandmother and Adam’s teacher developed 70% and 67% of children’s communicative bids into a longer communicative exchange with several turn-taking sequences, whereas Leah and Evie’s staff teams achieved only 8% and 4%, respectively. Understanding how children can be supported to engage in reciprocal interaction is important because these interactions play a critical role in the development of children’s expressive language. In recent work, DiStefano, Shih, Kaiser, Landa and Kasari (2016) conducted a play and engagement-based intervention and found that the number of reciprocal interactions a child engaged with at baseline was positively associated with their development of language over the course of the 6-month intervention. Interestingly – and importantly for the current context – reciprocal interaction developed less often when adults initiated bids than when children initiated bids. When children initiate bids for interaction, this is thought to set the pace and tone for the adult to attune and respond to appropriately.
Differences across children with regard to reciprocal interaction could have resulted from differences in adults’ degree of familiarity with the students and their often-idiographic communicative and learning needs (see also Pellicano et al., 2014, Williams, 2005 and Wong & Kasari, 2012). Differences also could have resulted from variation in adults’ confidence, experience, and expertise in working with children with severe-to-profound intellectual disabilities and complex communication needs. We observed a variety of staff working with the three young people – some were highly specialized (e.g., physiotherapist) while others may have received little training (e.g., teaching assistants). Unfortunately, we did not ask our adult participants to report on their level of training and experience. Future research should record adults’ professional experience and their self-efficacy with regard to enabling children to communicate through social or environmental adaptations to examine whether these factors influence children’s communication exchanges.
The combination of tools used here was sufficiently sensitive to identify the extent and nature of child-adult interactions that have been suggested by previous authors to be linked to positive language outcomes, including joint attention skills (Wong & Kasari, 2012), reciprocal communication (DiStefano et al., 2016), spontaneous expressive (prelinguistic) communication skills (National Research Council, 2001), especially distal points (Brady et al., 2004; McLean et al., 1999), and responsiveness in communicative partners (Baumwell, Tamis-LeMonda & Bornstein, 1997; Brady et al., 2004; Saxon, Colombo, Robinson, & Frick, 2000; Wetherby, Guthrie, Woods, Schatschneider, Holland, Morgan, & Lord, 2014). In particular, these methods, which were derived in part from the SCERTS framework (Prizant et al., 2006), showed that adults play an important role in supporting these children’s communicative bids – both flexibly adjusting their behavior (interpersonal supports) and aspects of the environment (learning supports). For example, data from the checklists revealed that, for Evie, her communication partner needed to use a variety of both interpersonal and learning supports to
be responsive to her subtle bids for communication, whereas Adam’s adult partner employed a range of learning supports in the form of AAC support and environmental adaptations. Yet, our data also showed that there was some variability in the extent to which adults used these supports, which again might be related to their familiarity with the child and/or their level of experience and expertise.
The results of this study have significant implications for current practice. The methods used in this study – the combination of rich ethnographic methods with structured observations and SCERTS behavioral checklists – revealed subtle and fine-grained nonverbal cues and supports that might otherwise be overlooked in autistic and non-autistic children who have the greatest learning and communication challenges. These methods could therefore be used as a reflective tool for practitioners to recognize the distinctive communicative acts of these children (see also Goldbart, Chadwick and Buell, 2014), to identify the way that they manifest socio-emotional wellbeing across the day, and to set individualized goals to increase engagement.
The total observation time presented here, however, might be difficult to implement in practice. Although it would certainly be possible to observe children for smaller time frames, our data (particularly from Evie’s case study) nevertheless highlight the importance of observing the child across multiple activities and different communicative partners. Practitioners also might consider modifying the sampling time used in the structured observations. Here we used a 60-second interval but this could have been increased (e.g., to 120 seconds) without any significant loss of information given the particularly low rates of communication of these children.
The use of the SCERTS checklists might also be one way for educators to identify opportunities to support the child’s communication and to identify improvements in the same adults’ interpersonal and learning supports across multiple time points. In the current study,
such opportunities would include when Evie was left for breakfast, when Leah was in the hydrotherapy pool, and when Adam was experiencing communication breakdown. This approach should allow educators to build an individualized evidence base of support strategies for each child during specific activities and enable them to understand better which specific practices and support strategies are of benefit to individual learners (Goldbart et al, 2014). Indeed, one recent study has shown that the SCERTS model is promising in being able to support educators in promoting good practice and ways of working together as a team (Molteni, Guldberg, & Logan, 2013). Furthermore, this approach aligns with claims that standardized measures may not be appropriate for some populations (Chabon, 2012) and instead supports the need to understand an adult’s role in facilitating how children learn (Imray & Hinchcliffe, 2014).
**Limitations**
There are several limitations to this study. First, this study is necessarily limited by the small number of children who were observed, who also showed substantial variation in the nature of their difficulties, especially with regards to etiology. Although we observed the children intensely for a considerable amount of time across several different activities and communication partners, children with such complex difficulties often vary considerably from day to day both in their behavior and emotional wellbeing. Observing these children in a number of settings across several days – or weeks – might have strengthened the results.
Second, the observations were conducted by a single researcher and because they were not filmed we cannot establish the reliability of the measures used. This concern is especially related to the SCERTS checklists, which required the researcher to interpret children and adults’ behaviors, rather than simply record them as in the structured observations. Indeed, interpreting the communicative behavior of young people with complex needs is an inferential process (Ware, 2004), a difficulty that applies for both researchers and communicative
partners. Future research could benefit from filming a portion of the observations – ideally taken across different days – both to establish the reliability of the coding scheme and checklists and to use the recordings as a reflective tool for practitioners. Ethnographic video recording raises ethical concerns regarding children’s privacy, however (Aarsand & Forsberg, 2010). Researchers should therefore balance the need for reliability with the need to maintain children’s privacy, especially since they are unable to provide informed consent.
**Conclusion**
The views and experiences of children with severe-to-profound intellectual disabilities and complex communication needs are often neglected – both in research and in practice. Article 12 of the United Nations Convention of the Rights of the Child explicitly states that children have the right to participate in decision-making about their lives. Shier (2001), however, has noted this is “one of the provisions most widely violated and disregarded in almost every sphere of children's lives” (p. 108). For professionals working with children and young people with complex, severe, profound and multiple needs, this presents a considerable challenge. The techniques developed in this study show some promise in developing this aim.
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Pellicano, E., Hill, V., Croydon, A., Greathead, S., Kenny, L., & Yates, R. with Wac Arts. (2014). *My life at school: Understanding the experiences of children and young people with special educational needs in residential special schools*. London, UK: Office of the Children’s Commissioner.
Prizant, B. M., Wetherby, A. M., Rubin, E., & Laurent, A. C. (2003). The SCERTS Model: A transactional, family-centered approach to enhancing communication and socioemotional abilities of children with autism spectrum disorder. *Infants & Young Children, 16*, 296-316.
Prizant, B. M., Wetherby, A. M., Rubin, E., Laurent, A. C., and Rydell, P. J. (2006). *The SCERTS Model: Volume I Assessment*. Baltimore, MD: Brookes Publishing.
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List of tables
Table 1
The frequency of Evie’s communicative acts and the range of supports provided by adults across the different activities.
Table 2
The range and function of spontaneous communicative behaviours for each child.
Table 3
Vignettes describing two observed activities with Evie, including both the nature of her communicative bids and the strategies used by adults to support her.
Table 4
The frequency of Adam’s communicative acts and the range of supports provided by adults across the different activities.
Table 5
Vignettes describing two observed activities with Adam, including both the nature of his communicative bids and the strategies used by adults to support him.
Table 6
The frequency of Leah’s communicative acts and the range of supports provided by adults across the different activities.
Table 7
Vignettes describing two observed activities with Leah, including both the nature of her communicative bids and the strategies used by adults to support her.
Table 1. The frequency of Evie’s communicative acts and the range of supports provided by adults across the different activities.
| Type of activity | Activity 1 Home caregiving Breakfast | Activity 2 Home caregiving Brushing teeth | Activity 3 School instructional Hydro-therapy pool | Activity 4 School instructional Art | Activity 5 School caregiving Lunch | Activity 6a School instructional Body Bonanza | Activity 7a School instructional Sensory Lights | Activity 8a Home caregiving Dinner | Total |
|------------------|--------------------------------------|------------------------------------------|---------------------------------------------------|-----------------------------------|-------------------------------------|---------------------------------------------|---------------------------------------------|------------------------------------|-------|
| Duration (minutes) | 52 | 16 | 32 | 60 | 40 | 32 | 20 | 57 | 309 |
| Structured observation: total number (rates per minute) | | | | | | | | | |
| Child-initiated interaction | 4 | 0 | 3 | 56 | 1 | 20 | 5 | 12 | 101 (0.33) |
| Adult responded to child | 4 | 0 | 3 | 56 | 1 | 20 | 5 | 5 | 94 |
| Communication led to reciprocal interaction | 0 | 0 | 0 | 8 | 0 | 20 | 5 | 1 | 34 |
| Adult-initiated interaction | 11 | 10 | 28 | 20 | 23 | 11 | 12 | 13 | 128 (0.41) |
| Young person responded to adult | 5 | 6 | 18 | 20 | 21 | 11 | 10 | 7 | 98 |
| Communication led to reciprocal interaction | 0 | 0 | 0 | 0 | 0 | 11 | 0 | 1 | 12 |
| SCERTS Social Emotional Growth Indicators | | | | | | | | | |
| Happiness /5 | 3 | 3 | 4 | 5 | 3 | 4 | 5 | 5 | 5 |
| Sense of self /5 | 3 | 2 | 2 | 4 | 3 | 2 | 2 | 2 | 2 |
| Sense of other /5 | 2 | 1 | 3 | 4 | 2 | 4 | 4 | 2 | 2 |
| Active learning & Organisation /5 | 2 | 0 | 3 | 1 | 4 | 1 | 1 | 1 | 1 |
| Flexibility and Resistance /5 | 2 | 2 | 2 | 3 | 2 | 2 | 1 | 1 | 1 |
| Cooperation / Appropriateness /5 | 2 | 3 | 4 | 4 | 2 | 3 | 3 | 2 | 2 |
| Independence /5 | 3 | 3 | 3 | 3 | 2 | 3 | 4 | 4 | 4 |
| Social Membership / friendship /5 | 3 | 2 | 3 | 4 | 3 | 3 | 4 | 4 | 4 |
| Total out of 40 (%) | 20 (50%) | 16 (40%) | 24 (60 %) | 28 (70%) | 23 (58%) | 22 (55%) | 24 (60%) | 21 (53%) | |
| SCERTS Interpersonal Supports Checklist | | | | | | | | | |
| Responsive to child /8 | 7 | 7 | 8 | 8 | 7 | 7 | 5 | 8 | |
| SCERTS Learning Supports Checklist | Structures for active participation /5 | Uses AAC\(^b\) device to foster development /4 | Uses visual/organisational support /6 | Modifies goals/activities/environment /10 |
|-----------------------------------|----------------------------------------|-----------------------------------------------|------------------------------------------|------------------------------------------|
| | 4 | 1 | 3 | 4 |
| | 2 | 2 | 2 | 4 |
| | 5 | 1 | 10 | 9 |
| | 5 | 3 | 7 | 7 |
| | 5 | 3 | 3 | 6 |
| | 4 | 2 | 2 | 5 |
| Total out of 25 (%) | 12 (48%) | 10 (40%) | 18 (72%) | 20 (80%) |
Notes: \(^a\)Communication partner was child’s grandmother; \(^b\) AAC: Augmentative and Alternative Communication
| Communicative intentions | Number of initiations | Pre-symbolic means | Symbolic means |
|--------------------------|-----------------------|--------------------|----------------|
| **BEHAVIOUR REGULATION** | | | |
| Requests desired food or objects | 8 | Eye gaze (shifting), crying, reaching, showing | |
| Protests/refuses undesired food/objects | 11 | Facial expression, Tantrum, Headshake, Differentiated vocalisations, pushes away, head shake | |
| Requests help/other adaptations | 2 | Eye gaze, Differentiated vocalisations, head nod, crying | |
| Protests undesired actions or activities | 30 | Facial expression, crying, pushing away, head shake | |
| **SOCIAL INTERACTION** | | | |
| Requests comfort | 4 | Eye gaze, crying, differentiated emotions | |
| Requests social game | 9 | Eye gaze, differentiated vocalisations | |
| Takes turns | 2 | Eye gaze, facial expression, differentiated vocalisations, | |
| Greets | 5 | Eye gaze, facial expressions | |
| Calls Shows off | 1 | Differentiated vocalisation | |
| **JOINT ATTENTION** | | | |
| Comments on object | 0 | Eye gaze, | |
| Comments on action or event | 0 | Eye gaze, | |
| **EXPRESSION OF EMOTIONS** | | | |
| Expresses happiness | 13 | Eye gaze, Facial expression, differentiated vocalisations, simple motor actions (clapping) | |
| Expresses sadness | 9 | Eye gaze, Crying, facial expression, differentiated vocalisations | |
| Expresses anger | 5 | Crying, pushing away, Facial expression, differentiated vocalisations | |
| Number of initiations | Pre-symbolic means | Symbolic means |
|-----------------------|--------------------|----------------|
| **Leah** | | |
| 2 | Eye gaze (shifting), reaching, differentiated emotions | Differentiated emotions |
| 2 | Eye gaze (shifting), crying | |
| 6 | Eye gaze (shifting), facial expression, crying, pushing away, spitting clapping | |
| **Adam** | | |
| 11 | Eye gaze (shifting), reaching | Pictures, signs (clapping) |
| 1 | Eye gaze (shifting), proximity, pushing away | |
| 1 | Eye gaze (shifting), facial expression, reaching | |
| 5 | Proximity, Eye gaze (shifting), Proximity, Eye gaze (shifting), facial expression | |
| 0 | Eye gaze (shifting), facial expressions | |
| 2 | Facial expressions, differentiated emotions | |
| 1 | Eye gaze (shifting), facial expressions | |
| Expresses fear | 4 | Facial expression, differentiated vocalisations | 4 | Crying, differentiated emotions | 23 |
|---------------|---|---------------------------------------------|---|---------------------------------|----|
| TOTAL | 101 | | | | 31 |
Table 2. *The range and function of spontaneous communicative behaviours for each child.*
Table 3. Vignettes describing two observed activities with Evie, including both the nature of her communicative bids and the strategies used by adults to support her.
| Ethnographic Data | SCERTS® checklists |
|-------------------|--------------------|
| **Narrative** | **Evie’s communication** | **Adult Supports** |
| **Vignette 1** | | |
| Breakfast. At 7.30am, Evie was awake, dressed and watching television in the lounge. She was alone and had a mouthful of Weetabix, which she was not chewing. After eleven minutes of holding it in her mouth, she started pushing her Weetabix out so that it fell on to her chin. Evie looked towards me and held eye contact. She started to struggle to wipe her face and made short vocalisations. In response to this, I took a towel and helped Evie to clear the food from her face. I then left to find staff to inform them that Evie required support. When staff arrived, they tried to persuade Evie to continue eating by feeding her the Weetabix, however Evie turned her head away. A staff member chatted casually to her and asked, “What else shall we try?” The staff member explained that they have three options for breakfast, so that Evie could choose what to eat. After | Looks towards people Requests help when frustrated Responds to sensory and social experiences with differentiated emotions Protests undesired actions or activities | Follows child’s focus of attention Responds appropriately to child’s signals to foster a sense of communicative competence Adult offers choices |
| waiting for Evie to turn her head, the adult offered yoghurt, which she accepted. She then modelled to Evie how to hold her drink, to help her understand that this was what she was asked to do. Evie was then able to do this for a short time. The staff member also opened her own mouth and softly touched Evie’s mouth asking “can I just have a look?” to check whether she had swallowed her food. | Makes choices when offered by partners
Anticipates another person’s actions within a familiar routine
Responds to bids for interaction | Attunes to child’s emotion and pace
Provides guidance for success in activities |
| --- | --- | --- |
| **Vignette 2**
2pm, school. When Evie joined her class, she seemed unhappy. Firstly, she started to make sharp, small noises, but these progressively became longer and louder and then she started to cry. The staff member working with Evie was empathetic towards her: “What’s the matter? I know, I know”, “Did you not like coming out of the pool?” Evie continued crying for 19 minutes. For part of this time the member of staff walked her around the school for a “change of scenery”, reporting that Evie sometimes enjoyed this. She also brushed Evie’s hair to try to soothe her. | Protests undesired actions or activities
Responds to sensory and social experiences with differentiated emotions
Soothes when comforted by partners
Uses appropriate rate of communication for context
Responds to bids for interaction | Recognises signs of dysregulation and offers support
Offers break from interaction or activity as needed
Recognises and supports child’s behavioural strategies to regulate arousal level
Facilitates reengagement in interactions and activities following breaks
Uses appropriate proximity and nonverbal behaviour to encourage interaction
Imitates child |
| On return to the class, Evie’s class teacher focused his attention on comforting her. He pulled a chair next to her and imitated her vocalisation, which became a brief reciprocal interaction between them. She looked closely at his face during this time. Her class teacher wondered aloud whether Evie was hungry, and held a banana out to her saying, “Hmm, banana?” The teacher waited for a response from Evie, who smiled after a short pause. During this time, Evie’s teacher sat next to her. They made eye contact for extended periods of time whilst Evie was eating. | Engages in extended reciprocal interaction | Creates turn taking opportunities and leaves spaces for child to fill in |
| --- | --- | --- |
| Shares positive emotion using facial expression and vocalisations | Offers choices non verbally |
| Looks towards people | Provides time to for child to solve problems / complete activities at own pace |
| | Responds appropriately to child’s signals to foster a sense of communicative competence |
| | Uses appropriate proximity and nonverbal behaviour to encourage interaction |
Table 4. The frequency of Adam’s communicative acts and the range of supports provided by adults across the different activities.
| Type of activity | Activity 1 (Home caregiving Breakfast) | Activity 2 (School instructional Child-led outside activity) | Activity 3 (School instructional Learning) | Total |
|------------------|----------------------------------------|-------------------------------------------------------------|------------------------------------------|-------|
| Duration (minutes) | 29 | 53 | 48 | 130 |
| Structured observation | | | | |
| Child-initiated interaction | 14 | 9 | 8 | 31 (0.24) |
| Adult responded to child | 14 | 5 | 5 | 24 |
| Communication led to reciprocal interaction | 8 | 3 | 5 | 16 |
| Adult-initiated interaction | 7 | 8 | 7 | 22 (0.17) |
| Young person responded to adult | 6 | 6 | 6 | 18 |
| Communication led to reciprocal interaction | 0 | 0 | 2 | 2 |
| SCERTS Social Emotional Growth Indicators | | | | |
| Happiness /5 | 5 | 5 | 4 | |
| Sense of Self /5 | 3 | 3 | 4 | |
| Sense of other /5 | 3 | 2 | 2 | |
| Active learning and Organisation /5 | 4 | 3 | 2 | |
| Flexibility and Resistance /5 | 2 | 4 | 3 | |
| Cooperation / Appropriateness /5 | 2 | 3 | 2 | |
| Independence /5 | 4 | 5 | 4 | |
| Social Membership / Friendship /5 | 4 | 3 | 3 | |
| Total out of 40 (%) | 28 (70%) | 28 (70%) | 24 (60%) | |
| SCERTS Interpersonal Supports Checklist | | | | |
| Responsive to child /8 | 8 | 7 | 7 | |
| SCERTS Learning Supports Checklist | 1 | 2 | 3 |
|-----------------------------------|---|---|---|
| Fosters Initiation /4 | 4 | 3 | 3 |
| Respects child’s independence /4 | 3 | 4 | 4 |
| Sets stage for engagement /4 | 4 | 4 | 4 |
| Provides developmental support /5 | 2 | 3 | 4 |
| Adjusts language input /3 | 2 | 2 | 2 |
| Models appropriate behaviours /5 | 1 | 3 | 1 |
| **Total out of 33 (%)** | 24 (73%) | 26 (79%) | 25 (76%) |
| SCERTS Learning Supports Checklist | 1 | 2 | 3 |
|-----------------------------------|---|---|---|
| Structures for active participation /5 | 5 | 5 | 5 |
| Uses AAC* device to foster development /4 | 2 | 3 | 3 |
| Uses visual/organisational support /6 | 4 | 4 | 4 |
| Modifies goals/activities/environment /10 | 6 | 8 | 8 |
| **Total out of 25 (%)** | 17 (68%) | 20 (80%) | 20 (80%) |
Notes: * AAC: Augmentative and Alternative Communication
Table 5. Vignettes describing two observed activities with Adam, including both the nature of his communicative bids and the strategies used by adults to support him.
| Ethnographic Data | SCERTS® checklists |
|-------------------|--------------------|
| **Narrative** | **Adam’s communication** | **Adult supports** |
| **Vignette 1** | | |
| Breakfast. Adam had his own breakfast menu that had been individually designed for him with photographs of a range of food and drinks. The teacher placed the pictures around him on the table and immediately after these were laid out, Adam chose a picture of cranberry juice and gave it to his teacher. The teacher left the table to pour the cranberry juice then held it in front of Adam, with the photograph, and stated; “Here’s your cranberry juice”. Adam then tapped the picture and the juice was given directly to him. Using this method, Adam also chose toast and Nutella. While waiting for the breakfast, Adam looked at his teacher, moving his head closer to the teacher and looking directly into his eyes. Adam repeated this 5 times. Each time his teacher reciprocated and copied his movement. | Makes choices when offered by partners | Uses AAC\(^a\) to foster communication and expressive language |
| | Looks towards people | Responds appropriately to child’s signals to foster a sense of communicative competence |
| | Makes choices when offered by partners | Uses AAC to foster communication and expressive language |
| | Looks towards people | Uses appropriate proximity and nonverbal behaviour to encourage interaction |
| | Engages in extended reciprocal interaction | Imitates child |
| | | Responds appropriately to child’s signals to foster a sense of communicative competence |
\(^a\) AAC: Augmentative and Alternative Communication
| Vignette 2 | Responds to visual cues | Uses AAC to foster understanding of language and behaviour |
|------------|-------------------------|----------------------------------------------------------|
| **10:05pm, school.** When Adam was ready to leave his room, his teacher asked him to go outside by placing a symbol on his choosing book that represents horse riding. | Makes choices when offered by partners | Interprets problem behaviour as communicative and/or regulatory |
| Adam seemed to have decided that he didn’t want to go; he sat on the floor in the lounge and spat when his teacher came near him. The teacher felt that Adam needed time to calm down and after 10 minutes, when he had stopped spitting, the teacher entered the room and tried again. This time he used an object of reference, Adam’s riding boots, but he received the same response. The teacher retreated from the room again, left Adam for a further | Protests undesired actions or activities | Honours protests, rejections and refusals when appropriate |
| | Looks towards people | Infuses motivating materials into activities |
| 3 minutes and then tried another activity. | Re-engages in interaction or activity after recovery from extreme dysregulation | Uses appropriate proximity and non-verbal behaviour to encourage interaction |
|------------------------------------------|---------------------------------------------------------------------------------|--------------------------------------------------------------------------------|
| The teacher entered the room and went straight to a cupboard, pulling out a massage box. Adam didn’t spit this time and looked at what his teacher was doing. The teacher pulled a chair behind Adam and indicated for Adam to move closer, by tapping the floor in front of him. Adam did this. Adam then held out his hand towards his teacher, to which his teacher said, “You want me to massage your hand?” and started to do so. After a minute, the teacher stopped and asked, “Do you want more or are you finished?” Adam clapped his hands, which staff interpreted to mean more and the massage continued. | Anticipates another person’s actions within a familiar routine | Responds appropriately to child’s signals to foster a sense of communicative competence |
| | Uses conventional distal gestures (wave, reach, point, clap, head shake, nod) | Creates turn taking opportunities and leaves for child to fill in |
| | Makes choices when offered by partners | Responds appropriately to child’s signals to foster a sense of communicative competence |
Note: *AAC: Augmentative and Alternative Communication
Table 6. The frequency of Leah’s communicative acts and the range of supports provided by adults across the different activities.
| Type of activity | Activity 1 | Activity 2 | Activity 3 | Activity 4 | Activity 5a | Total |
|------------------|------------|------------|------------|------------|-------------|-------|
| | Home | School | School | School | Home | |
| | caregiving | instructional | instructional | instructional | recreational | |
| | Morning | Good morning | Hydrotherapy | Story time | Gruffalo book | |
| | routine | song | | | | |
| Duration (minutes) | 40 | 8 | 18 | 39 | 29 | 134 |
| Structured observation | | | | | | |
| Child-initiated interaction | 8 | 1 | 0 | 12 | 2 | 23 (0.17) |
| Adult responded to child | 8 | 1 | 0 | 5 | 2 | 16 |
| Communication led to reciprocal interaction | 0 | 1 | 0 | 0 | 0 | 1 |
| Adult-initiated interaction | 37 | 4 | 26 | 15 | 21 | 103 (0.77) |
| Young person responded to adult | 4 | 4 | 10 | 4 | 4 | 26 |
| Communication led to reciprocal interaction | 0 | 0 | 0 | 0 | 0 | 0 |
| SCERTS Social Emotional Growth Indicators | | | | | | |
| Happiness /5 | 5 | 4 | 4 | 2 | 2 | |
| Sense of Self /5 | 0 | 1 | 0 | 0 | 0 | |
| Sense of other /5| 3 | 2 | 2 | 1 | 1 | |
| Active learning and Organisation /5 | 0 | 0 | 0 | 0 | 0 | |
| Flexibility and Resistance /5 | 3 | 1 | 3 | 1 | 1 | |
| Cooperation / Appropriateness /5 | 2 | 2 | 2 | 2 | 2 | |
| Independence /5 | 1 | 0 | 0 | 0 | 0 | |
| Social Membership / Friendship /5 | 3 | 3 | 2 | 3 | 1 | |
| Total out of 40 (%) | 17 (43%) | 13 (33%) | 13 (33%) | 9 (23%) | 7 (18%) | |
| SCERTS Interpersonal Supports Checklist | | | | | | |
| Responsive to child /8 | 5 | 6 | 5 | 2 | 5 | |
| SCERTS Learning Supports Checklist | 1 | 2 | 4 | 0 | 1 |
|-----------------------------------|---|---|---|---|---|
| Fosters Initiation /4 | | | | | |
| Respects child’s independence /4 | | | | | |
| Sets stage for engagement /4 | | | | | |
| Provides developmental support /5 | | | | | |
| Adjusts language input /3 | | | | | |
| Models appropriate behaviours /5 | | | | | |
Total out of 33 (%) 18 (54%) 19 (58%) 23 (70%) 9 (27%) 16 (48%)
| SCERTS Learning Supports Checklist | 4 | 4 | 3 | 1 | 3 |
|-----------------------------------|---|---|---|---|---|
| Structures for active participation /5 | | | | | |
| Uses AAC* device to foster development /4 | | | | | |
| Uses visual/organisational supportb /6 | | | | | |
| Modifies goals/activities/environment /10 | | | | | |
Total out of 25 (%) 13 (52%) 14 (56%) 15 (60%) 5 (20%) 10 (40%)
Notes: *AAC: Augmentative and Alternative Communication; bvisual support was not used as Leah is blind.
Table 7. Vignettes describing two observed activities with Leah, including both the nature of her communicative bids and the strategies used by adults to support her.
| Ethnographic Data | SCERTS® checklists |
|-------------------|--------------------|
| **Narrative** | **Leah’s communication** | **Adult supports** |
| **Vignette 1** | | Secures child’s attention before communication |
| 11am, school. Staff tried to engage Leah during the hydrotherapy session by showing her a toy fish and asking her, “Who shall we squirt? We have [staff member] on this side (splashes in the water) and [staff member] on this side (splashes in the water)”. Leah did not indicate a choice, however. The staff still squirted the fish, but aimed it up in the air rather than at one of the staff members. Leah was given a second choice during the session – whether she wanted the ‘bubbles’ on in the corner of the pool. One staff member said, “smile if you want more bubbles”. Leah did not respond. The staff member tried to create the bubbles themselves, by moving their hands up and down in the water, but Leah showed no response to their bid. The bubbles were turned on anyway, with the staff considering that perhaps Leah was feeling tired. | Uses non-verbal cues to support understanding |
| | | Models appropriate play |
| | | Offers choices |
| | | Interprets problem behaviour as communicative and/or regulatory |
**Vignette 2**
5pm, home. Leah demonstrated to staff that she was unhappy by frowning and saying “Ah” repetitively. Staff wondered whether Leah was uncomfortable in her chair. Her vocalisations gradually became louder and more persistent towards the end of the activity and she was therefore taken upstairs to the residential lounge where she was placed face down on a soft “wedge”, with her head over the edge.
Staff explained that this position helped her to feel more comfortable and settled. Leah did seem somewhat calmer; she was making fewer vocalisations, although she was still frowning. A member of staff joined Leah and sat next to her on the floor. She started reading her a “Gruffalo” book, with buttons to make the noises of the characters and animals in the book. This was followed by another book, “Scary Sid”, which has a puppet combined with the story.
Sid the puppet sometimes tried to ‘eat’ Leah’s fingers and this was extended into holding and jiggling Leah’s arms. Leah lifted up her head and smiled.
| Protests undesired actions or activities | Responds appropriately to child’s signals to foster a sense of communicative competence |
|-----------------------------------------|----------------------------------------------------------------------------------------|
| Soothes when comforted by partners | Modifies sensory properties of learning environment |
| Responds to partners attempts to re-engage in interaction or activity | Arranges learning environment to enhance attention |
| Re-engages in interaction or activity after recovery from extreme dysregulation | Infuses motivation materials and topics into activities |
| Responds to sensory and social experiences with differentiated emotions | Offers repeated learning opportunities |
| Shares positive emotion using facial expression and vocalisations | Provides predictable sequence to an activity |
| | Uses appropriate proximity and nonverbal behaviour to encourage interaction |
| when this happened. Throughout the reading session, the member of staff stroked Leah’s back and held her hand. | Infuses motivation materials and topics into activities | | 50224b5f-65aa-4682-b28a-d291528a6629 | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 100,030 |
Inventaire des atteintes aux cours d'eau - Chastre, novembre 2016 -
Réseau hydrographique
Sous-bassin hydrographique
Limite communale
Dépôt de déchets
Entrave
Erosion de berge
Ouvrage dégradé
Protection de berges
Pulvérisation / remblai
Rejet d'eaux usées
Résolu
NB
Le ruisseau d'Ardenelle reste encore à inventorier
NB
Le ruisseau de Jonquières reste encore à inventorier
250 M | <urn:uuid:6c2af7c8-491c-46a1-bcfd-bb31dfa413f2> | HuggingFaceFW/finepdfs/tree/main/data/fra_Latn/train | finepdfs | fra_Latn | 383 |
2
9:30 am
11:00 am
9
9:30 am
Assembly
11:00 am
16
9:30 am
Assembly
11:00 am
5:00 pm -
23
9:30 am
Assembly
11:00 am
Passport Presentation
30
Assembly
9:30 am
11:00 am
Saturday
Starfish
Team 1
Ministry
Starfish
Team 2
Ministry
Baptist
Ministry Center
Men's Breakfast,
Starfish
Team 3
Ministry
Starfish
Team 4
Ministry
Starfish
5th Saturday Team
Ministry
| Monday | Tuesday | Wednesday | Thursday | Friday |
|---|---|---|---|---|
| 3 | 4 OFFICE CLOSED | 5 6:30 pm – Midweek Bible Study | 6 | 7 |
| 10 | 11 1:00 pm - Volunteer Enlist- ment Team Mtg. | 12 All Evening Activities Cancelled | 13 | 14 |
| 17 6 : 3 0 — Vision Team M e e t i n g | 18 | 19 6:30 pm – Midweek Bible Study | 20 | 21 |
| 24 | 25 | 26 6:30 pm – Midweek Bible Study | 27 | 28 |
| | JULY 1 Barbara Fuqua Mason Gardner | JULY 2 Mark P. Graham Kenneth Helm Parker Russell |
|---|---|---|
| | JULY 5 Joel Dawkins | JULY 6 Phyllis Winstead |
| JULY 11 Sabrina Hanson | JULY 12 Randy Gaddy Tiffany Gray Shane Moody | JULY 15 Allen Dawkins |
| JULY 17 Lenora Saunders | JULY 18 Aiyana Moody Linda Moore | JULY 19 Linda Overbey Herb Smith |
| JULY 21 Lisa Robinson | JULY 22 Sue Amos | JULY 23 Earl Campbell Rita Carver |
| JULY 26 Dennis Bullis | JULY 27 Brewer Roberts Cheryl Vernon | JULY 30 Preston Riffe |
Those Serving This Month
Deacon of the Week
9 - Mike Harden
2 - Cameron Foster
16 - Judy Henderson
30 - Linda Moore
23 - Reade Allen
Deacon Greeters Lionell Johnson & Ruth Isley
Usher Captains
Brewer Roberts & Vernon Taylor
Nursery
9 - Lionell Johnson & Robin Self
2 - Patsy Godwin & Betty Euliss
16 - Ronda Howe & Manivone Sisouphanh
30 - Jan Peterman & Brittney Moody
23 - Gwen Sharpe & Butch Farrell | <urn:uuid:dca8cde5-7129-4617-941f-9039e6ffbc7b> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 1,731 |
MUNICIPALIDAD DEL PARTIDO DE GENERAL PUEYRREDON
Declaración Jurada Patrimonial
ORDENANZA Nº 13914
Apellido y nombres: CAPILLA, Miguel Angel
Cargo: DIRECTOR COORDINADOR UNIDAD DE GESTION
LAGUNA DE LOS PADRES
| DESCRIPCION DEL ACTIVO |
|------------------------|
| **a) INMUEBLES** |
| DESCRIPCION | VALUACION FISCAL |
| Terreno Localidad de Luján - pcia. de San Luis. Superficie 419,41m² - (50%) | $30.000 |
| **b) AUTOMOTORES Y OTROS VEHICULOS** | |
| DESCRIPCION | VALUACION FISCAL |
| Ford Fiesta kinetic Design Titanium modelo: 2013 - Sedan 5 puertas - M01693 | $242.000 |
| **c) INVERSIONES FINANCIERAS** | |
| DESCRIPCION | VALOR |
| PLAZO FIJO Bec. Frances - Vto. 16/8/2016 - US$ M.C#4 | $1.66.110 |
| CAJA AHORROS en $- Banco Supervielle N°001815040017601 | $30.289 |
| **d) OTROS BIENES** | |
| DESCRIPCION | VALOR |
| DESCRIPCION DEL PASIVO |
|------------------------|
| **a) CREDITOS** |
| DESCRIPCION | VALOR |
| Dirección de la Función Pública | |
| NOTA Nº | |
| 22 JUL 2016 | |
| PATRIMONIO NETO (Diferencia entre Activo y Pasivo) | $436.399 |
| ENTRADA | |
| CUENTAS BANCARIAS (Instituciones) |
|----------------------------------|
| Banco Supervielle - CAJA AHORROS en $- N°0018150400176021 |
| TARJETAS DE CRÉDITO |
|---------------------|
| VISA - Banco France's - N°4540 7500 2353 8225 - Vto. 8/2016 |
| VISA - Banco Galicia - N°4546 4180 0024 7095 |
FECHA: 22.07.1.2016
FIRMA: [Signature] | <urn:uuid:8f48e3fa-5334-46d0-9dd6-4e974d62b6fa> | HuggingFaceFW/finepdfs/tree/main/data/spa_Latn/train | finepdfs | spa_Latn | 1,527 |
Disposal of bushfire waste
Publication 1738 | Fact sheet | March 2019
Overview
In the event of a bushfire, landowners and authorities may be required to dispose of perished stock or large quantities of building rubble. The proper disposal of bushfire waste is an important health and environmental consideration. We understand this is a very difficult time for families affected by the fires, and we will work with you in any way we can.
Contact your local council for information on appropriate clean up and disposal of bushfire waste. They can advise on management of particular types of waste (e.g. asbestos, animals) and available options for disposal.
Dead stock
Where possible, disposal to landfill is your first and best option for disposal of dead stock. However, we understand that this isn't always an option.
Onsite disposal
In areas where stock cannot be moved to a landfill, limited numbers can be buried onsite. Burial sites should be carefully chosen, to protect your groundwater, and surface waters from contamination, as well as protecting yourself and your neighbours from odour and possible health
epa.vic.gov.au
Environment Protection Authority Victoria GPO Box 4395, Melbourne VIC 3001 1300 372 842
hazards. Agriculture Victoria provides a guide to disposing of dead stock after bushfires in Agnote AG1264 on their website: agriculture.vic.gov.au
In the case of intensive animal industries, such as feedlots, piggeries, broiler and egg farms, stock must not be buried on the farm without EPA approval. Approval is required for more than 500 sheep or 150 cattle on the farm.
Burning of dead stock should be avoided unless it is required for disease control, or as a last resort if a burial site is not available.
Spoiled milk
There's a variety of effective ways to dispose of spoilt milk on the farm, after power outages, in bushfire affected areas.
While small volumes of milk can be discharged direct to effluent ponds, it is not the preferred disposal option as it can lead to future odour problems.
On-farm disposal via irrigation, trenching or on non-productive land is possible, provided there are no off-site impacts. The best option needs to be considered for each site using the guidance available from EPA and Agriculture Victoria in Agnote AGO428 on their website: agriculture.vic.gov.au
Authorised and published by the Victorian Government, 1 Treasury Place, Melbourne
Building rubble
Building rubble from bushfires mainly consists of brick, concrete, asphalt and timber.
It should be disposed of to a landfill licensed to receive this type of waste. Building rubble should not be deposited to land, such as farms or gullies, without approval from EPA.
Further information and updates
Contact EPA on 1300 372 842
or epa.vic.gov.au
* Incident information and updates: emergency.vic.gov.au
* Find your local council: knowyourcouncil.vic.gov.au
* Agriculture Victoria: agriculture.vic.gov.au
* Air quality information: epa.vic.gov.au/airwatch
* Emergency information and fact sheets: epa.vic.gov.au/emergency
Please consider the environment before printing this file. If printing is needed, please recycle when you're finished.
This content is for general information only. Obtain professional advice if you have any specific concern, EPA Victoria has made reasonable effort to ensure accuracy at the time of publication. EPA acknowledges Victoria's First Nations peoples as the Traditional Owners of the land and water on which we live and work. We pay our respect to their Elders past and present.
epa.vic.gov.au
Interpreter Services
Environment Protection Authority Victoria GPO Box 4395, Melbourne VIC 3001 1300 372 842
For languages other than English, please call 03 9209 0147
Authorised and published by the Victorian Government, 1 Treasury Place, Melbourne | <urn:uuid:ea7fe1fc-183c-46d2-a9f7-d531e95197d3> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 3,830 |
TERMS OF WEBSITE USE (AND ACCEPTABLE USE POLICY) (2023)
This page (together with the documents referred to on it) tells you the terms of use on which you may make use of our websites www.floodlightbusiness.com and www.danetree.com which are owned by Danetree Associates Limited (our sites), whether as a guest or a registered user. Please read these terms of use carefully before you start to use the sites. By using our sites, you indicate that you accept these terms of use and that you agree to abide by them. If you do not agree to these terms of use, please refrain from using our sites.
INFORMATION ABOUT US
www.floodlightbusiness.com and www.danetree.com are sites operated by Danetree Associates Limited ("We"). We are registered in England and Wales and have our registered office at Coveham House 29 Downside Bridge Road Cobham Surrey KT11 3EP UK.
ACCESSING OUR SITE
Access to our sites is permitted on a temporary basis, and we reserve the right to withdraw or amend the service we provide on our sites without notice (see below). We will not be liable if for any reason our site is unavailable at any time or for any period. From time to time, we may restrict access to all or some parts of our sites, to users who have registered with us. You are responsible for making all arrangements necessary for you to have access to our sites. You are also responsible for ensuring that all persons who access our sites through your internet connection are aware of these terms, and that they comply with them.
INTELLECTUAL PROPERTY RIGHTS
We are the owner or the licensee of all intellectual property rights in our sites, and in the material published on it. Those works are protected by copyright laws and treaties around the world. All such rights are reserved. You must not modify the paper or digital copies of any materials you have printed off or downloaded in any way, and you must not use any illustrations, photographs, video or audio sequences or any graphics separately from any accompanying text.
Our status (and that of any identified contributors) as the authors of material on our sites must always be acknowledged.
You must not use any part of the materials on our sites for commercial purposes without obtaining a licence to do so from us.
If you print off, copy or download any part of our site in breach of these terms of use, your right to use our sites will cease immediately and you must, at our option, return or destroy any copies of the materials you have made.
RELIANCE ON INFORMATION POSTED
Commentary and other materials posted on our sites are not intended to amount to advice on which reliance should be placed. We therefore disclaim all liability and responsibility arising from any reliance placed on such materials by any visitor to our sites, or by anyone who may be informed of any of its contents.
OUR SITE CHANGES REGULARLY
We aim to update our sites regularly, and may change the content at any time. If the need arises, we may suspend access to our sites, or close it indefinitely. Any of the material on our sites may be out of date at any given time, and we are under no obligation to update such material.
2
OUR LIABILITY
The material displayed on our site is provided without any guarantees, conditions or warranties as to its accuracy. To the extent permitted by law, we, other members of our group of companies and third parties connected to us hereby expressly exclude:
* All conditions, warranties and other terms which might otherwise be implied by statute, common law or the law of equity.
* Any liability for any direct, indirect or consequential loss or damage incurred by any user in connection with our sites or in connection with the use, inability to use, or results of the use of our sites any websites linked to it and any materials posted on it, including, without limitation any liability for:
§ loss of income or revenue;
§ loss of profits or contracts;
§ loss of business;
§ loss of anticipated savings;
§ loss of goodwill;
§ loss of data;
§ wasted management or office time; and
for any other loss or damage of any kind, however arising and whether caused by tort (including negligence), breach of contract or otherwise, even if foreseeable, provided that this condition shall not prevent claims for loss of or damage to your tangible property or any other claims for direct financial loss that are not excluded by any of the categories set out above.
This does not affect our liability for death or personal injury arising from our negligence, nor our liability for fraudulent misrepresentation or misrepresentation as to a fundamental matter, nor any other liability which cannot be excluded or limited under applicable law.
INFORMATION ABOUT YOU AND YOUR VISITS TO OUR SITE
We process information about you in accordance with our privacy policy. By using our sites, you consent to such processing and you warrant that all data provided by you is accurate.
TRANSACTIONS CONCLUDED THROUGH OUR SITES
Contracts for the supply of services formed through our sites or as a result of visits made by you are governed by our terms and conditions of business and relevant service proposal.
VIRUSES, HACKING AND OTHER OFFENCES
You must not misuse our sites by knowingly introducing viruses, trojans, worms, logic bombs or other material which is malicious or technologically harmful. You must not attempt to gain unauthorised access to our sites, the server on which our sites is stored or any server, computer or database connected to our sites. You must not attack our sites via a denial-of-service attack or a distributed denial-of service attack.
By breaching this provision, you would commit a criminal offence under the Computer Misuse Act 1990. We will report any such breach to the relevant law enforcement authorities and we will co-operate with those authorities by disclosing your identity to them. In the event of such a breach, your right to use our site will cease immediately.
We will not be liable for any loss or damage caused by a distributed denial-of-service attack, viruses or other technologically harmful material that may infect your computer equipment, computer programs, data or other proprietary material due to your use of our sites or to your downloading of any material posted on it, or on any website linked to it.
PROHIBITED USES
You may use our sites only for lawful purposes. You may not use our site:
§ In any way that breaches any applicable local, national or international law or regulation.
§ For the purpose of harming or attempting to harm minors in any way.
§ In any way that is unlawful or fraudulent, or has any unlawful or fraudulent purpose or effect.
§ To send, knowingly receive, upload, download, use or re-use any material which does not comply with our content standards.
§ To knowingly transmit any data, send or upload any material that contains viruses, Trojan horses, worms, timebombs, keystroke loggers, spyware, adware or any other harmful programs or similar computer code designed to adversely affect the operation of any computer software or hardware.
§ To transmit, or procure the sending of, any unsolicited or unauthorised advertising or promotional material or any other form of similar solicitation (spam).
SUSPENSION AND TERMINATION
We will determine, in our discretion, whether there has been a breach of this acceptable use policy through your use of our sites. When a breach of this policy has occurred, we may take such action as we deem appropriate.
We exclude liability for actions taken in response to breaches of this acceptable use policy. The responses described in this policy are not limited, and we may take any other action we reasonably deem appropriate.
LINKING TO OUR SITES
You may link to our home page, provided you do so in a way that is fair and legal and does not damage our reputation or take advantage of it, but you must not establish a link in such a way as to suggest any form of association, approval or endorsement on our part where none exists.
You must not establish a link from any website that is not owned by you.
Our sites must not be framed on any other site, nor may you create a link to any part of our site other than the home page. We reserve the right to withdraw linking permission without notice. The website from which you are linking must comply in all respects with the content standards set out in our acceptable use policy.
If you wish to make any use of material on our site other than that set out above, please address your request to firstname.lastname@example.org
LINKS FROM OUR SITE
Where our sites contain links to other sites and resources provided by third parties, these links are provided for your information only. We have no control over the contents of those sites or resources, and accept no responsibility for them or for any loss or damage that may arise from your use of them.
JURISDICTION AND APPLICABLE LAW
The English courts will have exclusive jurisdiction over any claim arising from, or related to, a visit to our site, although we retain the right to bring proceedings against you for breach of these conditions in your country of residence or any other relevant country. These terms of use and any dispute or claim arising out of or in connection with them or their subject matter or formation (including non-contractual disputes or claims) shall be governed by and construed in accordance with the law of England and Wales.
TRADE MARKS
Danetree and Floodlight Business are UK registered trade marks of Danetree Associates Limited.
VARIATIONS
We may revise these terms of use at any time by amending this page. You are expected to check this page from time to time to take notice of any changes we made, as they are binding on you. Some of the provisions contained in these terms of use may also be superseded by provisions or notices published elsewhere on our site.
YOUR CONCERNS
If you have any concerns about material which appears on our sites, please contact email@example.com | <urn:uuid:a3655304-dfff-493c-afd0-29185c538eb8> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 10,043 |
DECLARAȚIA DE PERFORMANȚĂ NR: LE IS 771-3-01
1. Cod unic de identificare al produsului-tip:
Elemente pentru zidarie de beton cu agregate : VF 10
2. Utilizare preconizată: In pereti, stalpi si pereti despartitori portanti sau neportanti, in lucrari de constructii ingineresti (garduri, ziduri si pereti simpli sau dubli, ziduri de sustinere)
3. Fabricant: BRIKSTON CONSTRUCTION SOLUTIONS S.A, Calea Chisinaului nr.176, jud. Iasi
4. Sistemul de evaluare și verificare a constantei performanței: Sistem 2+
4.a Standard armonizat: SR EN 771-3:2015
4.b Organismul notificat Qualitas SA(NB 1823) a efectuat inspectia initiala a fabriciei si a controlului productiei in fabrica, supravegherea, evaluarea si examinarea continua a controlului productiei in fabrica, in cadrul sistemului de evaluare si verificare a constantei performantei 2+ si a emis certificatul de conformitate a controlului productiei in fabrica cu numarul 1823-CPR-0102
5. Performanța declarată:
| Caracteristici esentiale | Performanta declarata |
|---------------------------------------------------------------|-----------------------|
| **Dimensiuni** | |
| Lungime (mm) | 490 +1/-3 |
| Latime (mm) | 97 +1/-3 |
| Inaltime(mm) | 220 ±2 |
| Dimensiuni si tolerante | D2 |
| Grosime pereti interior (mm) | 22 |
| Grosime pereti exterior (mm) | 23 |
| Volum total de goluri (%) | 20 |
| Volumul celui mai mare gol (%) | 9,97 |
| **Izolare acustică impotriva zgomotelor aeriene directe** | |
| Grupa cfEN 1996-1-1 | G1 |
| Grosime combinata de la o fata la alta (%) | 47,23 |
| Grosime combinata de la un capat la altul (%) | 24,83 |
| Densitatea aparenta in stare uscata (kg/mc) | 1330 |
| **Rezistenta la compresiune** | |
| Categoria elementului | I |
| Rezistenta la compresiune (N/mmp) | >7,5 |
| **Variatii dimensionale (mm/m)** | |
| Coeficient de umflare la umiditate | 0,45 |
| Coeficient de contractie la uscare | 0,41 |
| Coeficient total de variatie | 0,86 |
| **Aderenta(rezistenta la forfecare(N/mmp)** | 0,15 |
| Reactia la foc ( pierderi de masa organica) | Euroclasa A1 |
| Absorbția de apa prin capilaritate g/(mp*s) | 5,7 |
| Permeabilitatea la vapori | 5/15 |
| Conductivitate termica λ 10,dry unit (W/mK) | 0,497 |
| Durabilitate ( rezistenta la inghet-dezgheț) | NPD |
| Substante periculoase | NPD |
Performanța produsului identificat mai sus este în conformitate cu setul de performanțe declarate. Această declarație de performanță este eliberată în conformitate cu Regulamentul (UE) nr. 305/2011, pe răspunderea exclusivă a fabricantului BRIKSTON CONSTRUCTION SOLUTIONS S.A. O copie a declarației de performanță se află la dispoziție pe site-ul fabricantului www.leier.ro
Semnată pentru și în numele fabricantului de către: Adrian MINZAT, Manager General
Iași, 01.07.2024 | <urn:uuid:19d52d3d-54b8-4a9e-be1d-aa43c06b9bce> | HuggingFaceFW/finepdfs/tree/main/data/ron_Latn/train | finepdfs | ron_Latn | 4,128 |
Grenze des räumlichen Geltungsbereiches
Anlage 1
Übersichtsplan
Vorhabenbezogener Bebauungsplan Nr. 197
„Charlottenstraße/Gottesackerstraße/Topferplan“
Aufstellungsbeschluss
Kartengrundlage: Amtlicher Stadtplan Halle (Saale)
FB Planen, Abt. Stadtvermessung
Grenze des räumlichen Geltungsbereiches
Flurgrenzen
Flurstücksgrenzen
Anlage 2
Grenze des räumlichen Geltungsbereiches
Vorhabenbezogener Bebauungsplan Nr. 197
„Charlottenstraße/ Gottesackerstraße/ Töpferplan“
Aufstellungsbeschluss
Bearbeiter: Frau Lügert
Zeichner: Frau Mergner
Maßstab: 1:1200
Datum: 29.01.2019
Blatt-Nr.: 1
Kartengrundlage: Abteilung Stadtvermessung
Kartengrundlage:
Stadt Halle (Saale)
FB Planen, Abt. Stadtvermessung
Stadtgrundkarte mit Angaben des Liegenschaftskatasters
Gemarkung: Halle
Flur: 6, 14, 54
Nutzungsgenehmigung:
ALKIS © GeoBasis-DE / LVermGeo LSA, 11/2018 / A18-42603-09-14
The project is designed to be a sustainable and eco-friendly development, with a focus on reducing carbon emissions and promoting green living. The buildings will feature a range of energy-efficient technologies, including solar panels and smart building systems, to minimize their environmental impact.
In addition to its environmental benefits, the project will also provide a range of social and community benefits. The development will include a range of amenities, such as a community center, fitness facilities, and outdoor spaces, to promote social interaction and well-being among residents.
Overall, the project aims to create a vibrant and sustainable urban environment that meets the needs of both residents and the wider community.
Wettbewerb Töpferplan/ Charlottenstraße "Wohnen und Arbeiten am Stadtpark"
LAGEPLAN MIT DACHAUFSICHT M 1:500
AUSRICHTUNG
PRIVATHEIT ERDGESCHOSS
HÖHENSTAFFELUNG - AUSBLICKE
FUSS- UND RADWEGE
PKW-VERKEHR
VERNETZUNG
RAUMKANTEN
DURCHLÄSSIGKEIT-DURCHBLICKE
RÄUME
ZUORDNUNGEN
GRÜNER BEREICH
URBANER BEREICH
Wettbewerb
Töpferplan/ Charlottenstraße
„Wohnen und Arbeiten am Stadtpark“
in Halle (Saale)
Dokumentation
Impressum
Herausgeber
Stadtbau Aktiengesellschaft
Brühl 48
04109 Leipzig
Redaktion
H+B Stadtplanung
Beele und Haase PartG mbB
Kunibertskloster 7-9
50668 Köln
Bearbeitung: Dieter Beele
Jana Brochhagen
September 2019
Redaktionelle Vorbemerkung
Im nachfolgenden Text wird zugunsten einer flüssigeren Lesbarkeit auf eine geschlechtsspezifische Schreibweise bei Begriffen wie zum Beispiel Bürger, Einwohner etcetera verzichtet. Selbstverständlich sind stets gleichzeitig alle Geschlechter angesprochen.
Abbildungen und Pläne im Text, soweit nicht anders angegeben: © Leipziger Stadtbau AG, 2019
| Kapitel | Titel | Seite |
|---------|----------------------------------------------------------------------|-------|
| 1 | Ausgangssituation | 1 |
| 2 | Aufgabenstellung | 5 |
| | 2.1 Kooperatives Verfahren | 5 |
| | 2.2 Wettbewerbsaufgabe | 6 |
| 3 | Kolloquium | 9 |
| 4 | Planungswerkstatt | 10 |
| | 4.1 Ablauf | 10 |
| | 4.2 Teilnehmende | 10 |
| | 4.3 Allgemeine Hinweise und Anregungen | 10 |
| | 4.4 Arbeitsstände sowie Hinweise und Anregungen zu den Arbeitsständen | 12 |
| 5 | Preisgericht und Ergebnisse des Wettbewerbs | 17 |
| | 5.1 Erster Preis | 18 |
| | 5.2 Zweiter Preis | 20 |
| | 5.3 Dritter Preis | 21 |
| | 5.4 Weitere Wettbewerbsarbeiten | 23 |
1 Ausgangssituation
Das Plangebiet liegt am Töpferplan im Charlottenviertel, das zur nördlichen Innenstadt von Halle gehört. Es wird durch die Gottesackerstraße, die Martinstraße im Westen, die Charlottenstraße im Norden und Osten und die Augustastraße im Süden umgrenzt. Der Töpferplan mit der daran südlich angrenzenden Grundstücksfläche ist Bestandteil des Plangebiets, das Schulgrundstück der Berufsbildenden Schule IV „Friedrich List“ ist nicht Bestandteil des Plangebiets. Die Flächengröße beträgt ca. 1,21 ha.
Schrägluftbild des Plangebiets (Google Earth, 2018)
Das Gebiet ist derzeit überwiegend unbebaut und ungenutzt. Es sind drei Gebäude innerhalb des Plangebiets vorhanden, von denen nur das Gebäude Martinstraße 3 derzeit noch genutzt wird. Hier befindet sich die Glaserei Germo. Es handelt bei dem Gebäude sich um ein dreigeschossiges Gewerbeobjekt.
Die städtische berufsbildende Schule IV „Friedrich List“ befindet sich im Südosten direkt angrenzend an das Plangebiet im selben Straßengeviert, wie oben beschrieben. Das Schulgrundstück bleibt unverändert bestehen. Die Schule verfügt über einen zwei- dreigeschossigen Altbau aus dem Jahr 1886, der 1994-98 komplett saniert und durch einen fünfgeschossigen Neubau ergänzt wurde. Die Gebäude aus dem 19. Jahrhundert stehen unter Denkmalschutz.
Der Bereich Töpferplan ist Bestandteil des Wettbewerbsgebietes. Dieser Bereich ist durch brachliegenden Abbruchflächen und einen Erschließungsring, der zum Platz am Leipziger Turm führt, geprägt. Auch hier befinden sich öffentliche Stellplätze. Die Baugrundstücke liegen in der Sichtachse der Leipziger Straße und in der Baureihe zum Altstadtring. In unmittelbarer Nachbarschaft befinden sich das Denkmal Leipziger Turm, der letzte vorhandene Turm der ehemaligen Stadtbefestigung und die Promenade am Hansering.
Das Plangebiet ist mit dem Platz am Leipziger Turm durch eine Freitreppe und Rampe für Fußgänger und Fahrradfahrer verbunden.
Unmittelbar nördlich des Plangebiets verläuft die Umfassungsmauer des Stadtgottesackers. Der Stadtgottesacker ist ein Baudenkmal von überregionaler Bedeutung. Westlich benachbart steht an der Gottesackerstraße und Martinstraße eine drei- bis viergeschossige Bebauung. Teilweise sind hier sanierte Altbauten vorhanden, die durch Gebäude aus den 1990er Jahren ergänzt wurden. Die Bebauung ist gemischt, durch Gewerbe und Wohnen genutzt. Auf der Ostseite des Gebiets an der Charlottenstraße sind viergeschossige Wohnhäuser vom Ende des 19. Jahrhunderts und fünfgeschossige Wohngebäude aus den 1990er Jahren vorhanden, weiter in südliche Richtung schließt sich der fünfgeschossige Gebäudekomplex des Charlottencenters an, der ebenfalls aus den 1990er Jahren stammt. Die Gebäude aus dem 19. Jahrhundert stehen teilweise unter Denkmalschutz.
**Grünstrukturen und Topographie**
In einer Teilfläche von circa 600 m² gibt es Baumbestand, sonst ist das Gebiet durch Ruderalfvegetation und befestigte Flächen/ Parkplätze geprägt.
Das Gelände fällt von Norden (Charlottenstraße/ Stadtgottesacker) nach Süden (Augustastraße) um ca. 5 m ab.
Historie
Luftbild von 1945 (@ Stadt Halle (Saale))
Das Plangebiet am Töpferplan lag im Mittelalter vor den Toren der Stadt, die Stadtbefestigung verlief am heutigen Hansering. Das Gebiet um den Töpferplan war jedoch um 1660 bereits vollständig bebaut; hier siedelten die Töpfer und übten ihr Handwerk aus. 1706 erwarben sie vom Rat der Stadt den Platz, um ihn zum Trocknen ihrer Produkte zu nutzen, woraus der Name des Platzes hervorging. Die noch vorhandenen Bauten dokumentieren eine umfassende Neubebauung in der Zeit ab ca. 1880 bis zum 1. Weltkrieg, überwiegend wurden Wohnhäuser als Vorderhäuser errichtet, die Hofgebäude nahmen auch kleine Gewerbe auf. Auch das heute vorwiegend unbebaute Plangebiet war entsprechend mit bis zu fünfgeschossigen Häusern bebaut. Diese wurden wegen Leerständen und Verfall teils schon zu DDR-Zeiten, teils danach bis auf die noch vorhandenen Häuser Töpferplan 3 und Martinstraße 3 abgebrochen.
Reste der gründerzeitlichen Bebauung, Ecke Charlottenstraße/Gottesackerstraße, Zustand ca. 1990
(© Stadt Halle (Saale))
Planungsrecht
Im Flächennutzungsplan (FNP) ist das Gebiet als Gemischte Baufläche (M) dargestellt.
Zur Umsetzung der Planung wird ein Bebauungsplan erforderlich, der überwiegend Urbanes Gebiet (MU) festsetzen soll.
Das Plangebiet liegt überwiegend nicht im Geltungsbereich einer Sanierungssatzung oder einer Erhaltungssatzung nach BauGB. Eine Teilfläche im Westen des Töpferplans mit der Freitreppe liegt im Sanierungsgebiet „Historischer Altstadtkern“.
2 Aufgabenstellung und Verfahren
2.1 Kooperatives Verfahren
Um alternative städtebauliche Entwürfe für eine Bebauung des Gebiets mit gemischter Nutzung und einem urbanen Charakter zu gewinnen, wurden im Rahmen eines kooperativen, zweistufigen Einladungswettbewerbes „Wohnen und Arbeiten am Stadtpark“ fünf Teams aus Architektur, Städtebau und Freiraumplanung durch die Ausloberin Am Stadtpark GmbH im Einvernehmen mit der Stadt Halle (Saale) eingeladen. Gegenstand des Wettbewerbes war es, alternative Lösungsvorschläge für den Städtebau und die Freianlagengestaltung im Diskurs zwischen den Teilnehmenden, dem Preisgericht, der Ausloberin und der interessierten Öffentlichkeit zu erarbeiten. Die Ergebnisse des Wettbewerbs sollten nachfolgend das Planungsrecht durch einen Bebauungsplan für das Plangebiet schaffen.
Erste Stufe des Wettbewerbs
Nach dem Rückfragenkolloquium war ein Bearbeitungszeitraum von 4 Wochen für die Erarbeitung erster Lösungsideen für die städtebauliche Figur vorgesehen. Hierbei sollten grundsätzliche Ideen und Ansätze als Alternativen durch die Teilnehmenden zur Diskussion gestellt werden. Diese Ideen wurden in einer einstündigen Planungswerkstatt mit dem Preisgericht, der Ausloberin sowie weiteren Beteiligten aus dem Stadtrat, der Stadtverwaltung und der Öffentlichkeit diskutiert. Als Ergebnis der Planungswerkstatt wurden Empfehlungen an die einzelnen teilnehmenden Teams durch das Preisgericht formuliert. Diese Empfehlungen wurden in einem Protokoll der Planungswerkstatt dokumentiert, sie wurden Bestandteil der Auslobung.
Zweite Stufe des Wettbewerbs
In der zweiten Bearbeitungsstufe erarbeiteten die Teilnehmenden ihre städtebaulichen Entwürfe gemäß der Auslobung und den Empfehlungen aus der 1. Stufe.
Sie stellten ihre Entwürfe in der Preisgerichtssitzung jeweils getrennt voneinander vor, das Preisgericht hatte die Gelegenheit zu Rückfragen.
Nachfolgend tagte das Preisgericht nicht öffentlich.
Zur Gewährleistung des dialogorientierten, kooperativen Verfahrens, wie oben dargestellt, wurde von der Ausnahmeregelung des § 3 (5) RPW Gebrauch gemacht, wonach die Arbeiten nicht anonym behandelt werden.
Eingeladene Büros
- Däschler Architekten und Ingenieure, Halle (Saale)
- snarg architekten, Halle (Saale)
- Behet Bondzio Lin Architekten, Leipzig
- Fuchshuber Architekten, Leipzig
- Zila freie Architekten, Leipzig
Zeitlicher Ablauf des Wettbewerbs
- Kolloquium: 06.05.2019
- Planungswerkstatt: 04.06.2019
- Abgabe des Einsatzmodells: 02.08.2019
- Preisgericht: 27.08.2019
- Ausstellung der Ergebnisse: 02.09.-27.09.2019
Preisgericht
- Herr Patrik Fahrenkamp, Vorstandsvorsitzender Leipziger Stadtbau AG
- Herr René Rebenstorf, Beigeordneter für Stadtentwicklung und Umwelt der Stadt Halle (Saale)
- Herr Mathias Dreßler, Architekt, Vorsitzender des Wettbewerbsausschusses der Architektenkammer Sachsen-Anhalt
- Frau Konstanze Sobociak, Architektin
- Herr Klaus Uwe Marsch, Geschäftsführer Stadtbau Wohnprojekte GmbH
- Herr Lars Loebner, Leiter FB Planen der Stadtverwaltung Halle (Saale)
2.2 Wettbewerbsaufgabe
Der Wettbewerb hatte das Ziel, städtebauliche Lösungsansätze für eine qualitätvolle innerstädtische, vorwiegend für Wohnungen genutzte Bebauung zu entwickeln.
Im Plangebiet sollte dazu insgesamt eine Geschossflächenzahl gemäß § 20 Baunutzungsverordnung von ca. 3,0 realisiert werden.
Wettbewerbsgebiet
Im Plangebiet sollte eine kleine Kindertageseinrichtung eines privaten Trägers für die Bewohnerschaft des Quartiers vorgesehen werden. Im Rahmen des Wettbewerbs sollten dabei auch Vorschläge für eine integrierte Nutzung der privaten Kleinkinderspielplätze, die den Wohnungen zugeordnet sind, und der Spielflächen für die KiTa entwickelt werden.
Circa 1.000 m² Nutzfläche waren für nicht störende gewerbliche Nutzungen, wie zum Beispiel Büros, vorzusehen. Hierbei sollte ein Angebot der Nahversorgung (kleinteiliger Einzelhandel) in Verbindung mit einem MicroHub im EG vorgesehen werden. Unter dem MicroHub wird ein Verteilzentrum für Paketsendungen mit Annahme verstanden. Dies sollte hier mit verschiedenen Dienstleistungen wie zum Beispiel Wäscherei- und Reinigungsannahme kombinierbar sein.
Die Auslobung stellte die folgenden wesentlichen Anforderungen an Städtebau und Architektur:
„Es wird eine Bebauung mit 5 bis max. 6 Geschossen einschließlich Staffelgeschossen vorgesehen.
Die Bautiefe soll für Wohngebäude entsprechend der Eigenart der näheren Umgebung mit max. 14 m gewählt werden. Gewerbebauten, rückwärtige eingeschossige Gebäudeteile sowie Balkone können diese Tiefe überschreiten.
Am Töpferplan sollen Vorschläge entwickelt werden, die der besonderen und exponierten Lage der Grundstücke entsprechen. Als Nutzungen kommen Sonderwohnformen als Boarding House/Micro Appartements sowie Gastronomie in Betracht.
Die Planung muss im Umfeld der Baudenkmale in der Höhenentwicklung Rücksicht auf den Denkmalbestand nehmen. An die Friedrich-List-Schule muss an der vorhandenen Brandwand (Augustastraße) in geschlossener Bauweise angebaut werden. Sofern dies nicht in der gleichen Höhe des Denkmalbestandes geschieht, muss dafür eine gestalterisch überzeugende Lösung nachgewiesen werden.
Der Städtebau soll Räume mit einer hohen Aufenthaltsqualität erzeugen. Das Innere des Quartiers ist vom Autoverkehr frei zu halten. Die Freiflächen sind im geschützten Blockinnenbereich vorzusehen. Hier ist eine zusammenhängende, ansprechende Freianlagengestaltung gefordert, die die Wohnqualität stärkt. Im Innenhof ist ein gemeinschaftlich nutzbarer Spielplatz für Kleinkinder einzuplanen.
Es soll ein Bebauungsvorschlag unter Beachtung der herausragenden innerstädtischen Lage der Bauflächen am Leipziger Turm (Altstadtring/ Promenade) entwickelt werden.
Dabei ist die Wirkung in den öffentlichen Raum von besonderer Bedeutung.“
Für die verkehrliche Erschließung und die Anordnung der Stellplätze stellte die Auslobung die folgenden wesentlichen Anforderungen:
„Das Plangebiet soll für den nördlichen Teilbereich eine gemeinschaftlich nutzbare Quartiersgarage erhalten. Diese kann als Tiefgarage, mit abgedeckten teils oberirdischen Parkebenen oder auch in anderer baulicher Ausprägung gestaltet werden. Sie muss alle notwendigen Stellplätze für Kfz. sowie zusätzlich 5% der notwendigen Stellplätze als Besucherstellplätze aufnehmen. Das Plangebiet zeichnet sich durch eine gute Bedienungsqualität im ÖPNV aus. So liegt der Hauptbahnhof ca. 700 m Fußweg entfernt, die Straßenbahnhaltestelle Am Leipziger Turm in ca. 350 m, die Haltestelle Riebeckplatz in ca. 500 m und die Haltestelle Markt in ca. 600 m Fußwegdistanz.
Der Anteil des Autoverkehrs am Ziel- und Quellverkehr des Plangebiets soll zusätzlich durch ein schlüssiges Mobilitätskonzept vermieden werden, das insbesondere ein Angebot von Car-Sharing-Fahrzeugen für das Quartier, Leihfahrrädern und Lastenfahrrädern (Pedelecs), Ladestationen für private Elektro-Fahrräder beinhalten soll. Die vorgenannten Angebote sollen mit dem MicroHub (s. o.) organisatorisch und ggfs. auch räumlich verbunden werden.
Auf den oben genannten Grundlagen aufbauend strebt die Ausloberin einen Stellplatzschlüssel für die Stellplätze innerhalb des Plangebiets an, der gegenüber den Richtzahlen der Stellplatzssatzung der Stadt Halle um bis zu 40% reduziert ist. Als wesentliche Voraussetzung wird hierbei, wie oben bereits erwähnt, ein dementsprechendes Mobilitätskonzept gesehen. Dabei soll ein für die Bewohnerschaft reserviertes Car-Sharing-Angebot zur Reduzierung der notwendigen PKW-Stellplätze beitragen. Eine Neuordnung und Neugestaltung der öffentlichen Straßenräume soll unter Beachtung der einschlägigen Regelwerke geplant werden. Für die Erschließung am Töpferplan wird eine Lösung angestrebt, die eine Andienung der Nutzungen von der Ostseite vorsieht. Wesentliche Erweiterungen der vorhandenen Verkehrsflächen für Belieferung und Entsorgung sollen vermieden werden. In diesem Zusammenhang werden von den Wettbewerbsteilnehmern konkrete Vorschläge erwartet.
Bei der Wegeführung soll auf eine gute Einsehbarkeit und Ausleuchtung geachtet werden. Angsträmme müssen vermieden werden. Eine gute fußläufige Vernetzung innerhalb des Plangebietes und mit der Umgebung (Stadtpark, Platz am Leipziger Turm, Altstadt) wird angestrebt. Es sollen Gemeinschaftsbereiche entstehen, die beispielsweise einzelnen Hauseingängen zugeordnet sind und zum Aufenthalt einladen.“
Für die Freiraumgestaltung wurden die folgenden Anforderungen definiert:
„Die Tiefgaragenüberdeckung soll mindestens 60cm betragen. Baumpflanzungen erfolgen in zusätzlich aufbauenden Pflanzbeeten mit 120 cm Überdeckung. Dachflächen, die nicht mit baulichen Anlagen genutzt werden sollen mindestens extensiv begrünt werden. Es werden zudem Vorschläge für die Nutzung der Dachflächen sowohl als Gemeinschaftsbe- reiche, zum Beispiel als Dachgärten in Verbindung mit intensiver Begrünung als auch als individuell einzelnen Wohnungen zugeordnete Dachgärten erwartet.“
3 Kolloquium
Das Kolloquium fand am 06.05.2019 im Haus Töpferplan 3 in Halle statt. Zunächst stellten sie hier alle teilnehmenden Teams kurz vor. Bevor anschließend Fragen und Anregungen zu der Aufgabenstellung geklärt wurden, erfolgte ein kurzer Vortrag zu den wesentlichen Inhalten der Auslobung. Des Weiteren wurde das Umgebungsmodell während des Kolloquiums ausgestellt, die Teilnehmer und Teilnehmerinnen erhielten am Ende der Veranstaltung die entsprechenden Einsatzplatten.
Nach Ende des Kolloquiums bestand die Gelegenheit zur gemeinsamen Ortsbesichtigung.
Am Kolloquium nahmen neben den eingeladenen Büros auch die Fachpreisrichter
- Herr Patrik Fahrenkamp, Vorstandsvorsitzender Leipziger Stadtbau AG
- Herr René Rebenstorf, Beigeordneter für Stadtentwicklung und Umwelt der Stadt Halle (Saale)
- Herr Mathias Dreßler, Architekt, Vorsitzender des Wettbewerbssausschusses der Architektenkammer Sachsen-Anhalt
- Frau Konstanze Sobociak, Architektin
- Herr Lars Loebner, Leiter FB Planen der Stadtverwaltung Halle (Saale),
Fachberater und Vorprüfer sowie weitere beteiligte Mitarbeiter der Stadt Halle (Saale) und der Stadtbau AG teil.
Im Rahmen des Kolloquiums wurden die inhaltlichen Rückfragen der teilnehmenden Teams durch den Auslober und die Vertreter der Stadt Halle beantwortet.
4 Planungswerkstatt
4.1 Ablauf
Die Planungswerkstatt fand am 04.06.2019 im Haus Töpferplan 3 statt. Nach der Vorstellung der allgemeinen Ziele des Wettbewerbs folgten die Vorträge der fünf teilnehmenden Teams. Direkt im Anschluss an die einzelnen Vorträge konnten Rück- bzw.verständnissragen gestellt werden. Anschließend gab das Preisgericht allgemeine Hinweise und Anregungen sowie spezifisch zu den einzelnen Arbeitsständen.
4.2 Teilnehmende
An der Planungswerkstatt nahmen neben den VertreterInnen der eingeladenen Teams auch einige der FachpreisrichterInnen, FachbereaterInnen und VorprüferInnen sowie weitere beteiligte Mitarbeiter der Stadt Halle (Saale) und der Stadtbau AG teil. Des Weiteren konnte auch die Öffentlichkeit an der Planungswerkstatt teilnehmen.
4.3 Allgemeine Hinweise und Anregungen
Im Rahmen der Planungswerkstatt gaben der Auslober und die Stadt Halle die folgenden Hinweise zur weiteren Bearbeitung.
„Für die weitere Bearbeitung kann von einem Erwerb der im Plangebiet noch vorhandenen Grundstücke Dritter durch die Ausloberin ausgegangen werden. Alternativlösungen ohne eine Bebauung der bisherigen Fremdgrundstücke müssen nicht weiterverfolgt werden.
Das Landesamt für Denkmalpflege hat vor der Veranstaltung folgenden Hinweis übermittelt: Besondere Bedeutung für das Wettbewerbsgebiet, hier vor allem den Töpferplan, besitzt das Baudenkmal Leipziger Turm, als städtebauliche Dominante. Hier gilt es die Raumwirksamkeit des Kulturdenkmals und seinen Wirkungsraum zu erhalten. Die Dominanz des historisch hohen (!) Turmes, die ja auch mit seinen verschiedenen sich wandelnden Funktionen verbunden war, ist wesentlich für den Stadtraum bzw. für das Stadtbild.
Am Stadtgottesacker wird eine Bebauung, die nicht höher ist als die angrenzenden Bestandsgebäude als notwendig angesehen. Ein Abrücken der Bebauung vom Stadtgottesacker und eine Gestaltung des Eckbereichs Gottesackerstraße/ Charlottenstraße als Platz-
aufweitung des Straßenraums können sinnvolle städtebauliche Lösungsansätze an der
Nahtstelle des Plangebiets zu diesem Denkmal sein.
Die Freifläche auf dem Töpferplan soll bebaut werden. Auch hier wird erwartet, dass die ge-
planten Höhen nicht über den angrenzenden, gründerzeitlichen Bestand hinausgehen.
Die beiden Bestandsgebäude „La Bim“ und Glaserei können identitätsstiftend für das Gebiet
wirken. Ein Erhalt ist daher wünschenswert, wenn dieser mit öffentlichkeitswirksamen Nut-
zungen verbunden (Kita, Gastronomie, MicroHub etc.) wird. Mindestens in den unteren Ge-
schossen sollte hier keine Wohnnutzung entstehen.
Die Kita ist als quartiersbezogenes Angebot gedacht. Daher müssen (und sollen) hier keine
größeren Hol- und Bringverkehre mit dem Auto erfolgen.
Die Anlieferung für den MicroHub und die Tiefgaragenzufahrten sollen auf möglichst kurzem
Weg von der Hauptzufahrt zum Gebiet über die Anhalter Straße erreichbar sein.
Eine öffentlich nutzbare Durchwegung durch das Gebiet ist erwünscht. Sie soll keine Haupt-
wegeführung darstellen. Eine Barrierefreiheit sowie eine Durchlässigkeit für den Radverkehr
sind nicht erforderlich.
Die Gottesackerstraße bleibt eine öffentlich gewidmete und für die Allgemeinheit befahrbare
Straße. Von einer Umgestaltung der bestehenden Schrägparkstände in Längsparkstände
kann dabei ausgegangen werden.
Die gegenüber dem Plangebiet liegende Straßenfront an der Gottesackerstraße wird auf-
grund von unzureichenden Grundstückstiefen auch künftig nicht vollständig bebaut werden
und Lücken aufweisen.
Die direkte Erschließung für Lieferverkehr und MIV erfolgt bereits im Bestand über die Anhal-
terstraße/ Riebeckplatz als zentraler Verteiler und soll so beibehalten werden. Eine Drehung
der Einbahnstraßen im Charlottenviertel wäre prinzipiell möglich, deren Vorteil muss aber
nachgewiesen werden.
Die Tiefgaragen sollten jeweils von Süden am tiefsten Punkt des jeweiligen Geländes er-
schlossen werden.
Die Straßenbreiten und der Zuschnitt der öffentlichen Verkehrsflächen sind mindestens nach
den Anforderungen der Feuerwehr und der Ver- und Entsorgung zu dimensionieren. Für die
Wegnahme von öffentlich gewidmeten Stellplätzen im Wettbewerbsgebiet ist eine entspre-
chende Kompensation vorzunehmen, sofern nicht Gründe der Sicherheit und des Brand-
schutzes ursächlich sind.
Untergeordnet ist die Erschließung über die Wilhelm-Külz-Straße und die Stadtgottesacker-
straße aus Richtung Norden. Eine stärkere Belegung ruft Immissionskonflikte hervor. Des-
halb kann diese Verbindung keine Hauptschließung darstellen. Für die Anlieferung können
Varianten über den Umbau der Treppenanlage geprüft werden, jedoch ist der damit verbun-
dene Aufwand mit dem tatsächlichen Nutzen abzuwägen. Eine detaillierte verkehrliche Un-
tersuchung für die Fläche am Töpferplan ist in diesem Wettbewerbsverfahren nicht zwingend
notwendig. Es muss aber der Nachweis geführt werden, dass die Entwicklung beider Flä-
chen (Töpferplan und Charlottenstraße/ Martinstraße; Gottesackerstraße) ohne gegenseitige
negative Beeinflussung möglich ist.“
4.4 Arbeitsstände, Hinweise und Anregungen
4.4.1 Behet Bondzio Lin Architekten
Hinweise und Anregungen des Preisgerichts
„Die Grünverbindung über die Öffnung gegenüber der Außenmauer des Stadtgottesacker sollte geprüft werden. Durch die Einfriedungen und die interne Nutzung des innen liegenden Freiraums wird die angestrebte Wirkung vermutlich geschmälert werden.
Die GFZ von 3,0 muss nicht zwingend erreicht werden, wenn ein insgesamt wirtschaftlich darstellbares Konzept erzielt wird.“
4.4.2 Fuchshuber Architekten
Hinweise und Anregungen des Preisgerichts
„Die Zufahrt der Tiefgarage sollte von der Wilhelm-Külz-Straße an die Charlottenstraße in Höhe der Einmündung Anhalter Straße bzw. an den Tiefpunkt des Geländes verlagert werden.“
4.4.3 Däschler Architekten und Ingenieure
Hinweise und Anregungen des Preisgerichts
Aus der Sicht des Entwurfsteams war eine Kombination aus den Varianten 3 und 4 die Vorzugslösung für die weitere Bearbeitung. Das Preisgericht machte dazu die folgenden Anmerkungen:
"Große öffentliche Flächen, wie sie in der Variante 4 zwischen den Einzelgebäuden denkbar sind, werden durch die Stadt Halle (Saale) nicht als zielführend gesehen.
Hier sollte eine differenzierte Lösung mit überwiegend privaten Erschließungs- und Freiflächen gefunden werde, es können nur untergeordnete Flächengrößen veröffentlicht werden."
4.4.4 snarq architekten
Hinweise und Anregungen des Preisgerichts
„Die Freifläche auf dem Töpferplan soll bebaut werden.
Die Gestaltung der Sockelzone und der Nachweis der Nutzbarkeit in den Erdgeschosszonen bedarf bei dieser Lösung einer besonderen Sorgfalt.“
4.4.5 Zila freie Architekten
Hinweise und Anregungen des Preisgerichts
„Für die Blockrandbebauung soll eine Höhenstaffelung entwickelt werden.
Abstandsflächen und Feuerwehrzufahrten/-flächen sollten überprüft werden.
Das „La Bim“ kann auch als Solitär erhalten werden, dabei sollte dann auch die vorhandene geschlossene Brandwand zu einer Ansichtsseite umgestaltet werden.“
5 Preisgericht und Ergebnisse des Wettbewerbs
Die Preisgerichtssitzung fand am 27.08.2019, von 13.00 bis 19.45 Uhr im Haus Töpferplan 3 in Halle statt.
Von 13:30 bis 14:45 Uhr stellten die teilnehmenden Büros ihre Arbeiten in der folgenden, zuvor durch Auslosung bestimmten Reihenfolge vor:
- Däschler Architekten und Ingenieure, Plantraum Freiraumarchitekten
- snarq architekten
- Behet Bondzio Lin Architekten
- Fuchshuber Architekten
- Zila freie Architekten
Dazu wurden jeweils Rückfragen des Preisgerichts beantwortet.
Danach wurde die Preisgerichtssitzung ohne Anwesenheit der Entwurfsverfasser fortgesetzt.
Die Ergebnisse der Vorprüfung wurden durch Herrn Beele von H+B Stadtplanung zusammenfassend vorgetragen. Er teilte mit, dass alle teilnehmenden Büros ihre Arbeiten fristgerecht und vollständig eingereicht haben und keine Arbeit aus formalen Gründen von der Bewertung ausgeschlossen werden müsse.
Von 15:30 Uhr bis 16:15 Uhr informierte sich das Preisgericht in einem Rundgang nochmals detailliert über die einzelnen Arbeiten, wobei auch noch einmal einzelne Rückfragen durch die Vorprüfung beantwortet wurden. In diesem Rundgang wurden noch keine Wertungen vorgenommen.
Von 16:30 Uhr bis 19:45 Uhr wurden die Arbeiten der fünf teilnehmenden Büros in insgesamt zwei Bewertungsrundgängen beurteilt und es erfolgte die Festlegung der Preisträger.
5.1 Erster Preis
-Däschler Architekten und Ingenieure, Halle (Saale)-
-Plantraum Freiraumarchitekten, Halle (Saale)-
Auszug aus dem Erläuterungstext der Verfasser:
Die freistehenden Baukörper passen sich mit schlichter Selbstverständlichkeit in den komplexen Stadtraum und das schräge Gelände ein. Mit der vieleckigen Grundrissform bilden sich kabinettartige Außenräume aus und belichten die Wohnungen übereck. Hierdurch entstehen luftige, räumlich spannende Zwischen- und Innenbereiche, die Angebote bieten für Jung und Alt, sowie für ruhiges Wohnen im Grünen und urbanes Leben im Kiez.
Durch Drehen und Spiegeln gleicher Grundrisse, wird der Ausdruck repetitiver Baukörper vermieden. Vielmehr entsteht eine Komposition aus unterschiedlichen, sich organisch aufeinander beziehenden Volumen.
Das Freiraumkonzept geht auf die architektonische Idee ein, die klassische Blockrandbebauung zu durchbrechen. Statt geschlossener Höfe entsteht ein mit dem Stadtraum verwobener großzügiger, nach Süden offener Binnenbereich, der einerseits einen kleinteiligen Rau bietet, sich der Öffentlichkeit jedoch nicht vollkommen verschließt.
Beurteilung durch das Preisgericht
Der Arbeit gelingt ein alternativer, sehr eigenständiger Ansatz einer aufgelösten Blockrandstruktur. Die einzelnen Häuser präsentieren sich darin als individuelle Stadtbausteine. Der Städtebau passt sich dabei der Topographie gut an und nutzt die vorhandene Geländestaffelung. Allerdings erscheint die Bebauung am Stadtgottesacker und entlang der Charlottenstraße übermäßig hoch. Die geforderten städtebaulichen Kennwerte der BGF und der Wohneinheiten werden nahezu vollständig erfüllt, dabei ist die Dichte für den urban geprägten Standort räumlich nicht unangemessen.
Durch die Öffnung und Befensterung der Baukörper zu allen Seiten entstehen vielfältige Außenbezüge, die aber noch einer weiteren Ausgestaltung bedürfen. Die Nutzungswidmung der innen liegenden Grünzone und der Korridore zwischen den Häusern bleibt unklar, es ist nicht ausreichend unterscheidbar, welche Räume einen privaten Charakter bzw. öffentlichen Charakter haben sollen. Die innen liegenden Freiräume sind zu stark versiegelt und ohne stringentes Gestaltungskonzept. Die Tiefgarage bietet ausreichend viele Stellplätze, der Vorschlag getrennter Ein- und Ausfahrten wird positiv aufgenommen. Die innere Erschließung der einzelnen Häuser wird im Hinblick auf das Raumangebot für die nachbarschaftliche Kommunikation von Teilen des Preisgerichts kritisch gesehen. Ebenfalls kritisch gesehen werden die Wohnungen mit reiner Nordost-Ausrichtung. Das Haus am Töpferplan nimmt in den unteren beiden Geschossen die Gebäude fluchten der angrenzenden Bebauung auf; durch die nachfolgende Drehung der Obergeschosse entsteht eine spannungsvolle räumliche Situation, die dem Ort angemessen ist.
Empfehlungen des Preisgerichts zur weiteren Bearbeitung
- Die Geschossigkeit entlang der Charlottenstraße und zum Stadtgottesacker soll überprüft werden. Denkbar wäre hier eine Abstufung durch Staffelgeschosse. Grillplätze und ähnliches auf den Dächern, die vom Stadtgottesacker aus sichtbar werden, sind zu vermeiden.
- Eine sorgfältige Überprüfung der Sichtachsen vom Stadtgottesacker zur Neubebauung ist darüber hinaus erforderlich.
- In der weiteren Bearbeitung soll eine bewegte Dachlandschaft entwickelt werden, die Bezug zur Umgebung aufnimmt. Dies kann ebenfalls durch Staffelgeschosse sowie Begrünung erreicht werden.
- Die Gestaltung der Freiräume muss qualifizierend ausgearbeitet werden, der Anteil versiegelter Oberflächen im Inneren des Quartiers ist dabei möglichst zu verringern.
- Die einzelnen Solitäre sollen eine differenzierte Gestaltung für eine bessere Adressbildung erhalten. Es soll jedoch weiterhin eine gemeinsame „Handschrift“ bei der Gestaltung erkennbar bleiben.
- Es soll untersucht werden, ob die im Zentrum des Plangebiets ortsprägende Kastanie bei der TG-Planung integriert und damit erhalten werden kann.
- Für die Bebauung am Töpferplan sind die Höhen der angrenzenden Bestandgebäude als Maßstabsbezüge zu beachten.
5.2 Zweiter Preis
- Behet Bondzio Lin Architekten, Leipzig -
Auszug aus dem Erläuterungstext der Verfasser:
Die Planung orientiert sich am Kontext der gründerzeitlichen Bebauung. Besonderen Fokus haben wir auf die vorhandene Bebauung, sowohl auf dem Grundstück, als auch im direkten Umfeld gelegt.
Die abgeschlossenen grünen Innenhöfe sind als private Räume ausgebildet. Sie sind den direkten Anwohnern vorbehalten und sind vom öffentlichen Straßenraum weder einsehbar noch zugänglich. Die Durchwegung durch das Quartier, von der Charlottenstraße zum Töpferplan, stellt dagegen einen öffentlichen Raum dar, der bei Bedarf durch zwei Toranlagen nachts verschlossen werden könnte.
Alle Wohnungen sind über großzügige Treppenräume barrierefrei erschlossen, großzügig geschnitten und im Regelfall mit Freisitzen (Gartenterrassen, Vorgärten, Balkone, Loggien, oder Dachterrassen) versehen. Das La Bim beherbergt im ehemaligen Keller, dass sich zum neuen inneren Quartiersplatz nun als Erdgeschoss darstellt, einen Gemeinschaftsraum mit Nebenräumen für das Quartier. In allen weiteren Geschossen ist jeweils eine große Wohngemeinschaft mit sechs Wohneinheiten und gemeinschaftlicher Wohn-Küchenzone vorgesehen.
Beurteilung durch das Preisgericht
Die Arbeit nimmt Bezug auf die umgebende Blockrandbebauung und entwickelt eine kompakte städtebauliche Figur, die durch Absenkungen und Zurückstaffelungen der Obergeschosse aufgelockert wird. Die quantitativen Vorgaben der Auslobung hinsichtlich der BGF Wohnen und der Zahl der WE sind erfüllt. Die Rhythmisierung der Baukörper vermittelt ein lebendiges Bild und lässt Variationen der Fassadengestaltung zu. Der Entwurf integriert das Bestandsgebäude Töpferplan 3 und trägt damit wesentlich zur Herausbildung einer Quartiersidentität bei. Die klare Trennung zwischen öffentlichem Straßen- bzw. Platzraum und den privaten Innenhöfen ergibt gut nachvollziehbare Stadträume. Die Vorgartenzone an den umgebenden Straßen kann zur Wohnqualität beitragen.
Die Gestaltung muss dabei jedoch dem urbanen Kontext gerecht werden, damit keine „Vorstadtatmosphäre“ entsteht. Zudem wäre die Tiefe der Vorgärten zu prüfen, da sie die Größe der Innenhöfe vermindern. Insbesondere der nördliche Innenhof wirkt relativ eng, die Gebäudehöhen wirken sehr massiv. Auch als Gegenüber zum Stadtgottesacker ist die Bebauung sehr hoch und wirkt etwas überdimensioniert. Die Lage der Tiefgaragenzufahrt direkt an der Freitreppe zur Anhalter Straße lässt verkehrliche Konfliktsituationen mit dem Fußgängerverkehr erwarten und bedarf einer anderen Lösung.
5.3 Dritter Preis
-Zila freie Architekten, Leipzig-
-Grieger Harzer Landschaftsarchitekten, LeipzigAuszug aus dem Erläuterungstext der Verfasser:
Aus den genannten städtebaulichen Rahmenbedingungen formuliert der Entwurf das Konzept einer differenzierten Blockstruktur die Innen und Außen sowohl von einander abgrenzt als auch die Vernetzung des öffentlichen Stadtraums mit differenzierten Innenräumen ermöglicht. Die Einordnung des Quartiers in die Körnung der umgebenden Stadtfelder und die räumliche Prägung des Stadtraumes durch die Topographie wird damit gefördert. Eine öffentliche Durchwegung zwischen Charlottenstraße und Töpferplan gliedert das gesamte Areal in zwei Teilbereiche und formuliert an dieser Nahtstelle einen linearen öffentlichen Platzraum der die Anhalter Straße zu dem lebendigen städtischen Platzraum am Toepferplan fortführt und dabei die hangabwärts liegende Blickbeziehung zum Leipziger Turm als markante Raumwirkung etabliert.
Die Block-Innenbereiche werden als üppige, grüne Höfe verstanden. Die Bedürfnisse nach Privatheit und Gemeinschaft, nach Spiel und Ruhe, Prinzipien des Animal-Aided Design und die besondere topografische Situation werden zu einem lebendigen, funktionalen wie poetischen Landschaftserlebnis verknüpft.
Die Erschließung der Wohngebäude erfolgt über den öffentlichen Straßenraum. Die Hofbebauungen werden über die Durchwegungen und die Innenhöfe erreicht. Diese können privat durchquert werden.
Beurteilung durch das Preisgericht
Die Arbeit entwickelt die ortstypisch Blockrandbebauung in einer zeitgemäßen Interpretation weiter. Durch das „Aufschneiden“ der Blockränder mit vier Fugen entstehen vielfältige Raum- und Blickbezüge mit sorgfältig gestalteten Innenhöfen. Dabei wirkt der nördliche Hof allerdings relativ eng. Die Bebauung fügt sich gut in die Umgebung ein. Das Bestandsgebäude Töpferplan 3 ist gut in den Entwurfskontext integriert und bildet an der öffentlichen Wegeverbindung zur Anhalter Straße die Adresse für das Quartier. Die Lage der Tiefgaragen und der Zufahrten ist städtebaulich und verkehrlich richtig gewählt. Die Zahl der Stellplätze muss ggf. erhöht werden.
Die Orientierung von Wohnräumen zu den Fugen wird wegen der Belichtung kritisch gesehen. Durch die erforderliche Nutzung der Fugen als Feuerwehrzufahrt ist eine attraktive Freiflächengestaltung dieser Räume nur eingeschränkt möglich. Trotz des dicht wirkenden Städtebaus generiert der Entwurf eine eher geringe BGF Wohnen und eine relativ geringe Wohnungsanzahl.
5.4 Weitere Wettbewerbsarbeiten
-Fuchshuber Architekten, Leipzig-
Auszug aus dem Erläuterungstext der Verfasser:
Grüne Freiräume sind ein Bestandteil der Gebäude und kompensieren die starke Grundstücksauslastung durch die städtischen Baukörper und seine Außenflächen. Ziel des Entwurfes ist es, einen homogenen Stadtbaustein zu schaffen, der sich durch seine klare Formsprache ins Gesamtbild der Umgebung einbettet und zur urbanen Verdichtung des Standortes beiträgt. Durch leichte Akzentuierungen in der Fassade soll der Entwurf klare Adressen erhalten. Die Kubatur des Gebäudes nimmt die Blockrandstruktur der angrenzenden Nachbarbebauung, sowie die des „Stadtgottesacker“ auf und führt die Quartiersentwicklung fort. Die Gebäudekonzeption versucht die maximal mögliche Wohnfläche zu erreichen.
Die Leitidee des Entwurfs basiert auf der Schaffung eines zeitlos modernen und unverwechselbaren Wohngebietes für Familien, Singles und Senioren unter behutsamer Einbeziehung der Topografie des vorhandenen Grundstücks.
Das Quartier ist nahezu autofrei angelegt. Der individuelle Fahrverkehr endet auf den vorhandenen umgebenden Straßen schnell in kurzen Stichstraßen mit Besucherparkplätzen bzw. wird von da unmittelbar in Tiefgaragen geführt. Dadurch werden die Fußgänger wie auch Radfahrer priorisiert.
Alle Wohnungen sind kompakt geplant und ermöglichen somit einen bezahlbaren Wohnraum.
**Beurteilung durch das Preisgericht**
Die Blockrandbebauung ist in selbstverständlicher Weise aus der bestehenden Struktur der Umgebung entwickelt und fügt sich dementsprechend gut ein. Auch die Staffelung der Bebauung entsprechend der vorhandenen Geländehöhen ist gut gelöst.
Andererseits birgt der städtebauliche Grundansatz das Risiko einer gewissen Monotonie. Es mangelt an einer eigenständigen, die Identität des neuen Quartiers prägenden Ausformung der Grundidee. Die Wohnform der Cluster-Wohnungen wird begrüßt. Allerdings sieht das Konzept einen deutlich zu großen Anteil von Einraumwohnungen vor. Die innenliegenden Treppenhäuser werden sichtlich Belichtung und Belüftung kritisch gesehen. Die Fassadengestaltung (Materialität, Fensterformate) wird begrüßt und bietet einen Entwicklungsfähigen Ansatz, bei dem die Fensterformate in einzelnen Bereichen für den Wohnungsbau recht groß erscheinen. Der Baukörper am Töpferplan ist richtig gesetzt und in der Höhenentwicklung für den Ort angemessen.
*-snarq architekten, Halle (Saale)*-
Auszug aus dem Erläuterungstext der Verfasser:
Anliegen unseres Entwurfes ist es, der Historie und der unterschiedlichen Maßstäblichkeit der Umgebung gerecht zu werden und dabei bei hoher Verdichtung ein identitätsstiftendes innerstädtisches Quartier zu schaffen.
Typologisch besteht der Entwurf aus drei Bausteinen: der Stadtterasse, dem Wohnkomplex im Süden und den Töpferhöfen.
Der Solitär "Stadtterrassen" an der Freitreppe zum Leipziger Turm verbindet das Quartier mit der Stadt. Er ist gleichzeitig Schlussstein und Verbinder zwischen dem unteren und dem oberen Plateau. Die großzügige Caféterrasse lädt zum Verweilen ein.
Eine typologische Anknüpfung an die umliegende Bebauung bildet der südliche Wohnkomplex. Er schließt in einem Bogen die Lücke zwischen der bestehenden Berufsschule und der alten Glaserei und schafft eine 6-geschossige Blockrandbebauung. Der entstandene Hof wird zum geschützten Raum für die in der Glaserei angesiedelte Kindertagesstätte.
Im Norden des Bebauungsgrundstücks befindet sich das Wohnquartier Töpferhöfe. Hier werden die Baukörper in Riegel aufgelöst, zwischen welchen sich die grünen Privathöfe erstrecken.
Beurteilung durch das Preisgericht
Die lebendige Dachlandschaft dieser Arbeit leistet einen positiven Beitrag zur Quartiersidentität und Stadtgestalt. Materialität und Gliederung der Fassaden ergänzen diese positive Wirkung. Die städtebauliche Dimension der Bebauung am Stadtgottesacker ist sorgfältig gewählt und nimmt die erforderliche Rücksicht auf den Denkmalbestand.
Andererseits ist der Bebauungsvorschlag am Töpferplan mit 7 Geschossen zu hoch für diesen Ort und nimmt zu wenig Rücksicht auf den Denkmalbestand. Die Hofgassen zwischen den Zeilen können als Orte der nachbarschaftlichen Begegnung und Kommunikation entwickelt werden, der Vorschlag wird grundsätzlich begrüßt. Die Höfe werden jedoch aufgrund
ihrer räumlichen Dimensionen im Hinblick auf die Belichtung der Freiräume und der Wohnungen in den unteren Geschossen kritisch gesehen. Die Arbeit sieht einen hohen Anteil nur gewerblich nutzbarer Geschossflächen und insgesamt zu wenige Wohneinheiten vor. Der Anteil der Erschließungs-/ Verkehrsflächen an der Geschossfläche ist aufgrund der Laubengangerschließung relativ hoch. Insgesamt ist die Arbeit dadurch in wirtschaftlicher Hinsicht nicht gemäß den Anforderungen der Auslobung umsetzbar.
TOP 3: Bauvorhaben Charlottenviertel/ Töpferplan als Information des Gestaltungsbeirates über die Ergebnisse des 1. Preises aus dem Wettbewerb
Bauherr: Am Stadtpark GmbH, Halle
Planer: däschler architekten & ingenieure gmbh, Halle
Projektvorstellung
Gem. Schreiben von Frau Grimmer (GB II Abteilung Stadtbeauförderung und -recht 61.3) wurden durch die Jury in der Sitzung vom 27.8.2019 Hinweise zur Überarbeitung des Wettbewerbsbeitrages des Büros Däschler Architekten und Ingenieure gegeben. Herr Däschler hat die Weiterentwicklung seines Konzeptes anhand einer Beamerpräsentation und eines Modells in der Sitzung vom 04.11.2019 vorgestellt, dabei wurde der Wettbewerbsstand nur mehr als Dachaufsicht gezeigt. Der Gestaltungsbeirat wurde gebeten, den Entwurf auf dieser Grundlage einzuschätzen und ggf. Empfehlungen zur Fortentwicklung zu formulieren.
Diskussion und Empfehlung
1. Hinweis:
"Überprüfung der Geschossigkeit entlang der Charlottenstraße und zum Stadtgottesacker"
Entlang der Charlottenstraße wurde bis zum Stadtgottesacker bei allen Gebäuden die straßenseitige Traufkante um ein Geschoss abgesenkt, somit wurde dieser Hinweis umgesetzt.
2. Hinweis:
"Beachten der Sichtachsen aus dem Stadtgottesacker"
Es wurde eine Perspektive in Gegenrichtung gezeigt, die nachweist, dass die Sichtachse vom Stadtgottesacker in das Quartier freigehalten wird.
3. Hinweis:
"Entwicklung einer belebten Dachlandschaft"
Im Wettbewerb hatten alle Baukörper Flachdächer mit kleinen mittigen Aufbauten, die lediglich die Erschließungen enthielten. In der Überarbeitung wurden ca. 2/3 Staffelgeschosse gezeigt, die sich jeweils zur Straße herunterstaffeln. Dadurch entstehen auf dem verbleibenden Drittel gut nutzbare den Wohnungen zugeordnete Dachterrassen. Im Ergebnis wird eine belebte Dachlandschaft möglich.
4. Hinweis:
"Berücksichtigung von Fassaden- und Dachbegrünung"
Dachterrassen, Dächer und Fassaden wurden in unterschiedlicher Intensität begrünt. Damit wurden die möglichen Potenziale weitgehend ausgeschöpft und positiv bewertet.
5. Hinweis:
"Verringerung des Anteils an versiegelten Flächen "
Herr Däschler hat vorgerechnet, dass durch die zusätzlichen Begrünungsmaßnahmen (s. 4. Hinweis) zusammen mit den bodennahen Begrünungen eine Plusbegrünung erreicht wird. Dieser Vorschlag wird sehr begrüßt, auch unter Berücksichtigung der bei dieser Dichte geringen Möglichkeiten am Boden.
6. Hinweis:
"Differenzierte Fassadengestaltung zur Adressbildung"
Es wurden zwei gestalterische Bereiche ausdifferenziert: Sechs Gebäude im „grünen Bereich“ mit Fassaden aus Holz, bodentiefer Verglasung und Begrünung (mit Schwerpunkt zum Innenbereich) sowie drei Gebäude im urbaneren „Kiez“ mit Fassaden aus Ziegel und
bodentiefer Verglasung. Die gezeigte Präsentation lässt eine differenzierte Fassadengestaltung mit guter Adressbildung erkennen.
7. Hinweis:
„Überprüfung der Einbindung des vorhandenen Baumbestandes“
Dieser Punkt wurde nicht weiter erörtert.
8. Hinweis:
„Maßstabsbezüge im Bereich Töpferplan zur vorhandenen Bebauung“
In diesem Ideenteil wurde das Gebäude an die Höhen der umgebenden Bebauung angepasst.
Fazit:
Insgesamt wurden Architekt und Investor für die geradezu modellhafte Weiterentwicklung sehr gelobt. Auch die vorgestellten sozialen Aspekte des Quartiersgedankens wurden begrüßt. Hier sieht der Gestaltungsbeirat noch weiteres Entwicklungspotenzial, ebenso wie bei der weiteren Ausdifferenzierung der Schnittstellen zwischen privaten, halböffentlichen und öffentlichen Flächen. Eine erneute Vorstellung des Projektes, nach Weiterentwicklung des Entwurfs, wird empfohlen.
Für diese Empfehlung
Herr Dipl.-Ing. Eckart Rohde
Gestaltungsbeirat
04.11.2019
Zustimmung zu den Empfehlungen
Frau Dr.-Ing. Engel
Vorsitzende
Frau Wartzeck
stellv. Vorsitzende
Herr Rohde
Herr Albrecht
Frau Schieferdecker
Herr Zeh
Herr Rau
Halle, 04.11.2019 | 21b8b084-b0cd-4b57-ae1a-b56b6026d54d | HuggingFaceFW/finepdfs/tree/main/data/deu_Latn/train | finepdfs | deu_Latn | 45,314 |
direcció general
formació per a directius
opinions i resultats
Et fa veure que saps poc de moltes coses i que no has aprofundit en cap d'elles i, per tant, no prens decisions encertades. Un cop fet el curs et pots fixar en aspectes més concrets. Serveix per adonar-te que tens una visió global, però no una visió específica de cada aspecte de l'empresa.
Moltes vegades prens decisions per intuïcions i aquí he après a prendre decisions basant-me en aspectes analítics i reals que m'han aportat els professors.
Jo recomanaria aquest programa de formació de directius a tothom que tingui un negoci, ja sigui petit, mitjà o gran, perquè realment prens consciència que et falta profunditat en molts temes. Fa veure moltes coses.
direcció general
direcció general
estratègia i màrqueting internacional
direcció de compres i aprovisionament
direcció comercial i de màrqueting
direcció i gestió de persones
programa nord
direcció general
Aquest programa s'ha dissenyat amb l'objectiu de posar a disposició d'empresaris i directius un programa de formació d'alt nivell i immediatament aplicable que faci reflexionar, reaccionar i afrontar amb visió i seguretat els problemes habituals de la seva activitat.
Es vol desenvolupar en els directius una sòlida visió global i futura de la seva empresa, donant-li eines per la presa de decisions i per la dinamització del seu equip de treball.
objectius del programa
Desenvolupar personal i professionalment als directius que, partint de la seva experiència empresarial o institucional, desitgen contribuir al desenvolupament de les seves organitzacions i incrementar les seves habilitats directives.
Obtenir eines per desenvolupar i implantar la visió estratègica objectiva a les diferents línies d'activitat de l'empresa.
Desenvolupar les competències per a la direcció i gestió de persones.
Ajudar als empresaris a analitzar els aspectes clau de la globalització.
Conèixer les tècniques de gestió i de direcció comercial, econòmicfinanceres i d'operacions que permetin detectar, analitzar i implementar actuacions davant les diferents problemàtiques empresarials.
direcció general
contingut del programa
estratègia i model de negoci. 1
Àmbits clau del sistema.
Estratègia i planificació.
Anàlisi del model de negoci.
Dimensions del lideratge.
Presa de decisions.
Context de la innovació.
l'empresa davant la internacionalització 2
El context actual del comerç internacional.
desenvolupament d'habilitats directives 3
La direcció d'equips
Coneixement, comprensió, interpretació i modificació de comportaments en l'àmbit individual i en el grup.
El procés de delegació i les seves fases.
La fixació i el seguiment d'objectius i la seva relació amb els estils de presa de decisions.
Formar i sostenir un equip eficient. Compatibilitzar les prioritats de l'organització i les expectatives de les persones.
La gestió d'equips d'alt rendiment. La direcció per projectes. La direcció de reunions.
Negociació
Gestionar l'estrès relacional. Aconseguir l'autoefectivitat.
La fidelització de l'equip.
La gestió de conflictes. Dinàmica, tractament.
Estratègies, tàctiques i tècniques de negociació en els diferents àmbits d'actuació de l'empresa.
Les entrevistes i els seus resultats.
Comunicació
La comunicació com una eina de gestió. Incidència de la comunicació en la funció directiva.
Les claus d'una política de comunicació. Competències del directiu en l'àmbit de la comunicació.
Comunicació persuasiva.
Què implica liderar un equip. Del lideratge tradicional al líder coach.
màrqueting analític i estratègic
Fase analítica: Anàlisi intern, anàlisi entorn i competència
Fase estratègica: Estratègia competitiva, avantatge competitiva, segmentació i públic objectiu.
Sistemes d'informació i noves tecnologies.
direcció d'operacions. 5
La qualitat dels processos
Els impactes de les compres a la nostra empresa
gestió financera 6
L'anàlisi d'estats financers.
El control de costos. La gestió del risc.
La rendibilitat. La liquiditat. L'endeutament.
La valoració de les empreses. Sistemes actuals de valoració.
El pla de comunicació interna.
Les aliances estratègiques. La fusió i l'adquisició. Les societats de capital-risc.
4
La informació rellevant per les entitats financeres.
Principis bàsics de negociació amb les entitats financeres.
El quadre de comandament.
direcció dels recursos humans 7
Sistemes de remuneració i compensacions. L'estructura salarial.
La gestió per competències. Les seves aportacions.
La gestió de l'Acompliment. Establiment i seguiment d'objectius.
Avaluació i desenvolupament de l'equip. Els plans de carrera.
experiències empresarials reals a càrrec d'empresaris convidats. 8
direcció general
a qui s'adreça?
Directors generals i gerents amb experiència que desitgin actualitzar i consolidar les pròpies competències directives.
Propietaris i membres dels consells d'administració amb responsabilitat directa en la direcció executiva de l'empresa.
Responsables d'àrea implicats en la presa de decisions de l'empresa.
Directius que es preparen per assumir la direcció general de l'empresa en un futur proper.
Ester Almenar
Llicenciada en Econòmiques i PDD per l'IESE. Professora associada de la Universitat de Ramon Ull, EADA, ESEC i col·laboradora en un cas d'estudi amb l'IESE. Consultora de Koncepts. Ha treballat amb empreses de gran consum i del sector de serveis. Experta en màrqueting.
Carles Banlles
Llicenciat en Psicologia Industrial per la UB. Professor MBA en escoles de negoci. Soci-consultor de GEYSER. Especialista en management i direcció de persones, gestió del canvi a les organitzacions i gestió del talent.
Josep Beltran
Llicenciat en informàtica per la UAB i PDD per l'IESE, expert en els àmbits de la gestió empresarial i la diecció d'empreses. Durant la seva trajectòria professional ha desenvolupat responsabilitats en els àmbits de les TIC, la gestió de la qualitat, organització i processos, recurs humans, i l'estratègia empresarial. Director de Serveis Empresarials de la Cambra de Terrassa.
Santi Libran Llicenciat en Ciències Econòmiques i Empresarials per la UAB. Diplomat en Direcció Financera per ESADE. Programa de Direcció General per l'IESE. Consultor de direcció i
estratègia en exercici.
professorat
Raül Oliva
Enginyer industrial per la UPC. Professor d'MBA d'EAE. Coach executiu certificat per ASESCO. Soci-director de GEYSER. Consultor i professor expert en la gestió del canvi a les organitzacions, la cadena de subministrament i els sistemes de producció.
Ramón Prat
Llicenciat en Psicologia per la UAB. Màster en Direcció i Planificació de RRHH. Experiència com a director en l'àrea de compensació, control i administració de personal. Expert en el disseny, procediment i posada en funcionament de Sistemes de Retribució Variable i Compensació. Professor del Dep. de RRHH d'MDB Consultors Associats, SA.
Josep Prats
Enginyer Tècnic Industrial per la UPC. Programa de Perfeccionament Directiu. PDG - IESE. Director Gerent de la Cambra de Comerç i Indústria de Terrassa. Expert en estratègia i gestió empresarial amb més de 20 anys d'experiència. Ha participat en accions de lobby internacional i participa habitualment en diferents fòrums empresarials internacionals.
Lluís Vañó
Llicenciat en Psicologia. Sènior Mànager d'MDB Consultors Associats, SA. Expert en la dinamització d'equips de direcció, gestió del canvi i posada en funcionament de projectes a les organitzacions. Director i professor del Departament de Direcció de Persones d'MDB Consultors Associats, SA.
10 raons
per cursar un programa nord a la cambra de terrassa
Aplicabilitat. Obtindràs eines útils i actuals que et permetran posar en pràctica de forma immediata els coneixements adquirits.
Networking. Gaudiràs d'una plataforma d'intercanvi d'experiències empresarials per compartir coneixement.
Objectivitat. La nostra formació et dóna eines de gestió que t'ajudaran a prendre decisions de forma objectiva.
Coneixements actualitzats. Continguts basats en l'experiència i la interacció amb les empreses i els seus empresaris. Formació adaptada al temps.
Grups reduïts. Compartiràs expertesa i coneixement a través de l'anàlisi dels casos de les empreses dels propis alumnes. Metodologia innovadora i col·laborativa.
Experiència i rigor. Més de 30 anys formant a empresaris i directius.
Adaptació. Continguts adaptats a les necessitats professionals dels alumnes mitjançant entrevistes individuals d'expectatives.
Professorat. Experts en actiu que combinen la seva activitat amb la docència.
Acompanyament personalitzat. Sessions de feedback amb els alumnes, orientades a la millora del programa i al compliment de les seves expectatives.
Finançament. T'ho posem fàcil. Et gestionem la bonificació.
experiències empresarials
Conferències - col·loqui d'experiències empresarials reals a càrr àrrec de destac acats empresaris i directius, que il·lustren des de la seva viv a vivència professional i personal, els coneixements treballats en cada programa.
Els participants tindran l'oportunitat de conèixer i compartir amb el directiu convidat, estratègies empresarials, de negoci i de gestió que els participants poden contrastar amb la pròpia experiència personal i els diferents punts de vista dels assistents.
xarxa nord
Forma part del grup Xarxa Nord.
Ex alumnes dels Programes Nord de Formació de Directius de la Cambra de Comerç i Indústria de Terrassa.
Un espai de networking, reflexió i estats d'opinió sobre temes de gestió empresarial.
Panell empresarial amb la Sra. Adriana Casademont Consellera Delegada de Casademont, S.A.
informació
durada i horari
110 hores dimecres tarda i dijous al matí, cada 15 dies
lloc de realització
Cambra de Comerç i Indústria de Terrassa c/ Blasco de Garay, 29-49 08224 Terrassa 93 733 98 31/32 firstname.lastname@example.org
emprenedoria
competitivitat
internacionalització
Amb l'experiència de
Blasco de Garay, 29-49 08224 Terrassa T 93 733 98 33
Vallespir, 19, 1a planta 08173 Sant Cugat del Vallès T 93 576 35 74
email@example.com exitempresa.com | <urn:uuid:3afcf0fb-e5d7-447b-bfe2-d882f628ee40> | HuggingFaceFW/finepdfs/tree/main/data/cat_Latn/train | finepdfs | cat_Latn | 10,029 |
Az edelényi Szent Miklós Görögkatolikus Általános Iskola pályázatot hirdet, testnevelő tanár
pedagógus munkakör betöltésére.
A munkaviszony időtartama:
1 éves határozott idejű munkaviszony (alkalmasság esetén meghosszabbítható)
Foglalkoztatás jellege:
Teljes munkaidős
A munkavégzés helye:
Edelény, Borsodi út 36/b.
A munkakörbe tartozó feladatok:
[x] testnevelés órák ellátása az 2-8. évfolyamon és alsó tagozat testnevelés tagozatosak oktatása.
[x] tömegsport foglakozások vezetése
[x] nyitottság az élménypedagógiai módszerek alkalmazására
[x] kiválasztott sportágban edzések megtartása
[x] versenyekre való felkészítés
[x] sportprogramok, kirándulások, túrák szervezése
[x] iskolai közösségek programjaiba való tevékeny bekapcsolódás
Illetmény és juttatások:
Az illetmény megállapítására és a juttatásokra a Munka Törvénykönyvéről szóló 2012. évi I. Törvény és a 1992. évi XXXIII. törvény a közalkalmazottak jogállásáról előírásai az irányadók.
Pályázati feltételek:
- Büntetlen előélet
- Főiskola, testnevelés szakos általános iskolai tanár
Előnyt jelentő tények és kompetenciák:
[x] egyházi ajánlás,
[x] legalább 5 év szakmai tapasztalat,
[x] a pedagógus pálya iránti elhivatottság,
[x] kiváló szintű szervezőkészség,
[x] alapos, átfogó és korszerű szaktudományos és szaktárgyi tudással rendelkezik,
[x] tudatosan törekszik a tanulók motiválására, aktivizálására,
[x] részt vállal az intézményi innovációban, pályázatokban, kutatásban.
A pályázat részeként benyújtandó iratok, igazolások:
[x] szakmai önéletrajz,
[x] 3 hónapnál nem régebbi hatósági erkölcsi bizonyítvány (felvétel esetén nyújtandó be)
[x] iskolai végzettséget, képzettséget igazoló okmányok másolata,
[x] motivációs levél
A pályázat benyújtásának határideje: 2016. augusztus 15.
Szakmai információ az intézményvezetőtől kérhető a 30/583-1426 telefonszámon.
A pályázatok benyújtásának módja:
[x] személyesen az általános iskola titkárságán,
[x] elektronikus úton a firstname.lastname@example.org e-mail címen keresztül.
A pályázók személyes meghallgatásának ideje: 2016. augusztus 22. 10.00 óra
A pályázat elbírálásának határideje:
2016. augusztus 25.
Az állás betölthető: 2016. szeptember 01-től. | <urn:uuid:30d35727-b787-463e-b67c-f07b1dcbeb28> | HuggingFaceFW/finepdfs/tree/main/data/hun_Latn/train | finepdfs | hun_Latn | 2,196 |
REGISTRE DES DELIBERATIONS
DU CONSEIL MUNICIPAL
Nombre de conseillers :
En exercice 15 L'an deux mille vingt trois
Présents 12 le 3 Octobre à 18h30
Votants 14 le Conseil Municipal de la commune de CREISSAN dûment convoqué, s'est réuni en
Pouvoirs 2 session ordinaire, à la mairie sous la présidence de M. BRUNET Laurent, Maire.
Date de convocation du Conseil Municipal : 26/09/2023
N°2023-53
PRESENTS : BRUNET Laurent, MASSE Michel, MONTAGNE Stéphane,
LECOMTE Corinne, HENRION Martine, GIL Sébastien, HERAIL Bernard,
CHABANON Géraldine, RICHERT Evelyne, MAILLE Valérie, LAUR Marie-Paule, LEGIER Joséphine
ABSTENTS EXCUSES : SERRE Philippe, SECQ Fanny, ROUANET Thomas.
POUVOIRS : SECQ Fanny à BRUNET Laurent
SERRE Philippe à LAUR Marie-Paule
Mme LAUR Marie-Paule a été nommée secrétaire de séance.
Objet : Modification du contrat d’assurance des risques statutaires
VU le Code général des collectivités territoriales ;
VU le Code générale de la fonction publique ;
VU le décret n°85-643 du 26 juin relatif aux centres de gestion de la fonction publique territoriale ;
VU le décret n°86-552 du 14 mars 1986 pris en application du deuxième alinéa de l’article 26 de la loi n°84-53 du
26 janvier 1984 et relatif aux contrats d’assurances souscrits par les centres de gestion pour le compte des
collectivités locales et établissements territoriaux.
Le Maire rappelle :
Depuis le 1er janvier 2022, l’établissement est assuré contre les risques statutaires via un contrat souscrit, par
l’intermédiaire du Centre de gestion de la fonction publique territoriale de l’Hérault (CDG 34), auprès de l’assureur
GENERALI et du courtier gestionnaire WTW.
Le Maire expose :
Que suite aux échanges qui ont eu lieu entre le CDG 34 et le courtier gestionnaire, les résultats du contrat couvrant
les risques des agents CNRACL constatés sur l’exercice 2022 impliquent l’activation de la clause contractuelle
d’ajustement tarifaire.
A titre d’information, l’assureur souhaitait appliquer une majoration du taux de cotisation à hauteur de 40%, à
compter du 1er janvier 2024.
Cependant, afin de limiter l’impact financier de la hausse de la cotisation, le CDG 34 en lien avec le courtier, a
obtenu une alternative pour amoindrir l’impact financier de la hausse de la cotisation.
Cette alternative se traduit par une majoration du taux à hauteur de 24%, assortie d’un taux de minoration des
remboursements des indemnités journalières comme présenté dans le tableau ci-dessous.
| Formules de couverture et franchises | Nouveaux taux 2024 – Couverture des IJ à 80% |
|--------------------------------------|---------------------------------------------|
| Tous les risques, avec une franchise de 10 jours par arrêt en maladie ordinaire | 8,56% |
| Tous les risques, avec une franchise de 15 jours par arrêt en maladie ordinaire | 8,05% |
| Tous les risques, avec une franchise de 30 jours par arrêt en maladie ordinaire | 7,08% |
| Tous les risques, avec une franchise de 30 jours sur toutes les indemnités journalières | 6,46% |
Il est précisé que seuls les sinistres survenant à compter du 1er janvier 2024 seront concernés, les sinistres antérieurs demeurant remboursés intégralement. Par ailleurs, les montants des capitaux décès et frais médicaux ne sont pas concernés par cette mesure de réajustement.
En outre, dans le cas où une amélioration des résultats serait constatée en 2024, il sera possible de revoir le taux d’indemnisation des IJ.
Le Conseil Municipal, après en avoir délibéré, à l’unanimité des membres présents,
DÉCIDE
Article 1 : De maintenir la formule d’assurance pour les agents titulaires et stagiaires affiliés à la CNRACL à compter du 1er janvier 2024
Les risques assurés sont : Décès / Accident de service & maladie imputable au service (y compris temps partiel thérapeutique) / Incapacité (maladie ordinaire, disponibilité d’office, invalidité temporaire) / Maladie de longue durée, longue maladie (y compris temps partiel thérapeutique et disponibilité d’office) / Maternité, adoption, paternité :
Cocher l’option retenue parmi les 4 formules de couverture et franchises :
| GARANTIES | TAUX | CHOIX |
|---------------------------------------------------------------------------|--------|-------|
| Tous les risques, avec une franchise de 10 jours par arrêt en maladie ordinaire | 8,56% | X |
| Tous les risques, avec une franchise de 15 jours par arrêt en maladie ordinaire | 8,05% | |
| Tous les risques, avec une franchise de 30 jours par arrêt en maladie ordinaire | 7,08% | |
| Tous les risques, avec une franchise de 30 jours sur toutes les indemnités journalières | 6,46% | |
Le taux s’applique sur l’assiette de cotisation qui est composée des éléments suivants :
Traitemet indiciaire brut soumis à retenue pour pension.
Et, de façon optionnelle, tout ou partie des éléments suivants :
Cocher les éléments retenus
| BASE D’ASSURANCE | CHOIX |
|----------------------------------------------------------------------------------|-------|
| Nouvelle bonification indiciaire | X |
| Supplément familial de traitement | |
| Indemnité de résidence | |
| Charges patronales (forfait entre 10% et 60% du TIB+NBI) | |
| Indemnités accessoires maintenues par l’employeur pendant les arrêts de travail (sont exclus les indemnités attachées à l’exercice des fonctions et celles qui ont un caractère de remboursement de frais) | |
Article 2 : Le Conseil municipal autorise le Maire à prendre et à signer les conventions en résultant et tout acte y afférent.
Ainsi fait et délibéré les jour, mois et an que susdits.
Pour extrait conforme
Le Maire,
Laurent BRUNET
Le Maire :
- Certifie sous sa responsabilité le caractère exécutoire de cet acte,
- Informe qu’en vertu du décret n°83-1025 du 29/11/83 concernant les relations entre l’administration et les usagers (art 9, 6° du 02/12/83) modifiant le décret 65-25 du 11/01/1955 relatif aux délais de recours contentieux en matière administrative (art 1 NA 16). La présente délibération peut faire l’objet d’un recours pour excès de pouvoir devant le Tribunal Administratif dans un délai de 2 mois à compter de la présente notification.
Transmis au Représentant de l’Etat le :
U:\Carole IZQUIERDO\Documents\Personnel communal\Assurance risques statutaires\GENERALI-INTERIALE 2022\Délib. modification au contrat d'assurance des risques statutaires du CDG34-2023.docx | <urn:uuid:32a7ab5b-1849-4b5b-ad40-f1c0a18633b8> | HuggingFaceFW/finepdfs/tree/main/data/fra_Latn/train | finepdfs | fra_Latn | 6,706 |
Los gastos propuestos que se refieren a esta modificación de crédito (1.227.596,24 euros) se financiarán con bajas de créditos disponibles en partidas del vigente ejercicio presupuestario (619.000,00 euros) y con cargo a remanente de tesorería para gastos generales (608.596,24 euros).
El citado expediente se expone al público en las dependencias de la Intervención municipal, por espacio de quince días hábiles, contados a partir del siguiente al de la inserción del presente anuncio, al objeto de que pueda ser examinado y, en su caso, presentarse, dentro de dicho plazo, las reclamaciones y sugerencias que se estimen oportunas. Igualmente, se publicará el expediente en el portal de la transparencia del Ayuntamiento de La Rinconada, cuya dirección es www.larirconada.es.
Lo que se hace público en cumplimiento de lo dispuesto en el artículo 169 del Real Decreto Legislativo 2/2004, de 5 de marzo, por el que se aprueba el texto refundido de la Ley Reguladora de las Haciendas Locales.
El expediente se considerará definitivamente aprobado si al término de la exposición pública no se hubieran presentado reclamaciones.
En la Rinconada a 20 de octubre de 2021.—El Alcalde, Francisco Javier Fernández de los Ríos Torres.
LA RINCONADA
Don Francisco Javier Fernández de los Ríos Torres, Alcalde-Presidente del Ayuntamiento de esta villa:
Hace saber: Que el Pleno de esta Corporación municipal, en sesión ordinaria celebrada el día 19 de octubre de 2021, acordó aprobar inicialmente el expediente de modificación presupuestaria por suplemento de créditos GEST-DOC 14830/2021 por cuantía de 1.495.385,16 €, para complementar las siguientes aplicaciones presupuestarias:
| Aplicaciones | Denominación del gasto | Presupuesto |
|--------------|------------------------|-------------|
| 0202 24120 62205 | ‘Ampliación del Centro Cívico Santa Cruz’ | 35.000,00 € |
| | | 35.000,00 € |
| Financiación | Remanente de Tesorería para Gastos Generales (RTGG) | 35.000,00 € |
| Aplicaciones | Denominación del gasto | Presupuesto |
|--------------|------------------------|-------------|
| 0202 43310 60917 | ‘Espacio Multifuncional de Eventos El Abrazo’ | 110.500,90 € |
| Financiación | Remanente de Tesorería para Gastos Generales (RTGG) | 110.500,90 € |
| Aplicaciones | Denominación del gasto | Suplemento |
|--------------|------------------------|------------|
| 0204 17110 61925 | EDUSI: Proyecto parque ‘Santa Cruz’ | 1.349.884,26 € |
| | | 1.349.884,26 € |
| Financiación | 91103: Fear 2021 | 973.009,74 € |
|--------------|------------------|-------------|
| | Bajas en la aplicación 0301 15330 61916 | 376.874,52 € |
| | | 1.349.884,26 € |
La financiación de los gastos propuestos en la presente modificación presupuestaria 1.495.385,16 euros, se financian con:
— Remanentes de Tesorería para Gastos Generales (RTGG): 145.500,90 euros.
— Bajas por anulación: 376.874,52 euros.
— Operación de crédito a largo plazo (Fear): 973.009,74 euros.
El citado expediente se expone al público en las dependencias de la Intervención municipal, por espacio de quince días hábiles, contados a partir del siguiente al de la inserción del presente anuncio, al objeto de que pueda ser examinado y, en su caso, presentarse, dentro de dicho plazo, las reclamaciones y sugerencias que se estimen oportunas. Igualmente, se publicará el expediente en el portal de la transparencia del Ayuntamiento de La Rinconada, cuya dirección es www.larirconada.es.
Lo que se hace público en cumplimiento de lo dispuesto en el artículo 169 del Real Decreto Legislativo 2/2004, de 5 de marzo, por el que se aprueba el texto refundido de la Ley Reguladora de las Haciendas Locales.
El expediente se considerará definitivamente aprobado si al término de la exposición pública no se hubieran presentado reclamaciones.
En La Rinconada a 20 de octubre de 2021.—El Alcalde, Francisco Javier Fernández de los Ríos Torres. | <urn:uuid:fddf5a0b-bd15-4763-b57e-56c61a42f0fb> | HuggingFaceFW/finepdfs/tree/main/data/spa_Latn/train | finepdfs | spa_Latn | 4,013 |
El cicle de la matèria orgànica
RESTES DE MENJAR - Contenidor - Recollida i transport - Tractament - Compost - Adob per a la terra - Matèries primeres - Menjar
Informació de la campanya
Ajuntament de Castell - Platja d'Aro
Regidoria de Medi Ambient
T 972 817 284 - F 972 825 553
firstname.lastname@example.org
www.platjadaro.com
Platja d'Aro
Castell d'Aro
S'Agaró
Al comerç Orgànic'zat
Ajuda'ns a aconseguir-ho
Disseny: Xuxu Lanstrum®
Agència de Residus de Catalunya
Generalitat de Catalunya
Departament de Medi Ambient i Habitatge
Què és la matèria orgànica?
Són restes d'aliments animals o vegetals que generem com a sobrants del nostre menjar diari.
On ho poso?
Al contenidor marró de fracció orgànica.
Com ho he de fer?
1. Guarda el contenidor dins les teves dependències.
2. Diposita les restes orgàniques del menjar dins el contenidor.
3. Evita llençar-hi material inorgànic.
4. Treu el contenidor cada nit -entre les 23 i les 24h-.
5. Entra el contenidor un cop hagin recollit la matèria orgànica.
Per què ho he de fer?
1. Perquè la Llei 15/2003 m'obliga com a comerciant, a gestionar-me els meus residus adequadament, o bé, acollir-me al sistema proposat per l'Ajuntament per a cada tipus de residu.
2. Perquè reduiré el material que diàriament aboco al medi.
3. Perquè reduiré la possibilitat de contaminar els aqüífers.
4. Perquè transformaré els meus residus en recursos.
5. Perquè a llarg termini reduiré els costos de la gestió dels residus.
Què se n'obté?
Amb un correcte tractament de totes aquestes restes de menjar aconseguirem crear un recurs ric i valuós en forma d'adob natural que permetrà retornar els nutrients a les terres seguint el cicle de la matèria orgànica.
Per cada 100 kg de residus orgànics generarem 30 kg de compost de qualitat.
Què hi poso?
Restes de fruita
Restes de verdura
Restes de carn
Restes de peix
Ossos
Restes de menjar
Pa
Closques d'ou
Closques de marisc
Closques de fruits secs
Marro de café
Restes d'infusions
Paper de cuina brut
Restes de flors i plantes
Flors seques
Taps de suro
Serradures
Què NO hi poso?
Llaunes
Paper i cartró
Vidre
Plàstics
Paper d'alumini
Xapes
Metalls
Pols d'escombrar
Puntes de cigarreta
Brics
Oli vegetal
Compreses
Bolquers | <urn:uuid:8dc2213e-aa3a-4042-afc8-0a99d9467288> | HuggingFaceFW/finepdfs/tree/main/data/cat_Latn/train | finepdfs | cat_Latn | 2,212 |
2016
BOENDE - OCH VÅRDCENTER
OASEN
Balansbok
Verksamhetsberättelse
Innehåll
Förbundsdirektörens översikt 2016 ................................................................. 3
Kommunalförbundet och dess organisation .................................................. 6
Organisationsschema ..................................................................................... 7
Förtroendevalda .............................................................................................. 8
Ledningens interna kontroll ........................................................................... 9
Personal .......................................................................................................... 10
Driftsekonomidelens utfall ............................................................................ 12
Driftsverksamheten totalt, sammanfattning .................................................. 13
Allmän förvaltning .......................................................................................... 14
Resultaträkning allmän förvaltning ............................................................... 14
Förbundsfullmäktige ....................................................................................... 15
Förbundsstyrelsen .......................................................................................... 16
Ekonomikansliet .............................................................................................. 17
Institutionsverksamheten ............................................................................... 20
Resultaträkning institutionsverksamhet ......................................................... 20
Verksamheten under 2016 .............................................................................. 21
Institutionsverksamhet – avdelningarnas verksamhetsberättelser ............ 22
Översköttarkansli ............................................................................................ 22
Solsidan ........................................................................................................... 26
Mattas och Pellas, institutionsvård ................................................................. 28
Enheten för träning och stimulans av kognitiva förmågor ......................... 31
Fysioterapi ....................................................................................................... 33
Öppenvård Effektiverat serviceboende -- avdelning Liljan ....................... 34
Köket ............................................................................................................... 36
Fastigheten ...................................................................................................... 37
Finansiering ..................................................................................................... 39
Uppföljning investeringar ............................................................................... 40
Balansräkning aktiva ....................................................................................... 41
Balansräkning passiva ..................................................................................... 42
Resultaträkning ............................................................................................... 43
Noter till bokslutet .......................................................................................... 45
Avskrivningsplan ............................................................................................. 48
Fördelning över driftkostnader vid Oasen- boende och vårdcenter .......... 49
Kommunernas andel av räkenskapsårets avskrivningar ............................. 51
Förteckning över bokföringsböcker, verifikatslag och redogörelser för arkivering .......................... 52
Underskrifter ................................................................................................................................. 53
Revisorsanteckning..................................................................................................................... 53
Förbundsdirektörens översikt 2016
Vårdverksamheten
Under 2016 pågick verksamheten i stort sett enligt tidigare modell där institutionsvård för äldre människor var huvuduppgiften. Beläggningen var i snitt 54 boende. Som minst var antalet boende under 50 och som högst 60.
Avdelningen Liljan med 10 platser fungerade som effektiverat serviceboende.
För klienter med minnessjukdom som ännu bor hemma ordnades dagverksamhet med inriktning på kognitiv träning.
Vårdpersonalen utbildades för att ta i bruk funktionsmätningsverktyget RAI, som är ett hjälpmedel att mäta och beakta den enskilda vårdtagarens behov på ett mångsidigt sätt. RAI tas i bruk gradvis under 2016 och 2017.
Förberedelserna för att ta i bruk gemensam vårdjournal med ÅHS fortsatte, och Oasen ser fram emot att ta i bruk den gemensamma journalen under 2017. Den innebär ytterligare en kvalitetssäkrande åtgärd i vården.
Oasen ordnade också diskussionsträffar med medlemskommunerna för att diskutera medlemskommunernas behov och vilken utveckling som är önskvärd för Oasen.
Kostnadsfördelning mellan kommunerna
Enligt grundavtalet är grunden för prissättningen gentemot kommunerna självkostnadspriset, som innefattar verksamhetskostnader, finansiella kostnader och kostnader för främmande kapital.
Även om det i grundavtalet stadgas att grundavgiftens storlek fastställs i samband med att budgeten godkänns, har styrelsen tolkat grundavtalet så, att som överliggande grund för faktureringen gäller självkostnadspris, varför faktureringen av grundavgiften skett på följande sätt. Grundavgiften per platsandel slutregleras utgående från bokslutet. Under pågående verksamhetsår debiteras grundavgiften löpande enligt budgeterade kostnader. Efter räkenskapsårets slut räknas den slutliga grundavgiften ut, baserade på reella kostnader. Det betyder att medlemskommunerna kan få en återbetalning eller tilläggsbetalning gällande grundavgiften. Detta förfarande innebär att grundavgiften slutregleras på samma sätt som den resterade delen av dygnskostnaden för en klient.
Större delen av kostnaderna tas in av kommunerna i form av vårdavgifter som relaterar till hur mycket en kommun använder Oasens tjänster.
En mindre del av avgiften tas ut genom en grundavgift som hör till varje platsandel. Grundavgiften för en platsandel debiteras oavsett om platsen belagts med en klient eller inte.
Utöver ovan nämnda debitering för själva vårdsverksamheten, debiteras kommunerna avskrivningskostnader i förhållande till kommunernas platsandelar. Avskrivningskostnaderna ska på sikt täcka kostnader för investeringarna.
**Ekonomiskt utfall**
Oasens verksamhet förverkligades inom ramen för kostnadsbudgeten. Såväl kostnader som intäkter var ca 200 000 lägre än budgeterat.
Kommunernas dygnskostnad för en klient var dock något högre än budgeterat, trots att verksamheten bedrevs inom ramen för budgeterande kostnader. Dygnskostnaden är beroende av fler variabler än hur väl budgetramarna följs. Övriga parametrar är totala antalet vårddygn, klientens betalningsförmåga samt hur proportionerligt ändringar i beläggningen åtföljs av ändringar i personal- och övriga kostnader.
År 2016 var kommunernas dygnskostnad för vanlig institutionsvård i medeltal 200 €/klient (budget 189 €).
För institutionsvård på demensavdelningen Solsidan var kommunernas dygnskostnad i medeltal 247 €/klient (budget 253 €).
På avdelningen Liljans effektiverade serviceboende var kommunens dygnskostnad i medeltal 201 €/klient (budget 166 €).
Viktiga anledningar till att dygnskostnaden var högre än kalkylerat är att klienternas egen betalningsförmåga var något lägre än kalkylerat och att beläggningen var något lägre än kalkylerat. Under början av året var personalkostnaderna höga på en av vårdavdelningarna. Vårdpersonal i ledande och förmannaställning lägger fokus på att vikariekostnader hålls på en lägre nivå än tidigare, med förbehåll för att vårdtunga klienter kräver en bemanning som från och till kan vara högre än nyckeltalen. Snabba fluktuationer i beläggningen kan inte heller alltid åtföljas av lika snabba anpassningar av personalstyrkan.
De planerade investeringarna förverkligades inte till fullo under året. Därför blev också investeringskostnaderna klart lägre än budgeterat. Den planerade dräneringen och isoleringen runt avdelningen Mattas behövde inte utföras då befintlig dränering och isolering runt husgrunden bedömdes hålla måttet.
**Ändringar i budgeteringen**
Från och med 2016 budgeteras kostnader för sjukskötare skilt, under området *Gemensam avdelning, sjukskötare och vikariepool*. Tidigare budgeterades dessa kostnader på institutionsavdelningarna. Som en följd av denna ändring i budgeteringen har budgetomfånget på institutionsavdelningarna Mattas, Pellas och Solsidan minskat jämfört med 2014 och 2015.
I och med den budgetändring som gjordes 2016 debiteras kommunerna avskrivningskostnader per platsandel. Tidigare debiterades kommunerna inte avskrivningar. Däremot debiterades kommunerna tidigare investeringskostnader, som fördelades mellan kommunerna utgående från ägarandel. Genom ändringen, som innebär att avskrivningskostnader men inte investeringskostnader debiteras, kan Oasens fastighets- och andra tillgångar fortsättningsvis bokföras i Oasens balansräkning.
Om avskrivningarna inte täcker investeringskostnaderna, kan resterande investeringskostnader finansieras med lån eller med egna medel.
I samband med budgetändringen återbetalades till medlemskommunerna en skuld om 40 000 € som härrörde från det tidigare sättet att finansiera investeringar.
**Risken och möjligheter**
Oasen hade i snitt en beläggning på 54 av 67 platser under år 2016. Beläggningen var på en nivå som under de senaste åren blivit normal, men lägre än det normala i ett historiskt perspektiv. Under året förekommer klara fluktuationer i beläggningen, vilket är en utmanande aspekt att beakta i planeringen av personalresurser.
Om medlemskommunerna bedömer att de inte har behov av alla sina institutionsplatser bör alternativ för verksamheten diskuteras. En konkret förändring i detta avseende var Jomala kommuns omvandling av 10 platsandelar från institutionsvård till effektiverat serviceboende. Medlemskommunerna behöver komma överens om vilka tjänster de önskar att förbundet ska producera. Under 2016 hölls träffar med medlemskommunerna för diskutera inriktningarna och Oasens styrelse har tillsatt en arbetsgrupp som ska utreda förverkligandet av nya inriktringar. I arbetet ingår diskussioner med ÅHS.
Om det ställs krav att vården ska förverkligas med minskade ekonomiska resurser per klient riskerar den vård och omvårdnad som produceras hålla en lägre kvalitet än tidigare. Det kan även leda till att personalens arbetssituation blir än mer pressad vilket leder till ökad sjukfrånvaro och att risken för arbetsplatskonflikter ökar.
För Oasen kommer fastighetens underhåll att kräva stora resurser under kommande år. Den underhålls- och renoveringsplan som togs fram av bygg- och VVS-konsulter i början av 2015 är till hjälp för planeringen av åtgärderna.
**Till personalen**
Till personalen riktas ett stort tack för allt det goda, viktiga och krävande arbete som utförts under året!
Jim Eriksson
Förbundsdirektör
Oasen boende- och vårdcenter k.f.
Kommunalförbundet och dess organisation
Oasen boende- och vårdcenter är ett boende som ger sjukvård, omsorg, rehabilitering och stimulans för de av medlemskommunernas äldre invånare som inte längre kan bo hemma eller inte längre kan bo kvar i kommunernas egna servicehus, samtidigt som de inte heller ska vårdas på sjukhus. Oasen tar även emot klienter som är yngre än 65 år.
Oasen har plats för sammanlagt 67 boende. Verksamheten bedrivs i Jomala kyrkby. Fastighetens äldsta del uppfördes 1962 och totalrenoverades och tillbyggdes år 1990-92. Fastigheten genomgår kontinuerligt underhållsarbeten.
De 67 vårdplatserna ägs av nedanstående medlemskommuner enligt följande fördelning:
| Kommun | Antal fördelade platser |
|--------------|--------------------------|
| Brändö | 1 |
| Eckerö | 4 |
| Kökar | 1 |
| Finström | 12 |
| Geta | 2 |
| Hammarland | 8 |
| Jomala | 25 |
| Kumlinge | 2 |
| Lemland | 4 |
| Lumparland | 2 |
| Sottunga | 1 |
| Sund | 4 |
| Vårdö | 1 |
| Sammanlagt | 67 |
Oasen boende- och vårdcenter kf
2016
Organisationsschema
Förbundsfullmäktige
Förbundsstyrelse
Förbundsdirektör
Ekonom
Kanslisekr. ej tillsatt 2016
Löneräk.
Kökschef
Överskötare
FASTIGHETEN fastighetsskötare
KÖK
Avd.-skötare
Liljan institution (ESB från 2016) (10 platser)
Solsidan institution (minnessjuk.) (12 platser)
Mattas institution (22 platser)
Pellas institution (23 platser)
Rehabilitering/Sysselsättning/Fysioterapi
Städning och tvätt
Förtroendevalda
Förbundsfullmäktige
Förbundsfullmäktige har mandatperioden 2016-2019 följande sammansättning:
| Kommun | Ordinarie ledamot | Ersättare |
|------------|----------------------------|----------------------|
| Brändö | Margaret Lundberg | Marja Tuomola |
| Eckerö | Susanne Fagerström | Jan-Anders Öström |
| Finström | Håkan Lundberg | Viveka Eriksson |
| Geta | Gunnel Nordlund-White | Ingvar Björling |
| Hammarland | Stefan Öström | Lukas Lundström |
| Jomala | Anders Eriksson | Fredrik Karlström |
| Kumlinge | Carina Henriksson | Thomas Fredriksen |
| Kökar | Linnéa Eriksson | Katarilina Vuorinen |
| Lemland | Eva Dahlén | Gun Holmström |
| Lumparland | Annsofi Joelsson | Lil Strandholm-Karlsson |
| Sottunga | Rosita Stenros | Birgitta Saurén |
| Sund | Petter Johansson | Ulla-Britt Dahl |
| Vårdö | Marja Elomaa-Andersson | Magnus Sandberg |
Under år 2016 har Eva Dahlén varit ordförande och Annsofi Joelsson viceordförande.
Förbundsfullmäktige hade 2 möten under 2016.
Förbundsstyrelse
Förbundsstyrelsen har 2016-2017 följande sammansättning
| Styrelseledamöter | Styrelsesuppleanter |
|---------------------------------|---------------------|
| Gyrid Högman, ordförande | Harry Jansson |
| Per Lycke, viceordf. | Rolf Karlsson |
| Roger Eriksson | Hedvig Stenros |
| Susanne Nordberg | Björn Rönnlöf |
| Hanna Segerström | Peggy Eriksson |
| Ulla-Britt Dahl | Emilia Karlsson |
| Tomas Blomberg | Magnus Jansson |
Förbundsstyrelsen hade 14 möten under 2016.
Revisorer
| Revisorer | Ersättare |
|--------------------|--------------------------------|
| Robert Lindfors | Fredrik Lindqvist |
| Magnus Lundberg | Christina Nukala-Pengel |
| Krister Rehn | BDO Audiator Ab |
Ledningens interna kontroll
Syftet med den interna kontrollen i förbundet är att försäkra att förbundets verksamhet är effektiv och främjar uppnående av goda resultat och att de beslut som fattas bygger på korrekt information. Bokföringens och andra informationssystems tillförlitlighet ska säkras, och eventuella misstag ska uppdagas och åtgärdas. Genom intern kontroll ska förverkligandet av uppställda mål och iakttagandet av lagar, förordningar och fattade beslut säkerställas.
Lakttagande av bestämmelser, föreskrifter och beslut
Förbundets organisation finns fastslagen i budgeten. Anslagsansvarig och godkännare för och inom respektive resultat- och balansräkningsenhet fastställs genom skilt beslut i styrelsen och i budget. Tjänsteinnehavare med beslutanderätt är skyldiga att, i löpande nummerordning, föra förteckning över fattade tjänstemannabeslut.
Uppnående av mål, tillsyn över användningen av tillgångar, kompetent och tillförlitlig bedömning av lönsmåten
Förbundsfullmäktige har godkänt rambudgetering till nettonivå för driften. En budgetuppfoljning görs månatligen av ekonomikansliet för varje avdelning och för verksamheten som helhet. Förbundsstyrelsen och medlemskommuner tar kvartalsvis del av budgetuppfoljningen för förbundets driftskostnader. Återkopplingen till uppställda mål i verksamhetsberättelsen har därmed utvecklats jämfört med tidigare.
Ordnande av riskhantering
Risken i anslutning till verksamheten, investeringar och finansiering bärs i regel av medlemskommunerna. De ekonomiska riskerna har reducerats genom att ekonomikansliet regelbundet följer förbundets penningströmmar. Förbundsstyrelsen och medlemskommunerna erhåller regelbundet ekonomiska uppföljningar. Skaderiskerna och verksamhetsansvaret har minimerats genom försäkringar. Försäkringarna uppdaterades i slutet av 2014. Säkerhetskopiering av data görs kontinuerligt av ett anlitat företag.
Avtal
Förbundets avtal finns samlade i mappar och förvaras i brandsäkert skåp.
Fakturahantering
Förbundets fakturahantering kräver att minst två personer behandlar fakturan innan utbetalning sker.
Rutiner
Inom såväl vården som förvaltningen finns nedtecknade rutiner för arbetets olika moment.
Bedömning av hur den interna tillsynen är ordnad
Förbundsstyrelsen ansvarar för ordnandet av den interna övervakningen och utfärdar vid behov direktiv för denna övervakning. Den interna kontrollen sköts i första hand av respektive tjänsteman. Granskning och godkännande av utbetalningar sköts av olika personer. Missbruk har inte uppdagas.
## Personal
### Personal i tjänsteförhållande
| Institution | Inrättade tjänster | Tillsatta tjänsteförhållanden per 31.12.2016 |
|-------------|--------------------|--------------------------------------------|
| ESB-Liljan | | |
| Förbundskansliet | | |
|------------------|----------------|--------------------------------------------|
| Förbundsdirektör | 1 | 1 |
| Ekonom | 1 | 1 |
| Överskötare | 1 | 1 |
### Personal i arbetsavtalsförhållande, tillsvidare anställningar
| Institution | Arbetsavtalsförhållanden tillsatta genom budgetbeslut | Ingångna arbetsavtal per 31.12.2016 |
|-------------|--------------------------------------------------------|------------------------------------|
| ESB-Liljan | | |
| Förbundskansliet | | |
|------------------|----------------|--------------------------------------------|
| Kanslisekreterare, omvandlad till byråsekr deltid 2016 | 1 | 0 |
| Löneräknare | 1 | 1 |
| Institution och ESB | | |
|---------------------|----------------|--------------------------------------------|
| Avdelningsskötare | 3 | 2 |
| Sjukskötare | 5 | 3 |
| Sjukskötare natt med nuvarande placering natt | 2 | 2 |
| Närvårdare (heltid) | 42 | 28,8 |
| Närvårdare 4*83,66% (4*32 vt) | 3,35 | 3,31 |
| Fysioterapeut (från 1.1.2016, tidigare konditionsskötare) | 2 | 2 |
| Ledande sysselsättningsterapeut | 1 | 1 |
| Sysselsättningsterapeut | 1 | 0 |
| Köket | | |
|-------|----------------|--------------------------------------------|
| Kökschef | 1 | 1 |
| Kock | 6 | 5 |
| Fastigheten | | |
|------------|----------------|--------------------------------------------|
| Fastighetsskötare | 1 | 1 |
| Ledande anstaltsbiträde | 1 | 1 |
| Anstaltsbiträde | 6 | 3,5 |
| Totalt personal räknat i heltid | 79,35 | 54,96 | 9,3 |
|---------------------------------|-------|-------|-----|
| Vårdpersonal (avdelningsskötare t.o.m. sysselsättningsterapeut) | 60,35 | 42,11 | 7 |
| Vård.pers./vårdtagare | 0,9 (67 klienter) | 0,9 (47 klienter) | 0,7 (10 klienter) |
Sjukfrånvarodagarna under 2016 var 16 % färre än året innan. Sjukfrånvaron var i snitt ca 37 dagar per anställd. Oasen hade ett antal långtidssjukkravningar som höjer snittet.
Sjukfrånvaroprocenten minskade till ca 10 % (12 %). Siffran anger andel sjukfrånvarodagar totalt i förhållande till årets arbetsdagar totalt (formel: antalsjukdagar totalt/(365 * antal anställda)).
Alla anställda som har haft tre eller fler frånvarotillfällen p.g.a. sjukdom inom en sexmånadersperiod har haft samtal med närmaste förmän. Efter fem frånvarotillfällen har person fått en kallelse till företaghälsovården för framtagande av en åtgärdsplan. Så kallade trepartssamtal med den sjuklediga, översköterskan och företaghälsovården hålls då sjukfrånvaron är långvarig och/eller ofta förekommande.
Friskvårdssubventionerna uppdaterades under året så att friskvårdsbiljetterna också kunde användas till kultur- och massagetjänster.
| Sjukfrånvaro | Antal Sjukfrånvarotillfällen |
|-------------|-----------------------------|
| | 2012 | 2013 | 2014 | 2015 | 2016 |
| 1-3 dagar* | 406 | 299 | 325 | 191 | 120 |
| 4-9 dagar** | 65 | 64 | 77 | 80 | 73 |
| 10 kalenderdagar eller mer | 52 | 64 | 83 | 88 | 66 |
* kan vara 1,2 eller 3 dagar per tillfälle. ** kan vara 4, 5, 6, 7 etc. dagar per tillfälle
Specifikation på sjukdagar
Sjukfrånvarodagar 2488
VARAV: 10 dagar och mer i streck 1862
Sjukledighet utan lön 667
(infaller då sjukskrivningen pågått 180 dagar under samma år)
Sjukfrånvaro beroende på (dagar):
Graviditet 68
Olycksfall 1
## Driftsekonomidelens utfall
Resultaträkning budgetuppföljning 01.01.2016-31.12.2016
| Ursprunglig budget 2016 | Förändringar budget 2016 | Budget efter förändring | Utfall 2016 | Förverkl.grad € | Förverkl.grad % |
|-------------------------|--------------------------|-------------------------|-------------|-----------------|-----------------|
| **Verksamhetsintäkter** | | | | | |
| Försäljningsintäkter | 4 312 483 | 0 | 4 312 483 | 4 237 258 | -75 225 | 98 |
| Avskrivningar | 91 242 | 0 | 91 242 | 101 574 | | |
| Avgiftsintäkter | 739 815 | 0 | 739 815 | 648 377 | -91 438 | 88 |
| Understöd och bidrag | 0 | 0 | 0 | 14 270 | 14 270 | 100 |
| Övriga verksamhetsintäkter | 171 395 | 0 | 171 395 | 174 763 | 3 368 | 102 |
| **Verksamhetskostnader** | | | | | |
| Personalkostnader | | 0 | -3 416 246 | -3 341 597 | 74 649 | 98 |
| Lönerna och aroden | -3 416 246 | 0 | -3 416 246 | -3 341 597 | 74 649 | 98 |
| Lönebilskostnader | -624 529 | 0 | -624 529 | -763 384 | -138 855 | 122 |
| Pensionskostnader | -201 493 | 0 | -201 493 | -134 827 | 66 666 | 67 |
| Övriga lönebilskostnader | -201 493 | 0 | -201 493 | -134 827 | 66 666 | 67 |
| Köp av tjänster | -340 370 | 0 | -340 370 | -321 550 | 18 820 | 94 |
| Material, förmånerheter och varor | -529 455 | 0 | -529 455 | -644 900 | 64 555 | 88 |
| Övriga verksamhetskostnader | -113 450 | 0 | -113 450 | -47 982 | 65 468 | 42 |
| **Varksamhetsbidrag** | | | | | |
| | -5 225 543 | 0 | -5 225 543 | -5 074 240 | 151 303 | 97 |
| | 89 392 | 0 | 89 392 | 102 001 | | 114 |
| **Finansiella intäkter och kostnader** | | | | | |
| Ränteintäkter | 1 500 | 0 | 1 500 | 506 | -994 | 34 |
| Övriga finansiella intäkter | 350 | 0 | 350 | 14 | -336 | 4 |
| Räntekostnader | 0 | 0 | 0 | -142 | -142 | |
| Övriga finansiella kostnader | 0 | 0 | 0 | -805 | -805 | |
| | 1 850 | 0 | 1 850 | -427 | -2 277 | -23 |
| **Arsbidrag** | | | | | |
| | 91 242 | 0 | 91 242 | 101 574 | 10 332 | 111 |
| **Avskrivningar och nedskrivningar** | | | | | |
| Avskrivningar enligt plan | -91 242 | 0 | -91 242 | -101 574 | -10 332 | |
| **Extra ordinarie poster** | | | | | |
| Extra ordinarie Intäkter | | | | | |
| Extra ordinarie kostnader | | | | | |
| **Räkenskapspériodens resultat** | | | | | |
| | 0 | 0 | 0 | 0 | | |
| **Ökning (-) eller minskning (+) av avskrivningsdifferens** | | | | | |
| **Ökning (-) eller minskning (+) av reserver** | | | | | |
| **Ökning (-) eller minskning (+) av fördel** | | | | | |
| **Räkenskapspériod, över- underskott** | 0 | 0 | 0 | 0 | | |
### Driftsverksamheten totalt, sammanfattning
Nedanstående ruta omfattar allmänna förvaltningen, institutionsverksamheten, kök, fastighet, finansiering, finansiella kostnader och intäkter samt avskrivningar.
| Drift, totalt | Budget 16 | Bokslut 16 | Över(+)/under(-) | % av tot. budget |
|---------------|-----------|------------|------------------|-----------------|
| Verksamhetskostnader | -5 281 566 | -5 074 240 | -207 326 | 96,07% |
| Verksamhetsintäkter | 5 370 953 | 5 176 201 | -194 747 | -96,37% |
| Netto kostnader = verksamhetsbidrag | 89 392 | 102 001 | 12 609 | -104,14% |
Bokslut 15: -5 022 047
Bokslut 14: -5 478 259
### Driftskostnader för institutionsvård exkl. avskrivningar (ej ESB)
Nedanstående tabell omfattar institutionsvården kostnader för vård, administration, sysselsättning, fysioterapi, kök och fastighet. ESB-avdelningens kostnader ingår ej i denna tabell. Budgeten binds på nettonivå.
| Driften totalt | Budget 2016 | Bokslut 2016 | Över/under | % av tot. budget |
|----------------|-------------|--------------|------------|-----------------|
| RESULTATRÄKNING FÖR OASEN BOENDE- OCH VÅRD CENTRE | -3 819 543 | -3 746 810 | 72 732 | 98,10% |
| VERksamhetens intäkter | 835 058 | 754 705 | -81 353 | 90,27% |
| Försäljningsintäkter | 8 000 | 13 255 | 5 255 | 165,63% |
| Avgiftsinntäkter | 678 615 | 607 739 | -70 876 | 89,56% |
| Understöd och bidrag | 13 376 | 13 376 | 0 | 100,00% |
| Övriga verksamhetsintäkter | 149 413 | 120 395 | -29 109 | 80,52% |
| VERksamhetens kostnader | -4 658 601 | -4 501 516 | 154 085 | 95,69% |
| Personalkostnader | -3 729 696 | -3 753 842 | -24 146 | 100,65% |
| Köp av tjänster | -283 850 | -288 913 | 49 987 | 82,76% |
| Material, förråd, enheter och varor | -529 855 | -461 547 | 68 308 | 88,11% |
| Övriga verksamhetskostnader | -103 200 | -47 204 | 55 986 | 44,71% |
| Finansiella intäkter och kostnader | | | | |
| Räntekostnader | | | | -46 |
| Övriga finansiella kostnader | | | | -41 |
| Totalsumma | -3 819 543 | -3 746 810 | 72 732 | 98,10% |
Bokslut 2015: -4 232 123
Bokslut 2014: -4 586 808
### Vårddygnskostnad
Tabellen nedan visar jämförelsen mellan budgetet och förverkligat vårddygnskostnad.
| | Budget 2016 | Bokslut 2016 | Över(+)/under(-) | % av tot. budget |
|---|-------------|--------------|------------------|-----------------|
| Institution | 157,00 | 174,05 | 17,05 | 10,86% |
| Institution, demens | 219,85 | 220,28 | 0,43 | 0,20 |
| ESB | 133,37 | 175,09 | 41,72 | 31,28 |
| Förvaltningsavgift | 32,49 | 26,27 | -6,22 | -19,14 |
* År 2014 och 2015 fanns endast en vårddygnsavgift för såväl institution, institution demens samt förvaltningsavgift
ESB öppnade den 18 januari 2016, därför ej jämförelse siffror för tidigare år.
Allmän förvaltning
Allmänna förvaltningen är uppdelad i kostnadsställena förbundsfullmäktige, förbundsstyrelsen, ekonomikansliet, övrig förvaltning och gemensamma administrationskostnader.
Resultaträkning allmän förvaltning
| Budget 2016 | Bokslut 2016 | Bokslut 2015 |
|-------------|--------------|--------------|
| VERKSAMHETENS INTÄKTER | | |
| Försäljningsintäkter | | |
| Avgiftsintäkter | | |
| Understöd och bidrag | | |
| Övriga verksamhetsintäkter | | |
| TILLVERKNING FÖR EGET BRUK | | |
| VERKSAMHETENS KOSTNADER | -453 809 | -320 779 | -366 841 |
| Personalkostnader | -278 309 | -224 246 | -291 058 |
| Lönar och arvoden | -229 620 | -181 178 | -234 077 |
| Lönebikostnader | -48 689 | -43 068 | -56 980 |
| Pensionskostnader | -36 837 | -36 443 | -47 338 |
| Övriga lönebikostnader | -11 852 | -6 625 | -9 642 |
| Köp av tjänster | -99 800 | -79 273 | -69 902 |
| Material, förråd och varor | -11 800 | -17 601 | -6 588 |
| Understöd | | | |
| Övriga verksamhetskostnader | -63 900 | | -732 |
| VERKSAMHETSBIDRAG | -453 809 | -320 779 | -366 836 |
| FINANSIELLA KOSTNADER | | | |
| Övriga finansiella kostnader | | | -5 |
| EXTRAORDINÄRA POSTER | | | |
| Övriga extraordinära intäkter | | | |
| ÅRSBIDRAG | -453 809 | -320 779 | -366 841 |
Allmän förvaltning underskrider budgetramarna med klar marginal. Personalkostnaderna blev låga som en följd av att ingen kanslist var anställd under året.
Till de medel som inte blev förbrukade hörde förbundsstyrelsens (50 000 €) och förbundsdirektörens (10 000 €) disponibla medel för oförutsedda utgifter.
Förbundsfullmäktige
| Förbundsfullmäktige | Budget 2016 | Bokslut 2016 | över/under | % av tot. Budget | Bokslut 2015 | Bokslut 2014 |
|---------------------|-------------|--------------|------------|-----------------|-------------|-------------|
| VERksamhetens kostnader | -9 630 | -7 389 | 2 241 | 76,73% | -7 691 | -12 073 |
| Personalkostnader | -5 630 | -4 936 | 714 | 87,90% | -4 858 | -6 999 |
| Köp av tjänster | -3 000 | -2 260 | 740 | 75,32% | -2 458 | -4 683 |
| Material, förnödenheter och varor | -1 000 | -244 | 756 | 24,36% | -375 | -390 |
| Totalsumma | -9 630 | -7 389 | 2 241 | 76,73% | -7 691 | -12 073 |
Antalet möten
Förbundsfullmäktige har under 2016 hållit 2 möten. Kostnaderna för året blev lägre än budgeterat. Köp av tjänster avser främst betalning av reseersättningar åt förbundsfullmäktiges ledamöter.
Nya arbetsförhållanden
I samband med att budgeten för 2017 blev fastställd godkände förbundsfullmäktige att en fjärde avdelningsskötare anställdes tillsvidare i arbetsavtalsförhållande.
Förbundsstyrelsen
| Förbundsstyrelsen | Budget 2016 | Bokslut 2016 | Över/under | % av tot. budget | Bokslut 2015 | Bokslut 2014 |
|-------------------|-------------|--------------|------------|-----------------|-------------|-------------|
| VERksamhetens kostnader | -76 470 | -13 912 | 62 558 | 18,19% | -14 905 | -21 758 |
| Personalkostnader | -10 320 | -10 135 | 6 165 | 62,10% | -10 728 | -12 576 |
| Köp av tjänster | -8 950 | -3 024 | 5 929 | 33,76% | -3 267 | -7 977 |
| Material, förrådenheter och varor | -1 200 | -756 | 444 | 62,93% | -910 | -1 205 |
| Övriga verksamhetskostnader | -50 000 | 50 000 | | | | |
| Totalsumma | -76 470 | -13 912 | 62 558 | 18,19% | -14 905 | -21 758 |
Förbundsstyrelsen har haft 14 möten under år 2016.
Ekonomi
Förbundsstyrelsen hade under 2016 klart lägre kostnader än budgeterat och det beror främst på att anslaget på 50 000 € för oförutsedda brådskande utgifter inte förbrukades. Kostnaderna bestod till övervägande del av möteskostnader.
Planer och policyn
Förbundsstyrelsen har under året gjort uppdateringar i följande styrdokument: Policy gällande alternativa behandlingsmetoder, Direktiv för hantering av de boendes privata medel.
Upphandlingar
Förbundet har under året upphandlat en tunneldiskmaskin till köket och förstorning av altanen på avdelning Mattas. Upphandlingsbesluten har i regel fattats av förbundsdirektören. Förbundet har också via samarbetsavtal med Ålands hälso- och sjukvård blivit anslutet till den upphandlingsring som ÅHS är partner i gällande läkemedel och städ- och hygienprodukter.
Viktigaste frågorna
Förbundsstyrelsen avgjorde eller utförde beredning i följande betydande frågor under året (urval):
- Förslag till nytt grundavtal (godkänt av medlemskommunerna)
- Förslag till ny förvaltningsstadga (behandlas i ffmge våren 2017)
- Fastställande av nya befattningsbeskrivningar för avdelningsskötare, ledande sysselsättningsterapeut och sysselsättningsterapeut
- Budgetändring gällande finansiering och bokföring av investeringar (godkänd av ffmge)
- Diskussionstillfällen med medlemskommunerna
Befattningsbeskrivningar
Under senare år har flertalet nya befattningsbeskrivningar fastställts. Uppdatering av befattningsbeskrivningar för sjukskötare och närvårdare återstår att göra.
Anställningar
Under året tecknade förbundsstyrelsen arbetsavtal tillsvidare med tre avdelningsskötare, två närvårdare, en fysioterapeut och ett anstaltsbiträde. Visstidsanställningar och vikariat besluts i regel på tjänstemannanivå.
### Ekonomikansliet
| Ekonomikansliet | Budget 2016 | Bokslut 2016 | över/under | % av tot. Budget | Bokslut 2015 | Bokslut 2014 |
|-----------------|-------------|--------------|------------|------------------|-------------|-------------|
| VERksamhetens intäkter | 342 | 342 | 0 | 1 445 | 366 | |
| Understöd och bidrag | 342 | 342 | 0 | 118 | 366 | |
| Övriga verksamhetsintäkter | 1 327 | | | | | |
| VERksamhetens kostnader | -263 959 | -205 375 | 58 584 | 77,81% | -261 485 | -268 043 |
| Personalkostnader | -250 659 | -200 707 | 49 942 | 80,08% | -258 757 | -240 690 |
| Köp av tjänster | -9 700 | -3 100 | 6 600 | 31,95% | -2 723 | -22 761 |
| Material, förnödenheter och varor | -3 600 | -1 557 | 2 043 | 43,26% | -4 | -4 591 |
| Totalsumma | -263 959 | -205 038 | 58 926 | 77,68% | -260 040 | -267 677 |
### Gemensam administrationskostnader
| Gemensam administrationskostnader | Budget 2016 | Bokslut 2016 | över/under | % av tot. Budget | Bokslut 2015 | Bokslut 2014 |
|-----------------------------------|-------------|--------------|------------|------------------|-------------|-------------|
| VERksamhetens kostnader | -84 550 | -75 193 | 9 357 | 88,93% | -59 128 | -60 148 |
| Köp av tjänster | -75 150 | -60 624 | 14 526 | 80,67% | -54 754 | -49 621 |
| Material, förnödenheter och varor | -5 500 | -4 569 | -9 059 | 264,90% | -3 642 | -8 044 |
| Övriga verksamhetskostnader | -3 900 | | 3 900 | | -732 | -2 484 |
| Finansiella intäkter och kostnader | -5 | | -5 | | -5 | -5 |
| Övriga finansiella kostnader | -5 | | -5 | | -5 | -5 |
| Totalsumma | -84 550 | -75 193 | 9 357 | 88,93% | -59 133 | -60 148 |
### Övrig förvaltning
| Övrig förvaltning | Budget 2016 | Bokslut 2016 | över/under | % av tot. Budget | Bokslut 2015 | Bokslut 2014 |
|-------------------|-------------|--------------|------------|------------------|-------------|-------------|
| VERksamhetens kostnader | -19 200 | -19 252 | -52 | 100,27% | -25 072 | -11 758 |
| Personalkostnader | -5 700 | -8 478 | -2 778 | 148,74% | -16 715 | -8 527 |
| Köp av tjänster | -3 000 | -10 269 | -7 269 | 342,29% | -6 700 | -2 559 |
| Material, förnödenheter och varor | -500 | -505 | -5 | 101,01% | -1 657 | -672 |
| Övriga verksamhetskostnader | 10 000 | 10 000 | | | -25 072 | -11 758 |
| Totalsumma | -19 200 | -19 252 | -52 | 100,27% | -25 072 | -11 758 |
### Arvoden till revisorer
| Revisor | Bokslut 2016 | Bokslut 2015 |
|---------|--------------|--------------|
| BDO Audiator Ab | 5 850,00 | 4 275,00 |
| Revisionsarvode | 5 435,00 | 5 480,00 |
| Arvoden sammanlagt | 11 285,00 | 9 755,00 |
Revisionskostnaderna var något högre som en följd av att ändringar i den första bokslutsversionen gjordes, och revisorerna gjorde en uppföljning av ändringarna.
### Ekonomi
Till ekonomikansliet hör bland annat kostnader för förbundsdirektör, löneräknare, ekonom och kanslianställd. Under 2016 var ingen kanslist anställt. Området underskrider budgetramen.
### Återkoppling till mål
I verksamhetsplanen för 2016 formulerades ett relativt stort antal målsättningar och åtgärder under Allmän förvaltning. Många av målsättningarna och åtgärderna var helt vårdrelaterade och återkopplingen till dem görs i kommande avsnitt i denna balansbok.
| Mål/åtgärd för 2016 | Status 31.12.2016 |
|---------------------|--------------------|
| Se till att informationsmaterial uppdateras vid behov | Informationsmaterial har uppdaterats under budgetåret. |
| Ha en uppdaterad hemsida där det är lätt att hitta aktuell information | Hemsidan har uppdaterats. |
| Ge extern information vid behov | Extern information har distribuerats. |
| Initiera diskussioner med medlemskommuner och ÅHS angående utvecklingen av och rollfördelningen inom äldreomsorgen på Åland | 2016 hölls träffar med kommunerna. |
| Bemanning/beläggningsgrad, det vill säga vid minskad eller ökad belägning görs försök att så långt möjligt anpassa personalstyrkan till ändrade förhållanden. Vårdtyngdsaspekten gör dock att det inte finns en direkt korrelation mellan bemanning och belägning | Har i mån av möjlighet genomförts. |
| Systematiskt delge budgetinformation varje månad till alla förmän där även nyckeltal följs upp | Förmän har fått månatlig budgetinformation. |
| Minska antalet anstaltsbiträden eftersom tvättjänster köps in | Målet har uppnåtts, två heltid i arbetsavtals-förhållanden har varit obesatta. |
| Minska bemanningen i köket | Målet har uppnåtts, en heltid kock har varit obesatt. |
| Aktivitet | Status |
|--------------------------------------------------------------------------|----------------------------------------------------------------------|
| Förvaltningen ska följa och implementera de styrdokument som antagits, | Grundstadgan har reviderats Förvaltningsstadgan har genomgåtts och |
| och vid behov uppdatera styrdokumenten | förnyats. |
| Genomföra en medarbetarenkät | Genomfördes hösten 2016. |
| Genomföra minst två gemensamma aktiviteter som personalvård | Genomfördes under budgetåret. |
| Delta i möten med externa samarbetspartners | Genomfördes under året, bl.a. planering med ÅDA, ÅHS och Abilita |
| | för övergång till gemensam vårdjournal och planering av intranät |
| | (ÅDA). |
| Arbetarskyddet skall erbjudas möjligheter till fortbildning då sådan kan | Inte genomfört. |
| erhållas inom ett rimligt avstånd från arbetsplatsen, t.ex. på Åland eller i Åbo | |
| Påbörjar kvalitetssäkring av verksamheten | Delvis genomfört, (Senior Alert, RAI, nedtecknade rutiner). |
| Målstyrning av budgeteringen | Pågående arbete. |
Institutionsverksamheten
Till institutionsverksamheten hör översköttarkansli, vårdavdelningarna Solsidan, Mattas och Pellas, sysselsättning/fysioterapi samt städ och tvätt. Till institutionsverksamheten hör inte Liljan ESB. Institutionsverksamhetens nettobudgetramar överskreds med ca 4 %, med drygt 100 000 €. Överskridningen består av en kombination av lägre intäkter och högre utgifter än kalkylerat. Intäkter från klienter är svåra att påverka, medan styrning av exempelvis personalkostnader är möjlig. Mer ingående information om eventuella avvikelser finns i texter och tabeller inom respektive områdes verksamhetsberättelse.
Resultaträkning institutionsverksamhet
| RESULTATRÄKNING INSTITUTIONSVERKSAMHET | Budget 2016 | Bokslut 2016 | Bokslut 2015 |
|----------------------------------------|-------------|--------------|--------------|
| VERKSAMHETENS INTÄKTER | | | |
| Försäljningsintäkter | 7000 | 623946,94 | 745594,54 |
| Avgiftsintäkter | 678615 | 607439,20 | 717052,55 |
| Understöd och bidrag | 0 | 10479,58 | 9808,03 |
| Övriga verksamhetsintäkter | 7412,28 | 48869,97 | 4035,26 |
| TILLVERKNING FÖR EGET BRUK | | | |
| VERKSAMHETENS KOSTNADER | -3179257,00 | -3214418,28 | -3656204,71 |
| Personalkostnader | -2896202,00 | -2981086,73 | -3350969,23 |
| Lönerna och arvoden | -2324870 | -2342883,66 | -2620370,10 |
| Lönebikostnader | -571332,00 | -6382024,09 | -730599,13 |
| Pensionskostnader | -431936 | -543300,54 | -621939,07 |
| Övriga lönebikostnader | -139396 | -94901,55 | -108660,06 |
| Köp av tjänster | -110000 | -78913,09 | -87831,34 |
| Material, förnödenheter och varor | -170255 | -147915,19 | -214656,09 |
| Understöd | 0 | 0,00 | 0,00 |
| Övriga verksamhetskostnader | -2800 | -6503,27 | -2748,05 |
| VERKSAMHETSBI DRAG | -2486229,72 | -2591071,84 | -2910610,17 |
| FINANSIELLA KOSTNADER | | | |
| Övriga finansiella kostnader | 0 | 0,00 | 1,00 |
| ÅRSBIDRAG | -2486229,72 | -2591071,84 | -2910609,17 |
Verksamheten under 2016
Vårdtagare 31.12.2016 samt utnyttjade vårddygn under året
| Kommun | Vårdtagare 31.12.2015 | Antal vårddygn 2015 | Vårdtagare 31.12.2016 | Antal vårddygn 2016 |
|------------|-----------------------|---------------------|-----------------------|---------------------|
| Brändö | 1 | 58 | 0 | 0 |
| Eckerö | 2 | 203 | 2 | 645 |
| Finström | 7 | 2204 | 5 | 2 099 |
| Geta | 2 | 1115 | 5 | 1 441 |
| Hammarland | 3 | 1916 | 5 | 1 748 |
| Jomala | 34 | 9604 | 28 | 9 736 |
| Kumlinge | 0 | 0 | 0 | 0 |
| Kökar | 1 | 365 | 1 | 366 |
| Lemland | 4 | 1458 | 4 | 1 686 |
| Lumparland | 2 | 643 | 0 | 54 |
| Sottunga | 4 | 1104 | 4 | 1 412 |
| Sund | 1 | 506 | 0 | 326 |
| Vårdö | 0 | 40 | 0 | 20 |
| Mariehamn | 0 | 0 | 0 | 0 |
| Föglö | 0 | 0 | 0 | 0 |
| ÅHS | 0 | 0 | 0 | 0 |
| Totalt | 61 | 19 216 | | 19 533 |
Beläggningsstatistik över anstaltsverksamheten 2010-2016
| År | 2010 | 2011 | 2012 | 2013 | 2014 | 2015 | 2016 |
|----|------|------|------|------|------|------|------|
| Antal vårdplatser | 67 | 67 | 67 | 67 | 67 | 67 | 67 |
| Antal vårddygn | 23 606 | 22 985 | 22 678 | 21 260 | 20 499 | 19 216 | 19 533 |
| Beläggningsprocent | 97 | 94 | 92 | 87 | 84 | 80 | 80 |
| Antal inskrivna | 84 | 108 | 116 | 66 | 79 | 79 | 80 |
| Antal utskrivna | 85 | 114 | 114 | 77 | | | |
| Bruttokostnad/vårddygn € | 202,47 | 238,31 | 246,56 | 274,83 | 279 | 259 | 244-295* |
| Kommunens kostnad/vårddygn € | 165,29 | 200,51 | 204,97 | 231,68 | 228 | 220 | 200-247* |
| Värde/andel € | 16 340,56 | 16 340,56 | 16 340,56 | 16 340,56 | 16 340,56 | 16 340,56 | 16 340,56 |
*Vårddygnskostnaden varierar beroende på vilken avdelning vården bedrivs på.
Institutionsverksamhet – avdelningarnas verksamhetsberättelser
| Institutionsverksamheten | Budget 2016 | Bokslut 2016 | över/under | % av tot. |
|--------------------------|-------------|--------------|------------|-----------|
| Verksamhetskostnader | -3 179 257 | -3 214 418 | 35 161 | 101,11% |
| Verksamhetsintäkter | 693 027 | 623 346 | -69 681 | 89,95% |
| Netto kostnader | -2 486 230 | -2 591 072 | -34 520 | 104,22% |
Överskötarkansli
| Överskötarkansli | Budget 2016 | Bokslut 2016 | över/under | % av tot. |
|--------------------------|-------------|--------------|------------|-----------|
| VERKSAMHETENS INTÄKTER | 4 412 | 2 696 | -1 716 | 61,01% |
| Försäljningsintäkter | 123 | 123 | | |
| Understöd och bidrag | 28 | 28 | | |
| Övriga verksamhetsintäkter | 4 412 | 2 545 | -1 867 | 57,69% |
| VERKSAMHETENS KOSTNADER | -225 403 | -227 235 | -1 832 | 100,83% |
| Personalkostnader | -100 603 | -94 260 | 6 343 | 93,69% |
| Köp av tjänster | -20 900 | -23 215 | -2 315 | 111,03% |
| Material, förnödenheter och varor | -103 900 | -109 700 | -5 800 | 105,62% |
| Övriga verksamhetskostnader | -70 | -70 | | -10 |
| Totalsumma | -220 991 | -224 589 | -3 598 | 101,63% |
Ekonomi – överskötarkansli
Överskötarkansliets budgetöverskridning var 2016 knappt 2 %. Bland annat blev annonseringskostnaderna större än beräknat eftersom fler tillsvidare- och korttidsanställningar än beräknat behövde utannonseras. Även läkemedlen och vårdfornödenheterna kostade lite mer än kalkylerat. Inom andra konton underskreds budgeten varför den sammanfattade överskridningen blev ca 2 % (5000 €).
Jämfört med 2014 bokförs en större del av vårdfornödenheter och mediciner under överskötarkansliet, därför det ökade budgetomfånget 2015 och 2016.
Ekonomi – gemensam vårdavdelning
Resultatområdet gemensam vårdavdelning innefattar främst kostnader för sjukskötarna, som utför arbete på samtliga institutionsavdelningar. Sjukskötarnas närmaste förmän är överskötaren.
Områdets budgetomfång har ökat från 2014 och 2015 eftersom området från 2016 även omfattar kostnader för sjukskötarna. Kostnaderna för dessa bokfördes tidigare på respektive vårdavdelning. Som en följd av denna ändring har respektive institutionsavdelnings budgetomgång minskat.
**Allmänt om institutionsverksamheten**
Oasen boende- och vårdcenter bedriver sedan 1 januari 2012 sjukvård, vilket bland annat innebär att fler sjukskötare och att sjukskötare är på plats dygnet runt. Vårdtyngden har under senare år ökat, vilket ställer högre krav på personalen. De boende är ofta multisjuka och i behov av assistans vid förflyttningar, vilket innebär att vården och omsorgen är resurskrävande. Genom rehabiliterande åtgärder av såväl fysisk som kognitiv karaktär försöker Oasen förebygga nedgången i klienternas förmågor.
**Återkoppling till mål**
Vårdens målsättning är att så långt det är möjligt erbjuda personer från medlemskommunerna den hjälp och det stöd han/hon behöver. Vården ska vara evidensbaserad, det vill säga bestå av konstaterat verksamma och framgångsrika metoder som har stöd i forskningen. Utgående från våra omvårdnads- och medicinska resurser erbjuder vi den vård som inte kan tillgodoses av annan social- och/eller sjukvårdsservice.
För att kunna ge en god vård och samtidigt bedriva utvecklingsarbete fastställs målsättningar och planeras åtgärder inför varje verksamhetsår.
Tabellen redovisar hur målen och åtgärderna för år 2016 har uppfyllts per den 31.12.2016
| Mål/åtgärd för 2016 | Status 31.12.2016 |
|-------------------------------------------------------------------------------------|-------------------|
| Genom avvikelsrapportering identifiera problem/risiker och ta fram handlingsplaner för dessa | Delvis genomfört |
| Fortsatt implementering av riskanalys samt handlingsplaner från Senior alert, ett svenskt nationellt kvalitetsregister för vård och omsorg | Delvis genomfört |
| Implementera funktionsmätningstinstrumentet RAI på Oasen boende- och vårdcenter med syftet att fastställa enskilda boende behov av vård och omsorg. | Delvis genomfört |
| Personalens olika kompetenser skall motsvara verksamhetens behov, detta genom fortbildning såväl internt som externt, detta enligt individuella fortbildningsplaner. | Fortbildning har ordnats under året, individuella fortbildningsplaner är inte helt genomförda. |
| Kvalitetssäkra vården genom utbildning i första hjälp, turvakortti samt LOVE (tentamen i läkemedelshantering) | LOVE inte genomfört |
| Följa upp samt vidta åtgärder angående personalens hälsa samt sjukfrånvaro enligt framtagen handlingsplan | Har genomförts under året. |
| Årligen utföra enkätförfrågan till de boende samt deras anhöriga hur man upplever vården på Oasen boende- och vårdcenter, och utifrån detta genomföra förbättringar | Enkäten genomförd under budgetåret. |
| Gemensam vårdjournal med ÅHS gällande Oasens klienter | Är under planering. Oasen gett klartecken, men åtgärden är beroende av ÅHS, ÅDA, Abilita |
På grund av hög vårdtyngd har personalen inte haft möjlighet att till fullo genomföra identifiering av problem/risker och ta fram handlingsplaner för dessa, samt implementera riskanalys och handlingsplaner från Senior Alert.
Utbildning i Första hjälp samt säkerhetskort flyttas över till år 2017.
Love (tentamen i läkemedelshantering) påbörjas i ÅHS regi under år 2017.
**Fortbildning av personal**
Oasen- boende och vårdcenter ska vara en attraktiv arbetsplats som har kunnig, kompetent och välmäende personal. De boende, personalen och medlemskommunerna ska känna att de kan påverka och att deras synpunkter tas på allvar.
För att personalen ska kunna uppnå dessa målsättningar och arbeta evidensbaserat har personal deltagit i följande utbildningar under 2016:
- "Samvetsstress-vad är det och hur kan det förebyggas?" med professor i omvårdnad Astrid Norberg. Arrangör Högskolan på Åland
- "Vård av personer med demens" med professor i omvårdnad Astrid Norberg. Arrangör Högskolan på Åland
- Föreläsning i vård av bensår, universitetsadjunkt från Mälardalens högskola Agneta Ekström. Arrangör ÅHS.
- "Bemötande av personer med demens" med Mejt Swanström, arrangör Demensföreningen på Åland.
- "Läkemedel för äldre vid demens, läkemedelshantering" med farmaceut Anne Ake. Arrangör Oasen boende och vårdcenter. Personal från medlemskommunerna var inbjudna att delta.
- "Minnesomsorgens olika ansikten" med Helena Ahlers. Arrangör Finlands minnesspecialister (Alva) samt Oasen boende och vårdcenter. Personal från medlemskommunerna var inbjudna att delta.
- Sjukskötarna fick utbildning i hantering av smärtpump.
- Sjukskötarna deltog i fortbildning i Abilita omvårdnadsdokumentationsprogram.
- Oasens fysioterapeut höll liftkurs för Oasens personal.
- Oasen överskötare höll utbildningstillfälle med personal samt sommarvikarier i utrymning av avdelning Pellas (våning 2).
- En sjukskötare har hållit medicindelegeringskurs för ny personal (närstårdare).
- Personalen har gått utbildning i bedömningsinstrument RAI.
- Avdelningarna Pellas och Solsidan har fått coachning av Carola Lindholm-Gerlin under hösten
**Arbetarskyddet**
Val av arbetarskyddsfullmäktigen och arbetarskyddskommission för perioden 2016-17 förrättades på hösten. Ordinarie arbetarskyddsfullmäktig blev närstårdare Marcuz Sandsnäcka.
arbetarskyddskommissionen ingår sex representanter för arbetstagarna och två för arbetsgivaren. Enligt samarbetsavtal mellan Kommunala avtalsdelegationen och åländska fackorganisationer är arbetarskyddskommissionen det organ som utför samarbetsförfarande i allmänna personalfrågor.
Ekonomi
Området underskriders budgetramen med klar marginal. Till viss del handlar budgetunderskridningen om att vikariekostnaderna blev klart lägre än budgeterat.
I tabellen ser man att budgetomfånget är klart mindre än tidigare år. Minskningen beror på att de tidigare årens budget innehållande personal och verksamhet för hela avdelningen Grannas (22 platser), där Solsidan (12 pl) och Liljan (10 pl) är underenheter. Sedan 2016 budgeteras Solsidan och Liljan skilt för sig.
Därtill budgeteras kostnader för sjukskötare inte längre på de enskilda institutionsavdelningarna (såsom Solsidan) utan på området Gemensam avdelning.
Avdelningens verksamhet
Solsidan är en avdelning för personer med minnessjukdomar med totalt 12 platser. Sjukdomen är i allmänhet långt framskriden då boende på Solsidan inleds. Bemanningstalet (personalresurs per klient) är något högre på Solsidan än övriga avdelningar då klienternas behov av omsorg och tillsyn är av den karaktären att högre bemanning anses påkallad.
Solsidans 12 platser var som regel belagda under året. Vårdsatserna på Solsidan utgår från vår värdegrund med extra fokus på värdeorden respekt, trygghet och meningsfullhet. Värdegrunden är en självklar bas i all vår verksamhet.
Solsidan arbetar med en personcentrerad vård som förverkligas genom individuellt utformade insatser som bygger på delaktighet, flexibel personal och tillgängliga resurser.
Återkoppling till mål
| Mål/åtgärd för 2016 | Status 31.12.2016 |
|---------------------|-------------------|
| Vårdpersonalen fortsätter att utveckla sin kompetens enligt landskapsregeringens Riktlinjer för omsorg och vård vid demenssjukdomar. | Arbetet har utvecklats i enlighet med landskapsregeringens riktlinjer. |
| Tillämpning av kvalitetsregistret Senior Alert | Kvalitetsregistret har implementerats och tillämpats. |
Vårdkvaliteten och patientsäkerheten har under 2016 följs upp mer strukturerat genom rutiner för systematiskt förbättringsarbetet gällande vårdjournalen och genom användning av olika mätinstrument som Senior alert (bl.a. munhälsa, MNA, Norton) som bidrar till att vården generellt känns tydligare och mer strukturerad och bästa möjliga vård ges oavsett vem som tillhandahåller den. Demensvården är ett kontinuerligt reflektionsarbete där vårdfaren ständigt får nya utmaningar.
RAI-bedömningsinstrumentet har tagit mycket tid i anspråk att lära samt implementera (resident assessment instrument) i verksamheten.
Ekonomi
Mattas och Pellas uppvisar totalt sett en överskridning av nettobudgetramen på 23 %. Kostnaderna blev 11 % högre än budget medan intäkterna från klientmedel blev drygt 10 % under budget.
På avdelning Mattas, som har den största fluktuationen vad gäller beläggningen, var följsamheten mellan beläggning och personalkostnader under första halvan av 2016 inte ekonomiskt fördelaktig och är den enskilt största förklaringen till budgetöverskridningen på Mattas och Pellas.
Avdelningarna har totalt sett en minskad kostnadsvolym jämfört med 2014 och 2015. Detta beror främst på att kostnaderna för sjukskötarna sedan 2016 bokförs skilt, under kontot Gemensam avdelning. Kostnaderna som överflyttats till Gemensam avdelning är ca 500 000 €.
**Avdelningarnas verksamhet**
**Mattas**
Mattas är en vårdavdelning med plats för 22 klienter. Klienterna är oftast långvårdsklienter, men bland de boende på avdelningen fanns 2016 en ökande mängd kortvårdsklienter. Det betyder att mer tid går åt till anpassningsprocessen för såväl personal som klient. Många av klienterna lider av flera olika sjukdomar och detta gör att belastningen på personalen är genomgående hög.
Som en följd av att Mattas har varit den avdelning där en del av klienterna var på korttidsvård, varierade beläggningen kraftigt under året. En stor utmaning under 2016 har varit att anpassa personalstyrkan efter en fluktuierande beläggning.
**Pellas**
Verksamheten på avdelning Pellas omfattar 23 vårdplatser för vårdtagare med olika kognitiva och somatiska sjukdomar. På avdelningen arbetar dagtid (vardagar) en avdelningssköterska, en sjuksköterska och fem närvårdare. På kvällar arbetar tre närvårdare samt en sjukskötare som är tillgänglig för alla avdelningar. Nattetid finns alltid en närvårdare stationerad på avdelningen och en sjukskötare är tillgänglig för alla avdelningar. Till avdelningen kan även räknas dagliga besök (vardagar) av fysioterapeut samt planerad verksamhet med sysselsättningsterapeuten.
Under året har beläggningsgraden varit genomgående hög vilket medfört en kontinuerligt högre vårdtyngd och på grund av detta har man varit tvungen att fokusera på att tillgodose sjuk- och grundvården framom ”kontaktpersonstimmen” vilken påbörjades år 2014. Gemensamma aktiviteter på avdelningen samt gemensam lunch har ordnats i vanlig ordning.
**Återkoppling till mål**
| Mål/åtgärd för 2015 | Status 31.12.2016 |
|---------------------|-------------------|
| **Mattas** | |
| Fokus 2016 på Mattas avdelning är att stärka den äldres funktionsförmåga, initiativkraft och självständighet. Detta genom att utforma vårdbålen i enlighet med Landskapsregeringens ”Kvalitetsrekommendation för äldre”(2010) | Målet uppfylldes delvis. |
| Under 2016 kommer Senior alerts riskbedömningar och förebyggande åtgärder (främst munhälsa, trycksår, fall och fallrisk) att implementeras i det dagliga vårdbåletet. | Implementeringen är genomförd. |
| Hålla en kontinuerlig ekonomi- och måluppföljning | Uppföljningen delvis genomförd, men bör utvecklas vidare. |
| **Pellas** | |
| Kompetenshöjning av vårdpersonalens kunskande genom utbildning. Målet är att var och en i personalen har en så bred kunskapsbas som möjligt för att snabbt kunna | Kompetenshöjande utbildning för personalen har ordnats. Personalen har en individuell utbildningsplan. |
| Anpassa vårdrintrikningen enligt ägarkommunernas vårdtagares behov. En individuell utbildningsplan tas fram i medarbetarsamtalen. | |
| --- | --- |
| Fortsatt uppförande och uppföljning av individuella rehabiliteringsplaner för alla vårdtagare. Dessa planer har även en direkt profylaktisk inverkan mot trycksår, kontrakturer, smärtproblematik och fall (enligt Senior alert) | Vårdtagare har individuella rehabiliteringsplaner |
| Fortsatt och ytterligare utvecklat preventivt arbete med kontinuerlig uppföljning och utvärdering inom områdena munhälsa, nutrition, sårvård, smärt, psykisk ohälsa och avvikande beteenden. | Det preventiva arbetet har vidareutvecklats. |
| Kvalitetssäkra vårdarbetet genom att följa handlingsplaner som uppförts till följd av avvikelserapportering. | Några handlingsplaner har utformats och vidareutvecklats, arbetet bör fortsättningsvis utvecklas. |
| Hålla en kontinuerlig ekonomi- och måluppföljning. | Avdelningen har haft en månatlig ekonomi- och måluppföljning. |
| Arbeta med mer tilltalande och varierade måltidsmiljöer. | Matsalen har utformats på ett estetiskt tilltalande sätt. |
| Att skapa varierande och mer tilltalande inom- och utomhusmiljö. | Under året införskaffats växter och prydnader inomhus samt utomhusmiljöerna uppräschats. |
Enheten för träning och stimulans av kognitiva förmågor
| Sysselsättning | Budget 2016 | Bokslut 2016 | Över/under | % av tot. Budget | Bokslut 2015 | Bokslut 2014 |
|----------------|-------------|--------------|------------|-----------------|-------------|-------------|
| VERksamhetens intäkter | | | | | | |
| Understöd och bidrag | 505 | 505 | 0 | 100% | 598 | 371 |
| Övriga verksamhetsintäkter | 425 | 425 | 0 | 100% | 358 | 351 |
| VERksamhetens kostnader | -75 869 | -55 926 | 20 943 | 73,19% | -72 797 | -179 563 |
| Personalkostnader | -66 869 | -50 426 | 16 443 | 75,40% | -67 362 | -141 109 |
| Köp av tjänster | -4 100 | -1 874 | 2 226 | 54,61% | -2 244 | -2 470 |
| Material, förnödenheter och varor | -4 900 | -3 899 | 1 001 | 79,57% | -3 191 | -35 970 |
| Övriga verksamhetskostnader | -27 | -27 | 0 | 0% | -14 | |
| Totalsumma | -75 869 | -55 926 | 20 943 | 72,52% | -72 199 | -179 192 |
Ekonomi
Avdelningen underskrider budgetramen med klar marginal eftersom avdelningens personal bestod av endast ledande sysselsättningsterapeut under hösten.
Avdelningens verksamhet
Personalen vid sysselsättningsterapin ansvarar för att ge de boende träning i kognitiva förmågor och en meningsfull vardag i samarbete med personalen på avdelningarna och i samarbete med fysioterapeut. Avdelningen har två anställda, en som ledande sysselsättningsterapeut och en som sysselsättningsterapeut.
Under året hölls återkommande veckoaktiviteter såsom gruppaktiviteter i form av herrklubb, syjunta, församlingens besök samt individuella aktiviteter i ljusterapin och på avdelningarna. Månadsaktiviteter hölls i form av gemensam lunch för de boende i stora matsalen under vinterhalvåret, församlingens gudstjänster och musikunderhållning med bland annat Ålands spelmangille, Kaj-Gustav Sandholm och Greta Sundström, trubadur Mark och Ålands Accordion Club. Shantygruppen Lösa Boliner har hållit körövning regelbundet i Oasens matsal samt uppträtt för våra boende. Under året har ledande sysselsättningsterapeuten hållit aktiviteter vid demensavdelningen Solsidan två ggr/vecka, en timme per gång samt fungerat som extra resurs vid behov. Under hela året har en frivillig resursperson besökt Oasen två ggr/vecka och förgyllt tillvaron för de boende i form av bingospel, högläsning, pyssel och pepparkaksbak.
Återkoppling till mål
| Mål/åtgärd för 2016 | Status 31.12.2016 |
|------------------------------------------------------------------------------------|----------------------------------------------------------------------------------|
| Utveckla en arbetsform där sysselsättningen har en mer koordinerande funktion | En koordinerande funktion har utvecklats. |
| Utföra specifika punktinsatser vid avd. Solsidan i samarbete med dess personal | Punktinsatser vid Solsidan har utförts i samarbete med personalen. |
| Utveckla och genomföra samarbete med frivilligkrafter | Samarbetet med frivilligkrafter har utvecklats. |
| Utföra aktiviteter enligt vecko-, månads- och årsplanering | Aktiviteterna har skett enligt planering. |
| Arbeta individanpassat såväl som med grupper kring olika teman | Arbetet har individanpassats och utformats tematiskt. |
| Ansvara, leda och utveckla dagverksamheten för minnessjuka hemmaboende som kommer till sysselsättningsterapin för stimulans | Dagverksamheten har utvecklats och ger service åt fler minnessjuka hemmaboende. |
| Dokumentera och utvärdera aktiviteter | Dokumentation och utvärdering har genomförts. |
| Ha kontinuerlig ekonomi och måluppföljning | Ekonomi- och måluppföljning har skett månatligen. |
Dagverksamheten
Från årets början var fem deltagare inskrivna vid verksamheten, antalet utökades och vid årets slut var åtta deltagare inskrivna.
Verksamheten pågick kl. 9-15. Under dagen fick deltagarna träning och stimulans både fysiskt och mentalt i form av anpassade aktiviteter i sysselsättningslokalen, ljusterapirummet och i fysioterapiavdelningen. Utomhuspromenader gjordes runt husets gångbana samt inom närliiggande områden längs promenadstigar.
Under dagen avnjöts morgonfrukost, lunch och e.m. kaffe gemensamt i terapins lokal. Deltagarnas anhöriga har sett verksamheten som mycket värdefull genom att det gett dem tid för vila och återhämtning samtidigt som de känt sig trygga i vetskapen om att deras närmaste har fått en meningsfull dag.
Vid verksamhetens avslutningsdag inför sommaruppehållet bjöds deltagarna med sina respektive anhöriga till Smakbyn i Sund för lunch.
Efter sommaren återupptogs verksamheten i augusti och pågick fram till veckan före jul. Avslutningen gick av stapeln i Oasens stora matsal med inbjudna gäster, styrelseordförande, förbundsdirektör och överskötare. För underhållningen stod Knut Grüssner och med utdelade hjälp av bidrag från Demensföreningen kunde vi bjuda gästerna på tårta och kaffe.
Återkoppling till mål-dagverksamhet
| Mål/åtgärd för 2016 | Status 31.12.2016 |
|------------------------------------------------------------------------------------|----------------------------------------------------------------------------------|
| Ansvara, leda och utveckla dagverksamheten för minnessjuka hemmaboende som kommer till avdelningen. | Dagverksamheten för minnessjuka hemmaboende har utvecklats och ger service åt fler klienter. |
| Erbjuda stöd och rådgivning för anhöriga och närmaste. | Anhöriga och närmaste har fått rådgivning och stöd. |
Fysioterapi
| Fysioterapi | Budget 2016 | Bokslut 2016 | över/under | % av tot. Budget | Bokslut 2015 | Bokslut 2014 |
|-------------|-------------|--------------|------------|-----------------|-------------|-------------|
| VERKSAMHETENS INTÄKTER | 440 | 440 | 0 | 0% | 237 | - |
| Försäljningsintäkter | 44 | 44 | 0 | 0% | - | - |
| Understöd och bidrag | 317 | 317 | 0 | 0% | 217 | - |
| Övriga verksamhetsintäkter | 80 | 80 | 0 | 0% | 20 | - |
| VERKSAMHETENS KOSTNADER | -15 980 | -11 050,5 | 5 425 | 95,82% | -124 109 | - |
| Personalkostnader | -70 975 | -73 820 | -2 845 | 104,03% | -73 184 | - |
| Köp av tjänster | -6 200 | -3 902 | 2 298 | 62,94% | -4 163 | - |
| Material, förråd och varor | -37 955 | -28 257 | 9 718 | 74,40% | -45 669 | - |
| Övriga verksamhetskostnader | -300 | -4 546 | -3 746 | 568,25% | -1 092 | - |
| Totalsumma | -15 980 | -11 006,4 | 5 866 | 94,94% | -123 872 | - |
**Ekonomi**
Avdelningen underskrider budgetramen som en följd av att endast en av de två budgeterade arbetsavtal som fysioterapeut var tillsatta under andra halvan av året.
**Avdelningens verksamhet**
Avdelningens främsta uppgift är att erbjuda träning och rehabilitering utgående ifrån boendenas eget intresse och förmåga med syfte att upprätthålla eller förbättra funktionsförmåga.
Sedan hösten 2016 är två fysioterapeuter anställda vid avdelningen. Ett arbetsavtalsförhållande som konditionsskötare ombildades till ett arbetsavtalsförhållande som fysioterapeut.
**Återkoppling till mål**
Alla målåtgärder för 2016 har uppfyllts eller genomförs kontinuerligt förutom pausgymnastik för personalen på grund av bristande intresse samt tidsbrist. Under våren höll fysioterapin utbildning i lyftteknik för personalen.
En av fysioterapeuterna har gått kurs i lyftkörkort (utbildning i undervisning av lyftteknik) under hösten.
Fysioterapeuterna har under hösten fokuserat på de boendes rehabilitering samt en genomgång av de boendes rehabiliteringsplaner samt en noggrann inventering av hjälpmedel inför service av dessa år 2017.
| Mål/åtgärd för 2016 | Status 31.12.2016 |
|---------------------|-------------------|
| Erbjuda de boende fysioterapi både individuellt och i grupp | Boende får fysioterapi både individuellt anpassad och i grupp. |
| Erbjuda rehabilitering | Boende får rehabilitering enligt individuellt behov. |
| Utveckla dagverksamhet i samarbete med ledande sysselsättningsterapeut | Deltagare i dagverksamheten får individuellt anpassad fysioterapi. |
### Öppenvård
#### Effektiverat serviceboende – avdelning Liljan
| Liljan | Budget 2016 | Bokslut 2016 | över/under | % av tot. budget | Bokslut 2015 | Bokslut 2014 |
|--------|-------------|--------------|------------|-----------------|-------------|-------------|
| VERKSAMHETENS INTÄKTER | 139 175 | 95 960 | -43 215 | 68,95% | | |
| Avgiftsintäkter | 103 175 | 72 003 | -31 172 | 69,79% | | |
| Understöd och bidrag | 0 | 893 | 893 | | | |
| Övriga verksamhetsintäkter | 36 000 | 23 063 | -12 937 | 64,05% | | |
| VERKSAMHETENS KOSTNADER | 625 935 | 572 724 | 53 211 | 91,43% | | |
| Personalkostnader | 512 572 | 465 966 | 26 606 | 94,81% | | |
| Köp av tjänster | 107 543 | 32 637 | 74 906 | 76,84% | | |
| Material, förnödenheter och varor | 5 600 | 3 354 | 2 246 | 59,89% | | |
| Övriga verksamhetskostnader | 250 | 768 | 518 | 307,32% | | |
| Totalsumma | 486 730 | 476 765 | 10 026 | 97,94% | | |
**Ekonomi**
Verksamheten förverkligades inom budgetramen.
Beläggningen från början av året var lägre än förväntat och därför uppnåddes inte den kalkylerade intäktnivån för klienternas serviceavgifter. Som en följd av den låga beläggningen i början av året blir vårddygnskostnaden för hela året högre än budgeterat. Mot slutet av året uppnåddes en sådan beläggning som stabiliserar vårddygnskostnaden på önskad nivå.
Den lägre beläggningen från början av 2016 kompenserades till viss del av att personalkostnaderna och kostnader för köp av tjänster var lägre än budgeterat. Men på grund av behovet av dygnet runtbemanning kunde personalkostnadernas anpassning inte genomföras fullt ut i proportion till den inledande periodens lägre beläggning.
**Avdelningens verksamhet**
Verksamheten på avdelningen Liljan är från och med 18.1.2016 effektiverat serviceboende (ESB). ESB är öppenvård. Verksamhet på denna nivå är ny för Oasen boende- och vårdcenter. Öppenvård innebär bland annat skillnader i debiteringen av de boende jämfört med den institutionsverksamhet som bedrivs av Oasen boende- och vårdcenter i övrigt. Avdelningen har 10 platser.
Liljans ESB strävar efter att boendet på avdelningen ska skapa trygghet och trivsel i en hemlig miljö. De boende ska av personalen uppmuntras till och stödas i utövandet av fysiska och kognitiva aktiviteter med syftet att befrämja konditionen och mental hälsa.
Då avdelningens startade inköptes inventarier för att skapa en hemtrevlig och trivsam atmosfär. Avdelningen målades om och inredningen som införskaffades anpassades till att vara enhetlig och trivsam för att skapa en så hemlig miljö som möjligt.
Aktiviteter under året: Klienterna har gjort utflykter till Lilla Holmen och till Maxinge på shoppingdagar. Man har haft minnesaktiviteter/träning, gymnastik i tv-rummet i form av sittgymnastik och träning i fysioterapisalen, bakning, hobbyverksamhet, kortspel, manikyr och pedikyr, promenader, ljusterapi, filmstunder, deltagit i husets aktiviteter såsom midsommarfest, gemensam sångstund med församlingen ute på innergården, Accordion clubs spelmän i matsalen, kräftskiva, Ålands Lucia med följe besökte avdelningen, anhörigträff med julgröt och sång med Jomala skolflickor JOY och kantorn. Den frivilliga resurspersonen besöker regelbundet avdelningen och spelar bingo med klienterna, Varje onsdag besöker församlingen avdelningen för en sångstund och bön. En gång i månaden har de boende möjlighet till nattvardsgång i matsalen.
Via en enkätundersökning påvisades att upplevelsen från de boende var att de kände sig trygga och trivdes på avdelningen. Även de anhöriga kände sig trygga.
Köket
| Kök | Budget 2016 | Bokslut 2016 | Över/under | % av tot. budget | Bokslut 2015 | Bokslut 2014 |
|-----|-------------|--------------|------------|-----------------|-------------|-------------|
| Övriga verksamhetsintäkter | 134 312 | 105 971 | -28 341 | 78,90% | 38 721 | 42 805 |
| VERKSAMHETENS KOSTNADER | -508 266 | -506 273 | 1 993 | 99,61% | -501 474 | -525 368 |
| Personalkostnader | -327 016 | -336 479 | -9 463 | 102,89% | -329 686 | -354 399 |
| Köp av tjänster | -6 600 | -5 843 | -1 248 | 127,13% | -4 152 | -2 575 |
| Material, förråd och varor | -176 650 | -169 947 | 12 703 | 92,81% | -167 636 | -168 394 |
| Totalsumma | -372 454 | -398 071 | -25 617 | 106,96% | -461 966 | -481 705 |
Ekonomi
Köket överskridet budgetramen med ca 7% (26 000 €). Pensionsavgifterna blev högre än budgeterat. Intäkterna från försäljning av måltider blev också lägre än budgeterat. Man bör dock notera att kökets nettokostnader låg på en klart lägre nivå än 2015 och 2014.
Avdelningens verksamhet
Verksamhetens personal omfattade 2016 1 kökschef och 5 kockar. Tidigare arbetade ytterligare en kock i köket. Köket har verksamhet alla dagar i veckan kl 7.00 – 18.30 och således ett tvåskiftsarbete. Köket levererar en stadig frukost och en energi- och näringstät lunch, stadig middag samt där mellan näringdrycker och proteinrika mellanmål.
Köket har en kontinuerlig dialog med vårdpersonalen för att kunna ta hänsyn till enskilda boendes eventuella allergier och andra behov av kostanpassning.
Arbetet med en kostpolicy fortsatte så att Kostpolicyen skulle kunna fastställas i början av 2017.
Återkoppling till mål
| Mål/åtgärd för 2016 | Status 31.12.2016 |
|---------------------|-------------------|
| Det primära målet är att fortsätta laga god och näringsrik mat, lagad från grunden, råvaror levererade från lokala producenter så långt det är möjligt rent ekonomiskt. Fokus på färg och konsistensanpassad kost. | Köket har lagat god och näringsrik mat, från grund av råvaror så långt möjligt levererade av lokala producenter. Maten har konsistensanpassats. Maten har rönt uppskattnings av boende och deras närstående. |
| Ekonomi: Ekonomi- och måluppföljning med ekonomen månadsvis. Planera menyer, inköp och logistiken noggrant. Portionspris boende/dag 5,11€ | Ekonomiuppföljning hålls varje månad. Livsmedelskostnaderna hålls inom budget. |
| Personal: Ett köksmöte i veckan, ett obligatoriskt möte för hela gruppen på våren, och ett möte på hösten. Ett medarbetarsamtal under hösten. Vill ha alla kockar delaktiga i vidareutvecklingen av kökets rutiner, menyer, desserter och bakning | Målen har uppfylls. Därtill hålls grupphandledning med extern coach för att stöda samarbete inom gruppen under hösten. |
| Boende: Servera högkvalitativ mat från morgon till kväll sju dagar i veckan. Vårda traditioner/ högtider så de äldre får känna en tydlig omväxling i vardagen. Alla pensionärer får önska mat vid sin födelsedag. En gemensam måltid i matsalen 1 gång i månaden. | Målen uppfylls med undantag av att den gemensamma måltiden uteblev på våren och sommaren då sysselsättningsterapin hade liten personaltyrka. På vintern hålls måltiden. Kräftskiva hålls på sensommaren. |
Fastigheten
| Fastighet | Budget 2016 | Bokslut 2016 | över/under | % av tot. Budget | Bokslut 2015 | Bokslut 2014 |
|-----------|-------------|--------------|------------|-----------------|-------------|-------------|
| VERKSAMHETENS INTÄKTER | 7 789 | 23 655 | 15 865 | 206,43% | 3 423 | 348 |
| Försäljningsintäkter | 13 015 | 13 015 | - | - | 373 | 348 |
| Understöd och bidrag | 1 163 | 1 163 | - | - | 3 050 | 348 |
| Övriga verksamhetsintäkter | 7 719 | 9 477 | 1 757 | 122,77% | 3 050 | 348 |
| VERKSAMHETENS KOSTNADER | -514 269 | -459 704 | 54 565 | 89,59% | -496 088 | -254 868 |
| Personalkostnader | -228 169 | -242 030 | 13 861 | 92,93% | -282 844 | -48 916 |
| Köp av tjänster | -70 450 | -74 879 | -429 | 100,58% | -65 575 | -73 697 |
| Material, förnödenheter och varor | -165 150 | -162 083 | 33 067 | 79,93% | -144 911 | -130 426 |
| Övriga verksamhetskostnader | -49 500 | -40 711 | 8 789 | 88,55% | -2 757 | -1 829 |
| FINANSIELLA INTÄKTER OCH KOSTNADER | - | - | - | - | -41 | - |
| Räntekostnader | - | - | - | - | -41 | - |
| Totalsumma | -506 550 | -436 049 | 70 501 | 85,08% | -492 705 | -254 520 |
I området Fastighet ingår fastighetskostnader samt städning, tvätt och klädvård, inklusive kostnaden för personalen inom dessa områden. Sammantaget höll sig området med god marginal inom budgetramen. Kostnaderna för värme, vatten och el var sammanlagt närmare 20 % lägre än budgeterat. Även personalkostnaderna och kostnader för reparationer och underhåll var klart lägre än budgeterat.
Fastighetsskötsel
| Fastighetsskötsel | Budget 2016 | Bokslut 2016 | över/under | % av tot. Budget | Bokslut 2015 | Bokslut 2014 |
|-------------------|-------------|--------------|------------|-----------------|-------------|-------------|
| VERKSAMHETENS INTÄKTER | 14 438 | 14 438 | - | - | 3 050 | 348 |
| Försäljningsintäkter | 13 000 | 13 000 | - | - | 3 050 | 348 |
| Understöd och bidrag | 528 | 528 | - | - | 3 050 | 348 |
| Övriga verksamhetsintäkter | 910 | 910 | - | - | 3 050 | 348 |
| VERKSAMHETENS KOSTNADER | -265 477 | -233 307 | 32 170 | 87,83% | -215 945 | -254 868 |
| Personalkostnader | -49 377 | -43 458 | -5 919 | 102,55% | -44 381 | -48 916 |
| Köp av tjänster | -70 450 | -72 629 | -2 179 | 100,25% | -64 279 | -73 697 |
| Material, förnödenheter och varor | -149 150 | -145 045 | 33 135 | 77,63% | -125 799 | -130 426 |
| Övriga verksamhetskostnader | -2 500 | -2 204 | 296 | 88,87% | -1 485 | -1 829 |
| Totalsumma | -265 477 | -213 868 | 46 609 | 82,44% | -212 895 | -254 520 |
Ekonomi och verksamhet
Budgeten för fastighetsskötsel underskrivs dels tack vare att värme, vatten och el blev mindre kostsamt än budgeterat, dels för att kostnader för underhåll blev lägre än planerat.
Den heltidsanställda fastighetsskötaren utför dagligen olika typer av underhålls- och reparationsarbeten i byggnaden och i utemiljön. Till arbetsuppgifterna hör också transporter till och från och apotek och ÅHS laboratorium.
I början av 2015 erhöll förbundet renoverings- och underhållsplaner framtagna av konsulter inom byggande och VVS. De åtgärder som föreslås ingår i förbundets investeringsplanering för de kommande åren.
### Ekonomi och verksamhet
Totalt genomfördes lokalvården och tvättverksamheten till ca 90% av de budgeterade kostnaderna. Oasen anlitar sedan 2015 företag för att sköta tvättning och uthyrning av personalkläder och sängkläder. De boendes egna kläder tvättas sedan dess på respektive avdelning av vårdpersonal.
Bland anstaltsbiträdena fungerade en person till arbetsledare, som bland annat sköter beställning av material, planering av arbetet och anlitande av vikarier.
Anstaltsbiträdena har flerårig erfarenhet av arbetet och de har genom fortbildningar både internt och externt erhållit kunskaper som behövs för att bland annat förhindra smittspridning och om fördelaktiga tvättmetoder.
Av de sju arbetsavtalsförhållandena som anstaltsbiträden var fem tillsatta.
## Finansiering
| Finansiering | Urprunglig budget 2016 | Förändring budget 2016 | Bokslut 2016 över/under budget | % av budget | Bokslut 2015 | Bokslut 2014 |
|------------------------------------------------------------------------------|------------------------|------------------------|---------------------------------|-------------|--------------|--------------|
| RESULTATRÄKNING FÖR OASEN BOENDE- OCH VÅRDCENTER | 4 306 333 | 4 223 575 | -82 758 | 1 | 4 232 123 | 4 586 808 |
| VERksamhetens intäkter | 4 395 725 | 4 325 576 | -70 149 | 1 | 4 328 049 | 4 669 158 |
| Medlemskommunernas betalningsandelar, Institution | 2 060 176 | 2 258 458 | 198 283 | 1 | 4 170 785 | 4 513 504 |
| Medlemskommunernas betalningsandelar, demensvård | 962 942 | 844 541 | -118 401 | 1 | | |
| Medlemskommunernas betalningsandelar, grundavgift | 794 576 | 644 239 | -150 337 | 1 | | |
| Medlemskommun betalningsandel, ESB vård | 486 790 | 476 765 | -10 026 | 1 | | |
| Övriga samarbetsbetalningar | | | | | 4 020 | |
| BetsIn andelar icke medlemskommun | | | | | 0 | 76 034 |
| Kommunernas betalningsandel, avskrivning | 91 242 | 101 574 | 10 332 | 1 | 153 244 | 79 619 |
| Kommunernas betalningsandelar, investering | | | | | | |
| FINANSIELLA INTÄKTER OCH KOSTNADER | 1 850 | -427 | -2 277 | 0 | 1 831 | 2 256 |
| Räntesintäkter | 1 500 | 506 | -994 | 0 | 1 516 | 2 024 |
| Övriga finansiella Intäkter | 350 | 14 | -336 | 0 | 606 | 362 |
| Dröjsmålskostnader | | 12 | 12 | 0 | 431 | 0 |
| Räntekostnader för lån från affärsverk | | | | | -3 | |
| Räntor på skatteredovisningar | | -176 | -176 | -58 | | |
| Dröjsmålsräntor | | -300 | -300 | -50 | | |
| Övriga finansieringskostnader | | -329 | -329 | -18 | -24 | |
| AVSKRIVNINGAR OCI NEDSKRIVNINGAR | -91 242 | -101 574 | -10 332 | 1 | -97 757 | -84 606 |
| Avskrivningar enligt plan | -91 242 | -101 574 | -10 332 | 1 | -97 757 | -84 606 |
| Avskrivningar | -91 242 | | 91 242 | | | |
| Avskrivningar på byggnader | | -53 005 | -53 005 | | | |
| Avskrivningar på fasta konstruktioner och anordningar | | -43 721 | +43 721 | | | |
| Avskrivningar på maskiner och inventarier | | -4 848 | -4 848 | | | |
**Totalsumma**
| | 4 306 333 | 4 223 575 | -82 758 | 1 | 4 232 123 | 4 586 808 |
## Finansieringsanalys budget jmf
| Finansiering | Bokslut 2016 | Förändring i budget 2016 | Budget 2016 | Bokslut 2015 | Budget 2015 | Bokslut 2014 |
|------------------------------------------------------------------------------|--------------|--------------------------|-------------|--------------|-------------|--------------|
| Kassaflödet i verksamheten | | | | | | |
| Ansibidrag | 101 574 | 91 242 | 97 757 | 77 676 | 84 606 | |
| Investeringarnas kassaflöde | | | | | | |
| Investeringsutgifter | -65 820 | -83 000 | -130 000 | -153 244 | -257 051 | -79 989 |
| Verksamhetens och investeringarnas kassaflöde | 35 753 | -83 000 | -38 758 | -55 487 | -179 375 | 4 637 |
| Finansieringens kassaflöde | | | | | | |
| Övriga förändringar i likviditeten | -258 151 | 38 758 | -112 050 | -31 420 | 219 387 | |
| Förändring av fördringar | | | | | | |
| Förändring av räntefria skulder | -27 440 | -201 999 | | | 55 221 | |
| Förändring av likvida medel | -285 591 | 38 758 | -314 049 | -31 420 | 274 588 | |
| Förändring av likvida medel | -249 838 | 0 | -369 536 | -210 795 | 279 224 | |
| Förändring av likvida medel | -249 838 | 0 | -369 536 | 0 | 279 224 | |
| Likvida medel 31,12 | 116 771 | 366 609 | | | 736 145 | |
| Likvida medel 1,1 | 366 609 | 736 145 | | | 456 921 | |
Kostnaderna för investeringarna uppgick totalt till 65 820 €. Investeringarna budgeterades ursprungligen till 135 000 € men flera av investeringarna behövde inte förverkligas. Den planerade sockelisoleringen/dräneringen runt flygel A blev obehövlig då befintlig isolering och dränering konstaterades hållas måttet. Investeringarna finansierades med egna medel.
## Balansräkning aktiva
**Balansräkning 31.12.2016**
### AKTIVA
| | 31.12.2016 Euro | 31.12.2015 Euro |
|--------------------------------|-----------------|-----------------|
| **BESTÄENDE AKTIVA** | | |
| Immateriella tillgångar | 6 876,00 | |
| Sa Immateriella tillgångar | 6 876,00 | |
| Materiella tillgångar | | |
| Tomter | 126,14 | 126,14 |
| Byggnader | 848 078,81 | 901 083,74 |
| Fasta konstruktioner och anordningar | 368 403,34 | 353 179,60 |
| Maskiner och inventarier | 11 312,17 | 16 160,25 |
| Sa Materiella tillgångar | 1 227 920,46 | 1 270 549,73 |
| Placeringar | 37 917,56 | 37 917,56 |
| Sa Placeringar | 37 917,56 | 37 917,56 |
| **SA BESTÄENDE AKTIVA** | 1 272 714,02 | 1 308 467,29 |
| **FÖRVALTADE MEDEL** | | |
| Donationsfonder | 3 546,30 | 3 435,24 |
| Övriga förvaltade medel | 61 259,27 | 69 932,63 |
| **SA FÖRVALTADE MEDEL** | 64 805,57 | 73 367,87 |
| **RÖRLIGA AKTIVA** | | |
| Långfristiga fordringar | | |
| Kortfristiga fordringar | | |
| Kundfordringar | 69 642,86 | 107 960,47 |
| Övriga fordringar | 60 085,69 | 100 448,83 |
| Resultatregleringar | 517 406,51 | 180 575,20 |
| Sa Kortfristiga fordringar | 647 135,06 | 388 984,50 |
| Kassa-och banktillgodohavanden | 116 771,41 | 366 609,19 |
| **SA RÖRLIGA AKTIVA** | 763 906,47 | 755 593,69 |
| **TOTALT AKTIVA** | 2 101 426,06 | 2 137 428,85 |
## Balansräkning passiva
### Balansräkning 31.12.2016
| Passiva | 31.12.2016 Euro | 31.12.2015 Euro |
|----------------------------------------------|-----------------|-----------------|
| **EGET KAPITAL** | | |
| Grundkapital | 1 094 817,62 | 1 094 817,62 |
| Räkenskapsperiodens över-/underskott | 0,00 | 0,00 |
| **SA EGET KAPITAL** | 1 094 817,62 | 1 094 817,62 |
| **FÖRVALTAT KAPITAL** | | |
| Donationsfonder | 61 259,27 | 69 932,63 |
| Övrigt förvaltat kapital | 3 546,30 | 3 435,24 |
| **SA FÖRVALTAT KAPITAL** | 64 805,57 | 73 367,87 |
| **FRÄMMANDE KAPITAL** | | |
| Långfristigt | | |
| Skuld medlemskommuner | | 40 958,87 |
| Kortfristigt | | |
| Erhållna förskott | 32 245,09 | |
| Leverantörsskulder | 225 695,82 | 190 692,82 |
| Övriga kortfristiga skulder | 7 131,71 | 1 313,97 |
| Resultatregleringar | 676 730,25 | 736 277,71 |
| **SA FRÄMMANDE KAPITAL** | 941 802,87 | 969 243,37 |
| **TOTALT PASSIVA** | 2 101 426,06 | 2 137 428,86 |
## Resultaträkning
### Resultaträkning 1.1 - 31.12.2016
| | 01.01-31.12.2016 | 01.01-31.12.2015 |
|--------------------------------|------------------|------------------|
| **Verksamhetsintäkter** | | |
| Försäljningsintäkter | 4 338 891,43 | 4 199 139,45 |
| Avgiftsintäkter | 679 742,60 | 717 052,55 |
| Understöd och bidrag | 14 269,60 | 11 085,63 |
| Övriga verksamhetsintäkter | 143 397,61 | 5 176 241,24 |
| **Totalt** | 5 176 241,24 | 4 974 713,36 |
| | | |
| **Verksamhetskostnader** | | |
| Personalkostnader | | |
| Löner och arvoden | -3 341 596,68 | -3 222 769,06 |
| Lönebikostnader | | |
| Pensionskostnader | -768 884,07 | -754 617,40 |
| Övriga lönebikostnader | -134 826,80 | -133 562,78 |
| Köp av tjänster | -821 549,77 | -227 460,46 |
| Material, förrådenheter och varor | -464 800,80 | -534 094,44 |
| Inköp under räkenskapsperioden | | -6 237,28 |
| Övriga verksamhetskostnader | -47 882,48 | -5 074 240,10 |
| **Totalt** | -5 074 240,10 | -4 878 741,42 |
| | | |
| **Verksamhetsbidrag** | 102 001,14 | 95 971,94 |
| | | |
| **Finansiella intäkter och kostnader** | | |
| Ränteintäkter | 505,51 | 1 515,76 |
| Övriga finansiella intäkter | 13,77 | 606,23 |
| Räntekostnader | -142,17 | -256,13 |
| Övriga finansiella kostnader | -804,50 | -80,76 |
| **Totalt** | -427,39 | 1 785,10 |
| | | |
| **Årsbidrag** | 101 573,75 | 97 757,04 |
| | | |
| **Avskrivningar och nedskrivningar** | | |
| Avskrivningar enligt plan | -101 573,75 | -97 757,04 |
| | | |
| **Extraordinära poster** | | |
| Extraordinära intäkter | | |
| Räkenskapsperiodens resultat | 0,00 | 0,00 |
| | | |
| **Räkenskapsperiodens överskott (underskott)** | 0,00 | 0,00 |
## Finansieringsanalys
### Kassaflödet i verksamheten
| | 01.01-31.12.2016 | 01.01-31.12.2015 |
|------------------------------|------------------|------------------|
| Årsbidrag | 101 573,75 | 97 757,04 |
| **Investeringarnas kassaflöde** | | |
| Investeringsutgifter | -65 820,48 | -153 243,69 |
| Verksamhetens och investeringarnas kassaflöde | 35 753,27 | -55 486,65 |
### Finansieringens kassafläde
| | 01.01-31.12.2016 | 01.01-31.12.2015 |
|------------------------------|------------------|------------------|
| Övriga förändringar i likviditeten | | |
| Förändring av fordringar | -258 150,56 | -112 050,29 |
| Förändring av räntefria skulder | -27 440,49 | -201 999,04 |
| Finansieringens kassaflöde | -285 591,05 | -314 049,33 |
### Förändring av likvida medel
| | 01.01-31.12.2016 | 01.01-31.12.2015 |
|------------------------------|------------------|------------------|
| Förändring av likvida medel | -249 837,78 | -369 535,98 |
| Likvida medel 31.12 | 116 771,41 | 366 609,19 |
| Likvida medel 1.1 | 366 609,19 | 736 145,17 |
| | 249 837,78 | 369 535,98 |
Noter till bokslutet
Not angående förvaltade medel
Thure Nordenfelts minnesfond
Kommunalförbundet De Gamlas Hem erhöll år 2002 del av fastighet genom testamenterat arv efter Thure Nordenfelt. Fastigheten såldes och kommunalförbundets intäkter från fastighetens försäljning uppgick till ca 69 000 €. Dessa medel placerades i fonden Ålandsbanken Euro Bond B och fonden fick namnet ”Thure Nordenfelts minnesfond”.
Marknadsvärde för placeringen var under 2016 drygt 100 000 €.
År 2016 såldes fondandelar till ett värde av 13 000 €. Medlen användes för att finansiera den upprustning av ESB-avdelningen Liljan som skedde då Liljan startade sin nya verksamhet som effektiverat serviceboende i början av år 2016. Realiseringen av fondmedel skedde utgående från förbundsstyrelsens beslut § 12/ 21.1.2016.
Fondens medel ska enligt testatorns vilja användas för underhåll och utvidgning av De Gamlas Hem. Fondens kapital ska förvaltas åtskilt från De Gamlas Hems övriga egendom. Förbundsstyrelsen besluter om användningen av medel från fonden utgående från testatorns vilja. Kostnaderna uppkomna genom fonden ska täckas ur fondens medel.
Not angående rättsprocesser
Per den 31.12.2016 var följande kommunalbesvär, som inlämnats mot förbundsfullmäktiges beslut, inte avgjorda i Åland Förvaltningsdomstol.
- Kommunalbesvär mot förbundsfullmäktiges beslut den 30.12.2015/ § 39 Debitering av grundavgift.
- Kommunalbesvär mot förbundsfullmäktiges beslut den 30.12.2016/ § 41 Ålands Hemgård. Om rättsprocessen fastställer att förbundsfullmäktiges beslut blir gällande och arrendeaftalen med Ålands Hemgård hävs torde ett inlösningsansvar med därtill hörande kostnader åläggas kommunalförbundet.
Förbundsstyrelsen har till förvaltningsdomstolen inlämnat bemötanden till besvärsskrifterna.
Noter angående tillämpade bokslutsprinciper
Värdering av bestående aktiva
Materiella tillgångar bland bestående aktiva har upptagits i balansräkningen enligt anskaffningsutgift minskad med avskrivningar enligt plan och med finansieringsandelar för investeringsutgifter. Planavskrivningarna har beräknats utgående från en på förhand upprättad avskrivningsplan. Planen för avskrivningar finns som bilaga till resultataträkningen.
Värdering av placeringar
Placeringar bland bestående aktiva har upptagits i balansräkningen till anskaffningsutgift.
Debitering av grundavgift
Grundavgiften per platsande! slutregleras utgående från bokslutet.
Under pågående verksamhetsår debiteras grundavgiften löpande enligt budgeterade kostnader. Efter räkenskapsårets slut räknas den slutliga grundavgiften ut, baserade på reella kostnader. Det betyder att medlemskommunerna kan få en återbetalning eller tilläggsbetalning gällande grundavgiften. Detta förfarande innebär att grundavgiften slutregleras på samma sätt som den resterade delen av dygnskostnaden för en klient.
Prestationsprincip
Bokningar görs enligt prestationsprincipen.
Noter till balansräkningen
Aktiva
Bestående aktiva
Immateriala tillgångar
Datorprogram
Oavskrivna anskaffningsutgifter 1.1 0,00
Ökning under räkenskapsperioden 6 876,00
Finansieringsandelar under räkenskapsperioden
Minskning under räkenskapsperioden
Överföringar mellan poster
Avskrivning under räkenskapsperioden
Oavskrivna anskaffningsutgifter 31.12 6 876,00
Materiella tillgångar
Markområden 126,14
Byggnader 901 083,74
Fasta konstruktioner o anordningar 353 179,60
Maskiner och inventarier 16 160,26
Sammanlagt 1 270 549,74
Oavskrivna anskaffningsutgifter 1.1 53 004,93
Ökning under räkenskapsperioden 58 944,48
Finansieringsandelar under räkenskapsperioden
Minskning under räkenskapsperioden
Överföringar mellan poster
Avskrivning under räkenskapsperioden
Oavskrivna anskaffningsutgifter 31.12 126,14 848 078,81 368 403,34 11 312,18 1 227 920,47
Placeringar
Anskaffningsutgift 1.1
Ökning
Minskning
Anskaffningsutgift 31.12
Bokföringsvärde 31.12
Anslutningar 35 103,60
Aktier o andelar 2 813,96
Sammanlagt 37 917,56
35 103,60 2 813,96 37 917,56
## Not till balansräkningen, passiva
| | 2016 | 2015 |
|------------------------|------------|------------|
| **Eget kapital** | | |
| Grundkapital | 1 094 817,62 | 1 094 817,62 |
| **Medlemskommunernas andel av grundkapitalet** | | |
| Brändö | 16 340,56 | 16 340,56 |
| Eckerö | 65 362,25 | 65 362,25 |
| Finström | 196 086,74 | 196 086,74 |
| Geta | 32 681,12 | 32 681,12 |
| Hammarland | 130 724,49 | 130 724,49 |
| Jomala | 408 514,04 | 408 514,04 |
| Kumlinge | 32 681,12 | 32 681,12 |
| Kökar | 16 340,56 | 16 340,56 |
| Lemland | 65 362,25 | 65 362,25 |
| Lumparland | 32 681,12 | 32 681,12 |
| Sottunga | 16 340,56 | 16 340,56 |
| Sund | 65 362,25 | 65 362,25 |
| Vårdö | 16 340,56 | 16 340,56 |
| **Totalt** | 1 094 817,62 | 1 094 817,62 |
Avskrivningsplan
Enligt bokföringslagen ska en avskrivningsplan uppgöras.
I planen ska både avskrivningstid och avskrivningsmetod definieras.
Avskrivningsmetod: Lineär
- samma €-belopp per år under hela avskrivningstiden
- ett fast %-tal räknat på anskaffningsutgiften.
Restvärdesavskrivning
- ett fast %-tal räknat på utgiftsresten
- utgiftsresten = Anskaffningsutgiften – gjorda avskrivningar
Endast anskaffningar som används för flera än en räkenskapsperiod aktiveras.
Anskaffningsutgiften för en grundförbättring adderas till den icke avskrivna anskaffningsutgiften.
Endast anskaffningar med ett värde av minst 10.000, € - aktiveras. (exkl.moms)
Materiella tillgångar
| Avskrivningsmetod |
|-------------------|
| Byggnader- och konstruktioner |
| Förvaltnings- och institutionsbyggnader | Lineär avskrivning 20 år (20-50 år) |
| Fasta konstruktioner och anordningar |
| Fasta lyft- och flyttanordningar | Lineär avskrivning 15 år (15-20 år) |
| Fjärrvärmenät | Lineär avskrivning 20 år (20-30 år) |
| Telefonnät, central o. abonnentcentr. | Lineär avskrivning 10 år (10-12 år) |
| Övriga fasta maskiner, anordn. o. konstr. | Lineär avskrivning 10 år (10-15 år) |
| Maskiner och inventarier | Restvärdesavskrivning 30 % (30-40 %) |
| ADB-utrustning | Restvärdesavskrivning 30 % (30-40 %) |
| Bilar | Restvärdesavskrivning 30 % (25-30 %) |
### Fördelning över driftskostnader vid Oasen-boende och vårdcenter
#### FÖRDELNING AV DRIFTSKOSTNADER INSTITUTION
| Använda vårddygn | Brutto kostnad drift | Vårdavgift | Andra inkän vån vån vån | Kommunens nettokostnader | Debiterade förskott | Tilläggsbetaln. | Återbetalning |
|------------------|----------------------|-----------|-------------------------|--------------------------|---------------------|----------------|---------------|
| Brändö | - | - | - | 0,00 | 0,00 | - | - |
| Eckerö | 550 | 121 070,98| 17 248,09 | 4 893,21 | 98 926,58 | 87 764,39 | 11 168,20 |
| Finström | 1 395 | 300 507,72| 43 036,12 | 12 130,49 | 244 434,71 | 224 585,34 | 19 850,37 |
| Geta | 1 135 | 246 284,45| 31 686,41 | 9 946,94 | 204 732,10 | 168 289,04 | 48 443,06 |
| Hammarland | 1 530 | 288 674,20| 49 082,34 | 11 655,88 | 227 055,98 | 200 936,93 | 26 919,05 |
| Jomala | 5 178 | 1 123 498,63| 187 651,08 | 45 378,08 | 890 458,51 | 805 887,28 | 84 569,23 |
| Kumlinge | - | - | - | 0,00 | 0,00 | - | - |
| Kökar | 368 | 79 412,15 | 19 671,35 | 3 207,56 | 58 533,23 | 56 175,20 | 357,93 |
| Lemland | 1 264 | 274 253,98| 33 019,59 | 11 077,47 | 230 156,92 | 197 134,83 | 33 022,09 |
| Lumparland | 54 | 11 716,55 | 1 730,88 | 473,25 | 9 512,42 | 12 021,13 | 2 608,71 |
| Sottunga | 1 360 | 295 083,39| 47 723,67 | 11 918,80 | 233 440,93 | 204 210,36 | 31 230,57 |
| Sund | 325 | 70 733,23 | 10 976,87 | 2 857,07 | 56 898,35 | 51 259,43 | 5 639,92 |
| Väröö | 20 | 4 339,48 | 660,00 | 175,23 | 3 554,25 | 4 517,29 | 1 019,10 |
**Totalt:** 12 978 2 815 442,73 443 284,39 113 719,33 2 258 459,01 2 000 781,32 261 219,50 3 521,81
- **Bruttokostnad per anv. vårddygn**: 216,97
- **Vårdavgifter per anv. vårddygn**: 34,16
- **Övriga inkomster per anv. vårddygn**: 8,78
- **Nettokostnad per anv. vårddygn**: 172,08
---
#### FÖRDELNING AV DRIFTSKOSTNADER INSTITUTION, DEMENSVÅRD MEDLEMSKOMMUNER
| Använda vårddygn | Brutto kostnad drift | Vårdavgift | Andra inkän vån vån vån | Kommunens nettokostnader | Debiterade förskott | Tilläggsbetaln. | Återbetalning |
|------------------|----------------------|-----------|-------------------------|--------------------------|---------------------|----------------|---------------|
| Brändö | - | - | - | 0,00 | 0,00 | 6 961,64 | 6 961,64 |
| Eckerö | 87 | 23 315,32 | 1 959,00 | 779,04 | 20 827,28 | 14 711,60 | 5 915,68 |
| Finström | 714 | 191 346,42| 23 484,61 | 6 393,52 | 161 468,29 | 168 189,72 | 4 721,43 |
| Geta | 306 | 82 005,61 | 11 458,84 | 2 745,08 | 67 805,69 | 70 315,79 | 2 506,10 |
| Hammarland | 418 | 112 020,73| 12 704,24 | 3 742,49 | 92 482,51 | 100 175,65 | 7 562,15 |
| Jomala | 1 035 | 491 765,85| 81 304,85 | 16 431,53 | 394 029,77 | 494 568,85 | 100 539,09 |
| Kumlinge | - | - | - | 0,00 | 0,00 | - | - |
| Kökar | - | - | - | 0,00 | 0,00 | - | - |
| Lemland | 422 | 113 092,70| 13 258,57 | 3 778,80 | 98 057,33 | 102 723,12 | 6 665,79 |
| Lumparland | - | - | - | 0,00 | 0,00 | - | - |
| Sottunga | 52 | 13 935,59 | 1 411,60 | 465,63 | 12 058,36 | 7 295,01 | 4 763,35 |
| Sund | - | - | - | 0,00 | 0,00 | - | - |
| Väröö | - | - | - | 0,00 | 0,00 | - | - |
**Totalt:** 3 834 1 027 482,02 148 609,81 34 331,60 844 540,61 952 941,40 10 679,03 129 079,82
- **Bruttokostnad per anv. vårddygn**: 267,99
- **Vårdavgifter per anv. vårddygn**: 38,76
- **Övriga inkomster per anv. vårddygn**: 8,05
- **Nettokostnad per anv. vårddygn**: 220,20
Kommunens slutliga dygnskostnad innehåller även grundavgiften, som år 2016 var 26,27€ / dygn.
### FÖRDDELNING AV DRIFTSKOSTNADER EFFEKTIVERAT SERVICEBOENDE
| Använda vårddygn | Brutto kostnad drift | Vårdavgift | Andra ink. än vårdavg. | Kommunens nettkostnader | Debiterade förskott | Tilläggsbetaln. | Aterbetalning |
|------------------|----------------------|-----------|------------------------|-------------------------|---------------------|----------------|---------------|
| Jomala | 2 723 | 572 724,38| 40 637,97 | 55 321,81 | 476 764,60 | 464 544,19 | 12 220,41 |
Bruttkostnad per anv. vårddygn: 210,33
Vårdavgift per anv. vårddygn: 14,92
Övriga inkomster per anv. vårddygn: 20,32
Nettkostnad per anv. vårddygn: 175,09
Kommunens slutliga dygnskostnad innehåller även grundavgiften, som år 2016 var 26,27€ / dygn
## Kommunernas andel av räkenskapsårets avskrivningar
### Avskrivningar sammanlagt 2016: 101 573,74 €
| Medlemskommuner | Antal platser | Fakturerats under året | Ersättning för avskrivningar |
|-----------------|---------------|------------------------|-----------------------------|
| Brändö | 1 | 1 516,03 | 1 516,03 |
| Eckerö | 4 | 6 064,10 | 6 064,10 |
| Finström | 12 | 18 192,32 | 18 192,32 |
| Geta | 2 | 3 032,05 | 3 032,05 |
| Hammarland | 8 | 12 128,21 | 12 128,21 |
| Jomala | 25 | 37 900,65 | 37 900,65 |
| Kumlinge | 2 | 3 032,05 | 3 032,05 |
| Kökar | 1 | 1 516,03 | 1 516,03 |
| Lemland | 4 | 6 064,10 | 6 064,10 |
| Lumparland | 2 | 3 032,05 | 3 032,05 |
| Sottunga | 1 | 1 516,03 | 1 516,03 |
| Sund | 4 | 6 064,10 | 6 064,10 |
| Vårdö | 1 | 1 516,03 | 1 516,03 |
| Sammanlagt | 67 | 101 573,74 | 101 573,75 |
---
51
Förteckning över bokföringsböcker, verifikatslag och redogörelser för arkivering
Egentliga bokföringsböcker
Bokföringsprogram -- Abilita Ekonomiförvaltning
I bokföringssystemet Abilita är följande anpassat: leverantörsreskontra, försäljningsreskontra samt löneprogram.
Dagbok - datalistor och elektroniskt format genom back up av ekonomisystemet.
Huvudbok - datalistor och elektroniskt format genom back up av ekonomisystemet.
Balansbok -- inbunden för perioden
Verifikatslag/Registreringspunkter
Leverantörsreskontra verifikatserie 100
Försäljningsreskontra verifikatserie 400
Memorialverifikat verifikatserie 500
Löner verifikatserie 900
Bokföringens arkivering
Balansbok -varaktigt
Dagbok -varaktigt
Huvudbok- varaktigt
Verifikat i nummerordning -10 år
Budget -varaktigt
Korrespondens gällande affärshändelser- varaktigt
Protokoll- varaktigt
Anstaltverksamhetens arkivering
Diarier och journaler- varaktigt
Förteckningar- varaktigt
Protokoll- varaktigt
Köket
Matvaruförteckningar- varaktigt
Protokoll- varaktigt
Underskrifter
Styrelsen konstaterar att kommunalförbundet har ett nollresultat vilket inte föranleder åtgärder.
På kommunalförbundets och Oasen boende- och vårdcenters vägnar:
Jomala den 31 mars 2017
__________________________
Gyrid Högman
Förbundsstyrelsens ordförande
__________________________
Per Lycke
Förbundsstyrelsens vice ordförande
__________________________
Roger Eriksson
Ledamot
__________________________
Tomas Blomberg
Ledamot
__________________________
Susanne Nordberg
Ledamot
__________________________
Ulla-Britt Dahl
Ledamot
__________________________
Hanna Segerström
Ledamot
__________________________
Jim Eriksson
Förbundsdirektör
__________________________
Revisorsanteckning
Över verkställd revision har avgivits revisionsberättelse.
Jomala den ____ mars 2017
__________________________
Robert Lindfors
Ordförande för revisorerna
__________________________
Magnus Lundberg
Vice ordförande
__________________________
Krister Rehn
BDO Audiator Ab, OFR-samfund
Underskrifter
Styrelsen konstaterar att kommunalförbundet har ett nollresultat vilket inte föranleder åtgärder.
På kommunalförbundets och Oasen boende- och vårdcenters vägnar:
Jomala den 4 april 2017
Gyrid Bergman
Förbundsstyrelsens ordförande
Roger Eriksson
Ledamot
Susanne Nordberg
Ledamot
Hanna Segerström
Ledamot
Der Lycke
Förbundsstyrelsens vice ordförande
Tomas Blomberg
Ledamot
Ulla-Britt Dahl
Ledamot
Jim Eriksson
Förbundsdirektör
Revisorsanteckning
Över verkställd revision har avgivits revisionsberättelse.
Jomala den 7 april 2017
Robert Lindfors
Ordförande för revisorerna
Magnus Lundberg
Vice ordförande
Krister Rehn
BDO Audiator Ab, OFR-samfund
REVISIONSBERÄTTELSE 2016
Till förbundsfullmäktige för kommunalförbundet Oasen boende- och vårcenter
Vi har granskat kommunalförbundet Oasen boende- och vårcenters förvaltning, bokföring och bokslut för räkenskapsperioden 1.1-31.12.2016. Bokslutet omfattar balansräkning, resultaträkning, finansieringsanalys och noter till dem samt tabell över budgetutfall och verksamhetsberättelse.
Kommunalförbundets styrelse och övriga redovisningsskyldiga är ansvariga för kommunalförbundets förvaltning och skötseln av kommunalförbundets ekonomi under räkenskapsperioden. Styrelsen ansvarar för upprättandet av bokslutet och för att det ger riktiga och tillräckliga uppgifter om resultatet av kommunalförbundets verksamhet och dess ekonomiska ställning i enlighet med stadganden och bestämmelser om upprättande av bokslut. Förbundsstyrelsen och förbundsdirektören har i verksamhetsberättelsen redogjort för ordnandet av kommunalförbundets interna kontroll.
Vi har granskat räkenskapsperiodens förvaltning, bokföring och bokslut i enlighet med god revisionssed för att som resultat av granskningen rapportera om väsentliga fel och brister som uppdagats. Vid granskningen av förvaltningen har utretts huruvida medlemmarna i förvaltningsorganen och de ledande tjänsteförnämnhavarna för uppgiftsområdena verkat enligt lag. Vid granskningen av huruvida den interna övervakningen har ordnats på behörigt sätt har beaktats redogörelsen för denna i verksamhetsberättelsen. Därtill har vi granskat att uppgifterna om grunderna för och användningen av landskapsandelarna är riktiga. Vi har utfört granskningen för att försäkra oss om huruvida förvaltningen sköts enligt lag och förbundsfullmäktiges beslut. Bokföringen, principerna för upprättandet av bokslutet, dess innehåll och presentation har granskats i tillräcklig omfattning för att konstatera att bokslutet inte innehåller väsentliga fel eller brister.
Granskningens resultat
Kommunalförbundets förvaltning har sköts enligt lag och förbundsfullmäktiges beslut.
Kommunalförbundets interna kontroll har huvudsakligen ordnats på behörigt sätt men fastän budgeten som helhet har följts och beläggningen enligt vår mening i stort följt den budgeterade, noteras i verksamhetsberättelsen att personalkostnaderna var höga på en av vårdavdelningarna i början av året. Av denna orsak framför vi som vår uppfattning att en systematisk uppföljning och resultatstyrning av verksamheten bör stå i fortsatt fokus.
Uppgifterna om grunderna för och användningen av landskapsandelarna är riktiga.
Kommunalförbundets bokslut är upprättat enligt stadganden och bestämmelser om upprättande av bokslut. Bokslutet ger riktiga och tillräckliga uppgifter om räkenskapsperiodens resultat, ekonomiska ställning, finansiering och verksamhet.
Utlåtanden om godkännande av bokslutet och beviljande av ansvarsfrihet
Vi förordrar att bokslutet godkänns.
Vi förordrar att de redovisningsskyldiga beviljas ansvarsfrihet för den av oss granskade räkenskapsperioden.
Jomala, 07.04.2017
Robert Lindfors
ordförande
Magnus Lundberg, GR
viceordförande
BDO Audiator Ab,
OFR-samfund
Krister Rehn, OFR | ed93b856-4eca-438f-8c42-0ce65ea7e569 | HuggingFaceFW/finepdfs/tree/main/data/swe_Latn/train | finepdfs | swe_Latn | 121,657 |
MEMOIRE de DEA
IPEALT
UNIVERSITE DE TOULOUSE
LE MIRAIL
HABITANTS
ET HABITATS
DE LA VALLEE DE CHALCO
Etat de Mexico
Mexique
1990
Sabine L'HOMMEE
dirigé par
Monsieur le professeur
Claude BATAILLON
octobre 1991
Ce mémoire est fondé sur les résultats d'une enquête que nous avons réalisée dans le cadre du projet Valle de Chalco - Medio ambiente, sociedad y territorio financé par la D.6.1. de la Commission des Communautés Européennes, et mené par le centre ORSTOM de Mexico, d'une part, et, d'autre part, par la U.A.M., Unité de Xochimilco.
Nous tenons à remercier les personnes et les organismes qui ont rendu possible cette étude :
tout particulièrement,
Bernard LACOMBE,
mais aussi,
Hervé TRICORNOT,
Jean-Paul DUCHEMIN,
Joël BONNEMAISON,
Michel PORTAIS,
Jean RIVELOIS,
de l'ORSTOM.
Ensuite,
la Commission des Communautés Européennes.
Puis,
les chercheurs de la UAM-X,
sans oublier les étudiants
de la UAM-X,
du Politécnico,
et du Colegio de Chapingo :
Ilda, Maria de la Luz,
Maria de los Angeles, Angél,
Fernando, Victor, Alberto, Andrés,
auxquels nous joindrons
Juan Jose.
Nous ajouterons, avec une mention spéciale,
Valentino SORANI.
Nous remercierons enfin notre directeur de thèse,
Monsieur le professeur Claude BATAILLON.
HABITANTS
ET HABITATS
DE LA VALLEE DE CHALCO
Etat de Mexico
Mexique
1990
S. L’Hommée
I. INTRODUCTION
De nos jours, les pays en voie de développement se transforment au rythme généralisé de la modernisation. Les bouleversements techniques, qui sont simultanément les producteurs et les produits de cette modernisation, imposent des modifications du comportement de l’homme au sein de son environnement. Ces transformations s’effectuent de façon particulièrement rapide dans la banlieue des capitales. L’un de ces lieux de mutation est la zone nouvellement urbanisée de la Vallée de Chalco qui se situe en périphérie de la ville de Mexico (voir annexe No 04 – plan schématique). Nous y trouvons effectivement les caractéristiques urbaines dues aux installations massives de population sur une aire initialement agricole (1), d’une part, et, d’autre part, les caractéristiques rurales des origines de celle-ci.
Les effets de la confrontation des conceptions culturelles opposées – rurales et urbaines – peuvent être appréhendés à travers l’analyse des réalisations produites par la population. C’est ainsi que nous avons voulu analyser les espaces privés de la Vallée en tant que combinaisons à la fois des contraintes matérielles – techniques et économiques – et des conceptions spatio-culturelles des acteurs-réalisateurs (2).
1. Voir Banzo M., La crisiemática agropecuaria y el proceso de urbanización en la periferia de la Ciudad de Mexico : el caso de Chalco in : Proyecto Valle de Chalco – Medio ambiente, sociedad y territorio, rapporte final II, mars 1991. CEE / ORSTOM / UAM-ix.
2. Bailly, Racine, et Sodarstorn : “L’espace urbain, à la différence des espaces naturels, est avant tout un espace construit, culturel, social et historique ; comme les sociétés dont il constitue la projection au sol. Expliquer
I.1. METHODE
A cet effet, nous avons rédigé un formulaire de questions (3) traitant de deux types de thématique.
Premièrement, ont été recueillies les données de type socio-culturel correspondant aux sujets suivants :
- l'origine des habitants,
- leur identité,
- leurs antécédents habitationnels,
- la mise en œuvre de leur espace privé,
- les comportements au sein du foyer ;
deuxièmement, les données de type matériel et technique :
- les divisions de l'habitat et du terrain ;
- les limites et les communications ;
- l'assignation des fonctions spatiales ;
- les traces d'appropriation interne.
Par ailleurs, l'enquête a suivi trois axes d'investigation complémentaires de la façon suivante :
- premierement, une série de questions fermées a recueilli les caractéristiques concernant essentiellement les comportements et la définition sociale des habitants ;
- en second lieu, une série de questions ouvertes nous a fourni, à travers la transcription des opinions exprimées spontanément par la population interrogée, certaines informations qualitatives ou concernant des cas particuliers ;
- enfin, un relevé graphique assorti d'annotations écrites nous a permis de collecter les caractéristiques des espaces investis par les familles.
Un paysage urbain. C'est donc rendre compte de la transformation par l'homme de ses besoins sociaux (...), de ses héritage culturels (...) et des données du milieu." Voir annexe no 2 : questionnaire.
I.1.a. L'échantillonnage
L'échantillonnage de notre enquête a été réalisé selon un mode de sélection visuelle. Cette sélection a été régie par l'inventaire typologique que nous avions dressé antérieurement sur la base de l'observation des réalisations architecturales dans le cadre des espaces privés. La typologie qui en résulte a été par la suite affinée lors de l'analyse morohologique des réalisations (voir ch.III.1. : La morphologie des habitats)
Lors de cet inventaire préliminaire, nous avions essentiellement observé trois qualités de constructions. À savoir, d'abord, des habitats précaires composés de très peu de pièces - une ou deux -, au toit de carton goudronné sur des murs de carton ou de bois ; ensuite, des habitats regroupant parfois un nombre de pièces plus important faites encore d'un toit de carton goudronné mais posé sur des murs de parpaings ; et enfin, troisièmement, des habitats aux nombreuses pièces dont le toit en dalle de béton et les murs de parpaings peuvent présenter de multiples finitions- enduits, peinture, décorations, etc. Parallèlement, nous avons observé une grande variété au sein de chacune de ces catégories due aux réalisations intermédiaires.
Les quarante cas sélectionnés recouvrent donc l'éventail des cas de figure, mais il s'ensuit un décalage par rapport à l'ensemble de la Vallée en raison de cette variété et du petit nombre d'unités étudiées. Une étude statistique de trois cents cas (4) que nous avons réalisée à la suite de cette première enquête nous a permis d'appréhender le décalage entre les deux échantillons et d'évaluer la représentativité des résultats exposés dans ce mémoire.
Etant donné la jeunesse de l'urbanisation de la Vallée, nous avons considéré l'ancienneté comme l'élément
---
4. Voir L Homme S., Vécu et organisation des espaces de l'habitat in : Proyecto Valle de Chalco - Medio ambiente, sociedad y territorio, reporte final 11. mars 1991. CEE / ORSTOM / UAM-4.
déterminant de la morphologie urbanistique de la Vallée en raison de son influence sur la réalisation des habitats ; c'est donc en comparant les données représentatives fournies par notre deuxième enquête avec celles analysées ici que nous obtenons l'image du décalage (voir annexe No 04 : tabl. No 1 - comparatif d'ancienneté entre la première enquête de 40 unités et la deuxième de 300 unités).
L'observation de ces courbes démontre qu'il existe une forte sur-représentation - un peu plus du double - des plus récentes installations et une légère sous-représentation des installations entre 2 et 5 ans comme entre 8 et 9 ans. Nos résultats auront donc tendance à rajeunir l'image de notre terrain d'étude et, de ce fait, à présenter une image plus négative que la réalité puisque, comme nous le verrons lors des analyses, l'ancienneté joue un rôle fondamental quant à la qualité des habitats.
Le travail de terrain de notre première enquête, qui fait donc l'objet de ce mémoire, s'est déroulé en Mars 1990.
I.1.b. La zone d'étude
Notre zone d'étude, la Vallée de Chalco, est localisée à l'est de la ville de Mexico. Elle se situe dans l'État de Mexico et fait partie de la municipalité de Chalco. La Vallée est constituée par les terrains découverts à la suite de l'assèchement du lac de Chalco. Il s'agit d'une zone ejidale (5) transformée en zone urbaine depuis quelques années (photo No1). Le territoire a donc été parcellé de façon régulière dans l'ensemble, même s'il existe quelques cas de parcelles réduites à leur moitié - voies publiques en biais -, ou doublées - achats de plusieurs parcelles par un même acquéreur - ; les terrains présentent une forte
---
5. Ejida, de ejido : Les ejidos sont des territoires théoriquement réservés à l'agriculture et à l'élevage, attribués par le Ministère de la Réforme Agraire à des paysans sans leur en donner la propriété. Voir Banzo H., in : Proyecto Valle de Chalco - Medio ambiente, sociedad y territorio. Reporte final 1. noviembre 1990. CEE / OASOM / UNAM.
homogénéité tant au niveau de leurs caractéristiques physiques que de leur taille : la plupart des parcelles sont planes et couvrent deux cents mètres carrés.
Cette partie de la municipalité de Chalco s'intègre aujourd'hui à la conurbation du District Fédéral (6). En effet, bien que faisant administrativement partie de l'État de Mexico, sa dépendance quant aux équipements et aux sources d'emploi a transformé cette ancienne zone agricole provinciale en banlieue de la capitale, Mexico, dite la plus grande ville du monde (7).
Actuellement, la Vallée accueille entre 300.000 et 500.000 habitants arrivés durant la dernière décennie. Cette installation massive d'habitants s'est réalisée dans la plus complète absence de services (ph.2, 3, 4). Ce n'est que depuis 1990, qu'elle bénéficie de la distribution d'électricité (8).
En fait, l'urbanisation de la Vallée a, malgré tout, obtenu un statut privilégié en monopolisant, par la médiatisation, l'attention des autorités. Le même phénomène s'était d'ailleurs produit précédemment pour Nezahualcoyotl.
Malgré cela, l'ensemble de la Vallée souffre encore de son éloignement géographique, de graves problèmes sanitaires, de pollution tant atmosphérique que de la nappe phréatique, d'inondations partielles (ph.5) et de l'instabilité du terrain.
---
6. Selon la définition administrative mexicaine, l'agglomération de la ville de Mexico n'encloue que la totalité de la ville proprement dite et celle du District Fédéral, mais aujourd'hui, certaines zones urbanisées de l'État de Mexico sont considérées, en raison de l'expansion citadine, comme faisant partie de la conurbation capitaline. L'organisation de la géographie urbaine ne correspond alors plus à l'organisation administrative sous-jacente. Cette situation - qui a ou déjà été observée dans d'autres cas mexicains d'expansion citadine récente comme à Nezahualcoyotl - forme un contexte qui, tout en permettant les installations par l'absence de clarté au niveau des réglementations, implique aussi des conditions matérielles difficiles.
7. Voir Bataillon C. et Panacière L., Mexico aujourd'hui. La plus grande ville du monde. 1440., Publieud, Paris, 1986.
8. Aujourd'hui, en juin 91, les réseaux d'eaux et d'eaux sont en passe d'y être effectifs.
1.2. LES HABITANTS
Les données de type sociologique ayant fait, par ailleurs, l'objet d'un document de travail auquel il est possible de se reporter (9), nous ne les présenterons que très succinctement de manière à porter notre attention sur le cadre spécifique de notre étude, les espaces privés.
I.2.a. Les origines
L'origine des deux tiers des habitants interrogés - un adulte par maisonnée - se situe en dehors de la conurbation de la ville de Mexico et en particulier dans un milieu rural. Mais, si une très petite proportion d'habitants interrogés est née dans la municipalité de Chalco - à peine plus d'un dixième -, plus des trois quarts étaient logés dans la conurbation de la ville de Mexico. La migration vers Chalco s'est réalisée, la plupart du temps, en effet, en deux étapes ou plus : à savoir, un premier déplacement des zones d'origine vers la Ville de Mexico, puis un deuxième, de la Ville de Mexico à la Vallée de Chalco (10).
Cette constatation a été l'un des fils conducteurs de notre problématique d'étude. En effet, nos analyses ont bénéficié ainsi d'un terrain constitué par la matérialisation des choix culturels d'une population ayant majoritairement l'expérience à la fois des conceptions spatiales modernes et citadines et de celles traditionnelles et rurales.
La plupart des unités d'habitat étudiées sont habitées par des familles dont la composition est très proche du schéma moyen mexicain puisqu'elles sont formées par un couple de trente six ans d'âge moyen et quatre enfants entre
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(9) L'Homme S., *Recu et organisation des espaces de l'habitat*, enquête no 1. In : *Proyecto Valle de Chalco Medio Ambiente, sociedad y territorio*. Raporte final 11. mars 1991. CEE / OAS/OM / UAM-IA.
(10) Voir Ben Amor L. et Mathieu D., *Croissance de la périphérie de Mexico : accession à la propriété et trajectoires sociales dans la Vallée de Chalco*, in : *Revista Mexicana de Sociología*, vol. Janvier 1991.
huit et seize ans (11). Les cas de maisonnées présentant une composition différente correspondent le plus souvent à la présence d'un ou de plusieurs éléments de la parenté - grand-parents, neveux, filleuls, etc. -, et leur nombre varie alors fortement - jusqu'à 15 habitants. Par contre, il est très rare de ne trouver qu'un seul habitant - un cas sur les quarante étudiés.
De façon générale l'ampleur de la maisonnée actuelle diffère de façon significative de celle de l'habitat maternel : en moyenne, les chefs de famille, qui partageaient le logement de leur naissance avec sept autres personnes, ne cohabitent plus qu'avec quatre et demie aujourd'hui.
Notons aussi que plus de la moitié des interrogés affirment avoir des parents habitant la Vallée (12), et que pratiquement la totalité reçoit la visite de leurs pères et mères ou les visite.
La majorité des chefs de famille et maîtresses de maison présente une histoire habitationnelle particulièrement variée puisque plus de la moitié de ceux que nous avons rencontrés ont transité depuis leur naissance par trois ou quatre logements, et un quart par cinq ou six. Cette particularité a été en fait récemment acquise puisque la très grande partie de ces individus n'a quitté la maison d'origine qu'à l'adolescence et que la plupart de leurs parents n'en ont pas bougé.
I.2.b. Nombre de logements depuis la naissance :
a: de 1 à 2 logements (11%)
b: de 3 à 4 logements (57%)
c: de 5 à 6 logements (26%)
d: de 7 à 8 logements (3%)
e: de 9 à 10 logements (3%)
Si la maison d'origine correspond dans les deux tiers
11. INEGI : recensement 1980.
12. 8,3% des parcelles contigües sont occupées par des parents.
des cas à un habitat de milieu rural, les deux logements précédant celui de la Vallée correspondent très souvent à des ensembles d'habitats urbains. Il s'agit dans le meilleur des cas d'appartements, et de vecindades (13) pour la plupart.
Un tiers des habitants que nous avons interrogés présente un taux d'ancienneté d'occupation de leurs terrains de moins d'un an et une très petite proportion de plus de onze ans (10%). Cette partie est d'ailleurs principalement couverte par des personnes nées dans la municipalité - trois cas sur quatre. La tranche la plus nombreuse - celle des anciennetés comprises entre un et douze ans - est particulièrement dense en ce qui concerne la sous-tranche comprise entre trois et huit ans.
I.2.c. Ancienneté dans la vallée :
a: depuis 1 an et moins (37%)
b: depuis 2 à 3 ans (12%)
c: depuis 4 à 5 ans (14%)
d: depuis 6 à 7 ans (15%)
e: depuis 8 à 9 ans (7%)
f: depuis 10 à 20 ans (6%)
g: originaires de Chalco (7%)
Pour conclure cette rapide description sociologique, nous préciserons que les terrains de la Vallée se caractérisent par une grande homogénéité quant à leurs statuts d'occupation. En effet, la plus grande partie des habitants interrogés est propriétaire ; les autres cas de figures - locataire ou gardien (14) - ne représentent qu'un
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13. vecindad (trad. lit. : voisinage): Ces ensembles de locations économiques sont similaires aux anciennes courées des régions minières et industrielles du nord de la France. Il s'agit, en principe, de logements unifamiliaux, composés à une pièce unique, adossés autour d'un espace commun de services. C'est une forme de logement caractéristique, entre autres, des grandes villes mexicaines.
14. Selon la loi mexicaine, un terrain privé non occupé peut être confisqué par les autorités de la CORETT (Comisión para la Regularización de la Tenencia de la Tierra : Commission pour la régularisation de la possession de la terre) pour être revendu. C'est ainsi que de nombreux propriétaires placent une personne sur le terrain de façon à l'occuper en attendant de pouvoir le construire.
dixième de notre échantillon. Les terrains sont en majorité légalisés (15).
I.2.d. Statut des occupants des terrains :
a: propriétaire d'une parcelle non construite au moment de l'achat (85%)
b: gardien d'une parcelle non occupée par son propriétaire (7,5%)
c: propriétaire d'une parcelle construite au moment de l'achat (5%)
d: locataire (2,5%)
Par ailleurs nous ajouterons que, d'une part, le tiers des parcelles héberge des animaux de basse-cour et un sixième, du bétail, et d'autre part, qu'un tiers des terrains est en partie cultivé - maïs, figuier de barbarie, arbres fruitiers... - malgré la salinité du sol et les difficultés d'approvisionnement en eau. Ces deux comportements font directement référence au passé rural de la plupart des habitants.
15. Notre deuxième enquête indique que 70% des 300 terrains étudiés sont légalisés. Voir L'Hommée S., Vecu et organisation des espaces de l'habitat, enquête No 2, in : Proyecto Valle de Chalco Medio ambiente, sociedad y territorio. Reporte final II, mars 1991, CEE / ORSTOM / UAM-X.
II. LA REALISATION DES EDIFICES
Avant d'étudier l'organisation spatiale des habitats observés, les acteurs de la conception des habitats nous ont fourni le thème de la première analyse. Nous avons pris en compte en tant que concepteur toute personne qui, ayant exprimé son avis, a participé à la planification des espaces privés et a donc été susceptible d'en déterminer la forme. Dans un deuxième temps nous exposerons l'analyse de la participation à la construction proprement dite.
II.1. LA CONCEPTION DES HABITATS
La moitié des constructions n'a été conçue que par le chef de famille à l'exclusion de tout professionnel (1) ou d'autre élément de la famille.
II.1.a. Participation familiale à la conception des habitats :
a: chef de famille uniquement (55%)
b: maîtresse de maison uniquement (13%)
c: père d'un conjoint ou élément collatéral (13%)
d: chef de famille et maîtresse de maison (13%)
e: chef de famille et père d'un conjoint (3%)
f: maîtresse de maison et enfant (3%)
Dans le cadre de l'élaboration des habitats, l'exclusivité du chef de famille fait partie des comportements traditionnels au Mexique puisque la réalisation de l'habitat familial est, au même titre que le travail de la terre, réservée à l'homme dans les milieu
1. Nous entendons par professionnel de la construction toute personne - ouvrier, maçon, charpentier, etc. - qui vit d'un travail lié au bâtiment, et cela même en l'absence de qualification.
ruraux où l'autoconstruction est majoritaire.
La moitié du reste de l'échantillon se caractérise par la participation de la maîtresse de maison ; dans la moitié de ce sous-échantillon cette participation se fait en association avec le conjoint et dans l'autre avec de toute façon au moins un autre élément, professionnel ou familial.
Il nous semble que le fort décalage entre les participations des parents est dû à la prépondérance de la fonction d'abri de l'habitat sur celle de foyer et ceci tant pour des raisons culturelles qu'économiques. À la suite de nos entretiens avec les habitants de la Vallée, il nous est apparu que, bien souvent, la construction de la maison n'est envisagée que comme un problème incoutournable géré par de telles contraintes de budget et de temps que l'habitat n'obtient que très exceptionnellement le statut d'espace privilégié. La conception se limite donc la plupart du temps à l'élaboration des murs et du toit en recherchant la meilleure qualité autorisée par le budget - cette caractéristique sera clairement appréhendée lors de l'analyse des matériaux de construction (voir ch.V.1.). Cela signifie que l'élaboration de l'habitat familial correspond à la matérialisation d'une protection entre intérieur et extérieur : les habitants partent du principe qu'ils ne peuvent pas se permettre - qu'ils le désirent ou non - de se préoccuper de l'impact de leur environnement privé sur eux-mêmes. La personne qui passe le plus de temps dans la maison, ayant par ailleurs le rapport inter-actif le plus fort, la femme (2), n'est que très rarement consultée ce qui démontre que le rôle de l'habitat reste un rôle de protection physique - climatique, social... - et non d'épanouissement personnelle ou/et familiale.
(2) Notre enquête indique que l'usager principal de l'habitat est la maîtresse de maison. En effet, pour des raisons culturelles - rôle de la femme au sein de la famille - et circonstancielles - manque de travail dans la municipalité de Chalco - la grande majorité des femmes est au foyer, quoique moins d'un sixième travaille en dehors de chez elles. Les enfants, bien qu'étant assez souvent à la maison, ne sont pas soumis à une inter-relation aussi importante que leurs mères puisqu'ils ne sont en principe pas investis de fonctions directement liées à l'espace de l'habitat.
Par ailleurs, nous avons pu remarquer que les rares cas de participation exclusive de maîtresses de maison à la direction et à la conception des habitats relèvent d'une nécessité - absence du chef de famille - et non d'un choix : il n'y a pas de signe d'émancipation féminine à travers la participation des maîtresses de maison à la conception - et encore moins à travers la réalisation, comme nous le verrons dans le chapitre suivant - de l'habitat familial.
Il est important de signaler que la conception et le suivi de chantier ont été assurés, dans quatre cas, par un ou plusieurs éléments de la famille extérieurs à la maisonnée - oncles, cousins ou pères d'un des conjoints. Nous verrons par la suite que ces participations relèvent d'un réseau familial de solidarité (voir ch.I.2. : construction des habitats).
II.1.b. Participation professionnelle à la conception
Nous avons aussi rencontré trois cas où les constructions ont été conçues et dirigées exclusivement par des professionnels, c'est-à-dire par ceux qui les ont bâties, sans l'intervention d'un ou de plusieurs des futurs habitants. En effet, dans ces cas, les habitants, bien que propriétaires de leur maison et de leur terrain, n'ont exprimé aucune directive personnelle lors de son élaboration en dehors de la définition des contraintes matérielles : le budget est alors la variable la plus importante. Cette attitude semble traduire un manque d'intérêt envers la forme de leur propre environnement privé. Par ailleurs, des achats de terrains déjà bâtis peuvent conforter cette hypothèse.
Le peu d'investissement personnel dans la conception des habitats est peut-être signe d'instabilité : lors de l'élaboration d'une maison provisoire il est inutile de gaspiller les énergies humaines, mais, quand par la suite les habitants feront appel à des professionnels pour obtenir une meilleure qualité de réalisation pour la maison définitive, il s'agit bien d'un désintérêt marqué.
La conception des habitats, qui ne sont donc essentiellement considérés que comme un élément de base et
rarement de confort - le confort est encore couramment appréhendé comme superflu et inutile au Mexique dans les niveaux de population les plus défavorisés (3) -, témoigne, en dehors de la justification que peuvent apporter les contraintes économiques, de la faiblesse des inter-relations habitant/habitat, ou, pour le moins, de l'inconscience de ce rapport.
Comme nous allons l'exposer, les modes de mise en œuvre des habitats corroborent les observations antérieures.
II.2. LA CONSTRUCTION DES HABITATS
Une caractéristique importante concernant les modes de construction des habitats de la Vallée réside dans le fait que moins d'un quart des habitats ont été réalisés par des professionnels : la grande majorité est en effet réalisée en autoconstruction.
II.2.a. Participation à la construction des habitats :
a: participation familiale (77%)
b: participation professionnelle (23%)
Ce mode de réalisation directe des habitats par les habitants eux-mêmes a apporté une valeur toute particulière à notre étude puisque cette caractéristique nous a permis d'analyser le rapport privilégié entre les habitants-concepteurs et leurs constructions.
Le très grand éventail de durée de construction dans le cas de ces chantiers d'autoconstruction (4) exprime la
3. "La notion de confort qui est, elle, plus radicalement signe de modernité et peut entraîner des modifications plus profondes des pratiques," Perrot M., dans Le corps et la maison ; hygiène, propreté, commodité, confort.. in Ethnologie française, Nol, 1981.
4. Cette donnée devient très aléatoire en ce qui concerne la tranche de chantiers de moins d'un an étant donné le
variété des combinaisons de participation. La rapidité de réalisation peut être considérée comme un indice du peu d'implication personnelle bien qu'elle soit imposée par le manque de temps disponible :
II.2.b. Durée de réalisation des habitats autoconstruits :
a: moins d'un mois (31%)
b: plus d'un mois et mois d'un an (42%)
c: plus d'un an (27%)
Les moyennes témoignent en effet d'une large mobilisation puisque dans le tiers des cas les constructions ont été achevées en cinq à six jours en moyenne, les bâtiments les plus rapidement achevés étant ceux qui ont bénéficié de la main d'œuvre la plus nombreuse.
Le cas le plus fréquent est celui où le chef de famille prend seul en charge la construction de la maison familiale.
En considérant leur participation sans prendre en compte leur exclusivité, les quatre cinquièmes des chefs de famille sont acteurs de la réalisation de leur habitat. Cette très forte présence corrobore les réflexions énoncées précédemment au sujet de l'importance du rôle des chefs de famille.
Par ailleurs, comme cela a été aussi le cas au sujet de la conception, nous avons remarqué un taux de participation à l'autoconstruction relativement important - 4/10 - des parents de lignées collatérales. Une première explication réside dans le fort taux d'habitants d'origine rurale transformés en professionnels de la construction : la moitié des pères de famille appartenant au sous-échantillon que nous avons identifié comme étant d'origine rurale exerce grand nombre d'habitants ne considérant pas achevée la construction de leur maison. Dans ce cas la date de l'enquête a été substituée à celle d'achèvement. Ce sous-ensemble est, de toute façon, le moins significatif en raison de sa taille.
aujourd'hui un travail dans la construction (5).
II.2.c. Rapport entre le travail dans la construction et l'origine du chef de famille :
a: chef de famille d'origine rurale travaillant dans la construction (33%)
b: chef de famille d'origine rurale ne travaillant pas dans la construction (33%)
c: chef de famille d'origine citadine ne travaillant pas dans la construction (29%)
d: chef de famille d'origine citadine travaillant dans la construction (5%)
Notons que cette conversion des paysans en ouvriers, ou même parfois en maçons, sans que intervienne la plupart du temps aucune formation, tend à réduire la qualité des réalisations.
L'importance des liens familiaux en tant que partie essentielle de la structure sociale nous fournit une autre explication à ce fort taux de participation des parents éloignés puisqu'ils jouent un rôle primordial lors de l'intégration des individus au sein du nouveau milieu d'accueil qu'est la société de la Vallée (6).
La participation des enfants, par contre, est très faible puisqu'elle est réduite au quart de la participation familiale alors que leur nombre, pour le moins deux fois plus élevé rendrait facile un recours, même épisodique et faible, à leur aide. Il semblerait d'ailleurs qu'elle ne soit liée qu'à un besoin particulièrement important de main-d'œuvre, en vue de réduire la durée du chantier, puisque l'appel aux enfants est toujours associé à la participation.
5. Dans le cas de participation d'un parent professionnel de la construction celui-ci n'a été comptabilisé comme professionnel qu'à condition qu'il ait été rémunéré pour le travail qu'il a effectué.
6. "Les Espagnols latino-américains ont porté l'institution de la famille à un degré de stabilité que nous ne pouvons imaginer" - T. Hall E., Le langage silencieux. Paris, France, Seuil. 1984. (p.103)
outre celle du chef de famille, d'autres éléments familiaux - maîtresse de maison, oncle, etc.
En annexe à la participation familiale variée, l'association de professionnels rémunérés et d'éléments de la famille a été observée dans trois cas d'autoconstruction. Cette équipe composite permet, en réduisant le coût de la main-d'œuvre, de bénéficier du savoir faire des constructeurs professionnels ; ce pourrait être la meilleure solution au problème de la construction tel qu'il existe dans la Vallée - peu de temps, peu de moyens, des contraintes techniques plus importantes qu'elles ne le semblent aux nouveaux arrivants - puisqu'elle permet d'éviter certains des multiples déboires très fréquents dans la Vallée - perte de matériaux après la réalisation d'une construction directement posée sur le sol, manque de prévision de possibles agrandissements, ignorance du contexte géographique et diverses erreurs techniques.
II.3. LA STRATEGIE D'EVOLUTION
Si on peut observer dans la Vallée diverses stratégies d'évolution, l'une d'elles est particulièrement généralisée. Après l'avoir exposée nous nous baserons sur son développement théorique pour définir une typologie évolutive.
II.3.a. Tendance à une évolution en deux axes
L'évolution des espaces privés semble la plupart du temps être régie par un schéma de développement des édifices. Dans le cas où les planifications suivent ce schéma, elles prévoient en principe un développement selon deux axes parallèles : au côté d'une construction rudimentaire réalisée très rapidement, sera envisagée la construction définitive. De ces deux séries de bâtiments, la première restera en principe précaire puisque ces réalisations sont amenées à être abandonnées pour habiter la deuxième série de constructions réalisées avec plus de moyens et plus de soin. Par la suite, si la réussite
économique familiale le permet, le bâtiment de la première série pourra dans le meilleur des cas faire office d'annexe après rénovation - garage, atelier, maison d'amis, etc. - les fonctions assignées aux espaces des deux séries fluctuent donc beaucoup en raison et au rythme de ce développement spatial et qualitatif. Malheureusement l'aboutissement idéal que nous venons de décrire est encore peu courant dans la Vallée, et il va de soi que, le temps et les possibilités économiques étant les deux contraintes de ces développements, cette dynamique d'évolution peut être interrompue à toute étape, et même durablement stoppée. C'est ainsi que tous les niveaux de réalisation se côtoient dans la Vallée.
II.3.b. Typologie évolutive
Faisant suite à ces observations, nous avons établi une typologie déterminée par l'étape à laquelle se trouvent les bâtiments étudiés. Trois catégories composent cette typologie évolutive : la première réunit les réalisations architecturales de type "provisoire" (ph.10), la deuxième de type "évolutif" (ph.14) et la troisième de type "abouti" (ph.12).
II.4. LA REALISATION DES EDIFICES : CONCLUSION
Bien que la grande majorité des habitats soient autoconstruits les réflexions préliminaires se réduisent en général à une simple problématique de rapport entre le budget, la main d'œuvre et le temps disponibles. Ces contraintes matérielles sont perçues comme couvrant l'ensemble de la problématique de conception des habitats, pourtant il ne coûterait pas plus cher et ne serait pas plus difficile de se préoccuper, par exemples, de l'orientation des bâtiments, ou du positionnement des ouvertures. Si les maisons ont donc plus le statut d'abri que de foyer cela pourrait s'expliquer par le fait que la grande majorité des constructions sont provisoires, mais en fait l'intérêt qu'elles suscitent ne change pas lors de l'élaboration des
maisons définitives : il n'y a pas de distinction entre construire et concevoir l'habitat.
Le manque d'intérêt - ou l'inconscience - du rapport entre les habitants et leur environnement privé explique que le rôle des chefs de famille est prédominant lors des deux étapes alors que les maitresses de maison qui aident lors de la construction n'ont pas d'influence sur la forme de leur maison. Cette attitude découle de l'affinité traditionnellement reconnue entre la force et la construction comme elle existe, d'ailleurs, avec le travail de la terre. Nous avons, par ailleurs, retrouvé cette correspondance sous une forme directe lorsque la moitié des paysans qui arrivent dans l'agglomération du District Fédéral se convertissent à la construction.
D'autre part, l'analyse des participations à la conception, comme à la construction, des habitats, nous a révélé l'existence de réseaux familiaux qui, nous le confirmerons lors de l'étude des sanitaires (voir ch.III.3), jouent un rôle social fondamental.
III. LES EDIFICES
Après notre première typologie sommaire préliminaire, et parallèlement à celle fondée sur des considérations d'ordre évolutif, nous avons procédé au relevé des différents types morphologiques des habitats et établi une typologie définie selon l'ampleur des réalisations au jour du passage de notre enquête.
III.1. LA MORPHOLOGIE DES HABITATS
C'est ainsi que nous constatons que le tissu urbain de la Vallée est en grande partie composé d'habitats semi-précaires constituant le premier type d'habitat de cette nouvelle typologie. Ce type de bâtiments compose la catégorie morphologique la plus grande des trois que nous avons distinguées. Nous l'appelons type "minimal", les deux autres étant, dans l'ordre, le type "moyen" et le type "élaboré".
III.1.a. L'habitat de type minimal
Le type minimal correspond la plupart du temps à un cuarto provisional - une pièce provisoire. C'est une maison d'une seule pièce et bien souvent à une seule ouverture. Cette ouverture est une porte constamment ouverte en présence des habitants et éventuellement obstruée par un rideau. On rencontre ce type d'habitat sur des terrains laissés à l'état brut - parfois utilisés pour des cultures de consommation familiale (ph.10). Ce type d'habitat correspond à des constructions réalisées en très peu de jours et ne présentent qu'une qualité très médiocre.
III.1.b. L'habitat de type élaboré
A l'opposé de ces habitats, se trouvent quelques cas de type dit élaboré correspondant à des maisons aux pièces multiples - voire à deux étages - et aux nombreuses fenêtres (ph.12). Leurs pièces, différenciées, en principe, par leurs
fonctions, incluent des espaces de transition - entrée, couloir, escalier intérieur, etc. Ces maisons présentent des finitions soignées et peuvent se voir entourées d'un jardin d'agrément. Ce type de réalisation semble correspondre au modèle vers lequel tendent les aspirations de la plupart des habitants et représente donc le but théorique de la deuxième phase de construction des habitats.
III.1.c. L'habitat de type moyen
Entre ces deux extrêmes les palettes de conditions matérielles font que tous les cas de figure de combinaison des différents degrés d'élaboration cohabitent.
C'est ainsi que la majorité des habitats de la Vallée correspond à des habitats de type "moyen". La combinaison la plus courante revêt la forme d'un ensemble de constructions, plus ou moins en chantier, dont les éléments sont susceptibles de s'adapter au fur et à mesure des besoins et de l'avancement des travaux (ph.13). Par exemple, les murs de la future maison délimitent le terrain (ph.14), ou la pièce non achevée héberge la truie et sa portée, ou encore, le sol cimenté des extentions à venir, situé devant une porte, protège les intérieurs de la poussière.
Au vu des différents degrés d'ampleur des organisations spatiales définissant la typologie morphologique et de sa correspondance avec la typologie évolutive précédemment exposée, nous les avons couplées de façon à obtenir deux séries de facettes parallèles: nous avons donc le type "minimal/provisoire", puis "moyen/évolutif" et, enfin, "élaboré/abouti".
L'observation directe du terrain met, d'ailleurs, en évidence la tendance à regrouper les réalisations en fonction de leurs différents degrés d'aboutissement. Cette homogénéité par zones s'explique par la similitude des anciennetés d'installations. La diversification interne se fait surtout en fonction, au départ, des possibilité financières, puis de l'épanouissement économique de la famille.
III.2. DEFINITIONS DES REFERENCES CULTURELLES
Lors des analyses suivantes, concernant entre autres les structures internes, nous allons situer les conceptions spatiales par rapport à des types culturels reconnus d'habitats. Pour cela nous proposons ici une définition de la terminologie qui va soutenir notre exposé.
Avec l'appui de citations de certains ethnologues, anthropologues ou géographes nous allons cerner le concept de Modernité dans le cadre de l'habitat. C'est ainsi que nous trouvons les expressions "l'espace de la civilisation occidentale", "modèles spatiaux", "espace moderne" utilisées par Paul-Lévy et Segaud (1) lors de leur recherche de points de repère permettant d'appréhender la problématique des reformulations des espaces et plus particulièrement des changements exogènes. Ces anthropologues posent le problème sous une forme dualiste acceptant l'éventail qu'offrent les combinaisons le long de l'axe qui les relie : "Cette classification (...) a le mérite de montrer une gradation dont les différents stades ne sont pas déterminés ; il faudrait en établir les deux pôles : un modèle "traditionnel", un modèle "occidental" (...)." La tradition est souvent déterminée par opposition avec l'Occidentalité - "L'histoire occidentale rompt avec cette façon d'être et fait émerger un nouveau type d'espace, abstrait et continu, homogène et vide, à prétention universelle." - ce qui autorise l'association de l'Occidentalité et de la Modernité, cette dernière étant par ailleurs comprise comme le défini Evans (2) : "...une modernité historique qui remonte à la Réforme." et qui se révèle par des indices ayant trait, par exemple, à un concept comme Evans le propose lors de l'observation d'une "définition indiscutablement moderne de l'intimité (privacy)".
Les particularités architecturales peuvent témoigner, par leur inter-action - produit et producteur de culture - de la présence de référence à l'un ou l'autre des deux pôles Modernité/Occidentalité et Tradition. Nous exposons ici un
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1. Anthropologie de l'espace. CCI, Paris, 1981.
2. Figures, sortes et usages. In URB. V, 1982.
exemple de ces indicateurs, le couloir que Péronnet défini comme suit : "conçu par l'Européen uniquement pour la circulation"... (3)
Paul-Lévy et Segaud présentent l'installation du couloir au Maroc selon son empreinte culturelle : "Le couloir comme élément distributif de l'espace domestique français contemporain apparaît ici comme le signe de la modernité." Evans, s'intéressant à la création de cette élément spatial, exprime le rapport moderne entre le couloir et les exigences d'intimité : "(...) quant Robert Kerr informait son lecteur des périls entourant les pièces-pasages, la question avait été réglée une fois pour toutes : le corridor et l'universelle exigence d'intimité s'étaient solidement imposés."
Dans le cadre de notre travail, nous nous baserons sur ce type de définition comme repère de référence pour ce qui concerne la Modernité/Occidentalité et sur un modèle théorique d'habitat mexicain traditionnel que nous allons maintenant décrire.
Les caractéristiques du modèle d'habitat que nous choisissons pour cette définition correspondent aux habitats des milieux ruraux éloignés d'où sont originaires les deux tiers des habitants de la Vallée, c'est-à-dire dans les ranchos (4) d'où les personnes interrogées d'origines rurales (deux tiers) nous ont dit venir. Cela nous ammenera la plupart du temps à considérer la Tradition confondue avec la Ruralité.
Ces habitats existent toujours aujourd'hui, et plus encore lors de l'exode de ces personnes, dans les campagnes reculées du Mexique. Ce type d'habitat est déterminé, d'une part, par la conservation de schémas spatiaux précolombiens préservés par une absence de communications géographiques et médiatiques très récents dans ces régions là et, d'autre
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3. Espace, distance, dimension dans une société musulmane. In L'homme, vol. XII.
4. Rancho : terme. Effectivement la population que nous avons rencontrée provient surtout des zones rurales les plus isolées et très rarement des villages ou petites villes de province.
part, par la réduction des possibilités dues à l'éternelle pauvreté des petits exploitants agricoles mexicains défavorisés. Ils se particularisent donc par un plan rectangulaire, une absence de division interne (5), des sols de terre, une absence d'ouverture autre que la porte (6), une différenciation peu marquée entre l'extérieur et l'intérieur, un système de porte modulable (7), peu de meuble, une indépendance des besoins sanitaires des bâtiments, la fréquence de l'autoconstruction, etc. (voir annexe No 5 - documents photographiques I.).
En raison, d'une part, des racines autochtones de ces habitats et, d'autre part de l'urbanité future - mais aussi expérimentée lors de leur étape antérieure - de leur nouveau milieu (8) nous compléterons les concepts culturels Tradition/Ruralité et Modernité/Occidentalité par deux autres facettes et obtenons ainsi, d'un côté la Tradition/Ruralité/Mexicanité et, de l'autre la Modernité/Occidentalité/Urbanité.
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5. Voici, à titre illustratif l'évaluation de la présence de ce type d'habitat dans un village du Michoacan : "Selon un échantillon de 120 maisons, 27% n'ont qu'une pièce pour toute la famille. Cette pièce unique a rarement plus de 6m x 4m et sert à la fois de dortoir, de réception, de salle." Santana R. et Linck T., Les paysanneries du Michoacan, CNRS, Paris, 1988.
6. "Un índice del atraso de la vivienda indígena es el enorme porcentaje de casas sin ventanas." Trad. : "Un indice du retard du logement indigène est l'énorme pourcentage de maisons sans fenêtres." Moya Rubio V. J., La vivienda indígena de México y del mundo, UNAM, Mexico, 1982.
7. "En la época precortesiana (...) las puertas de madera eran desconocidas, pero en lugar de estas, se usaban cortinas o esteras de carizo, caña o palma tejidas." Trad. : "Avant l'arrivée de Cortez les portes de bois n'étaient pas connues, mais à leur place, on utilisait des rideaux ou des nattes de roseau, de canne ou de palme tissées." Moya Rubio V. J., La vivienda indígena de México y del mundo, UNAM, Mexico, 1982.
8. ...même si par leur simplicité ce type d'habitat peu se rapprocher d'autres types d'habitats ruraux défavorisés d'autres régions du globe.
III.3. LES STRUCTURES INTERNES
L'analyse graphique, c'est-à-dire l'analyse des plans codifiés (9), des réseaux d'accès aux espaces intérieurs nous a révélé les structures internes des espaces privés ; une analyse graphique ultérieure ayant pour objet les systèmes de limites sera exposée par la suite (voir ch.V.1.).
Les systèmes d'accès sont définis par les réseaux d'accès aux espaces intérieurs et le deuxième par l'ensemble des limites territoriales (fig. 1).
L'appréhension des structures de cheminement desservant chaque espace construit permettra ultérieurement par la reconnaissance des différentes structures de communication l'association de la typologie structurale à des modèles socio-culturels. Cinq catégories ont été définies (fig. 2).
Nous précisons que nous n'avons pas pris en compte ici les espaces sanitaires lors qu'ils ne sont pas intégrés au sein de l'habitat puisqu'ils feront l'objet d'études particulières (voir ch. No III.4.).
III.3.a. Les structures simples
La première catégorie d'éléments se caractérise par des structures de communication à élément unique (voir exemples de la fig. 2 : habitats No 08, 21, 22, etc.). Elle ne comprend donc que les parcelles occupées par un seul bâtiment d'habitation sans division interne, c'est-à-dire présentant les structures constructives et d'accès les plus simples. Cette catégorie regroupe les cas les plus nombreux puisqu'elle représente plus du tiers de l'ensemble de l'échantillon. La moitié de ces cas regroupe les familles installées depuis moins d'un an et, selon les habitants eux-mêmes, la construction de leur maison n'est pas finie ; l'autre moitié est intégrée par deux cas de figure.
(9) Voir annexe No 01 : Méthode d'analyse des systèmes de limites territoriales et d'accès aux habitats.
particuliers. L'explication du premier cas est d'ordre financier : le développement économique familial escompté n'ayant pas encore abouti, la construction provisoire n'a pu, ni être remplacée, ni être complétée, et reste donc au niveau de construction de type minimal/provisoire ; l'autre est d'ordre culturel : la structure traditionnelle des habitats ruraux à pièce unique et multifonctionnelle des populations paysannes mexicaines les plus défavorisés (voir chapitre précédent) est alors reproduite - de façon parfois consciente selon leurs propres dires - par les habitants. Cette dernière remarque se vérifie par les dimensions de la maison : dans la Vallée, ces constructions d'une seule pièce présentent alors une taille typique de ces habitats ruraux.
III.3.b. Les structures externes multiples
La deuxième catégorie réunit les parcelles caractérisées par la présence de structure de communication multiple externe (voir exemples de la fig. 2 : habitats No 01, 10, 27, 14, etc.). Ainsi, elle admet les organisations spatiales apparentées à un type rural complexe : elles présentent des éparpillements de constructions à pièce unique, contigües ou non, aux accès indépendants les uns des autres, entraînant de ce fait des liaisons uniquement extérieures. Cette série comprend six cas parmi l'ensemble des unités d'habitat étudiées. Si quelques uns de ces cas peuvent correspondre à une étape transitoire entre l'habitat de type minimal/provisoire et celui de type moyen/évolutif, les autres, composés de plus de deux corps de bâtiments pour une seule famille, semblent témoigner de la présence d'un nouveau type que l'on pourrait appeler moyen/abouti. En effet, deux habitats de ce sous-échantillon ont 8 et 9 ans et tendent par cette stabilité à justifier, dans une certaine mesure, notre hypothèse quant à la conservation de types d'organisation spatiale rurale par l'acceptation des communications externes (voir ch. précédent).
III.3.c. Les structures internes successives
La troisième catégorie se caractérise par des structures de communication interne présentant des successions d'accès (voir exemples de la fig. 2 : habitats No 23, 28, etc.). Ces structures sont de type semi-moderne - ou semi-urbaine - puisqu'elles correspondent à des habitations présentant dans le même temps des divisions internes et un seul accès extérieur/intérieur (10). Ces structures sont très courantes dans les villes et villages de province (11). Cette catégorie ne comprend que sept cas dont trois sont composés d'habitats de plus de trois ans, les autres étant de moins d'un an. Il s'agit en réalité de structures spatiales simples intégrant une hiérarchie fonctionnelle primaire à travers la graduation d'accessibilité des espaces ; le premier espace où l'on pénètre, qui exerce des fonctions d'ordre social, est aussi un sas (12) pour le suivant qui bénéficie ainsi d'un caractère de privacia (13). Pour la moitié des éléments de cette catégorie, ce schéma semble être celui d'une construction définitive, et de ce fait nous pouvons supposer qu'il répond de manière satisfaisante aux exigences de ses
10. Nous retrouvons ces structures d'accès en Europe avant la création du couloir : "La, le mouvement à travers l'espace architectural s'effectuait par filtration plutôt que par canalisation." Evans R., Figures, portes et passages, in URBi, 7, 1952.
11. Voir L'Homme S., La vivienda de las poblaciones de bajo recurso en Saltillo, estado de Coahuila, méxico, in : Proyecto Valle de Chalco, Asiento Intermediario, 1967, CEE/DRSTOM/UAM-X.
12. "Les espaces intermédiaires spatialisent l'expression des hiérarchies sociales ou des négociations dans les relations sociales." - Paul-Lévy J. et Beaud M., Anthropologie de l'espace, Paris, France, UCL, 1981, p.52.
13. Privacia : terme dérivé de l'anglais utilisé au Mexique dans son sens original, c'est-à-dire, exprimant une qualité liée à la notion de confort ; c'est l'opportunité d'isolement matériel permettant la re-création personnelle par la séclusion d'un individu à l'impact de son environnement social. C'est la capacité à intimité offerte par un espace qui répond au besoin défini comme suit par Lerol-Dournan : "A la base du confort moral et physique retrouvé chez l'homme la perception toute animale du périmètre de sécurité, du refuge clos ou des rites socialisant." Le corps et le carnaval, Paris, France, Albin Michel, 1975.
habitants quant à leur habitat par rapport à leurs possibilités économiques. Ce type de structure correspond donc au type morpho-évolutif moyen/évolutif bien que le développement puisse rester à un stade de simple potentialité jamais réalisée. Dans ce dernier cas, ce sera alors, à nouveau, un type moyen/abouti.
III.3.d. Les structures internes ramifiées ou rayonnantes
La quatrième catégorie regroupant les structures de communication exclusivement interne présente des caractéristiques totalement modernes puisque les passages ne se font plus par succession d'accès mais par rayonnements ou ramifications (voir exemples de la fig. 2 : habitats No 07, 16, 20, etc.). Elle correspond à la plus petite partie de l'échantillon avec cinq cas. La complexité des communications - et nous verrons que cette déduction est corroborée dans le cadre de l'exposé de la cinquième catégorie - est liée à l'ampleur des constructions puisque la définition même de ces habitats implique un grand nombre d'espaces à relier. Certains plans de ce sous-échantillon sont très proches d'une conception spatiale occidentale par la présence d'un espace réservé à une fonction purement spatiale - entrée / sas de rayonnement ; couloir / sas de distribution (14) (voir exemples de la fig. 2 : habitats No
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14. Voici la genèse du couloir, que Desaulx J.-Ch. denomme "distributeur" (Quelques tendances des façon d'habiter à Damas et Alep (Syrie), colloque Modèle culturels et architecture, Unesco). raconte par Evans : "Le couloir fit sa première apparition attestée en Angleterre à Beaufort House, dans Chelsea - maison conçue vers 1597 par John Thorpe. Ses possibilités étaient en passe d'être reconnues car le plan portait cette mention : 'Une longue entrée traversant l'ensemble.' Ce qui était encore avec Thorpe plutôt un objet de curiosité devait pourtant s'imposer. (...) Tout d'abord, les pièces ont plus d'une porte (...). caractéristique qui depuis le début du 19ème siècle, est regardée comme fautive en matière d'habitat privé, ou elle que soit la nature ou la taille de la construction. Pourquoi ? La réponse a été donnée avec forces détails par Robert Marr, (...). Une alternative favorisée s'offrait avec la pièce terminale dotée d'une seule porte communiquant stratégiquement avec le reste de la demeure." Evans R., Figures, portes et passages, UCL. No. 1982.
07, 20, etc.) (voir chapitre précédent). L'équivalence de cette quatrième catégorie dans la typologie morpho-évolutive serait le type élaboré/abouti. Mais quelques-uns de ces habitats témoignent d'une interprétation erronée des caractéristiques - par ailleurs clairement lisibles du fait de leurs divisions et distributions - d'un plan moderne (voir fig. 2 : habitats No 12). Dans le cas de ces organisations spatiales, les schémas de déplacement sont aberrants : nous y retrouvons des successions d'accès ne respectant aucune logique de hiérarchie fonctionnelle - ex.: on entre dans la maison par la chambre à coucher d'où l'on parvient au salon (15).
III.3.e. Les structures mixtes
En raison de ses caractéristiques, la dernière et cinquième catégorie se situe en marge de la progression logique que nous avons suivi jusqu'à présent. En effet, elle regroupe des structures où cohabitent des particularités théoriquement incompatibles : elle correspond aux structures de communication mixte, c'est-à-dire interne et externe. Cette catégorie englobe un cinquième des unités analysées (voir exemples de la fig. 2 : habitats No 02, 13, 15, 24, etc.). La moitié du sous-échantillon de cette catégorie de 8 cas correspond à des parcelles partagées entre différentes maisonnées ou entre différentes fonctions - habitat et commerce, propriétaire et locataire, familles de deux frères, etc. Cette catégorie n'a pas de connexions directes avec l'un des type morpho-évolutif de nos deux autres typologies si nous considérons ces maisons en tant qu'unité d'habitation dans leur ensemble, mais, par contre, chacun des corps de bâtiments qui la constitue peut être intégré dans l'une des catégories de la typologie morphologique liée à sa structure.
Dans cette catégorie, nous avons rencontré un cas de
15. La superficialeité. c'est cette surface où s'inscrivent les traces de ce qui vient de l'extérieur. Leenhardt J., Architecture, 2, 1963. In Les maisons de l'Arac S., 1954, 11, 19, 24-18, 1955.
figure particulier sous la forme d'un habitat unifamilial présentant une structure très proche, par sa distribution de pièces alignées le long d'un espace extérieur commun, de celle d'une courée (voir fig. 2 : habitats No 10). Cette structure spatiale, mise en place par une famille originaire du centre de la ville de Mexico, tend à démontrer l'influence directe du vécu des structures spatiales sur la conception des habitats : cette famille, qui n'avait jamais connu que le système de courée, a reproduit à son échelle ce type de structure alors qu'il ne correspond pas aux besoins d'une seule famille (ph.21).
III.4. LES ESPACES SANITAIRES
Une particularité de la répartition des sanitaires est constituée par le nombre relativement élevé de parcelles qui en sont dépourvues - 15%.
III.4.a. Densité des espaces sanitaires :
a: parcelle sans espace sanitaire (15%)
b: espace sanitaire externe indépendant (70%)
c: espace sanitaire externe attenant (8%)
d: espace sanitaire interne (8%)
En réalité, cette proportion est couverte par trois cas de figure.
Un premier cas de figure est constitué par certaines parcelles récemment occupées. La priorité a pu être accordée à la construction de l'habitat proprement dit grâce à la proximité de parents voisins : dans ce cas les derniers arrivés utilisent les sanitaires des parents déjà installés. Ce type de comportement tend à renforcer les liens familiaux (voir ch. II.2.).
Le second cas de figure présente le même type de comportement reproduit dans un contexte non familial. La différence réside dans le fait que les occupants de ces
terrains sans sanitaires doivent "emprunter" (16) ceux des voisins. Nous pouvons imaginer que cette coutume, très courante, est envisagée comme participant d'une initiative d'intégration sociale : lorsqu'ils demandent ce service à leurs voisins, les nouveaux arrivés créent des liens d'échange en se mettant en dette. Ces liens, bien qu'apparemment aléatoires, restent en général très forts et constants. En réalité, ils sont un substitut aux liens familiaux sous-jacant en principe la structure sociale mise en évidence par la situation précédemment exposée puisque ces deux comportements participent, dans les deux cas, aux inter-relations, aux échanges, à l'intégration sociale.
Le troisième cas de figure, par contre, ne relève pas du tout d'une recherche d'intégration, puisqu'il n'est possible que dans un certain isolement, géographique pour le moins. Il s'agit effectivement de parcelles localisées dans les zones en marges de l'urbanisation (ph.8) : les habitants vont au canal ou au monte (17) et se passent d'espaces ad hoc. La situation de ces parcelles permet le maintien de ce comportement rural par l'absence immédiate de forte densité humaine. Il est malheureusement évident que de telles pratiques dans une zone en voie d'urbanisation accélérée accentue le pollution aérienne due, déjà par ailleurs et entre autres, à la multitude de latrines.
III.4.b. Les latrines
Malgré les différentes qualités de réalisation des habitats, leur majorité est équipée de latrines extérieures à l'heure de notre enquête (ph.11) (18). En effet, l'absence
16. Selon la formule de politesse en vigueur au Mexique : "¡Me podría, Ud., orar por su paso, por favor! : ¡" Pourriez-vous me prêter vos toilettes, s'il vous plaît ? "
17. Trad. : aller au canal - il s'agit de l'un des canaux à vocation à irrigation qui borde la Vallée et qui sont aujourd'hui pour la plupart transformés en égouts - ou sur la colline - sur l'un des volcans bordant la nouvelle zone urbaine à savoir le Ico ou l'Elefante.
18. Aujourd'hui, en juin 91, le réseau existe et les connexions commencent dans certaines partie de la Vallée et sera effectives. Un tel progrès accorte fortement ses
de distribution d'eau courante ne permet en principe pas l'usage de sanitaires dans la maison. La fonction de salle de bain ou de douche est parfois associée aux latrines extérieures. Mais, s'il n'est pas courant de rencontrer des salles d'eau intégrées à la maison - à peine plus fréquent que les sanitaires internes -, les gens se lavent la plupart du temps dans une des pièces - ou dans la pièce polivalentes (voir ch. No VI.2. : les meubles sanitaires).
Les latrines sont donc la forme la plus courante de sanitaires puisqu'elles regroupent, en tant que sanitaires externes indépendants, 78% de l'échantillon. Le système de latrines est particulièrement facilité par la physique du lieu : la nappe phréatique se situe souvent à moins de deux mètres sous la surface des terrains.
La dissociation des fonctions sanitaires et des habitats observée dans la Vallée est culturellement associée à la mexicanité traditionnelles comme nous l'avons vu dans le chapitre No III.2.
III.4.c. Intégration des sanitaires au sein de l'habitat
Le nombre de sanitaires attenant à l'habitat proprement dit et communicant avec l'extérieur - 8% - semble révéler une tendance chez certains propriétaires à concevoir une future intégration de ces espaces sous forme de salles de bain au sein de la maison. Il s'agirait alors d'une conception typiquement urbaine prenant en compte les futurs réseaux d'eau et d'égout.
Dans la même optique, la mise en œuvre de normes modernes et citadines est exprimée de façon encore plus nette par les quelques cas de présence de sanitaires internes aux habitats - 8%. : dans la plupart des cas de construction de type élaboré/abouti, l'espace sanitaire se
consequences et nous envisageons par la suite de réaliser une enquête sur les modifications survenues ; cette contrainte matérielle disparue, on peut effectivement se focaliser, d'une part, sur l'éventuelle adaptation des habitats antérieurs et, d'autre part, sur la conception des installations qui lui sont postérieures. L'analyse de ces deux cas de figure pourrait se révéler être un indice particulièrement significatif des comportements culturels.
trouve déjà à l'intérieur en attendant les réseaux.
Le plus souvent, dans les cas de ces sanitaires, un approvisionnement en eau s'effectue manuellement, quelques cas font preuve, par l'absence d'utilisation d'eau, d'une acceptation limitée des modes urbains puisque l'image de sanitaires internes est connue mais leur principe technique n'est pas appliqué (19). Ce décalage entre l'installation de systèmes modernes et leur acceptation correspond à des caractéristiques rurales que Ferrot a observé dans un village de France pendant les années 60 ; un agriculteur affirmait : "Ils lui ont mis les cabinets, il s'en sert jamais, remarque : ça serait dégueulasse s'il s'en servait... parce que le cabinet est là au milieu, entre la chambre et la cuisine." (20).
Précisons rapidement qu'un cas de cohabitation de latrines et de sanitaires intérieurs dans une même parcelle a été rencontré : les latrines y ont été conçues comme une installation provisoire et elles sont les seules à être utilisées en attendant les raccordements aux réseaux. Dans ce cas, seules les latrines ont été comptabilisées.
III.5. LES EDIFICES : CONCLUSION
Quant à la classification des structures internes traduites sur le terrain par les systèmes d'accès, elle met en évidence la fréquence des accès simples externes, donc d'une seule pièce correspondant à la catégorie de la double typologie provisoire/minimal, puis une série relativement importante d'habitats de type moyen/provisoire comme en témoignent leurs accès multiples à la fois internes et externes. Le reste de l'échantillon correspond au types moyen/évolutif, moyen/abouti et élaboré/abouti. Les correspondances entre les trois typologies - évolutive,
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19. En effet, ce principe, qui sous-tend l'usage de l'eau, courante ou non, comme il est exprimé dans l'expression française "water closet", est souvent contredit, dans la réalité, en une simple accumulation rendant cet usage particulièrement défavorable.
20. Dans le corps et le métier : A. Ferrot, Structure, dynamique, unité, in Annuaire français, n°3, 1974.
morphologique et structurale - sont exposées par le tableau suivant qui met, entre autre, en évidence la conservation de structures de type rural au sein d'habitats élaborés (voir annexe No 03 : tabl. No 2 - typologies et correspondances).
Nous avons, aussi pu déterminer les implications du concept de privacia à travers les niveaux d'accessibilité aux pièces : bien que l'acceptation du terme privacia d'origine anglosaxonne soit généralisée au Mexique, il résulte que très peu de pièces bénéficient de cette qualité, en raison du peu de hiérarchisation des espaces (voir ch.VI.l'usage des habitats).
Certains cas de reproduction de structures spatiales culturellement marquées (courée, couloir, etc.) témoignent, comme nous l'avons vu dans certaines intégrations de sanitaires, d'un décalage entre les motifs qui ont créé ces organisations et leur nouvelles applications.
En raison de l'absence de distribution et évacuation d'eau, nos observations des espaces sanitaires sont provisoires. En effet, les espaces sanitaires sont réalisés sous la forme de latrines probablement en grande partie à cause des contraintes qu'imposent une telle conjoncture. Pourtant, quelques cas de latrines externes attenantes, ou même intégrées, à l'habitat proprement dit, semblent témoigner chez certaines familles d'une tendance à vouloir incorporer ces espaces en tant que pièce de l'habitat à part entière selon un principe moderne.
Par ailleurs, cette étude a confirmé l'existence de réseaux familiaux où, lorsque ceux-ci ne sont pas reproductibles en raison de l'absence de la parenté, elle a révélé la création de leurs substituts. Dans les deux cas le motif de ces réseaux est la recherche d'appartenance à un groupe social.
IV. LES MATERIAUX
L'analyse des matériaux consiste à appréhender leur nature suivie de leur état, et ceci en premier lieu en ce qui concerne les espaces d'habitat proprement dits puis les espaces sanitaires.
Mais nous commencerons l'exposé par un aperçu de leurs coûts.
IV.1. LES COUTS DES MATERIAUX
Nous avons effectué une enquête rapide concernant le coût des principaux matériaux de construction. À titre indicatif, nous précisons que 500 pesos - $ - valait à peu près 1 franc français, que le salaire minimum mensuel avoisinait le demi million de pesos et que les prix des terrains oscillent autour de 5.000.000 de pesos.
Dans un tableau en annexe (voir annexe No 03 : tabl. No 3 - prix des principaux matériaux de construction) nous avons donc exposé, dans la mesure où nous avons pu obtenir les informations, les coût à l'achat dans la Vallée, mais aussi dans le District Fédéral et à la revente.
Nous constatons en observant ce tableau que les plaques de carton ondulée sont les matériaux de couverture les moins chers, et que ceux des murs sont les blocs de ciment ou parpaings. Par ailleurs nous notons la très forte différence de prix entre des planches de bois neuves et de récupération.
D'autre part, nous constatons que le prix des bois est plus cher dans la Vallée que dans le District Fédéral - 23% de différence pour le bois de récupération et 50% pour le bois neuf. Précisons que les coûts relevés dans le District Fédéral sont ceux d'un village de la délégation la plus proche - Santa Catarina Yecahuizotl, Tlahuac - et que la différence ne peut pas être imputée uniquement au transport mais le serait plutôt à l'importance de la demande.
De même nous observons que le prix des plaques de carton et du bois neuf est supérieur s'ils sont fournis par
les professionnels qui construisent la maison - le carton devient plus cher de 75% et le bois neuf de 17% alors que le bois de récupération devient moins cher - de 23% - probablement en raison de l’absence d’intermédiaire puisque les professionnels de la construction récupèrent directement sur leurs chantiers les rebuts.
Lors de l’analyse des matériaux de constructions des habitats, nous avons traité séparément les données des espaces d’habitation proprement dite et celles des espaces sanitaires. L’exposé des résultats concernera tout d’abord les matériaux employés puis l’état dans lequel ils nous sont apparus lors de l’enquête. Nous traiterons, dans l’ordre, des sols, des murs, puis des couvertures.
IV.2. LES MATERIAUX DES HABITATS
Si beaucoup de sols n’ont pas fait l’objet d’une élaboration impliquant la mise en place d’un appareillage et restent donc des sols de terre, le matériau le plus fréquemment employé dans notre échantillon est le ciment.
IV.2.a. Matériaux de sol des habitats :
a: ciment (76%)
b: terre brute (24%)
La présence de dalle de sol n’est pas systématiquement liée à l’élaboration de fondations adéquates. En effet, la dalle est souvent coulée directement sur le sol et parfois même entre les murs et non dessous.
Malgré la tendance à daller le sol, près d’un quart des pièces des maisons étudiées sont construites directement sur un sol qui ne présente aucune finition. Les conditions matérielles – contraintes économiques et caractère provisoire – sont certainement la cause de la présence de sols de terre. Ce type de sol est un détournement d’un aspect rural, la plupart du temps non désiré, dû à la pauvreté.
Paradoxalement, en effet, dans ce milieu urbanistiquement en gestation, des comportements traditionnels s'imposent quotidiennement en raison de la faiblesse des moyens de mise en œuvre (1). Mais si la terre brute n'est pas forcément due à un choix volontaire, elle est parfois l'objet d'une détermination : certaines personnes interrogées, même si elles ont pu préférer un sol "moderne" en ciment, considèrent que celui de terre est plus facile à l'usage. Selon eux, il suffit, contrairement à un sol cimenté ou revêtu, de balayer une fois par jour les crachats et ordures que l'on jette à terre (2). Sa facilité d'usage est particulièrement appréciée lorsque la maison est occupée par de jeunes enfants, pour des raisons pratiques et économiques parce qu'elle permet de ne pas les langer. L'hygiène corporelle est dans ce cas prioritaire sur celle de l'environnement, puisque l'absence de couches évite les effets secondaires des méthodes modernes d'hygiène infantile - irritations de la peau due à son contact prolongé avec les rejets comme avec les couches.
On peut donc affirmer que, dans certains cas de figure, la préférence pour un sol de terre est due à un choix culturel et qu'il est alors l'indice de perception singulière des degrés de salubrité.
En analysant la fréquence d'existence des différents matériaux des murs d'habitation nous remarquons la présence relativement forte de matériaux périssables.
(1) Pour beaucoup de femmes, l'arrivée à la vallée de Uniku est un retour à des conditions où elles ne connaissaient plus depuis qu'elles avaient quitté leurs terres maternelles. En effet, elles ont du reprendre certaines corvées rurales liées pour la plupart au manque d'accès à l'eau potable dans la vallée - lavage du linge à un point d'eau éloigné, récipient en eau éclatée, isolement des lieux de diversion, etc.
(2) Une femme de la vallée s'exprime au sujet d'une maison au sol carrelé alors que la situation est en terre brute : "Je crois bien que tirer la perru en un bote en las cases así. En mi casa aviento todo el suelo y, el fin del dia, carro y va." - Trad. : Je trouve désagréable, dans une maison comme ça, d'avoir à déposer les ordures dans un récipient : lnez moi. Je jette tout par terre puis je balance en fin de journée et c'est."
IV.2.b. Matériaux de mur des habitats :
a: parpaing (75%)
b: carton (12%)
c: bois (7%)
d: tôle (4%)
e: toile (1%)
f: pierre (1%)
Ces matériaux - le carton, le bois et le tissu -, qui occupent un quart de l'ensemble, sont périssables en raison de leur mauvaise résistance aux intempéries, aux parasites ou simplement à l'usage ; ils sont un indice de la précarité des habitats de notre échantillon.
La catégorie la plus petite témoigne de la présence de murs en pierres. Ces murs de pierres ne sont pas dus à un choix délibéré, puisqu'ils correspondent à quelques cas - très rares - de réhabilitation d'habitat autochtone. Il s'agit de maisons autrefois construites par des ejidatarios (3) puis tour à tour abandonnées et réinvesties par leurs enfants ou petits enfants. Elles sont situées aux abords de la Vallée proprement dite, c'est-à-dire sur les flancs du volcan Xico, sur les bords de l'ancien lac. Elles avaient été abandonnées au moment de son assèchement. Nous avons pu noter, à l'occasion d'entrevues avec certains habitants de ces maisons, que de telles installations ne sont que peu appréciées en raison de la pente des terrains (4).
3. ejidatarios de xico : voir note de bas de page 1024 ou ch. 1.1.c.
4. Le terme employé au Mexique pour nommer les reliefs est caractéristique, par l'ensemble de ses significations, de cette dévalorisation des reliefs. Depuis les temps préhispaniques, les collines et montagnes ont été en effet redoutés en raison de la présence d'animaux sauvages, et sont restés pour cette raison inoccupés. Ces reliefs, désignés globalement par l'expression el monte, qui peut par ailleurs désigner un terrain simplement non cultivé, sont encore aujourd'hui rarement investis par l'homme, et deviennent de ce même fait le cadre de toutes sortes de fantasmes. Cette dualité est exprimée d'une manière universelle par Leroy-Gourhan A. : "Le premier point dans l'évolution où apparaîsse la figuration est donc aussi celui où l'espace d'habitat est abstrait du chaos extérieur." (Le geste et la parole, 323p. Albin Michel, Paris, 1978.), définition reprise par Paul-Lévy F. et Segaud M. en parlant de "...la distinction entre deux types d'espace, l'espace
Malgré le nombre de cas d'extrême précarité présentant des murs de matériaux périssables, la grande majorité des murs - les trois quarts - est en parpaings.
Les données concernant les matériaux de couverture des habitats font preuve d'une plus grande précarité des toits que des sols ou des murs.
IV.2.c. Matériaux de couverture des habitats :
a: carton ondulé (53%)
b: dalle de ciment (27%)
c: tôle ondulée (14%)
d: fibrociment (2%)
e: plastique de récupération (2%)
En fait, la plus grande proportion de matériaux de couverture correspond au carton ondulé goudronné. Ce matériau est le produit manufacturé de couverture le moins cher (voir annexe No 03) : commercialisé sous la forme d'une plaque ondulée comme le serait une tôle, le carton est enduit de goudron de façon à offrir une certaine étanchéité.
Un deuxième type de couverture provisoire est constitué par les plaques de fibrociment. À l'inverse de celle de carton, la plaque de fibrociment, bien que représentée par une faible proportion dans notre échantillon, semble une meilleure solution. En effet, par la composition de fibres, ciment et amiante, ces couvertures présentent des qualités - thermique et de stabilité - tout à fait satisfaisantes, mais son coût - pratiquement cinq fois plus cher que le carton - ne permet pas assez fréquemment son emploi dans les conditions où elle serait adaptée techniquement, à savoir en tant que couverture des habitats provisoires.
Le troisième type de couverture provisoire est constitué par la tôle ondulée. Mais, contrairement au fibrociment, son coût élevé, et ses très mauvaises
d'habitat, de sécurité, d'orage d'une part, et "l'autre" espace, chaotique, dangereux, non humanisé... (Anthropologie de l'espace, 248p. CCI, Paris, 1983.). La mauvaise appréciation des terrains en pente provient probablement de la réminiscence de cette mythologie.
caractéristiques thermiques, la rendent inadaptée aux conditions économiques et climatiques : l'usage de la tôle ondulée est aussi rare dans la Vallée que dans le reste du Mexique.
Précisons que ces matériaux de couverture provisoire - carton, tôle, fibrociment, plastique - sont tous associés à une charpente de bois. En raison de la difficulté de se procurer du bois neuf et son prix, cette charpente est en général composée de matériaux de récupération alors que les matériaux qui lui sont associés, en dehors des cas rares d'emploi de feuille de plastique, sont de première main.
Les toits définitifs sont tous en dalle de ciment. Ces toits sont les mieux cotés et les plus courants au Mexique du fait qu'ils sont très résistants et ne requièrent pas d'entretien. La proportion de ces toits, qui correspond donc aux espaces construits définitifs, représente plus d'un quart de l'échantillon.
IV.3. L'ETAT DES MATERIAUX DES HABITATS
Quant à leur état, les sols se révèlent corrects dans pratiquement les trois quarts des cas.
IV.3.a. Etat des sols des habitats :
a: bon état (43%)
b: moyen (31%)
c: mauvais (26%)
Malgré la grande proportion d'habitats de type précaire, la confrontation du graphique représentant l'état des sols avec celui des matériaux met en évidence, à travers le fort décalage observable, que la qualité d'un sol n'est pas liée au type de matériaux.
En effet, même si les sols de terre sont associés à des habitats précaires, ils peuvent conserver sur des années leur bonne qualité s'ils ont été bien préparés et s'ils sont bien entretenus. Dans cette optique, les sols de terre traditionnels du Mexique sont liés à un ensemble de comportements qui les préservent : par exemple, l'absence de
meubles de type moderne les protège d'une usure dûe aux "pieds" de table ou de chaise. En effet le seul élément en hauteur est, en principe, le foyer construit dans le même matériau que le sol et à partir du sol même. Le reste de l'"ameublement" se limite aux petates - nattes utilisées comme lits -, autres éléments n'érodant pas le sol. Malheureusement, dans la Vallée, nous pouvons souvent observer l'association de meuble et de sol en terre. Cette cohabitation illustre les aléas de la superposition de conceptions traditionnelles et d'une réalité de plus en plus moderne et témoigne des vicissitudes d'une accessibilité fragmentée aux éléments de confort.
Dans le cas de sol en dalle, leur éventuel mauvais état s'explique par l'instabilité du sol de la Vallée : un affaissement des sols dû à la densification des installations et au surpompage de la nappe sous-jacente provoque la fissuration des dalles. Une explication supplémentaire réside dans l'absence de fondations, dans le cas où les dalles ne sont que coulées entre les murs et non avant leur édification : les murs non protégés, quelque soit les matériaux dont ils sont fait, vont pourrir à cause des infiltrations.
La plus grande proportion de matériaux de murs rencontrée correspond aux parpaings. Ceci pourrait nous amener à penser que cette proportion est constituée par des maisons de type définitif et de bonne qualité, mais le graphique No.IV.1.E concernant l'état des murs mettra en évidence que ces habitats sont souvent en mauvais état malgré le peu d'ancienneté des installations. En réalité, les caractéristiques de construction de ces murs de parpaings expliquent la faible qualité de certains d'entre eux.
IV.3.b. Etat des murs des habitats :
a: bon état (54%)
b: moyen (33%)
c: mauvais (12%)
En effet, outre les constructions mal réalisées par défaut de connaissances techniques, nous avons constaté, dans certains cas, que les parpaings peuvent être simplement superposés sans mortier dans le but de permettre une économie substantielle (ph.7). Cette économie est moins due à l'absence de mortier en soi qu'au fait que les parpaings de cette construction provisoire seront réutilisés lors de la construction de la maison définitive. Ce choix diminue la qualité de la construction initiale - destinée à être provisoire -, mais, en considérant que les habitants de ces parcelles pourront occuper leur maison plus tôt, et après de moins grands sacrifices, cette solution est globalement positive. De ce fait, il nous semblerait judicieux de favoriser ce mode de construction planifiée. Rappelons à cette occasion que plus de la moitié des cas étudiés sont des habitats provisoires.
Par ailleurs, selon la traduction graphique de l'état des murs des habitations, à peine plus de leur moitié est de bonne qualité, mais nous pouvons craindre que cette proportion ne soit due malheureusement qu'au grand nombre d'installations récentes (voir chap. I.1.a.).
Les données concernant l'état des toits sont en moyenne positives.
IV.3.c. État des couvertures des habitats :
a: bon état (55%)
b: moyen (34%)
c: mauvais (11%)
En reprenant les données des matériaux de ces mêmes toits, et après avoir comptabilisé les toits de matériaux peu enclins à la détérioration - les 43% de l'ensemble correspondant aux dalles, tôle et fibrociment - nous constatons que seulement 12% des toits de matériaux fragiles sont en bon état.
Ces toits de mauvaise qualité sont pour la plupart en carton ondulé. La mauvaise mise en œuvre de ce type de couverture peut s'expliquer par la faiblesse du pouvoir
d'achat des habitants : les habitants qui optent pour ce matériau lors de constructions provisoires y sont contraints par leurs finances et se contentent, du même coup, d'un toit d'une seule pente très peu accentuée permettant de faire des économies sur les matériaux des murs. Le carton, plaqué à la charpente par des pierres ou fixée par des clous, est alors, bien que goudronné, vite imprégné d'eau : les fuites se présentent dès que le carton arrive à saturation (5). Les propriétaires de ces toits affirment devoir les changer chaque année.
Une autre explication serait d'ordre culturelle et non seulement financière : certaines constructions traditionnelles du Mexique, rurales ou urbaines, sont couvertes d'un toit plat (6) - dans le cas de conception traditionnelle il s'agira de dalle de terre crue, dans celui de conception moderne, de dalle de béton.
D'autre part, lorsque les habitants en sont à prévoir les constructions définitives, ils réalisent des fondations et des murs pouvant recevoir une dalle de béton : la pente du haut des murs est alors conditionnée pour sa finalisation même si celle-ci n'est pas envisagée dans l'immédiat. Un toit provisoire de carton est alors posé en attente bien qu'une telle couverture mette en péril la qualité des sols et des murs - pourtant voués à être définitifs - et les fragilisent. Heureusement ce cas de figure est peu fréquent.
En effet, après comparaison entre l'état des murs et celui des toits, nous avons pu observer une grande similitude de qualité et cette constance exprime une analogie des attitudes face à ces différents éléments de la construction. Les couvertures de qualité sont en principe associées à des murs de qualité : assez rares sont les cas de
(5) Dans le cas de plaques de carton clouées, des capuches de boissons sont utilisées pour protéger les trous de clou en vue de retarder les infiltrations d'eau (op. cit.).
(6) La description de Cristóbal de Olazar des maisons de la région de Coatepec (1577) témoigne de l'ancienneté des toits plats : "La forme de las casas que los naturales tienen es ... de pareras de adobe ; la techumore es de adobes." Ibid. : "La forme de maison des autochtones est faite de murs de blocs de terre séchée ; la toiture est faite en terrasse." (cité par Lopez Morales F. J. dans Arquitectura vernácula en Mexico, Mexico, Trillas, 1987).
construction définitive de murs couverte par un toit provisoire.
Par contre, la comparaison entre la qualité actuelle des sols et celle de l'ensemble de la construction exprime un plus fort décalage qu'entre l'état des murs et celui des toits. Ce décalage est lié à la grande présence de sol de terre, choix lui-même du probablement au fait que les caractéristiques naturelles du sol de la Vallée - ressemblant, sans en avoir les qualités, au tepetate (7), parce qu'il est plat et tassé- le rend apparemment apte à recevoir une construction. Mais traditionnellement, les constructions envisagées sur tepetate doivent par principe être réalisées sur des terrains en pente faible et la maison doit être positionnée de façon à être protégée du ruissellement des eaux. Dans la Vallée, lorsque cette précaution n'est pas simplement oubliée au départ, l'affaissement des sols que nous avons déjà exposé (voir chapitre No.IV.1.d) a tendance à transformer le terrain en cuvette. Les remontés ou les accumulations d'eau font alors resurgir, d'une part, le sel de l'ancien lac déposé dans les couches superficielles et, d'autre part, les boues polluées par les latrines et l'absence d'enlèvement des ordures au détriment, entre autre, des constructions.
IV.4. UNE EVALUATION DE LA QUALITE DES HABITATS
L'apprehension de la fréquence des différentes qualités de matériaux nous a permis d'évaluer la présence des différents types évolutifs au niveau de notre échantillon : les sols de terre ne pouvant correspondre qu'à des habitats de type provisoire, nous constatons que cette catégorie regroupe 24% de l'ensemble ; une couverture de dalle ne pouvant être réalisée que dans le cas d'habitats de type abouti, nous constatons que 27% forme la troisième catégorie ; quant au matériaux de mur - outre le fait que les matériaux périssables occupent 24% de l'échantillon et
(7). Tepetate : type de sol naturellement tasse très courant au Mexique. Les constructions traditionnelles rurales sont souvent directement érigées sur le tepetate.
corrobore ainsi nos déductions tirées des matériaux de sol - les 75% de parpaings qui peuvent correspondre tant à des habitats de type évolutif qu'abouti, sont amputés des 27% qui ont déjà été déterminés par les données des matériaux de couverture correspondant au type abouti : nous obtenons ainsi 48% d'habitats de type évolutif.
IV.4.a. Evaluation de la qualité de réalisation :
a: aboutis (27%)
b: évolutifs (48%)
c: provisoires (24%)
Parallèlement à ces déductions qui situent les constructions par rapport au schémas évolutif de référence, nous obtenons, à travers les moyennes de qualité des éléments constructifs, l'évaluation de leur état général.
IV.4.b. Evaluation de la qualité après usage :
a: bons (43%)
b: moyen (33%)
c: mauvais (26%)
Ainsi, en ce qui concerne notre échantillon, l'état des éléments composant les habitats est en moyenne bon dans 50%, moyen dans 33% et mauvais dans 16% des cas. Mais si l'on considère que lorsqu'un habitat présente un élément mauvais, l'ensemble en souffrira et deviendra lui même mauvais, un habitat composé d'une bonne couverture sur de bons murs mais sur un mauvais sol devient un habitat de mauvaise qualité, et cela quel que soit l'élément qui présente une mauvaise qualité. Les moyennes ne sont alors plus que de 43% de bons habitats, 33% de moyens et 26% de mauvais.
IV.5. LES FINITIONS DES HABITATS
La plupart des habitats ne jouissent pas de finitions particulières : les murs ne sont enduit d'une couche de protection que dans 22% des cas. Par contre, les murs sont plus souvent peints puisque 28% sont recouverts pour le
moins d'une couche de peinture. Le décalage entre ces deux pourcentages correspond pratiquement aux murs directement peints malgré les quelques cas de murs présentant une couche unifiante non-peinte. L'explication de la plus forte application de peinture tient très certainement dans son moindre coût. Quelques habitants appliquent effectivement une couche de peinture dans l'espoir de protéger ainsi les murs. D'autres nous ont fait part d'un simple désir d'égayer leur maison par des couleurs, le paysage de la Vallée étant trop souvent composé du gris des bâtiments de parpaings bruts sur le gris des terrains sans herbe et le noir des plaques de carton goudronné des toits. Ce désir de couleurs semble émaner particulièrement des femmes probablement parce qu'elles passent le plus clair de leur temps à la maison, mais aussi par soucis de l'image projetée, ou simplement pour s'occuper. Nous trouvons ainsi, par exemple, des maisons aux murs de parpaings peints de façon à imiter un murs de briques - les parpaings sont peints en rouge et le mortier en blanc.
Si certains habitants soignent l'aspect visuel de leur maison par la finition des murs, d'autres semblent essayer de rompre l'homogénéité monochrome des habitats de la Vallée par l'apport de verdure. En effet, un certain nombre de maisons présente une façade couvertes de plantes (ph.10). Plus que par soucis d'esthétique, en fait, les plantes sont placées en hauteur pour les protéger des animaux de basse-cour - dindons, poules, etc., ou des taupes, mais aussi parce que la nature du sol ne facilite pas les cultures. Si quelques unes de ces plantes sont d'ornement, la plupart sont curatives - tés (8) pour soigner divers types de maux de l'espanto (9) au refroidissement, ou plantes aux propriétés variées comme la sávila pour laver les cheveux - mais les boites de conserve, fixées au mur, qui les contiennent sont peintes de couleurs vives. Cette pratique, liée à l'élevage de petits animaux comme à la pratique d'une médecine naturelle ancestrale, est très courante dans les
8. Tés : tisannes.
9. Espanto : lit. frayeur ; généralement compris comme un mal surnaturel
campagnes mexicaines où elle trouve son origine. Nous observons donc ici la pérennité d'un trait culturel rural au sein de la Vallée, trait qui a également pu être observé dans des milieux villageois ou urbains où les nombreuses migrations rurales ont apporté certaines de leurs coutumes liées à l'autarcie.
Si l'adhésion à une référence au milieu d'origine est, dans les cas précédemment décrits, spontanée et probablement inconsciente, d'autres habitats font preuve de la recherche volontaire d'une certaine image différente de la ruralité. Il s'agit de maisons qui, sous l'aspect, encore assez rare dans la région de Mexico, de pavillon de banlieue, reproduisent des éléments de style campagnard. Ces maisons copient un modèle - toit à deux pentes, petites fenêtres multiples peintes comme la porte d'une couleur vive, murs peints en blanc, jardin planté d'arbres fruitiers et de gazon... (ph.23) - qui est en fait un emprunt à la civilisation nord-américaine tellement médiatisée. Il s'agit effectivement de l'image de la ferme-paradis, mythe du rêve américain, mitigée avec le retour à la nature et régulièrement médiatisée par les séries télévisées. Selon l'expression même des propriétaires de ces habitats : "Chalco, todavía no es ciudad. Aquí estamos en el campo, no es como Neza ; por eso nos vinimos por acá." (10). Les personnes qui s'expriment ainsi sont d'origine citadine et affirment leur désir de "re-découverte" des milieux ruraux. Elles réalisent donc une "re²-creation" d'habitats au style que nous appellerons "casa campesina" (11) qui s'apparente au pavillon sur un terrain en zone conurbaine pas encore saturée. Il s'ajoute, peut-être aussi, à ces explications une référence à la résidence secondaire des classes bourgeoises citadines.
Ainsi, alors que la majorité de la population
10. Trad. : "Chalco c'est pas vraiment la ville, pas encore. Ici c'est la campagne, plus qu'à Neza - Nezahualcoyotl - ; c'est pour ça qu'on est venus"
11. Trad. : maison de campagne. En voici une définition de Duplay C. et M. qui concerne surtout les intentions qui motivent la construction de ces habitats : "Le pavillonnaire peut se définir à contrario comme l'anti-urbain" (La création architecturale, Le Moniteur, Paris, 1985.)
originaire de milieux ruraux adhère de façon le plus souvent inconsciente à certaines normes urbaines - espaces de transition, sanitaires internes, taille et nombre de fenêtres, etc -, une partie des habitants de la Vallée d'origine citadine - ou ayant un passé majoritairement citadin - fabrique une nouvelle image rurale. Cette recherche volontaire résulte aussi probablement du rejet de caractéristiques purement citadines - sur-occupation des sols, superposition des logements, accès difficile aux espaces verts, pollution, promiscuité, stress, etc... ; mais aussi risques amplifiés de tremblements de terre dans le cadre de la ville de Mexico. Cette image, qui n'est qu'une interprétation de maison rurale, peut lui ressembler par le style, mais lui est foncièrement différente par l'usage et leurs logiques fonctionnelles sont ignorées (12).
IV.6. LES MATERIAUX DES SANITAIRES
Comme nous l'avons déjà vu la plupart des espaces sanitaires prennent la forme de latrines extérieures (voir ch. Noll 3.). Ces latrines ont pour principe de base un trou d'environ 60 cm creusé dans l'enceinte du terrain. Les dépôts sont ainsi évacués vers la nappe phréatique par infiltration. Cette nappe est, en effet, très proche sous la surface de la Vallée lorsqu'elle n'affleure pas.
IV.6.a. Matériaux de sol des espaces sanitaires :
a: bois (47%)
b: ciment (37%)
c: sol brut (13%)
d: plastique (3%)
La plus grande partie des sols des espaces sanitaires est réalisée en bois. En fait, la présence de bois ne signifie pas forcément que le sol en est recouvert puisqu'il
12. "Les habitants, désorientés par tous ces bouleversements, se sont peu à peu réfugiés dans leur tradition passée. Mais cette tradition imitait des formes sans en comprendre le sens." - Belmont J. Les quatre fondements de l'architecture. Paris, France. Le Moniteur. 1987.
ne s'agit la plupart du temps - en particulier dans le cas de latrines - que d'une structure permettant de consolider le trou d'évacuation. Il serait donc plus juste de les ajouter à la proportion de sols brut - 13 + 47% -, nous obtenons alors 60% de sols non habillés, ce qui soulignent le caractère précaire de ces constructions.
Par contre en ce qui concerne les sols dallés nous pouvons considérer que les 37% qui les représentent correspondent en priorité aux espaces sanitaires internes et attenants à l'habitat - 16%. En excluant alors cette proportion à celle des sols de dalle nous obtenons le chiffre minimum d'espaces externes indépendants : soit 37% de sols dallés - 16% d'espaces dépendants de l'habitant = 21% d'espaces externes indépendants. Nous pouvons supposer que cette proportion correspond à la proportion de localisation définitives des sanitaires : cela témoigne donc de la tendance à éloigner les sanitaires de l'habitat. Cette forte dissociation de ces deux types de bâtiments participe de la conservation d'une conception rurale puisque, d'une part, l'espace disponible en milieu rural permet cet éloignement et, d'autre part, que les comportements ruraux intègrent plus facilement des communications externes.
La comparaison de l'emploi des matériaux des murs des espaces sanitaires avec celui des matériaux des murs d'habitation met en évidence la plus grande fréquence d'utilisation de matériaux de type précaire et de récupération dans le cadre de la construction des murs des sanitaires.
IV.6.b. Matériaux des murs des espaces sanitaires :
a: carton (39%)
b: parpaing (32%)
c: bois (21%)
d: tôle (5%)
e: toile (3%)
Ce décalage s'explique, pour les latrines qui n'intègrent pas de sol dallé, par le caractère provisoire de ces espaces puisque ceux-ci sont conçus pour disparaître.
avec la mise en place des réseaux de distribution et d'évacuation des eaux.
En effet, les parois des sanitaires ne sont réalisées en parpaings - le plus souvent superposés - que dans un tiers des cas : elles sont un peu plus fréquemment en carton ondulé, puis en bois de récupération, en tôle ou en toile, ce qui revient à dire que 68% de ces parois sont en matériaux périssables.
IV.6.c. Matériaux des couvertures des espaces sanitaires :
a: sans toits (28%)
b: carton (44%)
c: bois (14%)
d: dalle (6%)
e: tôle (6%)
f: plastique (2%)
L'espace défini autour du trou est donc soustrait à la vue par trois ou quatre parois mais il n'est pas toujours protégé des intempéries : 28% des sanitaires ne sont pas munis de couverture.
IV.7. LES MATERIAUX : CONCLUSION
Le choix de matériaux est dans la Vallée fortement réduit à cause des écarts de prix par rapport à ceux pratiqués dans le District Fédéral : même les matériaux de récupération sont chers. Pourtant il est évident que l'aspect financier est déterminant de ces choix puisque les produits les moins chers sont les plus fréquemment employés. C'est ainsi que le carton ondulé est très courant en tant que couverture mais aussi parfois en tant que murs des habitats. Si cela confirme l'importance de l'impact des budgets, le recourt au carton témoigne aussi d'un manque de temps disponible : les plaques de carton ondulées et goudronnées sont effectivement les produits les plus faciles à mettre en œuvre.
Par contre, les matériaux de récupération sont très peu présents : cela témoigne de l'insuffisante disponibilité de matériaux recyclés. D'autre part, les cas de revente par les
maîtres d'œuvre permet à certains habitants de bénéficier, par la réduction des intermédiaires, de baisse importante des coûts comme nous l'avons exposé. Ces deux observations nous amène à proposer de faciliter la disponibilité des matériaux de récupération, entre autre en profitant, soit de la proximité de la décharge de La Caldera, en particulier en ce qui concerne le bois puisqu'il est indispensable pour les constructions provisoires, soit de la prise en charge de cette récupération par un système intégré à Solidaridad (13) permettant de contrôler leur prix de vente.
Le premier investissement effectué lors de la construction provisoire est particulièrement élevé dans la mesure où les matériaux de récupération sont très rarement réutilisés, ce qui nous permet d'imaginer certaines mesures en vue de faciliter, premierement, l'accession rapide à la construction des bâtiments définitifs, deuxièmement, de réduire l'investissement dans de matériaux irrécupérables lors d'une première construction (voir ch.II.3. Les stratégies d'évolution) puis, troisièmement, d'obtenir une meilleure qualité d'habitats provisoires lorsque leur construction est incontournable. Cela pourrait se faire en mettant à disposition des nouveaux arrivants - et, de façon légèrement différente, des plus anciens - de simples conseils et informations, comme suggérer la superposition des parpaings, l'accentuation provisoire de la pente des toits de carton, offrir une meilleure connaissance du sol, une aide à la planification, etc.
Par ailleurs, nous avons pu observer, quant à l'impact culturel des milieux antérieurs, lors de l'analyse des matériaux, trois points intéressants. Le premier réside dans un défaut de construction que l'on rencontre au niveau des constructions provisoires ou évolutives - une pente trop peu
(13) SOLIDARIDAD VILTE. SOLIDARITE : l'organisation mise en place par le gouvernement fédéral devant certains services pour le renouvellement des plus catastrophées. Par exemple, dans la vallée, les camions déversés de Solidaridad contribuent à être au tarif officiel de façon à combattre les sous-injections car les distributeurs crèvent.
accentuée pour une couverture de carton. Si elle peut être, comme nous l'avons exposé, conditionnée par le caractère définitif des murs, elle peut l'être aussi, dans les cas d'habitats provisoires, par l'impact culturel de certaines conceptions spatiales traditionnelles régionales couvertes d'un toit plat.
Deuxièmement, nous avons pu constater la persistance de sols de terre, pour des raisons la plupart du temps économique, sous une forme qui démontre l'oubli des principes techniques et d'entretien en raison d'un métissage culturel non maîtrisé. Dans ces deux cas de décalage culturel un processus inconscient de réminiscence ou de mimétisme agit en faveur de la conservation de techniques constructives malgré l'ignorance de la globalité des logiques qui les définit.
Par ailleurs, un troisième trait culturel caractéristique des habitants de la Vallée - concernant pour le moins les femmes que nous avons plus souvent rencontrées que les hommes - est déterminé indirectement par la conscience qu'ils ont de la monotonie de leur environnement. Pour cela l'ajout de couleurs, même dans les cas de constructions provisoires, n'est pas rare, de même que la mise en place de plantes utiles ou simplement d'ornement. Si cette caractéristique se rencontre aussi en milieu villageois ou urbain, cadres eux aussi de nombreuses migrations rurales ayant apporté certaines coutumes liées à l'autarcie, nous observons ici la réinstallation d'un comportement culturel rural au sein de la Vallée.
D'un point de vue radicalement opposé puisque émanant des populations d'origine citadine, nous avons pu aussi observer la présence d'habitats de style campagnard correspondant à une "re-creation" conditionnée par l'image médiatisée de la "ferme-paradis" et les résidences secondaires des classes bourgeoises urbaines.
Certains espaces sanitaires font eux aussi preuve de l'actualité de conception de type rural - caractérisées ici par l'acceptation de communications externes (voir ch. III.2) - lorsque leur situation extérieure et éloignée des
habitats proprement dits est envisagée comme définitive.
Nous pouvons déplorer en l'état actuel des conceptions sanitaires que ces latrines, qui jouissent d'une bonne aération parce qu'elles ne sont composées que d'une construction succincte, engendre de nombreuses contaminations par voie aérienne mais aussi par infiltration au niveau de la nappe phréatique d'où est pompée l'eau distribuée.
V. LES PROTECTIONS SPATIALES
Après avoir exposé une première analyse dite graphique des structures internes de l'espace privé à travers les accès (voir ch.III.2. : les structures internes), nous allons, par une deuxième (1), établir une image des comportements de protection et d'appropriation des parcelles en décrivant les limites territoriales matérialisées, puis en analysant les systèmes qu'elles composent, et enfin, en exposant les données concernant les éléments permettant le transit d'autrui ou le passage de la lumière, de la vue et de l'air que sont les portes et les fenêtres y compris les équipements susceptibles d'en interdire le franchissement.
En effet, si l'importance accordée à l'intégration de l'habitat au sein d'un système de limite est liée à l'expression de la propriété, elle l'est aussi à la notion de danger. Son évaluation permet donc de mesurer le taux d'insécurité ressentie et de déterminer l'objet qui la produit. Puisque la réalisation de limite est dépendante des besoins de protection éprouvée, entre autres - et ce rapport semble particulièrement étroit dans le cas d'habitats autoconstruits - elle en est une transcription, une traduction possible à lire et à interpréter.
En parallèle à l'observation du type de situation que l'habitant se choisit par rapport au voisinage, sera évaluées son attitude vis-à-vis de ses voisins et de l'espace public, mais aussi son attachement à la notion de propriété et à l'appropriation du terrain. Les caractéristiques des inter-relations qui surgissent dans une telle conjoncture sont susceptibles de révéler les principes psychologiques, mais aussi socio-culturels, des réalisations de la population de la Vallée.
(1) Voir annexe No 1 : Méthode d'analyse des systèmes de limites territoriales et d'accès aux habitats.
V.1. LES LIMITES TERRITORIALES
Dans un premier temps, nous n'avons pris en compte que les matériaux correspondant à un mur, c'est-à-dire, ceux des limites matérialisées à plus d'un mètre de hauteur (2), à l'exclusion des barrières ou haies.
V.1.a. Matériaux des limites construites :
a: parpaing (65%)
b: carton (18%)
c: bois (8%)
d: pierre (6%)
e: tissu (3%)
Après avoir comparé avec l'emploi des matériaux des maisons mêmes, nous constatons la similitude de matériaux employés à la construction des limites.
En effet, parallèlement à la présence plus importante de matériaux de récupération ou de mauvaise qualité, la forte présence de parpaings nous permet de formuler l'hypothèse d'un décalage hiérarchique très faible entre les murs des habitations et ceux des limites (3). L'espace enfermé par les murs de limite obtiendrait alors un statut proche des espaces intérieurs puisque cet espace devient un espace de transition au même titre que les espaces de transition internes créés par une conception architecturale occidentale - entrée, couloir, vestibule, etc. D'ailleurs, le climat mexicain permet de transposer ces espaces transitoires à l'extérieur.
Cette hypothèse sera corroborée lors de l'analyse de l'usage des portes (voir ch.III.2. : les structures
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2. En matière de dessin d'architecture, cette hauteur différencie les éléments importants des éléments secondaires. Si nous appliquons cette même définition à notre sélection, c'est donc pour ne prendre en compte ici que les murs, éléments forts des systèmes de limite.
3. Une évaluation culturelle de ce type d'observations situerait les modalités mexicaines près de celles des pays arabes. En effet, certaines caractéristiques de l'habitat nord-africain, comme l'importance des limites, ont été transmises sur le territoire américain par la colonisation espagnole. Elles sont par contre, très éloignées de celles des pays anglo-saxons.
La majorité des limites construites présente des hauteurs intermédiaires, mais plus d'un tiers intègre des limites de plus de 2 mètres.
V.1.b. Hauteur des limites construites :
a: de 100cm à 150cm (15%)
b: de 150cm à 200cm (50%)
c: de 200cm à 300cm (35%)
Ces limites correspondent à la forme complète de limites de défense : elles diminuent au maximum les possibilités de passage tant par des individus que des regards. Les extrêmes, qui atteignent 3 mètres, témoignent de l'importance accordée au risque de franchissement de la part d'étrangers. Nous constatons que, malgré les conditions économiques des habitants révélées par la précarité des habitats et le peu d'ancienneté des installations, la tendance générale est à border le terrain de murs de plus de deux mètres.
V.1.c. Les systèmes de limites territoriales
Pour pouvoir évaluer l'importance de la matérialisation des limites nous avons défini sept degrés déterminés selon les combinaisons de deux aspects. Le premier de ces aspects est constitué par l'intégralité des systèmes : un système complet est refermé sur lui-même, un système incomplet ne borde pas le terrain sur les quatre côtés, et un système inexistant ne présente, bien sûr, aucune mise en place de limite (voir fig. No 1 et 3).
Le deuxième aspect est constitué par la force des éléments qui composent ces systèmes : un système fort est composé exclusivement de murs puisqu'ils interdisent l'intrusion des personnes comme de la vue, un système faible est composé d'éléments faibles comme des barrières, des haies, des barbelés ou de simples fils de fer qui pourraient être facilement détruits ou enjambés, les système mixtes
présente la cohabitation d'éléments de ces deux types de forces, et les systèmes de force nulle se caractérisent par l'absence de matérialisation des limites. Ces cas sont, bien sûr, équivalent aux systèmes définis antérieurement selon l'intégralité comme inexistant (voir annexe No 03 : tabl. No.
4 - classification des systèmes de limites territoriales selon leur force et leur intégralité).
Nous pouvons observer que la moitié de notre échantillon présente des systèmes de limite complets (ph.15), un quart des systèmes incomplets et un autre quart n'en présente aucun.
Le quart des terrains qui ne présentent aucune limite matérialisée (ph.17) peut probablement être imputé à la jeunesse des installations de notre échantillon. La moitié des parcelles est entièrement entourées, et la moitié de ce même sous-échantillon est composée de parcelles entourées de matériaux de qualités diverses, associant des parties fortes à d'autres faibles. Cela indique un désir particulier de délimiter ces terrains malgré l'incapacité financière à réaliser quatre murs hauts. L'importance du besoin de matérialiser les terrains est aussi mise en évidence par le taux de terrains entourés totalement de limites faibles - barrières, fil de fer, grillage, etc - théoriquement provisoires.
Par ailleurs, pour corroborer notre précédente observation, soulignons qu'à peu près un tiers des systèmes, tous degrés d'intégralité confondus, n'est composé que de limites faibles (ph.16).
V.1.d. Répartition géographique des types de système de limite territoriale
La classification des systèmes de limites observées et la localisation des terrains étudiés nous ont permis d'entrevoir une répartition géographique dans la Vallée quant au degrés de matérialisation des limites (voir fig. 4). Ainsi la Vallée a été divisée en trois zones définies par la combinaison des niveaux de qualité et
d'intégralité des systèmes.
La première de ces zones - No 1 - réunit en majorité les systèmes les plus complets avec les limites les plus fortes. Elle correspond à la partie de la Vallée la plus proche de l'autoroute de Puebla, c'est-à-dire à la première étape de la transformation des terrains agricoles en terrains constructibles.
La seconde zone - No 2 -, intégrant des structures de limites territoriales moyennes ou/et incomplètes, se situent en bordure de la première.
Enfin, la troisième zone - No 3 - qui présente les limites territoriales les plus faibles voire inexistantes, se situe dans les colonies (4) les plus anciennes, antérieures à la transformation du lit de l'ancien lac en zone urbaine - San Miguel Xico, San Martin Xico et Cerro del Marqués. Ces colonies sont encore aujourd'hui à vocation fortement agricole puisqu'elles sont intégrées à un ejido.
V.1.e...Motifs de matérialisation de limite territoriale
La distinction que nous avons pu observer quant à la présence ou non de limite semble mettre en évidence le rapport entre le contexte social et les conceptions spatiales. Il semblerait, en effet, que le besoin de concrétisation des limites soit lié, dans le cadre de la Vallée, à une logique citadine : au sein de l'environnement urbain les colonies de la zone No 3, qui se distinguent des autres par leur statut administratif et leur passé, bénéficient de la complémentarité de deux éléments expliquant cette absence de concrétisation de limite. Tout d'abord, sur le plan de la sécurité, l'ancienneté des cohabitations permet la prépondérance d'un réseau de reconnaissance mutuelles sur les protections matérielles de la famille et de ses biens, ensuite, sur le plan de l'appropriation, la définition administrative de l'occupation et de l'usage des terrains, dans le cadre d'une société organisée sous la forme d'un ejido, prédomine sur
(4) De colonias : lotissements.
les besoins d'affirmation territoriale (5). Dans le reste de la Vallée, la faiblesse de la reconnaissance territoriale de la part des autorités administratives, d'une part, et, d'autre part, la faiblesse de l'intégration familiale au sein de l'environnement social seraient alors les principales causes de production de limite (ph.18) dans la Vallée.
Le fait que la zone déterminée par la présence de systèmes complets de limites fortes corresponde à l'urbanisation la plus dense et la plus ancienne de la cuvette du lac, indique que la tendance générale est à border chaque parcelle de ce type de limite. Outre les premiers éléments producteurs de limites matérialisées cités, la densité d'occupation de l'espace est aussi susceptible d'engendrer la construction de limites et les contraintes économiques en détermine la force puisque cette zone est peuplée par des familles qui ont atteint, en moyenne, un niveau économique supérieur à celles plus récemment arrivées des autres zones.
Les systèmes matérialisés de limites sont donc réalisés pour deux motifs directement lisibles : il s'agit, d'une part, de la recherche de sécurité, et, d'autre part, d'affirmation territoriale (ph.19).
Si les deux motifs sont généralement superposés, certains systèmes ne sont régis que par l'un des deux à l'exclusion de l'autre. Un cas de figure particulièrement expressif de l'une de ces exclusivités se révélera, par exemple, lors de l'installation d'une barrière complète qui entoure la maison sans englober la totalité de la parcelle. L'autre exclusivité se caractérisera, par exemple, par la mise en place de quatre pierres aux quatre coins du terrain de façon à définir le pourtour de la propriété par un système de bornes. Dans le premier cas les contraintes économiques ne permettaient que deux possibilités : entourer
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5. "...Dans d'autres circonstances, l'enracinement se fait directement par valorisation des cadres territoriaux..." - Claval P., *Le laboratoire "Espace et culture"*, Paris, France, 1981. D'ailleurs, certains habitants de la Vallée, originaires d'autres milieux ruraux n'ayant pas nécessairement une forme d'ejido, affirment que la construction de limite est un phénomène urbain.
le terrain par des limites légères se réduisant alors à un signalement, privilégiant l'affirmation territoriale, ou construire un système complet de limites fortes de défense ne satisfaisant que les besoins de sécurité ; dans le deuxième cas, les quatre pierres composent par leur signification un système de protection des droits de propriété minimal (6) (ph.20) sans chercher à protéger les habitants. Dans ces deux cas de figure, l'exclusion d'un des deux motifs a été dictée par les limitations du budget disponible.
Par ailleurs, nous avons pu remarquer l'installation de systèmes de limites antérieures à la construction de l'habitat. S'il s'agit parfois d'une opération de spéculation, c'est plus souvent la transcription matérielle des droits d'occupation acquis théoriquement lors de l'achat du terrain. Il s'agit, dans la plupart des cas de familles différant leur arrivée à la Vallée de façon à construire une maison de qualité. Ces personnes-là en sont en principe à leur deuxième installation en tant que propriétaire au sein de la conurbation de la capitale et proviennent fréquemment de Nezahualcoyotl - leurs motifs de déménagement sont alors le manque d'espace à Nezahualcoyotl et la mauvaise qualité de leur maison.
En réalité, le choix entre appropriation et sécurité ne semble pas être régi par des constantes et n'est que très rarement exclusif.
Par contre, nous n'avons pas constaté de construction de limites dans un but de protection météorologique - contre le vent et le froid. En effet, bien que la météorologie de la Vallée soit ressentie par la population comme étant directement liée aux volcans Ixtaccihuatl et Popocatepetl - considérés comme sources de refroidissement de l'air - aucune installation - limites, ouvertures ou orientation générale - ne démontre la prise en compte d'une telle
(6) "Le goût de casser des clôtures, d'adopter une pièce, de prendre possession d'un espace clos limite par les ciel et la chaussée ou à une façade. C'en est un coin à soi, une "maison", est un des lieux favoris des enfants." - Pichon 1973, La maison à Paris au XIXe siècle, France, Seuil, 1973, p.22.
contrainte climatique. La protection, lorsqu'elle est recherchée, est toujours déterminée par le contexte social, en particulier par le réseau de communication, public ou non, et non par rapport à l'environnement naturel.
Bien que la raison principale de réalisation de limites exprimée par la population soit la protection contre les voleurs - les trois quarts des personnes interrogées confirment la menace de vols -, les limites sont plus fréquentes entre voisins qu'entre les espaces privés et l'espace public. D'ailleurs, outre les absence de limite côté rue, la moitié seulement des terrains sont protégés par une porte. Si ces observations semblent corroborer notre hypothèse quant à l'importance accordée à l'appropriation territoriale, il faut prendre en compte l'influence des contraintes économiques : si l'on peut imaginer que les limites interoarcellaires sont partagées et présenteraient donc un coût deux fois moins élevé que les limites sur rue, en réalité, elles comprennent trois fois plus d'éléments - les deux limites latérales plus celle du fond du terrain - : délimiter son territoire du côté des voisins revient finalement plus cher. Ainsi, le très grand nombre de cas de parcelles ne présentant pas de limite construite sur rue, malgré la présence de celles bordant les propriétés voisines témoigne d'un très fort désir de séparation territoriale.
Par ailleurs nous avons pu constater que dans de très nombreux cas les limites entre voisins sont doubles : de cette façon chacun est propriétaires de son mur. Cette particularité correspond à une attitude particulièrement généralisée au Mexique, bien que puissent être envisagé d'autres méthodes (7), "Lo correcto es cada quien su barda; así no hay broncas !" (8) qui est déjà présente dans la
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(7) Dans les villages, un habitat serré permettait autrefois de profiter des murs existants pour y accéder les constructions nouvelles. Aujourd'hui, de nombreux constructeurs veulent éviter d'éventuels différends entre propriétaires mitoyens. Préfèrent construire sur des terrains plus larges et moins prisés." Fontaine R., Les maisons sous un... Le maison de pays, Guides d'architecte, Paris, 1974.
(8) Trad. : "Ce que tu fais c'est à toi, ça n'a rien à voir avec moi !"
Vallée dans plus de la moitié de notre échantillon.
V.2. LES PORTES ET FENETRES
Trois cas de figures concernant la localisation des portes ont été déterminés : tout d'abord, les portes communiquant d'un espace intérieur à un espace extérieur public - c - ; ensuite, les portes communiquant d'un espace intérieur à un espace extérieur privé - a - ; et enfin, les portes communiquant d'un espace intérieur privé à un autre espace intérieur privé - b.
V.2.a. Localisation des portes :
a: sur terrain (60%)
b: interne (36%)
c: sur rue (3%)
La comparaison entre le nombre de porte permettant les communications entre l'extérieur et l'intérieur - que ce soit sur la rue directement ou sur le terrain - avec celui des portes entre deux espaces intérieurs, nous amène à constater que ce dernier correspond pratiquement à la moitié du premier. Cette observation nous permettrait théoriquement d'imaginer un équilibre dans l'usage des portes, mais en réalité la très grande variété d'application de portes nous oblige à pondérer nos données puisque les cas extrêmes s'annulent lors de cette moyenne. Ces nombreux cas extrêmes correspondent, d'une part, à des habitats à pièces multiples reliées exclusivement par l'extérieur et, d'autre part, à ceux qui présentent deux pièces communiquant par plusieurs portes. Les premiers cas sont engendrés par une conception de type rural puisque, en l'absence de couloir, le seul moyen permettant d'avoir des pièces indépendantes est de considérer l'espace extérieur avoisinant comme espace de transition d'un intérieur à un autre, alors que les derniers sont la résultante d'une interprétation de conception urbaine, mais interprétation seulement puisqu'ils
comme ça il n'y a pas de problème !"
n'intègrent pas l'idée de sas de transition.
Les données concernant la localisation des portes ont été étudiées en deux parties : les portes permettant des communications de type extérieur/intérieur - a et c - et celles complètement internes - b. Dans la première série, nous avons remarqué le contraste entre le nombre très réduit de portes intérieures donnant directement sur la rue (3%) et celles donnant sur le terrain (60%).
Ce contraste exprime la force d'une tendance de type rural puisque le fait de concevoir des portes donnant directement sur la rue est caractéristique exclusivement de structures urbanistiques citadines ou villageoises. En effet, même lorsqu'il est terminé, l'aménagement des terrains ne comprend pratiquement jamais d'espace construit le long de la rue avec accès direct : les seuls cas observés correspondent à des boutiques. Ces espaces commerciaux sont alors suivis des espaces d'habitation proprement dite. Cette structure spatiale alliant différents degrés du caractère privé des espaces est le plus souvent conçue aujourd'hui par rapport à une priorité pour la protection de l'habitat : pour des raisons de sécurité, les communications entre le public et les commerçants ne se font plus, la plupart du temps, dans l'espace de la boutique mais à travers une fenêtre grillagée permettant de ne plus introduire les clients.
Les systèmes de sécurité des portes donnant sur l'extérieur sont traduits, d'une part, par la présence ou non de systèmes d'interruption des passages, et, d'autre part, par leurs efficacité. Les éléments composant ces systèmes sont, dans l'ordre, un rideau, un battant de porte, ou une serrure - ou cadenas - fermant à clé.
V.2.b. Sécurité des portes donnant sur l'extérieur :
a: battant de porte seul (25%)
b: battant de porte et rideau (23%)
c: battant de porte et clé (38%)
d: battant de porte, clé et rideau (13%)
A titre de battant de porte, nous avons pu considérer un simple panneau placé de façon à suspendre la possibilité de passage ; en effet, la définition de la porte a été déterminée par sa fonction - possibilité d'obturation de l'ouverture - et non sur des détails de mise en œuvre - gonds, serrures, etc. Les rideaux, par contre, prennent en principe la forme de pans de tissu accrochés au linteau de façon à substituer le battant de porte lorsqu'il est dégagé (voir plus loin).
Ainsi pouvons-nous observer que pratiquement la moitié des portes ne jouissent pas de la possibilité de fermeture à clé. Cette faiblesse des défenses au niveau du passage extérieur/intérieur est en fait souvent compensée au niveau des murs de clôture entourant les terrains privés par la présence de portails pourvus de clé (9). Ces portails ne donnent pas directement sur l'intérieur des habitats mais sur les espaces privés extérieurs, correspondant, plus souvent dans l'intention que dans les faits, à une cochera-garage -, et ces parcelles pourraient être amenées à accueillir, à la suite de l'épanouissement économique de la famille, un pavillon (10).
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9. "Non seulement les définitions du seuil varie mais le seuil lui même se trouve à des endroits différents dans l'espace total (drive)." A. Rapoport (Pour une anthropologie de la maison, p.108, 207p, Dunod, Paris, 1985.) de toute façon tel que l'affirme Paul-Levy F. et Segaud M. : "Le seuil est un médiateur" (Anthropologie de l'espace, 248p, CCI, Paris, 1983.).
10. Osmont A. au sujet d'un communauté citadine africaine : "Certains, modernistes, ont transformés leur maison de manière à la faire ressembler le plus possible à un pavillon de banlieue, avec sa clôture en ciment, des fleurs devant l'entrée située un peu en retrait pour permettre d'installer un petit jardin d'agrément, de type ostentatoire." (Une communauté en ville africaine : les castors de Dakar.
La distinction entre espace privé et espace public semble donc plus importante qu'entre espace intérieur et espace extérieur. Cette observation va dans le sens d'une conception de type rural : la propriété n'est pas envisagée en priorité comme l'acquisition d'un espace intérieur privé privilégié mais d'un terrain investi de fonctions variées (11).
Par ailleurs, nous avons constater que les espaces extérieurs formés par un simple toit protégeant de la pluie et du soleil - appentis, avancée du toit de la maison sur plus d'un mètre, etc. - sont très peu courants puisque seulement 15% de l'ensemble des parcelles en sont pourvues. Lorsqu'ils existent, ces toits posés sur quatre poteaux ou accolés à un mur sont, pour la plupart, destinés à protéger les personnes utilisant un lavoir. Le lavage à la main est en effet une des rares activités qui se pratique en extérieur. Pratiquement toutes les femmes interrogées déplorent d'ailleurs que la pollution de l'air ne leur permettent pas de laver quant elles veulent : les vents, très fréquents dès le milieu de la journée, soulevent, en période sèche, des nuages de poussière qui salissent le linge qui sèche. De la même façon, les habitants déplorent souvent le manque d'arbres pouvant leur offrir de l'ombre qui les oblige à se confiner à l'intérieur des maisons. Nous avons malgré tout rencontré quelques cas d'emplacements de lavoir à l'intérieur des maison en dépit de la difficulté d'y transporter l'eau et de l'évacuer. Les toits externes n'ont donc que très rarement une fonction d'espace de transition entre l'extérieur et l'intérieur, et confirment en cela la prédominance de la démarcation entre l'espace public et le privé sur celle entre l'extérieur et l'intérieur.
(11) Osmont nous fait part d'un même point de vue observe dans un cadre africain, par ailleurs en accord avec notre remarque du pas de page No 2 de ce même chapitre : "Cependant, à partir des transformations apportées depuis la construction des logements, on constate en fait que la véritable maison n'est pas l'édifice prévu au départ, mais l'ensemble de la parcelle." (Une communauté en ville africaine : les castors de Dakar, P.U.G., Grenoble, 1978.)
La présence de rideaux dans la moitié des cas de porte sur l'extérieur tend aussi à souligner le maintien d'un ural comportement de type rural : comme dans le cas des habitats traditionnels les plus défavorisés des milieux ruraux, les fonctions spécifiquement attribuées aux portes et aux fenêtres par les normes urbaines - le franchissement, personnel d'une part, et lumineux et visuel d'autre part - sont confondues en un seul élément (12).
Lors de l'analyse des données concernant les matériaux des portes et des fenêtres nous avons traité séparément les matériaux de structure des fenêtres et leur remplissage puisque leurs fonctions sont foncièrement différentes.
La très grande majorité des matériaux des portes et de structure des fenêtres des habitats étudiés correspond au métal.
V.2.c. Matériaux des portes et de structure des fenêtres :
a: métal (83%)
b: bois (17%)
La mise en œuvre des structures de métal est un des travaux d'atelier très courant à Chalco puisqu'elle ne nécessite pas de qualification particulièrement difficile à acquérir - il ne s'agit en réalité que de débiter puis de souder des profils et des plaques façonnées industriellement : la compétence nécessaire à ce travail est largement répandue. La facilité de se procurer des structures de fenêtres en métal explique partiellement sa
12. Traditionnellement en milieux ruraux, la porte n'interdit le passage que durant les périodes de veille des occupants de la maison - cette fonction de nuit et d'activité nocturne -, le reste du temps l'ouverture est contrôlée par un rideau destiné à interdire l'accès de différents animaux, de la poussière et des rayons du soleil, tout en permettant la ventilation et l'éclairage indirect. Les portes ne sont en principe condamnées que lors de l'absence des occupants. Cette défense ne semble être abolie que aux yeux des habitants alors qu'ils considèrent leur propre défense comme étant intrinsèque à eux-mêmes.
fréquence. Les différents inconvénients des structures de bois - parasites, instabilité à l'humidité ambiante... - accentuent la préférence.
Malgré cela ou de ce fait, les 17% de cas d'emploi du bois que nous avons rencontré sont révélateurs. Les fenêtres et les portes en bois sont en fait plus chères et correspondent toujours à un style de maison déjà déterminé comme étant le modèle casa campesina, les habitants de ces maisons expriment clairement que le choix de ce matériaux a été fait en référence à la ruralité (voir ch.IV.2 : les finitions des habitats).
A l'inverse des observations précédentes concernant les structures des fenêtres, le choix de leurs matériaux de remplissage ne semble pas être lié à une préférence mais exclusivement aux possibilités économiques.
V.2.d. Matériaux de remplissage des fenêtres :
a: verre (87%)
b: plastique (10%)
c: papier ou toile (3%)
En effet, toutes les fenêtres sont destinées à être équipées de carreaux de verre puisque, lorsque le verre n'est pas employé il est substitué uniquement par des matériaux provisoires de récupération.
La fenêtre est un système moderne d'ouverture destiné à permettre trois types de passage : le passage de l'air, celui de la lumière et celui de la vue alors que les constructions traditionnelles rurales du Mexique dissocient deux de ces fonctions : l'aération se fait, en général, par des trous ménagés entre le haut des murs et la charpente du toit alors que la lumière et la vision transitent par la porte puisque ces constructions ne prévoient pas d'autre ouverture. Le fait de retrouver dans la Vallée des habitats - ce sont la plupart du temps ceux composés d'un bâtiment d'une seule pièce - sans fenêtre, et surtout sans ouverture réservée dans les murs en attente de pouvoir l'équiper de panneaux vitrés comme cela est relativement fréquent,
semblent indiquer qu'il s'agit bien là d'une conception rurale. D'ailleurs les habitants de ces maisons le confirment : "Nosotros, así hacemos las casas del rancho, sin ventana. Estamos acostumbrados." (13).
Puisque la fenêtre est, comme nous venons de l'exposer, un élément purement moderne, elle semble être difficilement dissociable de la totalité de ses fonctions : par exemple, nous n'avons pas rencontré de fenêtre définitive ne permettant que le passage de la lumière sans celui de la vision - à la manière, par exemple, de certaines fenêtres japonaises. Par ailleurs, pour la même raison qui fait qu'elle intègre par principe un vitrage, le "système fenêtre" est toujours conçu comme devant être associé à un sous-système d'occultation léger puisque 63% des fenêtres sont pourvus de rideaux. En fait, l'application de rideaux est un élément du "système fenêtre" qui pourra se faire ultérieurement mais est jugé incontournable ; les rideaux sont souvent considérés, au Mexique, comme un équipement de base. C'est ainsi que les logements à louer sont souvent équipés des meubles sanitaires, cuisinières et rideaux.
D'autre part, nous avons pu observer qu'un assez grand nombre de fenêtres sont équipées d'un système protecteur, c'est-à-dire de grilles, puisque 23% en sont pourvues. La tendance à appliquer les fenêtres sous leur forme complète agit donc tant au niveau des avantages qu'elles peuvent offrir, comme nous venons de le voir - aération, lumière, vision -, que de leurs contrôles - rideaux - ou des contre-parties - interdire leur franchissement.
Les trois matériaux de remplissage provisoires que nous avons rencontrés sont des feuilles de plastique - sacs déployés offerts dans les boutiques -, du papier - affiches publicitaires -, ou encore de la toile - de costal (14).
13. Trad. : "Nous avons, on fait les maisons comme ça à la ferme, sans fenêtre, on y est habitué."
14. Costal : sac à usage agricole couvant environ 50 kg de maïs. Il est réalisé aujourd'hui en fibres de polyester translucides. Cette particularité, et sa légèreté, en font un matériau très facile à fixer et qui laisse passer la lumière, sa relative qualité vaudoue à ce remplissage circulaire un rôle critique de celui à la façade.
Une forte proportion des pièces étudiées - près du quart - se caractérise par l'absence de fenêtre.
V.2.e. Densité des fenêtres par pièces :
a: absence de fenêtre (22%)
b: 1 fenêtre (61%)
c: 2 fenêtres (14%)
d: 3 à 6 fenêtres (2%)
C'est sûrement pour cette raison que nous avons pu observer un type d'ouverture original : en effet, 15% des portes donnant sur l'extérieur se voient attribuer une des fonctions normalement réservées aux fenêtres par la présence d'une petite vitre intégrée en partie supérieure de la porte. Le seul but d'une telle installation est le passage de la lumière à l'exclusion de celui de l'air, puisque le vitrage ne s'ouvre pas, et de celui de la vision, puisque le vitrage est situé au dessus de la hauteur des yeux - à peu près entre 1,60m et 2,10m. Cette association est la résultante de l'intégration d'une caractéristique rurale traditionnelle - l'absence de fenêtre - à une nécessité imposée par la densité d'un milieu urbain - fermer sa porte même lorsqu'on est dans la maison.
Malgré cette faible proportion la priorité est au système le plus simple et le plus économique incorporant l'usage de fenêtre : en effet, les deux tiers des pièces se voient équipées d'une unique fenêtre.
À l'opposé des cas d'absence de fenêtre, nous constatons la présence de 3 et même de 6 fenêtres pour une même pièce. Ces cas extrêmes transissent chez certains habitants de la Vallée un désir de modernité : les instigateurs de ces excès avouent effectivement avoir par ce choix désiré estar ai tanto (15).
V.3. LES PROTECTIONS SPATIALES : CONCLUSION
La simple analyse des systèmes de limite à l'échelle de
15. Trad.: être au goût du jour.
quarante unités d'habitation a mis en évidence la variété de leurs contextes et des mises en œuvre, mais aussi l'importance de la tendance générale à affirmer les limites territoriales (16), tant dans un souci de protection du territoire que de ses habitants et de leurs biens.
Le besoin de concrétisation des limites, dans le cadre de la Vallée, est lié, d'une part, à la recherche de sécurité engendrée par le manque d'ancienneté des cohabitations puisque les limites sont toujours déterminées par le contexte social, et, d'autre part, à la recherche d'affirmation territoriale en raison du manque de définition administrative de l'occupation et de l'usage des terrains. La matérialisation des limites est alors la transcription matérielle des droits d'occupation provoquée par un fort désir de séparation territoriale dont témoignent l'accumulation de murs entre voisins.
La densité d'occupation de l'espace est aussi susceptible d'engendrer la construction de limites alors que les contraintes économiques en déterminent la force.
Les limites matérialisées ne sont par contre jamais construites par rapport à l'environnement naturel.
D'une manière générale, la construction de murs d'enceinte est souvent perçue comme une particularité urbaine. D'ailleurs les habitants d'origine rurale en font un usage nouveau pour eux puisqu'elles permettent, entre autre, de créer un espace de transition entre la rue et la maison en installant le seuil virtuel au niveau des limites. Mais, si les espaces de transition sont caractéristiques, sous différentes formes internes, des conceptions architecturales occidentales, les habitants de la Vallée les intègrent sous une forme externe qui reste, malgré tout,
(16) "Il serait faux de croire que la pratique de la clôture qui se joue dans le rite de l'installation s'associe, comme on le dit souvent, à un désinvestissement de la vie sociale environnante. Les interviewés disent le contraire, ou nous retrouvons la dialectique du fixe et du mobile : il est nécessaire d'avoir un lieu à soi pour être ouvert et disponible à ce qu'il y a autour." - Jarreau P., *Du bricolage : Archéologie de la maison*, Paris, France, CCI, 1985. (p.115).
L'analyse des systèmes de transition nous a permis de constater la présence de certains traits culturels tant d'origine rurale que moderne et métissé.
En effet, l'existence de schémas spatiaux intégrant des communications externes n'est justifiable qu'en référence à une conception rurale comme nous l'avons exposé précédemment dans la conclusion du chapitre IV. concernant les communications entre l'habitat proprement dit et les sanitaires. Le cas de présence de transition d'un espace interne de l'habitat à un autre espace interne de ce même habitat est d'autant plus significatif. De même, la prédominance de la démarcation entre les espaces public et privé sur celle entre l'extérieur et l'intérieur est dérivée des habitudes liées aux milieux ruraux. Cette dernière observation est d'ailleurs confirmée par le très petit nombre de toits externes susceptibles de souligner une fonction de transition entre l'extérieur et l'intérieur.
Le positionnement des portes nous a aussi offert quelques indices de résurgence de traits de type ruraux : c'est ainsi que le nombre réduit de portes intérieures donnant directement sur la rue par opposition aux structures citadines ou villageoises, la présence de rideaux de porte et les portes attribuées d'une fonctions normalement réservées aux fenêtres, sont révélateurs de la conservation de comportements de type rural de la même façon que les nombreuses pièces sans fenêtre.
Par contre nous avons constaté une modernisation générale imposée par le niveau économique global de la population et par le peu de variété des produits disponibles - fenêtres et portes. Cette modernisation de base est simultanément produit et productrice d'homogénéisation. Cette modernité est tout particulièrement représentée par la fenêtre dont la tendance est à être appliquée sous une forme complète tant au niveau de système de défense, que de leur potentiel et de ses modulations ; certaines accumulations de fenêtres sont la traduction directe d'un désir de modernité.
activement recherchée.
Une démarche opposée, puisqu'elle émane de population d'origine citadine, à celle à laquelle nous venons de faire référence consiste à s'équiper de fenêtres à structure de bois de façon à se rapprocher du modèle casa campesina ce qui nous autorise à affirmer que cohabitent et se combinent au sein de la Vallée - selon deux phénomènes diamétralement opposés et avec des résultats radicalement différents - la persistance et la re-création de traits de référence rurale.
VI. LE VECU DES HABITATS
Nous avons analysé le vécu des habitats à travers l'assignation des fonctions au niveau des pièces, d'une part, puis d'autre part, à travers le mobilier.
L'analyse des fonctions a été réalisé en deux temps : le premier concerne les fonctions de base liée à l'habitat, à savoir le repos, la préparation des repas, la restauration, et l'hygiène corporelle ; le deuxième est complémentaire du premier puisqu'il analyse deux fonctions secondaires, à savoir les fonctions 'travailler' - à l'exclusion des activités réalisées dans un cadre professionnel : boutiques, atelier, etc., mais incluant par exemple l'exécution des devoirs scolaires - et 'recevoir'.
VI.1. LES FONCTIONS DE BASE
Traditionnellement les premières fonctions à être séparées des autres sont celles liées aux repas, et elles sont d'ailleurs le plus souvent dépendantes l'une de l'autre. La fonction 'se laver' qui concerne donc l'hygiène corporelle est, elle, traditionnellement lié, au Mexique, à l'intimité : elle y est donc souvent associée au repos (1) (voir annexe No 03 : tabl. No 5 - accumulation des fonctions de base par pièces).
Pourtant les pièces réservées au sommeil, pouvant donc être appelées chambres à part entière, occupent plus du tiers de l'ensemble des pièces - 36%. La fonction 'dormir' est donc, aujourd'hui dans la Vallée, celle qui requiert en priorité son exclusivité. Cette particularité est liée à la fois à l'accession à la modernité, mais aussi à la réussite économique de la famille (voir ch. NoII.2.). Ensuite viennent, dans l'ordre, quelques cas d'exclusivité des fonctions 'manger', 'se laver' et 'cuisiner'. Il y a donc
(1) En France, entre autre, l'hygiène corporelle s'y contraste, l'hygiène s'y associe dans les milieux citadins du semi-citadins pauvres à la circulation des idées en raison de sa dépendance aux réseaux d'arrivée et d'évacuation d'eau.
très peu de cas de salles à manger - 4% -, de salles de bain - 2% ce qui s'explique par l'absence des réseaux d'eau - et de cuisines proprement dites - 1% -, nous verrons par la suite qu'elles sont en effet le plus souvent associées, soit entre elles, soit à d'autres fonctions.
A l'opposé de ces pièces ne présentant qu'un seul usage, nous pouvons observer que 11% des pièces regroupent toutes les fonctions : il s'agit la plupart du temps des habitats les plus défavorisés puisqu'ils ne sont composés que d'une seule pièce ou le nombre de celles-ci n'est de toute façon pas suffisant pour séparer les fonctions. Que ce soit par obligation ou par choix, ce type d'habitats, comme nous l'avons déjà vu, s'assimile à notre type de référence (voir ch. NoIII.2.).
Les accumulations moyennes - de deux ou trois fonctions - sont les plus révélatrices puisque elles sont le résultat de choix opérés par la maisonnée lors du solutionnement de la problématique d'accumulation des fonctions alors incontournable.
Parmi ces deux catégories et malgré le nombre relativement important que représente l'association logique des deux fonctions liées aux repas - cuisiner et manger : 14% -, il est plus courant de cuisiner ou manger où l'on dort - 18% des cas. Nous trouvons de plus petites proportions de cumul, entre autres ou exclusives, des fonctions 'dormir' et 'se laver' - 13%, puis des fonctions 'se laver' et une fonction de restauration - 7%. La grande fréquence d'association de la fonction 'se laver' avec une ou plusieurs autres - 17%, les deux proportions précédentes pouvant ce chevaucher - témoigne du manque d'espace sanitaire spécifique.
Lors de l'analyse de l'ensemble des fonctions de base et secondaires (voir annexe No 03 : tabl. No 6 - accumulation de toutes les fonctions par pièces) nous n'avons rencontré qu'un cas de bureau à proprement parler. Par contre les 6% de salons que nous avons rencontré démontrent que les fonctions de sociabilité sont importantes puisque un pièce leur est réservée dès que les moyens
économiques le permettent. De toutes façons les habitants de seulement 20% des maisons affirment ne recevoir personne, ce qui confirme à nouveau l'importance des liens sociaux déjà observée lors de l'analyse des sanitaires (voir ch.No III.3.) et de la réalisation des habitats (voir ch.No II.2.).
VI.2. LES MEUBLES SANITAIRES
Comme nous l'avons déjà vu, la Vallée n'offre pas d'eau courante, pourtant nous avons pu constater la présence de 11 lavabos et de 3 douches, il s'agit donc d'installations préventives.
En réalité, au jour de l'enquête, les habitants de la Vallée utilisent deux systèmes pour se laver : soit le baño ranchero (2), soit le lavadero (3). Le premier, consiste à se laver à l'ancienne dans une bassine, le second à se débarbouiller dehors au lavoir - chaque maison possède normalement son lavoir. Mais cette dernière solution oblige les femmes à se laver avant le lever du soleil comme elles le faisaient autrefois au ranch pour éviter les regards déplacés.
Nous avons par ailleurs rencontré - hors enquête - l'installation récente d'un temascal (4) dans une des maisons de la Vallée. La présence de ces bains de vapeur d'origine précolombienne dans cette zone nouvellement urbanisée témoigne d'un cas de conservation d'une habitude qui n'existe plus que très rarement dans les campagnes.
VI.3. LA LITERIE
Plus de la moitié - 56% - des pièces d'habitation servent à dormir comme en témoigne la présence de lit.
---
2. Trad. lit. : bain fermier.
3. Trad. : lavoir.
4. Trad. : bain de vapeur.
VI.3.a. Densité des lits par pièce :
a: absence de lit (44%)
b: 1 lit (23%)
c: 2 lits (21%)
d: 3 lits (9%)
e: 4 lits (2%)
f: 5 lits (1%)
Pourtant, comme nous venons de le voir, ces pièces ne peuvent pas être systématiquement appelées "chambre" puisque nous avons déjà constaté que la plupart des habitats de la Vallée présentent des pièces multifonctionnelles proche de notre référence rurale (voir ch. No VI.1. et III.2.).
Par ailleurs, le calcul annexe d'occupation des pièces présente une moyenne de 3,7 dormeurs par pièce assignée à cette fonction.
En fait, même lorsqu'il ne s'agit pas d'habitats d'une seule pièce, la fonction 'dormir' est le plus souvent regroupée au sein d'un seul espace. Les lits n'étant que rarement distribués dans les différentes pièces, nous en déduisons que les pièces ne sont que rarement associées à une ou plusieurs personnes à l'exclusion du reste de la famille - même pour les parents - mais bien plus facilement à une fonction. C'est-à-dire que, les espaces n'étant pas vécus par rapport à la qualité des occupants, leur différenciation n'est pas liée à une recherche d'intimité ou de hiérarchisation. Il nous semble qu'une telle particularité est régie par une réminiscence de comportements conditionnés par les maisons à pièce unique des milieux traditionnels défavorisés ; certains commentaires des habitants expliquent cette volonté affirmée de dormir groupés dans une même pièce par habitude - cette habitude, leur, semblerait, d'ailleurs, traumatisante à transgresser (5).
(5) Le même avis, enregistré par Bonnin lors d'une enquête dans un village de France, démontre que ce comportement est traditionnel des campagnes : "Autrefois, on était bien quand on était serrés... On était bien content..." dans Reinterprétation des structures sociales en Margeridez. In Etnologie française, N°1, 1981.
Une sur-densité d'occupation semble aussi se révéler au niveau des places de lit.
VI.3.b. Capacité des lits :
a: place de lit double (73%)
b: place de lit simple (24%)
c: berceau (3%)
Par le calcul du nombre de places offert par ces lits, nous obtenons un total de 157 places théoriques - 2 par lit double et une par lit simple et berceau - alors que l'échantillon comprend 192 personnes : le taux d'occupation des lits dépasse donc théoriquement les 120%.
En réalité, outre l'observation de quelques cas de lits régulièrement non-occupés - réservés aux visites - et d'autres occupés partiellement - lit dit matrimonial occupé par une seule personne -, deux particularités faussent la collecte de ces données. D'une part, une première difficulté réside dans l'appréhension de la literie des enfants en très bas âge en raison d'une forme traditionnelle de berceau Mexicain. Il s'agit d'un hamac composé de deux cordes fixées aux murs et réunies par une couverture pliée en trois. Lorsque le bébé ne l'occupe pas, cette installation est démontée et ses éléments ne sont plus qu'une couverture et du cordage. D'autre part, la fonction 'dormir' n'est pas systématiquement traduite par un lit. En effet, dans de nombreux foyers certaines personnes dorment sur le sol - en principe les enfants, mais parfois aussi la grand-mère - selon une habitude traditionnelle, d'ailleurs déjà observée par Oscar Lewis au milieu du siècle dans les courées de la ville de Mexico : ils dorment sur un petate - natte - ou, à défaut, sur des cartons déployés. Cette habitude, si courante en milieu rural défavorisé se transforme en un comportement simplement pauvre lorsqu'elle est reproduite en milieu urbain. Il s'agit alors d'un phénomène de transposition imposé par les contraintes économiques.
Quoi qu'il en soit, la densité d'occupation des lits reste très forte et, selon les dires des habitants interrogés, cette particularité est par ailleurs souvent
mise consciemment à contribution dans la recherche d'un contrôle des naissances. Nous avons ainsi découvert que deux types de combinaisons des éléments des familles tendent à éviter les contacts entre les époux :
- dans un premier cas, le dernier né est placé entre les deux conjoints dans le lit double ;
- dans un deuxième, les différents individus sont regroupés selon leur sexe : la mère dormira avec ses filles et le père avec ses fils.
VI.4. LES SIEGES
Après comptabilisation des places de canapé et de fauteuil nous constatons que les habitats de la Vallée n'en sont que rarement pourvus puisque beaucoup de pièces n'en sont pas équipées.
VI.4.a. Densité des places de fauteuil et/ou canapé par pièce :
a: aucune (68%)
b: de 1 à 3 places (18%)
c: de 4 à 5 places (10%)
d: de 6 à 9 places (5%)
Nous ne considérons ici que les places assises de fauteuils et/ou de canapés à l'exclusion des chaises et tabourets puisque ceux-ci feront, en raison de leurs différences de fonctions et de contenu culturel, l'objet d'une analyse à part.
Le nombre relativement élevé de pièces offrant plus de cinq places de fauteuil est particulier à la conception moderne mexicaine de ces éléments d'ameublement. En effet, au Mexique, le fauteuil seul est très peu utilisé, puisque les canapés sont vendus sous la forme de sala, ensemble formé d'un canapé de trois places, un autre de deux, et un fauteuil. Il est évident que, dans ces conditions, il devient plus difficile de se permettre l'acquisition d'une sala entière.
D'autre part, nous constatons, en nous référant au taux d'occupation des lits précédemment exposés, que le peu de
canapés disponibles ne permet pas aux habitants de la Vallée de les utiliser comme literie, d'autant plus que nous pouvons déduire de l'observation précédente que ceux qui en disposent doivent aussi disposer de suffisamment de lits en raison du niveau économique que la présence de canapés implique. Ceci dit, nous pouvons aussi imaginer que la priorité à l'accueil ou à l'image de marque puisse parfois être plus importante que le confort quotidien des habitants eux-mêmes.
La moyenne globale des chaises et tabouret est de trois et demi par maison pour une population moyenne de près de cinq personnes - 4,8 - par habitat. Mais plus de la moitié des pièces sont dépourvues de sièges.
VI.4.b. Densité des chaises et/ou de tabourets par pièce :
a: pas de siège (59%)
b: de 1 à 2 sièges (17%)
c: de 3 à 5 sièges (16%)
d: plus de 6 sièges (8%)
La distribution très irrégulière nous indique que l'utilisation des chaises et tabourets n'est pas encore effective dans tous les foyers, et cela nous a permis d'observer des comportements ancestraux (voir ch. No .III.2.) lié à l'absence traditionnelle de meubles des habitats simples des campagnes - comme travailler a cuclillas (6).
Une étude des matériaux apparents des chaises et/ou tabourets - c'est-à-dire des structures visibles et des finitions - met en évidence un équilibre entre l'usage du plastique et celui du bois dans la fabrication des sièges.
VI.4.c. Matériaux apparents des chaises et/ou tabourets :
a: bois (35%)
b: plastique (35%)
c: métal (21%)
d: toile (8%)
(6) trad.: accroupi.
Le fait de rencontrer un bon quart de sièges présentant du plastique est révélateur de la distribution de meubles industrialisés alors que la même proportion de sièges utilisant le bois témoigne de la pérennité du travail artisanal du bois.
Apparemment, l'accès à une production en série impliquée par la présence de produits industrialisés permet aux habitants de la Vallée d'acquérir des sièges rembourrés, et de cette façon, d'obtenir un certain confort. En effet, puisque les matériaux peuvent cohabiter au niveau d'un de ces sièges - par exemple : chaise à armature de bois et assise rembourrée recouverte de plastique -, la comparaison des taux de présence des matériaux de structure et ceux de finition nous permet d'établir le taux de sièges rembourrés. Ainsi nous observons que parmi les 56% de matériaux de structure, obtenus par addition des taux de bois et de métal, 43% bénéficient de finitions - plastique et tissu, c'est-à-dire plus de 75% de la totalité des chaises et tabourets.
Le confort de ces sièges, bien que réduit, leur permet de compenser, d'une certaine façon, l'absence de canapés et de fauteuils.
VI.5. LES TABLES
Contrairement aux sièges, la moitié des tables est faite de bois ou de dérivés du bois - contreplaqué, aggloméré, etc.
VI.5.a. Matériaux des tables :
a: bois et dérivés (51%)
b: métal (27%)
c: plastique (20%)
d: verre (2%)
Une première explication à cet important usage du bois au niveau du mobilier pourrait résider dans la facilité de mise en œuvre de ces matériaux et dans la présence de nombreux artisans du bois. Il existe au sein de la Vallée de
nombreux carpinteros (7) venus comme la plupart des autres habitants de milieu rural. N'ayant pas l'opportunité de travailler en tant que charpentiers dans le cadre la nouvelle urbanisation (voir ch. No IV.2. : matériaux des toits), ils fabriquent des meubles simples - chaises, tables, rangements... - qu'ils revendent par colportage. La petite échelle de ce genre de distribution favorise la production artisanale. La majeure partie du bois ainsi utilisé est du bois de récupération.
La fréquence de tables en bois est plus élevé que celle des chaises du même type. Si la fragilité des sièges de bois fournit une explication, le fait que la demande de sièges soit normalement plus importante que celle de tables - on se passe plus facilement de table, d'une part, et, d'autre part, une table implique souvent l'usage de plus d'une chaise - en est une autre. Ces deux explications justifient la tendance à une production en série de sièges alors que celle des tables restent plus facilement artisanales.
Comme dans les cas déjà exposés des sièges, la répartition des tables témoigne d'une distribution irrégulière.
VI.5.b. Densité des tables par pièce :
a: 0 table (57%)
b: 1 table (32%)
c: 2 tables (9%)
d: 3 tables (2%)
e: 4 tables (1%)
La plus ample catégorie correspond à la proportion de pièces dépourvues de table. Nous en déduisons qu'un certain nombre de maisons n'a pas la jouissance de table puisque, d'une part, cette proportion dépasse la moitié de l'échantillon de pièces - 57% -, et que, d'autre part, la moyenne de celles-ci est de 2,2 par maison.
7. Trad. : charpentiers ou/et menuisiers. Il n'existe en espagnol qu'un seul terme pour les deux spécialistes du travail du bois et de ses dérivés. Le travail du bois reste traditionnel dans la plupart des régions du Mexique.
Nous rappelons que la table n'est pas un élément traditionnel de l'ameublement au Mexique (voir ch. No III.2.) avant de commenter la typologie des tables rencontrées. La table, plus que tout autre élément de l'ameublement est donc culturellement associée par les Mexicains à certains aspects de la modernité et à la réussite et va, de fait, en relation avec l'écriture et l'éducation.
Nous avons déterminé quatre catégories de tables en fonction de leur surface - de plus ou moins un demi-mètre carré - et de leur hauteur - de plus ou moins 75 cm, c'est-à-dire impliquant l'usage d'une chaise ou non.
VI.5.c. Typologie des tables :
a: haute et petite (59%)
b: basse et petite (18%)
c: haute et grande (16%)
d: basse et grande (7%)
La faible présence de tables hautes nous amènerait donc à l'associer avec le faible niveau d'éducation des habitants de la Vallée ; en réalité, la relativement forte présence de tables basses - 25% - nous permet d'imaginer un usage original de ces tables : peut-être sont-elles utilisées en association avec la position agenouillée, traditionnelle à de nombreuses tâches ménagères. Dans ce cas, les tables basses deviendraient des tables de travail compatibles à la fois avec des usages modernes comme l'écriture et avec un gestuel traditionnel. Cette hypothèse peut être d'autant mieux envisagée que les fonctions normalement attribuées aux tables basses par leurs concepteurs sont plutôt décoratives que fonctionnelles. De ce fait, elles ne semblent pas être adaptées aux nécessités de la population de la Vallée. Les habitants de la Vallée se réapproprieraient une fonction esthétique exclusivement moderne par une adaptation à un type de fonctionnalité conforme à leur culture initiale, celle des milieux ruraux défavorisés.
Lors de cette adaptation, les enfants pourraient jouer un rôle essentiel : les tables basses peuvent, en effet, avoir été achetées pour servir de "bureau" à ces apprentis.
de l'écriture. Ainsi, cette table sera remplacée par une table haute, à l'échelle familiale, lorsque les besoins des fils se transformeront en fonction de leur croissance. Cette table haute sera alors intégrée au foyer selon les normes modernes. Cette proposition d'évolution n'est malheureusement qu'hypothétique étant donné que nous n'avons pas pu enquêter à ce sujet après l'avoir soupçonné.
VI.6. LES RANGEMENTS
Lors de l'analyse des rangements nous n'avons pas pris en compte certains espaces secondaires - sanitaires, sas, boutiques, etc.
Nous avons défini, pour faciliter l'exposé des données, les espaces par rapport à leur fonction lorsque celle-ci est unique - les salons où l'on ne fait que recevoir, les salles à manger où l'on ne fait que manger, les cuisines et les chambre. Puis, nous avons désigné les pièces par rapport à la prédominance de certaines fonctions : les espaces où l'on cuisine et se lave sont ici considérées comme cuisines ; ceux où l'on dort et reçoit sont des chambres ; enfin ceux qui accueillent plus de trois fonctions sont des pièces polyvalentes.
C'est ainsi que nous avons pu observer, outre 2% de pièces réservées au rangement, que 20% de la totalité des pièces considérées ne jouissent pas de rangement.
VI.6.a. Pièces n'étant pas pourvues de rangement :
a: pièces avec rangement (80%)
b: chambre (8%)
c: salle polivalente (6%)
d: cuisine (4%)
e: salon (1%)
f: salle à manger (1%)
Quant au meubles de rangement nous constatons que 80% sont en bois dont un quart de moins d'un mètre cube.
VI.6.b. Type et fréquence des rangements rencontrés :
a: en bois de +
d'un mètre cube (60%)
b: en bois de -
d'un mètre cube (20%)
c: barils (12%)
d: cartons (8%)
En dehors de ces rangements nous avons rencontré dans 20% des cas l'utilisation d'emballages de récupération, à savoir, des barils et des caisses de carton. D'autre part très nombreux sont les habitats où les rangements se font de façon hétéroclite puisque nous y avons rencontré, en complément des rangements précédemment cités ou de façon exclusive, des vêtements empilés sur des étagères - malgré tout très rares -, sur des chaises ou tabourets, pliés ou non dans des costals, des sacs suspendus aux murs, ou des paniers. Les sacs suspendus aux murs et les paniers sont des habitudes rurales (8) et traditionnellement mexicaines (voir ch. N° III.2.).
VI.7. LE VECU DES HABITATS : CONCLUSION
De l'étude des fonctions et des sièges, nous retenons la tendance à la généralisation des chambres selon une logique moderne puisque nous avons déjà rencontré plus d'un tiers de pièces réservées au repos.
Par contre de nombreuses particularités témoignent de façons diverses de l'aspect rural de certains comportements. Tout d'abord nous retrouvons au Mexique une attitude de regroupement de la maisonnée au sein de l'habitat qui existe aussi en France dans les milieux ruraux, désignant comme une caractéristique rurale le manque, imposé par les conditions économiques puis par l'habitude, de recherche d'intimité ou de hiérarchisation des espaces.
Plus caractéristique de la pauvreté nous avons rencontré un taux très élevé d'occupation des lits et la
8. Par exemple, dans la Sierra Norte de Puebla, les cestacas accrochées aux murs des maisons sont les seuls rangements traditionnellement prévus. Ce système permet de protéger les affaires des animaux et de l'humidité des sols.
très petite présence de canapé ou fauteuil. D'un manière générale, en effet, la moitié des pièces est dépourvue de sièges, ce qui peut être imputé à des comportements particulièrement mexicains liés à l'absence de meuble et à l'habitude de la position de travail accroupi. D'autres indices de pérennité de la mexicanité nous sont fournis par le fort taux de pièces multifonctionnelles, par la forme traditionnelle de berceau mexicain, par l'observation de l'usage d'une forme de berceau mexicain, de petate, et de bains de vapeur traditionnels.
Par ailleurs, la grande fréquence d'association de la fonction 'se laver' avec une ou plusieurs autres témoigne du manque d'espace sanitaire spécifique dû probablement à l'absence des réseaux d'eau et donc en principe provisoire.
VII. CONCLUSIONS
A travers la définition de nouvelles modalités comme celles appliquées à la notion de dualité extérieur/intérieur de l'habitat ou à celle de privacia et après avoir retranscrit les originalités culturelles qui particularisent la population de la Vallée de Chalco, nous avons voulu ébaucher l'image de son identité culturelle actuelle par le biais de la transcription de son rapport à l'environnement privé.
Les habitants de la Vallée, originaires de milieux ruraux dans deux tiers des cas, y ont, la plupart du temps pour la première fois, obtenu le pouvoir d'acquérir un terrain situé dans la zone en voie d'urbanisation de la capitale. Cet achat leur permettra d'y réaliser l'habitat familial avec les avantages que peut offrir le statut, même s'il n'est pas toujours très clair, de propriétaire. Le cadre de vie antérieur de ces habitants correspond pour plus des trois quarts au District Fédéral où ils étaient locataires. Ces familles se trouvent donc à une étape de réalisation sociale importante : nous avons ainsi eu l'occasion, par cette recherche, d'étudier la première matérialisation résultante de la richesse de leur expérience de logement dans le cadre d'un milieu urbain en gestation (1).
VII.1. TRADUCTIONS D'ADHESIONS CULTURELLES DANS L'HABITAT ET SON VECU
Dans le but d'évaluer l'influence des impacts culturels auxquels ils ont été soumis, nous avons fondé nos réflexions sur la schématisation des concepts à multifacettes de modernité et de tradition que nous avons exposée dans le chapitre III.2.
Le déroulement de notre étude nous a amené à compléter nos deux repères culturels de départ - tradition-ruralité-
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1. Voir "persistance et changement" Rapoport A. in : Pour une anthropologie de la maison. p.108. 207p, Dunod, Paris, 1985.
mexicanité et modernité-urbanité-occidentalité - par un premier élément qui nous est apparu comme ayant une influence fondamentale, à savoir la pauvreté, puis un second qui s'est imposé comme une résultante de l'histoire de notre terrain d'étude, à savoir le métissage.
Nous allons donc énumérer ici les traits relevant des quatre catégories suivantes :
- pauvreté exclusive ;
- tradition-ruralité-mexicanité exclusive ;
- modernité-urbanité-occidentalité exclusive ;
- métissage.
VII.1.a. Pauvreté exclusive :
Ne sont regroupées dans cette catégorie que les caractéristiques dont la justification ne peut être imputée qu'à la pauvreté actuelle des habitants :
- l'habitat, conception et construction :
.élaboration à tendance évolutive selon deux axes indépendants ;
.grande rapidité de la première étape de construction puis ralentissement ;
.interruption fréquente du procédé d'amélioration des habitats ;
.budget plus important que les aspiration au confort ;
.dégradation très rapide des constructions ;
- le vécu, au sein de l'habitat et du contexte social :
.absence de sanitaires ;
.très irrégulière répartition de l'ameublement ;
.rangement hétéroclite ;
.présence de chiens en tant que composant des systèmes de protection ;
VII.1.b. Tradition-ruralité-mexicanité exclusive :
Ne sont regroupées dans cette catégorie que les caractéristiques de construction ou de comportement liées à
l'habitat n'ayant de justificatif que dans l'origine rurale des habitants qui les produisent aujourd'hui, même lorsque ces caractéristiques ont pu être à l'origine dictées par la pauvreté :
- l'habitat, conception et construction :
- notion de confort de la problématique d'élaboration de l'habitat ;
- habitat considéré comme abri et non foyer ;
- œu de trace d'intégration future d'espace sanitaire en intérieur ;
- autoconstruction en tant que mode de mise en œuvre de l'habitat ;
- mobilisation de la maisonnée dans le cadre de l'élaboration des habitats ;
- mise à contribution de réseaux de solidarité familiale ;
- communication externe d'un espace intérieur à un autre ;
- habitat d'une seule pièce ;
- absence de cas de terrain recouvert totalement par des constructions ;
- valorisation, en tant qu'espace de transition, de l'espace extérieur privé intercalé entre lieu public et habitat ;
- le vécu, au sein de l'habitat et du contexte social :
- pas d'attribution personnelle spatiale ;
- pièces multifonctionnelles ;
- fonction dormir non exclusive ;
- dormeurs regroupés dans un seul espace au sein d'habitats à plusieurs pièces ;
- sols de terre ;
- absence de fenêtre ;
- application des fonctions théoriquement liées à la fenêtre sur le seul élément porte ;
- portes extérieures des habitats ne pouvant se fermer à clé ;
- peu de meubles ;
- utilisation de système de type pétate ;
- présence de berceau de type rural ;
- rangement par suspension aux murs ;
.espace sanitaire extérieur ;
.comportements de propreté corporelle rurales :
.presence de culture et d'élevage de consommation familiale ;
.différenciation plus forte entre espace privé et espace public qu'entre espace intérieur et espace extérieur ;
.absence d'habitat communiquant directement sur la rue ;
.absence de matérialisation de limite dans un contexte où un autre type de définition des terrains existe - ejido ;
.reproduction de réseaux familiaux
VII.1.c. Modernité-urbanité-occidentalité exclusive :
Ici sont regroupées exclusivement les caractéristiques dont la justification ne peut être imputée qu'à l'expérience urbaine des habitants, même lorsque ces caractéristiques sont par ailleurs autorisées par les conditions économiques familiales :
- l'habitat, conception et construction :
.prise en charge complète de la conception et réalisation d'habitat par des professionnels ;
.achats de terrains déjà bâtis ;
.association de professionnels avec la famille ;
.accès directe d'un espace intérieur - commerce - à la rue ;
.accès internes ramifiés ;
.espaces sanitaire interne ;
.fenêtre en tant qu'élément de modernité ;
.accessibilité aux structures de fenêtre techniquement moderne imposant une modernité généralisée ;
.fenêtre envisagée comme système complet ;
.intégralité et force des limites :
.création d'un modèle de casa campesina résultante d'une mythification de la ruralité ;
- le vécu, au sein de l'habitat et du contexte social :
.systèmes de défense aux fenêtres ;
.intégralité et force des limites ;
généralisation de la modernité au niveau de l'ameublement ;
accession au confort facilité par la commercialisation de sièges de fabrication industrielle ;
canapé et fauteuil.
VII.1.d. Métissage culturel :
Par contre, ici nous citerons les caractéristiques témoignant de la fusion de conceptions rurales et modernes et n'appartenant dans la totalité de leur définitions à aucun de ces deux types de conceptions. Il s'agit donc de caractéristiques originales qui composeront probablement ce que sera la culture propre de cette zone en voie d'urbanisation, comme vraisemblablement d'autres zones présentant les mêmes antécédents d'urbanisation :
- l'habitat, conception et construction :
- aberrations de structure re-création de schémas spatiaux sans leur logique propre ;
- absence de hiérarchisation et attribution des espaces ;
- accès internes successifs ;
- absence d'adaptation des constructions aux conditions climatiques ;
- transformation des espaces par division et non par agrandissement ;
- système sanitaire de type moderne sans emploi adéquat ;
- mauvaise mise en œuvre de toits provisoires ;
- le vécu, au sein de l'habitat et du contexte social :
- porte admettant un verre et se substituant aux fenêtres ;
- mobilier sur sols de terre ;
- tables basses détournées de leur fonction première ;
- installation de réseaux en l'absence d'éléments familiaux ;
Nous constatons, en confrontant ces particularités entre elles, que la pauvreté à une double participation : elle joue effectivement autant au niveau des unités d'habitat que de la globalité des conditions de vie de la
Vallée. Elle est dans certains cas productrice de caractéristiques qui lui sont propre à ces deux niveaux.
Une partie de ces caractéristiques instaure une référence au milieu rural en raison de la pauvreté en tant que dénominateur commun. Ces caractéristiques se situent dans les catégories b) et d) et sont, au même titre que les caractéristiques de la catégorie a) puisque ces caractéristiques sont, pour le moins théoriquement, provisoires. En effet, la réussite économique des familles est très probable - leur histoire est en effet pour la plupart de la population de la Vallée régie par une amélioration économique - et que celle de l'ensemble des conditions de la Vallée est déjà en voie de réalisation.
D'une certaine façon aucun habitat n'est réellement indépendant de la généralisation de l'aspect rural puisque le contexte dont il fait partie fait preuve d'une qualité très faible en dépit de l'ampleur de l'urbanisation.
Mais, parallèlement à cette dynamique globale, allant donc dans le sens d'une amélioration et d'une urbanisation des comportements, nous avons pu observer deux directions de transformation dissidentes.
L'un de ces axes est composé d'adaptations de traits de référence rurale et traditionnelle aux conditions imposées par la concentration de la population ou de leur combinaisons avec des caractéristiques urbaines.
L'autre est constitué par la création d'une conception spatiale théoriquement éronnée d'habitats imitant une ruralité mythifiée.
VII.2. INTER-RELATIONS DES TRADUCTIONS CULTURELLES AUX NIVEAUX DES RÉALISATIONS
La grande quantité de traits exclusivement ruraux énoncés dans la catégorie b) comme celle de traits exclusivement modernes énoncés dans la catégorie c) exorime la très nette influence culturelle des origines des habitants lors de l'élaboration de leur habitat actuel au
sein de la Vallée.
C'est ainsi que, la modernité exclusive apparaît, elle aussi, sous de nombreux types de manifestations puisque son adhésion s'étale de la mise en place d'un équipement de type moderne à la création d'une mythologie propre de la ruralité.
Foutrant, dans la réalité, la dualité de nos deux concepts de référence se transforment souvent en combinaisons.
En effet, si une très grande partie des habitats étudiés forment un ensemble caractérisé par des traits moyens, la profusion des cas particuliers et opposés témoigne de la diversité des attitudes face à la problématique de construction des habitats familiaux : les matériaux de construction employés varient des types les plus rudimentaires aux plus sophistiqués ; les structures peuvent exprimer clairement l'application de normes purement rurales comme citadines ; certains terrains ne sont pas entourés de limites construites alors que d'autres sont enfermés entre quatre murs de trois mètres de haut ; l'absence totale d'ameublement de certains habitats peut être contrebalancée par l'accumulation de ces mêmes éléments ; etc.
C'est ainsi que les associations culturelles créent une gamme de graduations étendue d'un extrême à l'autre : l'expérience d'une ruralité d'origine et celle d'une urbanité récente se confondent dans un présent plein de contrastes en passe d'intégrer une modernité mythifiée, même si elle peut aboutir à la recréation d'une ruralité idéalisée sous la forme d'une casa campesina : l'interrelation des modalités culturelles avec les contraintes économiques et techniques est un élément déterminant tant, directement, au niveau matériel que, indirectement, au niveau culturel.
De la ruralité à une image de la ville, puis de l'urbanité à une image de la campagne - modèle casa campesina -, entre tradition et modernité, l'évolution
sociale tend, différemment selon les individus, à reinterpréter l'environnement personnel à travers les structures des espaces privés de façon à créer de nouveaux points de repère.
VII.3. LA CONTRAINTE ÉCONOMIQUE
Mais, outre les choix personnels réalisés dans le sens de la modernité, les conditions matérielles ambiantes dirigent les habitats vers une modernité technique de base. Cette modernité est tout particulièrement repérable au niveau de l'architecture en raison de la subordination de l'espace à la technique, elle-même dépendante, aujourd'hui, de la production industrielle. En effet, d'abord, la distribution de matériaux industriels - parpaings, carton ondulé, etc. - ; ensuite, la présence d'artisans travaillant des matériaux industrialisés - profilés et plaque de métal, etc. - ; puis l'existence de réseaux de distribution commerciale de produits industriels - essentiellement de mobilier - facilitent l'accession à une modernité matérielle au sein des habitats grâce à leurs faible coûts.
Effectivement, le rôle essentiel du facteur économique est, par ailleurs, démontré par la diversité des manifestations de la pauvreté. Les rapports effectués entre les réalisations et les niveaux économiques apparents, mettent en relation directe les capacités financières et la situation culturelle : l'accession à la modernité est conséquente de la réussite sociale. En effet, par la force des choses, les habitants de la Vallée ne pourront mettre en œuvre les normes urbaines qu'au fur et à mesure de leur épanouissement économique. Par exemple, le choix de conserver un sol de terre, de référence traditionnel, est dû à l'impossibilité d'acquérir le ciment nécessaire à la réalisation d'une dalle, de référence moderne ; dès que la situation économique le permettra le sol sera cimenté même si les habitants affirment leur préférence pour les sols de
terre (2).
Les Mexicains voient dans le parallèle entre les situations économique et culturelle une justification de toute une série d'a priori situant sur le même plan la pauvreté, le manque de scolarité et la ruralité, elle-même souvent confondue avec l'indianité (3). Ces caractéristiques économiques et culturelles, indissociables dans la mentalité mexicaine depuis la colonisation espagnole, offrent certainement la plus forte impulsion à la recherche de modernité.
VII.4. CONDITIONS GENERALES DU CADRE DE VIE
Toutefois, alors que certains aspects du contexte même de la Vallée imposent, comme nous l'avons exposé précédemment, une modernité de base, d'autres réduisent, de manière générale, la qualité potentielle du cadre de vie, tant au niveau public que privé.
En premier lieu, et d'une manière générale, l'absence de services ne permet pas la mise en œuvre définitive des espaces intégrant l'usage de l'eau - sanitaires, bain, cuisine, etc. Par exemple, le système de latrines est la seule solution au problème sanitaire tel qu'il se pose au jour de notre enquête.
Ensuite, l'éloignement géographique provoque une forte augmentation du coût des matériaux en raison du transport et ne permet pas la variété des matériaux ; ceux de récupération ne sont pas accessibles directement et leur
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2. De la même façon, certaines femmes qui arrivent de la campagne à la capitale oublient très vite de porter les charges sur leurs têtes comme elles pouvaient le faire antérieurement : elles préfèrent se fatiguer plus vite à porter à bout de bras comme la bonne citadine qu'elles veulent devenir plutôt que de faire preuve d'habitudes rurales. Elles cesseront aussi de porter le rebozo pour échapper à l'image sociale qui lui est opposée - voir note de bas de page qui suit.
3. Tout un vocabulaire - nacos, marías, inditas... chacun de ces termes ayant sa propre définition - correspond à l'expression du dédain des habitants de la capitale envers les nouveaux arrivants.
disponibilité se fait par une distribution commerciale trop lourde. Il résulte de tous ces points une grande uniformité des matériaux.
D'autre part, si, au niveau des constructions, la mauvaise qualité révélée par notre enquête, peut être en partie imputée à notre échantillonnage, elle est surtout due à la jeunesse de l'urbanisation de la Vallée, puisqu'une très grande partie des constructions est de type provisoire. Dans ce cas, l'emploi de mauvais matériaux induit la mauvaise qualité de réalisation des habitats, alors que, par ailleurs, la mauvaise mise en œuvre provoque une dégradation très rapide des constructions.
Par ailleurs, deux autres types de facteurs amplifient cette accentuation : dès le départ, le manque de clareté, dans la définition des parcelles et dans celle du statut des terrains, va freiner les habitants dans leur investissement au niveau de l'habitat proprement dit pour consacrer une partie non négligeable à la matérialisation des limites. Ensuite, la composition du sol, son instabilité, et l'affleurement de la nappe phréatique, vont être facteurs d'érosion des constructions.
Cette détérioration générale, du contexte comme des réalisations privées, tendra à faire dériver la réalité de la Vallée vers une pauvreté de la qualité des cadre de vie qui a, d'ailleurs, déjà pris des allures de pauvreté rurale : aujourd'hui, les femmes se plaignent de leurs vie dans la Vallée parce qu'elles y retrouvent souvent des conditions qu'elles avaient oubliées depuis leur arrivée dans le District Fédéral.
Le pas en avant que font les acquéreurs d'un terrain dans la Vallée se fait avec le sacrifice, provisoire, d'un confort auquel certains ont pu avoir accès précédemment - transport, hygiène, prix du panier de la ménagère, etc.
L'intérêt des habitants pour la conception de leur habitat est très restreint - quelle qu'en soit la cause : culturelle, sociale ou/et économique -, bien qu'ils soient pratiquement tous propriétaires de leur terrain : la notion
de bâtir reste souvent purement utilitaire. Malgré cela, nous avons pu percevoir à travers les réalisations architecturales des transformations quant à la conception spatiale : de nouvelles influences culturelles, transmises la plupart du temps involontairement, définissent certaines organisations spatiales. Outre l'impact de l'aspect économique comme nous l'avons vu précédemment, cette multiplicité est productrice d'une très grande variété de conceptions dans les catégories admettant des systèmes complexes. De l'observation des organisations spatiales, des plus simples aux plus élaborées, des plus proches des habitats ruraux aux plus modernes, nous pouvons déduire qu'il existe une grande variété d'assimilation des logiques modernes de logement.
VII.5. INFLUENCES DE L'INTER-ACTION CULTURELLE SUR LA CONCEPTION
Dans la Vallée, un certains nombre de schémas de réflexions démontre que les habitants sont conditionnés par l'habitude de l'adhésion aux traditions en tant que contexte culturel : dans le type de réalisation des limites, par exemple, ou dans le traitement de l'espace privé extérieur, certaines personnes avouent avoir fait comme les voisins. Cette particularité se révèle d'ailleurs aussi par l'homogénéisation par zones. En réalité, nous pouvons dire que, selon un phénomène universel, un système de "modes" a remplacé la tradition.
La construction traditionnelle est basée sur un processus de continuité d'une génération à l'autre où les seules interrogations correspondent à l'adaptation technique des modes ancestraux aux besoins familiaux. Cette adaptation est alors, en principe, prise en charge par un certain nombre de personnes de l'environnement social : artisans, parents, voisins, etc. La construction d'un habitat est donc dans ce cas la résultante de la réunion d'une diversité de savoirs - constructifs, géographiques, écologiques, etc. - qu'il est impossible de retrouver dans la Vallée à cause de l'absence de structures similaires. La construction moderne
est née dans les milieux urbains par la substitution des savoirs traditionnels par une connaissance technique professionnelle et uniforme, ceci permettant la généralisation de l'application des conceptions spatiales moderne (voir ch. III.2.). Ces conceptions ont pour principe de base une attitude d'investigation consistant à poser une problématique spécifique définie par les besoins des habitants. Ce système de réflexions est amoindri dans la cadre d'une conception traditionnelle puisque les interrogations sont remplacées par une série de réflexes culturels (voir ch. III.2.).
L'accession relativement brutale - elle a tout de même été atténuée par le passage de la plupart des habitants dans l'agglomération de Mexico - à la mise en place d'un nouveau rapport entre l'habitat et ses habitants produit une inadaptation à construire son environnement privé. Face à l'ampleur et à la nouveauté de cette problématique, beaucoup des nouveaux habitants la restreignent spontanément à une définition des plus simples, se rapprochant ainsi de la conception de l'abri de façon à réduire cette problématique.
Lors du passage de notre enquête, nous avons pu observer une tendance très nette à combler le sevrage - dû à l'absence du système traditionnel exposé précédemment - par sa substitution à travers la re-création de réseaux familiaux - donc plus réduits que les réseaux traditionnels - ou de réseaux sociaux les imitant. Malheureusement, ces deux types de réseaux ne bénéficient pas de la capacité à résoudre la nouvelle problématique de l'habitat parce qu'ils ne sont pas encore intégrés par les données du contexte physique et à cause de l'absence de normes culturelles établies.
Il nous semble que, sous l'influence de ces relations inter-culturelles, les habitants en oublient leurs besoins particuliers. Si les rapports sociaux, qui restent fondés sur les services rendus, sont essentiels dans le sens qu'ils tendent à recréer la forme des réseaux familiaux traditionnels, ils représentent aussi un ensemble de contraintes qui ne favorisent pas les épanouissements
personnels. S’ils peuvent se substituer à la famille et aider à faciliter les installations puis les intégrations, ils ne suffisent pas à aplanir les difficultés techniques propres à la planification et à la construction des habitats, mais, surtout, ils diminuent l’implication personnelle de chacun dans la mise en œuvre de son foyer.
De cette façon, l’initiation à une conception de type moderne, donc, comme nous l’avons vu, fondée sur une relation individualisée entre l’habitat et ses habitants, se réalise au rythme de l’évolution de l’habitat lui-même, à l’échelle de la famille. Les problèmes techniques se multiplient alors de deux façons : tout d’abord, parce qu’ils ne sont résolus qu’au coup par coup ; et ensuite, parce que le simple fait de les affronter successivement camoufle l’ensemble de la problématique de la construction.
Cette absence de planification et de réflexion de la part des habitants au sujet de la construction de leur habitat est, malheureusement, flagrante. Cette insouciance – dictée par la force des choses, par leur introduction dans un milieu sans histoire collective – amène souvent les habitants à instaurer des aberrations – mise en place de principes urbains sans application de son mode d’emploi –, ou simplement, et de façon malheureusement beaucoup plus courante, à des gaspillages pourtant facilement évitables – investissement très fort pour des constructions provisoires non récupérables.
VII.6. PROPOSITIONS D’AMELIORATIONS
Dans l’optique de diminuer les effets de sevrage dus à l’absence des réseaux traditionnels intervenant dans la réalisation des habitats, il serait envisageable de mettre à la disposition des arrivants divers services de conseils à la conception puis à la construction : il s’agirait alors de professionnels qualifiés du bâtiment auxquels il serait bon, d’ailleurs, d’associer des spécialistes du droit.
En réalité, outre les gaspillages de source culturelle, bien des gaspillages simplement techniques pourraient être aisément éliminés ou pour le moins réduits : tout d'abord, par la mise en place d'un système de distribution légère de matériaux récupérables - bois, carton, métaux, etc. - collectés dans la décharge de la Caldera ; par ailleurs, par l'orientation vers la mise en place de pratiques permettant d'éviter la première étape transitoire des habitats en favorisant, dès le départ, l'initiation des constructions définitives ; puis, peut-être, par la distribution de conseils techniques directement destinés à la construction. Il va de soi, dans ce cas, que ces conseils ne devront en aucun cas agir sur l'organisation des espaces : ce serait provoquer un supplément de perturbations culturelles alors que l'ensemble des mesures proposées tend à éliminer un certain nombre de contraintes techniques dans le but, entre autre, de permettre une meilleure expression personnelle et favoriser de ce fait un développement social équilibré.
VII.7. PROPOSITION D'AMPLIFICATION DE NOTRE RECHERCHE
Pour nous permettre d'amplifier le thème de ce mémoire, outre notre proposition d'enquête supplémentaire au sein de la Vallée, nous proposons d'ouvrir la problématique à un échantillon varié nous offrant la possibilité d'approfondir, dans le cadre d'un doctorat envisagé sous la tutelle de l'IPEALT, les processus d'adaptations culturelles par le biais de l'habitat.
Nous proposons le titre suivant pour ce travail : "L'empreinte culturelle dans la conception des habitats de zones nouvellement urbanisées en Amérique Latine, quelques cas mexicains".
Tel que nous l'avons exposé lors de ce travail, les schémas culturels participent aux processus de conception habitationnelle au même titre que toute démarche créative.
Ce travail se propose à nouveau d'étudier la relation dialectique de l'habitant et de son environnement privé. Le thème de cette nouvelle étude portera donc sur les espaces
privatifs comme expression de contraintes matérielles et comme supports de projections et investissements personnels et sociaux. Dans le cas de zones nouvellement urbanisées, il s'agira de populations d'origines historiques et géographiques différentes de leurs lieux d'installations : ces population se voient confrontées à la disponibilité de divers modèles culturels. La résultante au niveau des structures spatiales de cette confrontation constituera la base de notre recherche.
Les éléments qui nous permettrons d'appréhender l'originalité des situations se situent dans la confrontation de l'identité des habitants et de la forme des habitats, c'est à dire de l'identité du créateur-usager et de la forme de son produit, puisque, si l'objectif apparent de tout individu, lorsqu'il investit un espace, est de créer un microclimat qui le protègera physiquement des intempéries, nombre de recherches a prouvé qu'il tente aussi de se protéger des éventuelles agressions sociales pour satisfaire ses besoins de sécurité psychologique, cette condition étant primordiale puisque nécessaire au repos qui permet la récupération physique et mentale, tout en recherchant l'appartenance à un groupe social (4).
Comme nous l'avons déjà signalé, la recherche dont nous venons d'exposer les résultats est très certainement marquée par la jeunesse de l'urbanisation : outre la confrontation de ces données avec celles déjà récoltées lors de la deuxième enquête, il serait particulièrement intéressant de réaliser une nouvelle analyse de ces mêmes habitats après quelques années. Effectivement, elle nous permettrait certainement l'appréhension d'un déplacement des données vers une modernisation générale, et ceci en raison de l'amplification des réalisations de chaque unité familiale comme de l'évolution générale.
4. A. Rapoport : "L'environnement recherche traduit de nombreuses forces socio-culturelles, comprenant les croyances religieuses, la structure de la famille et du clan, l'organisation sociale, la manière de gagner de quoi vivre et les relations sociales entre individus." in : Pour une anthropologie de la maison, p.65, 2070, Dunod, Paris, 1985.
Les zones du Mexique que nous proposons comme cadre de cette nouvelle étude ont été sélectionnées, en dehors du fait qu’elles accueillent toutes des installations récentes, pour la diversité de leurs caractéristiques de base. En effet, les échantillons présentent chacun une conjoncture les différenciant les uns des autres, ce qui nous offre une gamme représentative, par son amplitude, de la problématique de base du logement des zones d’urbanisation récentes.
L’échantillon ainsi proposé est composé des urbanisations suivantes :
un quartier, produit d’une transformation culturelle volontaire – conversion au protestantisme – (San Cristobal De Las Casas, Chiapas) ; un camp de réfugiés guatémaltèques (zone frontalière du Chiapas) ; des installations dues à l’implantation d’une raffinerie (Salina Cruz, Oaxaca) ; un village en expansion, grâce à une production artisanale croissante (Xalitla, Guerrero) ; un village à proximité d’une capitale d’état (Arteaga, Coahuila) ; un quartier périphérique d’une ville moyenne (Saltillo, Coahuila) ; un quartier périphérique de la capitale mexicaine caractérisé par des parcelles et réalisations habitationnelles de base identiques (Ixtapalapa, Cananea, District Fédéral) ; et, pour terminer, un quartier périphérique de la ville de Mexico qui nous est cher (Vallée de Chalco, Etat de Mexico).
La diversité des situations et des produits de ces urbanisations nous amènera à distinguer les particularités et les constantes des réalisations habitationnelles dans le cadre de l’expansion urbaine au Mexique.
Les antécédents seront fournis par les deux études que nous avons effectuées précédemment au Mexique. La première de ces deux recherches concerne la crise du logement à Saltillo dans l’Etat du Coahuila, et la seconde, composée du contenu du présent mémoire additionné d’un rapport ORTSOM/UAM-X/CEE, l’habitat de la Vallée de Chalco dans l’Etat de Mexico.
ANNEXE N° 01
METHODE D'ANALYSE
DES SYSTEMES
DE LIMITES TERRITORIALES
ET D'ACCES AUX HABITATS
I. INTRODUCTION
Une enquête ayant pour thème l'habitat a été réalisée à l'occasion d'un projet d'études pluridisciplinaire sur la Vallée de Chalco, dans l'état de Mexico au Mexique, mis en place conjointement par l'institut français ORSTOM et l'université mexicaine, la UAM-X, avec l'appui financier de la C.C.E.
Outre les divers travaux d'analyse des données collectées par questionnaire auprès des habitants de ces maisons, nous avons effectué un travail d'analyse de différents aspects des transformations spatiales qu'ils ont réalisées dans le cadre de leurs espaces privés. Ce travail a été entrepris dans le but d'appréhender les données spatiales, de façon à obtenir une image précise de la réalité, d'une part, et, d'autre part, de pouvoir confronter cette image - ou ces séries d'images - avec les données humaines (1).
II. METHODOLOGIE GENERALE
Pour cela, les plans, levés au 1/200ème, de ces habitats ont fait l'objet d'une analyse dite graphique. Cette analyse est fondée sur une codification visuelle de ces levés dans le but de faciliter l'appréhension des particularités spatiales de chaque habitat. Cette codification a pris place en deux temps, c'est-à-dire qu'elle a eu pour sujet, tout d'abord, les données spatiales générales, puis, dans un deuxième temps, celles qui concernaient directement les domaines que nous voulions exploiter.
C'est ainsi, que, en ce qui concerne la première étape de traitement des plans (2), nous avons pris en compte, tout
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1. Voir L'Homme S., Vecu et organisation des espaces de l'habitat in : Proyecto Valle de Chalco - Medio ambiente, sociedad y territorio. Reporte final I, chapitre XI, et Reporte final II, CEE / ORSTOM / UAM-A, Bruxelles, 1976 et 1971.
2. Voir annexe N°3 : exemple de relevé - fig. N°1 a).
d'abord, les éléments dont l'emplacement, l'encombrement et/ou la disposition avaient un rôle déterminant dans la mise en forme de l'espace privé, à savoir : la partie construite existante à plus d'un mètre de hauteur au dessus du sol (comprenant, selon les normes de représentation architectonique, les éléments du bâti, à savoir, les murs, les cloisons, etc.) avec la différenciation réservée aux éléments fenêtres et portes ; puis les autres éléments délimitant les parcelles, haies, barrières, etc.
La dimension des terrains a donc été transformée en vue d'obtenir une homogénéité des supports de représentation nous offrant une densification des informations spécifiques. Les parcelles rencontrées ne présentant que peu de diversité de surface, nous avons pu effectuer cette standardisation en évitant de trop fortes distorsions. Le format standard a été choisi après compilation des différentes tailles et formes des parcelles, et c'est ainsi que nous avons opté pour une représentation unitaire sous la forme d'un parallélogramme correspondant à une parcelle moyenne dont l'un des côtés est égal au deux tiers de l'autre.
Outre les éléments déjà énoncés, nous avons aussi spécifié, d'une part l'orientation du terrain et d'autre part la localisation de l'espace public. Au moment de leur transcription les parcelles ont été alignées selon l'axe de la voie les desservant afin d'obtenir une meilleure compréhension. Dans le cas d'un terrain bordé par plusieurs artères, le choix a été fait sur la base de leur importance elle-même définie par les communications entre l'espace public et l'espace privé.
Deux thèmes d'études spécifiques ont été sélectionnés pour être analysés par l'application de notre méthode. Ce sont les systèmes de limites territoriales et les systèmes d'accès aux bâtis.
Pour chacun de ces deux cas nous avons élaboré un sous-traitement spécifique complémentaire de celui que nous venons d'exposer. Ces sous-traitements se font essentiellement à travers l'élimination des éléments n'intervenant pas dans le thème d'étude, d'une part, et,
d'autre part, par la transcription de certaines catégories d'inter-relations susceptibles à influencer la compréhension des données.
II.1. LES SYSTEMES DE LIMITE TERRITORIALE
La première analyse concerne donc les systèmes de limites territoriales ; elle nous permet d'établir une classification des différents niveaux de limites. C'est ainsi que deux types d'éléments principaux sont pris en compte et codifiés à savoir les limites matérialisées et les espaces bâtis.
Tout d'abord, nous reportons les limites matérialisées selon leur force. Les deux niveaux de force que nous avons distingués ont été déterminés selon leur puissance, c'est-à-dire leur efficacité et la masse des espaces bâtis (3).
Premièrement, le niveau de limite forte correspond, sur le terrain, à une matérialisation de plus d'un mètre et demi - cette hauteur correspondant plus ou moins à celle des yeux -, quelque soit son matériau (mur de parpaings ou autre, palissade, grillage, etc.,) mitoyen ou non : ces limites expriment, par la forme de leur installation dans l'espace, une interdiction de franchissement rendue effective par une difficulté physique de franchissement ; le niveau de limite légère correspond sur le terrain à une haie, une barrière, un simple fil suspendu par un piquet à chaque coin de la parcelle, quelques pierres, les fondations émergeantes de la future maison, etc. ; ces limites évoquent une interdiction de franchissement en référence à un code culturel puisque cette interdiction est, en réalité, transgressable ; elles ne sont que l'expression visuelle de la frontière entre un espace privé et les espaces limitrophes.
Deuxièmement, le bâti, ou la masse construite, est aussi pris en compte, et ceci pour deux raisons : tout d'abord, le bâti est l'un des éléments qui requiert
(3) Voir annexe n°2 : étude de caractéristique de modèle - 1984. 3/1 et 0).
l'installation des limites, ensuite, le bâti peut participer directement au sein du système de limites lorsqu'un murs de l'habitat substitue la matérialisation d'une limite.
Un dernier type d'informations, marginales, sera aussi intégré à l'analyse de ce système : il s'agit de l'absence de limites matérielles. En effet, il est essentiel d'appréhender l'emplacement de ces absences puisque se seront elles qui détermineront les franchissements de ces systèmes (4).
II.2. LES SYSTEMES D'ACCES AUX BATIS
Le but de cette deuxième série de représentations est de mettre en évidence, là où la précédente exprimait l'aspect statique des systèmes de limites, le vécu de ces mêmes systèmes.
Il est alors question, en fait, d'analyser la solution choisie par l'habitant pour faire face à la problématique posée par ses contraintes contradictoires que sont ses besoins de communication, ses déplacements au sein de son espace et ses besoins de communication avec l'espace public, combinés aux contraintes du système protecteur qu'il met en place.
Il s'agit donc de localiser les accès, puis d'appréhender les réseaux formés par les connections établies entre eux (5).
Il convient alors de transcrire au niveau des parcelles les différents types d'espaces (6) (7). La présence ou l'absence des divisions est donc reportée en tant que telle lors de la schématisation graphique, les bâtis sont quant à
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4. Voir annexe No3 : représentation schématique des systèmes de limite - fig. No3.
5. Voir annexe No5 : exemple de traitement de relevé - fig. No1, a) et c).
6. Dans le cadre de cette analyse, nous nous baserons pour définir les espaces sur la définition de C. et M. Duplay (Création Architecturale, Le Moniteur, Paris, 1985) : "Dans l'architecture-langage, les espaces sont les signifiés créés par le bâti, à l'intérieur de l'espace indifférencié".
7. Voir annexe No6 : typologie des espaces - fig. No3 bis.
eux définis sous la forme des limites qui matérialisent les espaces intérieurs. La qualité des espaces intérieurs ainsi représentés sera par la suite déterminée en fonction de leur accessibilité.
Les bâtiments et leurs divisions intérieures sont représentés schématiquement, alors que les éventuelles constructions non utilisées (annexes ou inachevées) sont exclues.
Les accès, qui sont donc les pôles de communication sont dans la majeure partie des cas, une porte dans l'acceptation la plus restrictive du terme, à savoir une ouverture aménagée pour permettre le passage.
C'est ainsi que toute virtualité de transition est considérée comme un accès à un espace puisque tout espace est déterminé par un système de limites, fictives ou matérielles (espace privé / espace public, espace intérieur / espace extérieur...)
Pour définir le mode de représentation des accès, il a été convenu d'utiliser des flèches afin de conserver la notion de mouvement. Elles sont systématiquement dirigées vers l'intérieur selon une hiérarchie de priorité : de l'espace le plus anonyme au plus intime, c'est à dire, en principe, à celui qui demande le plus grand nombre de franchissement du système de limite.
Les flèches, positionnées sur l'emplacement même de l'accès, sont ensuite reliées entre elles par des segments empruntant un tracé orthogonal. Les résultats de l'analyse seront obtenus par les types de succession d'accès et la complexité des raccordements des segments.
L'analyse de chaque ensemble de fléchage ainsi obtenu permet de constater la présence des différents types de combinaisons (8). Ces combinaisons sont ensuite comptabilisées par classe après les avoir regroupées selon la similitude géométrique de leur réseau. La répartition entre les différents groupes est effectuée selon la notion et le type de complexité ; ce degré de complexité se mesure selon la fréquence de succession des différents éléments du
(8) Voir annexe No5 : représentation schématique des systèmes d'accès - Fig. No2.
système de passage (ramifications, coudes, et accès), et les caractéristiques des schémas combinatoires (succession, ramification, opposition, etc...).
Par ailleurs sont conservés les signes indiquant l'espace public.
La compilation des données que nous obtenons par ce traitement nous permet d'envisager l'appréhension de la sensibilité des familles aux différentes qualités d'espaces (espace géographique et espace culturel) puisqu'elle met en évidence les schémas psychologiques de sensibilité et de conception tridimensionnelles.
Chaque habitat intègre alors un des groupes culturels que nous définirons selon son équivalence avec certains types de systèmes d'accès connus (ceux des habitats vernaculaires et modernes des diverses classes sociales du Mexique contemporain ; exemple : type vecindad, occidental, rural...).
III. OBJECTIFS DES ANALYSES GRAPHIQUES
III.1. OBJECTIFS DE L'ANALYSE DES SYSTEMES DE LIMITE TERRITORIALE
L'objectif de ce travail de mise en évidence par l'interprétation, la simplification et la codification est d'appréhender les graduations de protection, de définition spatiale et d'appropriation des territoires.
En effet, l'importance accordée aux systèmes de limites est liée à l'expression de la propriété comme à la notion de danger. Son évaluation permet donc, d'une part de mesurer le besoin d'affirmation et, d'autre part, de mesurer le taux d'insécurité ressentie tout en constatant la nature de l'objet qui la produit. Ce rapport, particulièrement étroit dans le cas d'autoconstruction, est transcrit matériellement et donc possible à interpréter.
En parallèle à l'observation du type de situation que
l'habitant se choisit au sein de la structure communautaire, sont évaluées par cette analyse, d'une part, son attitude vis-à-vis de ses voisins et de l'espace public, et, d'autre part, son attachement à la notion de propriété et/ou à l'appropriation selon le type d'occupation du terrain. Les caractéristiques des inter-relations qui surgissent dans une telle conjoncture sont susceptibles de révéler les données psychologiques, mais aussi socio-culturelles du peuplement de la Vallée.
Il faudra néanmoins en tempérer la lecture en fonction de l'importance de la contrainte économique : plus le contexte économique est difficile plus l'expression du besoin de ses protections est minimisée et donc rend la transcription moins directe dans les cas des unités les plus défavorisées.
III.2. OBJECTIFS DE L'ANALYSE DES SYSTEMES D'ACCES AUX BATIS
La deuxième analyse, à l'inverse de la précédente s'attache à l'usage des limites, mais, cette fois, qu'elles soient territoriales ou internes à l'habitat. Elle nous permet d'appréhender les différentes définitions spatiales des concepts d'intimité et de hiérarchisation.
La démarche de cette analyse pourra non seulement nous permettre d'analyser les aspirations et les prétentions des habitants vis-à-vis de leur milieu habitationnel, mais aussi, d'évaluer, d'autre part, l'impact du vécu des structures spatiales antérieurement.
III.3. OBJECTIFS GENERAUX
Par ailleurs, sera analysée en troisième lieu, à la suite des deux types d'analyse graphiques, une superposition des deux systèmes pour chaque habitat de façon à en étudier les ambivalences. L'appréhension globale des ensembles limites/accès apportera effectivement un supplément informatif important puisqu'il met en relation la notion d'appropriation et d'intimité et que la somme de ces deux sources de contraintes, l'une dynamique et l'autre statique,
mettra en évidence certains comportements témoignant d'appartenances culturelles.
Les corrélations entre ces deux types de résultats nous permettent de mettre en évidence la situation culturelle et sociale des habitants interrogés après leur confrontation avec les données concernant leur expérience habitационnelle (origine, provenance, etc.). L'évaluation de leur positionnement culturel par rapport à l'évolution générale urbaine sera réalisée à travers la reconnaissance des taux de conservation et/ou de rejet des conceptions spatiales traditionnelles et des taux de recherche éventuelle de la modernité. La modernité (9) pourra se définir, dans le cas des habitants de Chalco d'origine rurale, par certains reflets d'urbanité.
Les résultats de cette étude graphique sont ensuite mis en corrélation avec les données collectées lors du terrain dans le but d'exprimer l'attitude des habitants de la Vallée vis-à-vis de leur habitat.
À la suite de ces différentes analyses, et ultérieurement par leur confrontation entre elles, nous obtiendrons une image précise des éléments concernant l'organisation spatio-fonctionnelle des parcelles ; par la différenciation qualitative des espaces et la hiérarchie des fonctions nous apprêhenderons l'importance du concept d'intimité personnelle et familiale et de celui de sécurité ; et, enfin, nous déboucherons, à travers une ébauche de lecture des appartenances culturelles, sur une proposition d'évaluation du taux d'intégration que la population atteint au sein de ce nouveau milieu géographique, social et culturel qu'est la conurbation de la capitale mexicaine.
(9) La modernité sera effectivement associée ici à l'analyse avec l'occidentalisme et l'urbanité.
ANNEXE No 02
BIBLIOGRAPHIE
BIBLIOGRAPHIE
- Bachelard G., *La poétique de l'espace*, 215p., PUF, Paris, 1957.
- Bataillon C. et Panabière L., *Mexico aujourd'hui, la plus grande ville du monde*, 244p., Publisud, Paris, 1988.
- Belmont J., *Les quatre fondements de l'architecture*, 94p, Le Moniteur, Paris, 1987.
- Ben Amor L. et Mathieu D., *Croissance de la périphérie de Mexico : accession à la propriété et trajectoires sociales dans la Vallée de Chalco*, à paraître, in *Revista Mexicana de Sociología*, No1, Janvier 1991.
- Benoit-Guilbot O., *Néo-ruraux, pavillons et qu'en dira-t-on*, 7p. in : *Autrement No14, Avec nos sabots... La campagne rêvée et convoitée*, Paris, 1978.
- Berque A., *Vivre l'espace au Japon*, PUF, Paris, 1982.
- Bergson H., *Matière et mémoire*, PUF, Paris, 1939.
- Bianchi G., *L'habitat populaire dans la région de Mexico*, 125p., Unité Pédagogique de Nancy, 1984.
- Claval P., *Espace et culture*, Paris, 1981.
- Defontaines P., *L'homme et sa maison*, 255p, Gallimard, Paris, 1972.
- Duplay C. et M, *La création architecturale*, 248p, Le Moniteur, Paris, 1985.
- Evans R., *Figures, portes et passages*, in *URBI*, V, 1982.
- Faudry D., *Eau et assainissement : bilan technique et social*, 12p. in : *Cahiers des Amériques latines*, No8, Repenser l'urbain, paris, 1989.
- Federico T., *Xochimilco : la tradición que se niega a sucumbir*, 13p., in : *Acta sociológica, Tradición y modernización*, Vol. III No3, UNAM, México, septembre/décembre 1990.
- Ferras R., Ciudad de Nezahualcoyotl: un barrio en vías de absorción por la ciudad de México, in: Cuadernos del CES-20, Colegio de México, Mexico, 1977.
- Frémont A., La régions espace vécu, 213p., Puf, Paris, 1976.
- Galinier J., Pueblos de la sierra madre, 92p., INI, Mexico.
- Goffman E., Le sens commun, t.2, 274p, Minuit, Paris, 1973.
- Haumont N. et Segaud M., Familles, modes de vie et habitat, 326p., L’Harmattan, Paris, 1989.
- T. Hall E., Le langage silencieux, 117p, Seuil, Paris, 1984.
- Hervieux B., Le village mort-vivant, 9p. in: Autrement No14, Avec nos sabots... la campagne rêvée et convoitée, Paris, 1978.
- INEGI, XI Censo general de población y vivienda, Mexico, 1990.
- Jarreau P., Du bricolage: Archéologie de la maison, CCI, Paris, 1985.
- Juárez Nuñez J.M. et Martinez Flores R., Familia, imigrantes y marginalidad en el Valle de Chalco, 80p, in: Proyecto Valle de Chalco, Reporte intermediario 1989, CEE/ORSTOM/UAM, Mexico.
- Juarez Nuñez J. M., Martinez Flores R. et Comboni Salinas S., Comunicación para el seminario sobre el Valle de Chalco, Mexico, Mexique, UAMX, 1989, Mexico.
- Kaspe V. et al., Vivienda Campesina en México, UNAM, Mexico.
- Lacombe B., La technique est une problématique - les sciences et les faits : quelques observations, 5p., in Colloque MESRU/CIRAD, Montpellier, 1987.
- Leenhardt J., Postface in Les choses de Perec G., 178p., 10/18, Paris, 1985.
- Leroi-Gourhan a., *Le geste et la parole*, 323p, Albin Michel, Paris, 1978.
- L’Hommée S., *La vivienda de las poblaciones de bajo recurso en Saltillo, Estado de Coahuila, México*, 1988, 81p, in : *Proyecto Valle de Chalco - Medio ambiente, sociedad y territorio, Reporte intermediario*, CEE/ORSTOM/UAM-X, Paris, 1989.
- L’Hommée S., *Exposé de la méthodologie employée dans le cadre de l’étude sociale des habitats par analyses graphiques*, document de travail, ORSTOM, Paris, 1990.
- L’Hommée S., *Vécu et organisation des espaces de l’habitat* in : *Proyecto Valle de Chalco - Medio ambiente, sociedad y territorio, Reporte final I, chapitre XI, et Reporte final II, CEE / ORSTOM / UAM-X*, Bruxelles, 1990 et 1991.
- López Morales F. J., *Arquitectura vernácula en méxico*, 274p, Trillas, Mexico, 1987.
- Maho K., *Toutes ces fermettes de caractère...*, 9p. in : *Autrement No14, Avec nos sabots ... La campagne rêvée et convoitée*, Paris, 1978.
- Moya Rubio V. J., *La vivienda indígena de México y del mundo*, 252p, UNAM, Mexico, 1984.
- Paul-Lévy F. et Segaud M., *Anthropologie de l’espace*, 248p, CCI, Paris, 1983.
- Pezeu-Massabuau J., *La maison, espace social*, 252p., Puf, Paris, 1983.
- Puente S. et Legoreta J., *Medio ambiente y calidad de vida*, 63p., UAM-X, Mexico.
- Rapoport A., *Pour une anthropologie de la maison*, 207p., Dunod, Paris, 1985.
- Rougerie G., *Les cadres de vie*, 264p., Puf, Paris, 1975.
- Rykwert J., *La maison d’Adam au paradis*, 254p, Seuil, Paris, 1976.
- Sansot F., Stroll H., Torgue H. et Verdillon C., *L’espace et son double*, 205p, Champ urbain, Paris, 1978.
ANNEXE NO 04
TABLEAUX
TABLEAU NO 01 - COMPARATIF D'ANCIENNETE ENTRE LA PREMIERE ENQUETE DE 40 UNITES ET LA DEUXIEME DE 300 UNITES
| DANS LA VALLEE DEPUIS 1 AN ET MOINS | * |
|-------------------------------------|-----|
| DANS LA VALLEE DEPUIS 2 A 3 ANS | + |
| DANS LA VALLEE DEPUIS 4 A 5 ANS | + |
| DANS LA VALLEE DEPUIS 6 A 7 ANS | ** |
| DANS LA VALLEE DEPUIS 8 A 9 ANS | + |
| DANS LA VALLEE DEPUIS 10 A 20 ANS | ** |
| SONT ORIGINAIRE DE CHALCO | * |
| 0% 10% 20% 30% |
+ : ANCIENNETE DES HABITANTS DU PREMIER ECHANTILLON
* : ANCIENNETE DES HABITANTS DU DEUXIEME ECHANTILLON
TABLEAU NO 02 : TYPOLOGIES ET LEURS CORRESPONDANCES
| TYPE MORPHO-EVOLUTIF | TYPE STRUCTURAL |
|----------------------|-----------------|
| 1.1.1.MINIMAL/PROVISOIRE | 1. SIMPLE EXTERNE |
| 1.2.1.MOYEN/PROVISOIRE | 1.5. MULTIPLE INTERNE ET EXTERNE |
| 1.2.2.MOYEN/EVOLUTIF | 1.2. MULTIPLE EXTERNE |
| | 1.3. MULTIPLE INTERNE ET SUCCESSIF |
| | 1.4. MULTIPLE INTERNE ET RAYONNE |
| | 1.5. MULTIPLE INTERNE ET EXTERNE |
| 1.2.3.MOYEN/ABOUTI | 1.2. MULTIPLE EXTERNE |
| | 1.3. MULTIPLE INTERNE SUCCESSIF |
| | 1.4. MULTIPLE INTERNE RAYONNE |
| | 1.5. MULTIPLE INTERNE ET EXTERNE |
| 1.3.3.ELABORE/ABOUTI | 1.2. MULTIPLE EXTERNE |
| | 1.3. MULTIPLE INTERNE SUCCESSIF |
| | 1.4. MULTIPLE INTERNE RAYONNE |
| | 1.5. MULTIPLE INTERNE ET EXTERNE |
| MATER. | PRIX | PRIX | PRIX | PRIX | PRIX | PRIX |
|--------|-------|-------|-------|-------|-------|-------|
| DIMENS.| UNITE | DU M2 | UNITE | DU M2 | UNITE | DU M2 |
| | CHALCO| | CHALCO| | D.U.F.| |
| | | | | | | |
| CARTON | 2.000$| 2.360$| 2.000$| 2.360$| 3.500$| 4.130$|
| FONDULE| | | | | | |
| 130x65 | | | | | | |
| BLOQUES| | | | | | 4.480$|
| DE | | | | | | |
| CIMENT | | | | | | |
| BOIS DE| 8.000$| 10.640$| 8.500$| 8.650$| 6.500$| 8.650$|
| RECUP. | | | | | | |
| 1250x30| | | | | | |
| BRIGUES| | | | | | 10.400$|
| TERRE | | | | | | |
| CUITE | | | | | | |
| CONTRE-| 145.000$| 15.300$| 144.000$| 14.960$| 146.000$| 15.640$|
| PLAQUE | | | | | | |
| 245x120| | | | | | |
| FIBRO -| | | | | 48.000$| 19.580$|
| CIMENT | | | | | | |
| 245x100| | | | | | |
| TOLE | | | | | 154.000$| 27.920$|
| FONDULEE| | | | | | |
| 1215x90| | | | | | |
| BOIS | 18.000$| 23.940$| 12.000$| 15.960$| 21.000$| 27.930$|
| NEUF | | | | | | |
| 250x30 | | | | | | |
TABLEAU NO 04 : CLASSIFICATION DES SYSTEMES DE LIMITES TERRITORIALES SELON LEUR FORCE ET LEUR INTEGRALITE
| | FORCE | FORCE | FORCE | FORCE |
|---------------------|-------|-------|-------|-------|
| | NULLE | FAIBLE | MIXTE | FORTE | TOTAL |
| SYSTEME INEXISTANT | 25% | | | | 25% |
| SYSTEME INCOMPLET | | 12,5% | 6,25% | 6,25% | 25% |
| SYSTEME COMPLET | | 21,7% | 12,5% | 13,3% | 50% |
| TOTAL | 25% | 34,2% | 31,25%| 19,55%|
TABLEAU NO 05 : ACCUMULATIONS DES FONCTIONS DE BASE PAR PIECES
| NBR FONCTIONS | NBR FONCTIONS | NBR FONCTIONS | NBR FONCTIONS |
|---------------|---------------|---------------|---------------|
| CAS UNIQUES | CAS DOUBLES | CAS TRIPLES | CAS QUADRUPLES|
| 136% DORMIR | 110% DORMIR | 112% DORMIR | 111% DORMIR |
| 4% MANGER | 14% CUISINER | 4% CUISINER | 1% SE LAVER |
| 2% SE LAVER | 1% CUISINER | 1% DORMIR | 1% MANGER |
| 1% CUISINER | 2% DORMIR | 1% MANGER | 1% SE LAVER |
| | 1% DORMIR | 1% CUISINER | 1% SE LAVER |
| | 1% DORMIR | 1% MANGER | 1% SE LAVER |
TABLEAU NO 06 : ACCUMULATIONS DE TOUTES LES FONCTIONS PAR PIECES
| NBR:FONCTIONS | NBR:FONCTIONS | NBR:FONCTIONS | NBR:FONCTIONS |
|---------------|---------------|---------------|---------------|
| CAS:UNIQUES | CAS:TRIPLES | CAS:QUADRUPLES| CAS:QUINTULES |
| 29%:DORMIR | 2%:DORMIR | 5%:DORMIR | 2%:DORMIR |
|---------------|---------------|---------------|---------------|
| 1%:CUISINER | MANGER | CUISINER | CUISINER |
| 1%:MANGER | 1%:DORMIR | TRAVAILLER | SE LAVER |
| | MANGER | | |
| 1%:TRAVAILLER | SE LAVER | CUISINER | CUISINER |
| 2%:SE LAVER | 2%:DORMIR | SE LAVER | TRAVAILLER |
| 6%:RECEVOIR | RECEVOIR | 2%:DORMIR | |
| | | | |
| 1%:DORMIR | 1%:CUISINER | MANGER | CUISINER |
| | MANGER | RECEVOIR | MANGER |
| | | | |
| 1%:DORMIR | 1%:CUISINER | MANGER | 1%:DORMIR |
| | MANGER | TRAVAILLER | |
| | | RECEVOIR | MANGER |
| | | | |
| 3%:DORMIR | TRAVAILLER | SE LAVER | |
| | | RECEVOIR | |
| | | | |
| 1%:CUISINER | MANGER | 2%:CUISINER | CAS:SEXTUPLES |
| | MANGER | RECEVOIR | MANGER |
| | | | |
| 7%:CUISINER | 1%:MANGER | RECEVOIR | CUISINER |
| | MANGER | TRAVAILLER | |
| | | | |
| 1%:MANGER | RECEVOIR | 3%:CUISINER | TRAVAILLER |
| | | MANGER | SE LAVER |
| | | | |
| 1%:TRAVAILLER | RECEVOIR | TRAVAILLER | RECEVOIR |
| | | | |
| | | | |
ANNEXE No 05
PLAN ET FIGURES
LA VALLEE DE CHALCO & SES ABORDS
Canaux
Limites entre colonies
Chemin de fer
VOLCAN LA CALDERA
MEXICO
SANTA CATARINA YECAHUIZOTL
VOLCAN ELEFANTE
VOLCAN XICO
CHALCO
Unión de Guadalupe
Tres Marias
Zapata
Jacalones
Providencia
Covadonga
Culturas
Jardines De Chalco
Guadalupana
San Isidro
Independencia
Santa Cruz
Concepción
Jardín
Niños Heroes
Maria Isabelle
D. Martinez
A. Del Mazo
Del Carmen
Santiago
San Miguel
San Martin
Cerro Marquesi
État de Mexico
district fédéral
FIG. No 1 : EXEMPLE DE TRAITEMENT DE RELEVE.
b) SYSTEME DE LIMITES TERRITORIALES
- limite légère :
- haie, barrière...
- limite forte :
- autre maison, mur...
- construction
c) SYSTEME D'ACCES AUX BATIS
C espace de type commun
P espace de type privatif
passage d'un espace (int. ou ext.) à un autre
entrée à un espace
d'aboutissement
entrée à un espace de transition
fig. No 2. Représentation schématique des systèmes d'accès
19. No 3. Représentation schématique des systèmes de limite
FIG. NO 3 : TYPOLOGIE DES ESPACES.
TYPOLOGIE DES ESPACES selon leur qualification spatiale ouvert/fermé; extérieur/intérieur
1 espaces ouverts extérieurs
2 espaces semi fermés extérieurs couverts
3 espaces fermés/tables intérieurs
Zone No1 - les parcelles présentent en moyenne un taux élevé de système de limite :
Santa Cruz, Concepción, Maria Isabel, Jardín, Providencia.
Zone No2 - les parcelles présentent en moyenne un taux moyen de système de limite :
San Isidro, Independencia, Del Mazo, Darío Martínez, Del Carmen ; Santiago.
Zone No3 - les parcelles présentent en moyenne le plus faible taux (forces et dimensions) de système de limite :
Unión de Guadalupe, Tres Marias, San Miguel Jacalones, Jardines de Chalco, Culturas, Cobadunga, Guadalupana, Niños Héroes et Ampliación, Cerro del Marqués, San Miguel Xico, San Martín Xico.
ANNEXE No 06
DOCUMENTS
-I1. Exemple d'habitat rural traditionnel d'une seule pièce. Réalisée en clavage et torchis, la forme de cette maison du Tabasco est très courante dans toutes les régions tropicales du Mexique. (4)
2. Habitat des régions montagneuses. Cet habitat rural de l'état de Durango, est fait de pierres et de tuiles. Ce type de construction montre une réalisation techniquement moderne alors que la structure reste simple et traditionnelle. (*)
3. Distribution type des fonctions et du "mobilier" à l'intérieur d'un habitat rural. (*)
Les documents de cette annexe proviennent de (*) La vivienda indígena de México y del mundo, Hoya Rubio V. J., UNAM, 1982; et de (+) Arquitectura vernácula en México, López Morales F. J., Trillas, 1988.
4. Organisation de parcelle familiale. (*)
5. Facades précolombiennes consignées par Sahagun dans son codex en 1540. On remarque déjà la pièce unique et la petite taille ou l'absence de fenêtre malgré la recherche d'esthétique par les finitions. (+)
ANNEXE No 07
DOCUMENTS
- II -
1. Cohabitation rurale et urbaine.
2. Certains habitants brûlent leurs ordures dans un trou de leur terrain réservé à cet effet pour palier l'absence de ramassage.
3. Jusqu'au début de 1990, n'existait encore que des réseaux pirates de luz robada (électricité volée) : chacun installait ses fils électriques - après les avoir repérés avec un bout de tissu, une vieille tasse, etc... - en les connectant par un système de raccord appelé diablo (diable) au réseau estatal.
4. Aujourd'hui, même les colonies les plus défavorisés de la Vallée bénéficient d'installations réglementaires.
5. Les propriétaires ont acheté ce terrain, en bonne et due forme et en connaissance de cause, bien qu'il soit sous l'eau.
6. Cette maison est faite de plaques de divers matériaux : bois, contreplaqué, tôle ondulée...
7. Coin de maison faite de parpaings superposés - si cette méthode rend la construction précaire, elle permettra aux propriétaires d'en réutiliser les matériaux lors de la construction définitive -
8. Exemple d'habitat à pièce unique d'une zone marginale de la Vallée.
9. Assemblage de carton ondulé et charpente par le biais d'un clou et d'une capsule de bière.
10. Après avoir construit leur cuarto provisional ces propriétaires ont planté un nopal pour consommer et un arbre pour son ombre.
11. Ici la latrine déverse directement dans la fosse constamment inondée qui entoure cette maison.
12. Les rares maison "riches" sont en général bien protégées.
13. En attendant d'être assortie de ses vitres, cette fenêtre est en partie murée.
14. Les murs de cette future maison englobe tout le terrain.
15. Les propriétaires de ce terrain l'ont *bardeado* (au Mexique : action d'enclorer un terrain entre quatre murs), sans le construire, et le prête à une famille chargée de la garder.
16. Ici la limite n'est exprimée que par ces quelques pneus de part et d'autre de l'entrée.
17. La rue, légèrement surélevée par la voirie, est le seul élément qui permet de différencier le terrain privé du public.
18. La recherche d'intégration à cette nouvelle société peut aussi s'exprimer, comme pour cette famille, par l'accomplissement de rites (la bénédiction de la maison) ou l'adhérence à des codes (l'arbre de Noël).
19. Les tessons de bouteille placés au faîte d'un mur manifeste la crainte d'agression.
20. Ce terrain est délimité d'un fil de fer auquel ont été rajouté des bout de plastique d'emballage de manière à souligner le message.
21. Chaque pièce de cette maison est attribuée à un enfant ou aux parents comme s'il s'agissait de simples voisins.
22. Vestiges ruraux : un four transformé en poulailler.
23. Une "maison de campagne" avec sa vestale de plâtre, ses jeux pour les enfants, son "néon" pour la sécurité nocturne, et sa roue de charette abandonnée...
24. Ce qui reste de l'ancien lac...
ANNEXE No 03
QUESTIONNAIRE
| aqui es entrada 01 | sala 02 | comedor 03 | recamara 04 | baño 05 | cocina 06 | cuarto de servicio 07 | patio 08 | jardín 09 | const. 11 | otro esp. 12 |
|-------------------|--------|-----------|------------|---------|----------|----------------------|---------|----------|----------|-------------|
| n° | . | . | . | . | . | . | . | . | . | . |
| QT | . | . | . | . | . | . | . | . | . | . |
| aqui se duerme | se cocina | se come | se trabaja | se baña | se recibe visitas | se guardan cosas | otras funciones especific | fecha de const. | ancho | largo |
|----------------|-----------|---------|------------|---------|------------------|-----------------|--------------------------|-----------------|-------|-------|
| | | | | | | | | | | |
| | | | | | | | | | | |
SERVICIOS 1/1 QRC[...]NC[...]SL[...]
| aqui hay instalación eléctrica | hay luz | hay aparatos eléctricos | hay instal. de gaz | hay otro tipo de luz, o de calefacción especificar | hay plomeria | hay agua |
|--------------------------------|---------|-------------------------|--------------------|-----------------------------------------------------|-------------|---------|
| | | | | | | |
| LIMITES 1/3 QRC[...JN*[..]SC[..] |
|---------------------------------|
| cuantas paredes limitan este espacio |
| en que fecha se realizaron(mes*/año) |
| si hay que diferenciar en el mismo año |
| es de altura | es de bloques | madera | ladrillos | yeso lamina | otro, especificar | es material de recuperación |
|--------------|---------------|--------|-----------|-------------|-------------------|-----------------------------|
| pared #1 | | | | | | |
| #2 | | | | | | |
| #3 | | | | | | |
| #4 | | | | | | |
| #5 | | | | | | |
| #6 | | | | | | |
| otras | | | | | | |
| LIMITES 2/3 QRC[...JN*[..]SC[..] |
|---------------------------------|
| cuantas barreras limitan este espacio |
| en que fecha se realizaron(mes*/año) |
| si hay que diferenciar en el mismo año |
| es de altura | es de madera | metal | otro especificar | hoy el estado está son materiales de recuperación |
|--------------|--------------|-------|------------------|--------------------------------------------------|
| barrera#1 | | | | |
| #2 | | | | |
| #3 | | | | |
| #4 | | | | |
| #5 | | | | |
| #6 | | | | |
| otra | | | | |
| LIMITES 3/3 QRC[...JN*[..]SC[..] |
|---------------------------------|
| cuenta con pintura | varniz | otro acabado, especificar | hoy el estado está bueno, mediano, malo |
|---------------------|--------|---------------------------|------------------------------------------|
| barrera#1 | | | |
| #2 | | | |
| #3 | | | |
| #4 | | | |
| #5 | | | |
| #6 | | | |
| otra | | | |
| LIMITES 3/3 QRI[...JN*[..]S[...] |
|---------------------------------|
| cuantas cercas limitan este espacio | 1 | 2 | 3 | 4 | 5 | 6 | más |
| en que fecha se realizaron (mes*/año) | ..../.. | ..../.. | ..../.. | ..../.. | ..../.. | ..../.. |
# si hay que diferenciar en el mismo año
| cerca#1 | es altura de árbol | de plantas con espinas | otro | hoy el estado está bueno | mediano | malo |
|---------|-------------------|------------------------|------|--------------------------|---------|------|
| cerca#2 | | | | | | |
| cerca#3 | | | | | | |
| cerca#4 | | | | | | |
| cerca#5 | | | | | | |
| cerca#6 | | | | | | |
| otra | | | | | | |
| PISO 1/1 QRI[...JN*[..]S[...] |
|-------------------------------|
| el piso está plano | la regan | la cortan | la abonan | se cura como esp. | es de gente, animales, aire, otro, espec. |
| cerca#1 | | | | | |
| cerca#2 | | | | | |
| cerca#3 | | | | | |
| cerca#4 | | | | | |
| cerca#5 | | | | | |
| cerca#6 | | | | | |
| otra | | | | | |
| TECHO 1/1 QRI[...JN*..]S[...] |
|-------------------------------|
| el techo cubre toda la superficie del lugar | cubre menos de la mitad | cubre más de la mitad | presenta infiltración de agua | está hecho de materiales de recuperación |
| está hecho de tierra | madera | ramas | lamina | cartón | metal | concreto | tejas | otro, especificar |
| lleva capa adentro | pintura adentro | impermeabilización por afuera | otro acabado especif. | hoy el estado está bueno | mediano | malo |
| PISO 1/1 QRI[...JN*[..]S[...] |
|-------------------------------|
| el piso está plano | el piso se encuentra a la misma altura que el terreno | más bajo | más alto | precisar en cm | precisar en cm | está hecho de materiales de recuperación real. | han tenido fecha de que arreglarlo |
| está hecho de tierra | loza | madera | concreto | piedras | otro, especificar | hoy el estado está bueno | mediano | malo |
| MUEBLES y DECORACIONES 1/4 QRI...JN*..JS[.] | MUEBLES y DECORACIONES 2/4 QRI...JN*..JS[.] |
|------------------------------------------|------------------------------------------|
| se adquirió nuevo | de segunda mano | hay agua de tubería | si no de donde la sacan | calientan el agua | con sistema | con energía |
| lavabo | | | | | | |
| escusado | | | | | | |
| ducha | | | | | | |
| hay cuant. | se pueden mover | se adquirieron nuevos | llevan madera | tela | metal | plastico | otro, espec. |
| bancas | | | | | | | |
| sillas | | | | | | | |
| sillones | | | | | | | |
| cuantos asientos de sofa | | | | | | | |
| cuantas mesas son de | superficie < 1 M² | superficie = ou > 1 M² | altura < 60 cm | altura > 60 cm |
| cuantas mesas son de | | | | | |
| es de madera | tri-play | plast | metal | vidrio | otro material | lleva pintura | otro acabado | hoy el estado está bueno, mediano, malo |
| #1 | | | | | | | | |
| #2 | | | | | | | | |
| #3 | | | | | | | | |
| cuantos muebles para guardar sus pertenencias se encuentran | de más de 1/2m² | de menos de 1/2m² | son de cartón | madera | vidrio | plastico | otro es de espec. recup. |
| cuantos | se pueden mover | se pueden cerrar | guardan ropa | utilitarios | comida | otro, especificar |
| cuantos | | | | | | | |
| hay otros muebles | si | cuantidad | función | descripción |
| cambiaron los muebles de lugar | cuantas veces este año desde que se instalaron |
| MUEBLES y DECORACIONES 3/4 QRI....JNº[...]S[...] | MUEBLES y DECORACIONES 4/4 QRI....JNº[...]S[...] |
|-----------------------------------------------|-----------------------------------------------|
| superficie de menos de 1m x 2m | fotos personales | cuadros | posters | ilustraciones otras ilustr. |
| más de 1m x 2m | cuantos están | cuantos están | cuantos están | cuantos están |
| grande como el cuarto | más de 10 10 x 15cm | menos de 10 10 x 15cm | más de 20 x 30cm | menos de 20 x 30cm |
| es de lana | publicitarios especificar | ganados o regalados comprados |
| algodón acrilan | es un producto indust. artesanal de usted |
| otro espec. | son naturales del campo | llevan raíces en tierra | son curaciones se comen, se venden, otro, esp. |
| abajo de un mueble | son de adorno de plástico | son artificiales de plástico |
| hay tapete | hay altar | hay otras cruces | hay flores plantas | estan |
| lleva imagenes fotos quién cruz espejo flores natural. artific. mantel comida carta | a que religión está dedicado | a que altura está una silla un reclinatorio un cojin un tapete otro, especificar | si una puerta puerta una ventana | si campo jardín prada |
| se encuentra contra una pared dos paredes en frente de una puerta de una ventana otro lugar espec. | son de madera tico | llevan raíces en tierra | son curaciones se comen, se venden, otro, esp. |
| espejos manteles adornos reloj | son de plástico vidrio fibra natur. fibra artific. otro esp. | son de adorno de plástico | son artificiales de plástico |
| Hay flores plantas | en maceta de barro metal | en florejo de vidrio de loza | estan sobre en el suelo en un mueble en una ventana |
ANNEXE No 08
TABLE DES MATIERES
TABLE DES MATIERES
I. INTRODUCTION
I.1. METHODE
I.1.a. L'échantillonnage
I.1.b. La zone d'étude
I.2. LES HABITANTS
I.2.a. Les origines
I.2.b. Nombre de logements depuis la naissance
I.2.c. Ancienneté dans la vallée
I.2.d. Statut des occupants des terrains
II. LA REALISATION DES EDIFICES - p.10
II.1. LA CONCEPTION DES HABITATS
II.1.a. Participation familiale à la conception des habitats
II.1.b. Participation professionnelle à la conception
II.2. LA CONSTRUCTION DES HABITATS
II.2.a. Participation à la construction des habitats
II.2.b. Durée de réalisation des habitats autoconstruits
II.2.c. Rapport entre le travail dans la construction et l'origine du chef de famille
II.3. LA STRATEGIE D'EVOLUTION
II.3.a. Tendance à une évolution en deux axes
II.3.b. Typologie évolutive
II.4. LA REALISATION DES EDIFICES : CONCLUSION
III. LES EDIFICES - p.19
III.1. LA MORPHOLOGIE DES HABITATS
III.1.a. L'habitat de type minimal
III.1.b. L'habitat de type élaboré
III.1.c. L'habitat de type moyen
III.2. DEFINITIONS DES REFERENCES CULTURELLES
III.3. LES STRUCTURES INTERNES
III.3.a. Les structures simples
III.3.b. Les structures externes multiples
III.3.c. Les structures internes successives
III.3.d. Les structures internes ramifiées ou rayonnantes
III.3.e. Les structures mixtes
III.4. LES ESPACES SANITAIRES
III.4.a. Densité des espaces sanitaires :
III.4.b. Les latrines
III.4.c. Intégration des sanitaires au sein de l'habitat
III.5. LES EDIFICES : CONCLUSION
IV. LES MATERIAUX - p.34
IV.1. LES COUTS DES MATERIAUX
IV.2. LES MATERIAUX DES HABITATS
IV.2.a. Matériaux de sol des habitats
IV.2.b. Matériaux de mur des habitats
IV.2.c. Matériaux de couverture des habitats
IV.3. L'ETAT DES MATERIAUX DES HABITATS
IV.3.a. Etat des sols des habitats
IV.3.b. Etat des murs des habitats
IV.3.c. Etat des couvertures des habitats
IV.4. UNE EVALUATION DE LA QUALITE DES HABITATS
IV.4.a. Evaluation de la qualité de réalisation
IV.4.b. Evaluation de la qualité après usage
IV.5. LES FINITIONS DES HABITATS
IV.6. LES MATERIAUX DES SANITAIRES
IV.6.a. Matériaux des sols des espaces sanitaires
IV.6.b. Matériaux des murs des espaces sanitaires
IV.6.c. Matériaux des couvertures des espaces sanitaires
IV.6. LES MATERIAUX : CONCLUSION
V. LES PROTECTIONS SPATIALES - p53
V.1. LES LIMITES TERRITORIALES
V.1.a. Matériaux des limites construites
V.1.b. Hauteur des limites construites
V.1.c. Les systèmes de limites territoriales
V.1.d. Répartition géographique des types de systèmes de limites territoriales
V.1.e. Motifs de matérialisation de limite territoriale
V.2. LES PORTES ET FENETRES
V.2.a. Localisation des portes
V.2.b. Sécurité des portes donnant sur l’extérieur
V.2.c. Matériaux des portes et de structure des fenêtres
V.2.d. Matériaux de remplissage des fenêtres
V.2.e. Densités des fenêtres par pièces
V.3. LES PROTECTIONS SPATIALES : CONCLUSION
VI. LE VECU DES HABITATS - p.72
VI.1. LES FONCTIONS DE BASE
VI.2. LES MEUBLES SANITAIRES
VI.3. LA LITERIE
VI.3.a. Densité des lits par pièce
VI.3.b. Capacité des lits
VI.4. LES SIEGES
VI.4.a. Densité des places de fauteuil et/ou canapé par pièce
VI.4.b. Densité des chaises et/ou de tabourets par pièce
VI.4.c. Matériaux apparents des chaises et/ou tabourets
VI.5. LES TABLES
VI.5.a. Matériaux des tables
VI.5.b. Densité des tables par pièce
VI.5.c. Typologie des tables
VI.6. LES RANGEMENTS
VI.6.a. Pièces n’étant pas pourvues de rangement
VI.6.b. Type et fréquence des rangements rencontrés
VI.7. LE VECU DES HABITATS : CONCLUSION
VII. CONCLUSIONS - p.85
VII.1. TRADUCTIONS D'ADHESIONS CULTURELLES DANS L'HABITAT ET SON VECU
VII.1.a. pauvreté exclusive
VII.1.b. tradition-ruralité-mexicanité exclusive
VII.1.c. modernité-urbanité-occidentalité exclusive
VII.1.d. métissage culturel
VII.2. INTER-RELATIONS des TRADUCTIONS CULTURELLES AUX NIVEAUX DES REALISATIONS
VII.3. LA CONTRAINTE ECONOMIQUE
VII.4. CONDITIONS GENERALES DU CADRE DE VIE
VII.5. INFLUENCES DE L'INTER-ACTION CULTURELLE SUR LA CONCEPTION
VII.6. PROPOSITIONS D'AMELIORATIONS
VII.7. PROPOSITION D'AMPLIFICATION DE NOTRE RECHERCHE
ANNEXES
ANNEXE No 01. Méthode d'analyse des systèmes de limite territoriale et d'accès aux habitats - p.102
ANNEXE No 02. Bibliographie - p.116
ANNEXE No 03. Questionnaire - p.120
ANNEXE No 04. Tableaux - p.128
ANNEXE No 05. Plan et Figures - p.133
ANNEXE No 06. Documents photographiques .I. - p.139
ANNEXE No 07. Documents photographiques .II. - p.145
ANNEXE No 08. Table des matières - p.153 | <urn:uuid:54c39857-d39e-4ce0-bb36-58d53709c703> | HuggingFaceFW/finepdfs/tree/main/data/fra_Latn/train | finepdfs | fra_Latn | 232,549 |
Research Models and Services
Rodent Health Monitoring Procedures
North America
Dear Colleagues,
Envigo continues to advance its health testing procedures based on the latest information on microbial pathogenicity and testing technology. We are committed to providing the highest quality animals to the research community and our health testing program provides you with assurance of that commitment.
Microbiologically defined rodent commercial colonies are maintained within maximum security production barriers and flexible-film isolators. Colonies are monitored daily for clinical signs of disease, injury, or abnormal behavior by trained and highly skilled personnel who are supported by the veterinary medical staff. Testing profiles and frequencies are selected to effectively monitor the colonies for pathogenic and select opportunistic flora. Routinely tested and reported organisms are listed below; additional information is available upon request. In attempt to only provide you with animals that meet your specific health requirements, customers are encouraged to provide Customer Service with a facility or institutional bioexclusion list.
Paul Knepley, DVM
Attending Veterinarian, Envigo RMS - North America
Bioexclusion Levels:
Organisms are excluded from the colonies, and changes in health status are reported according to the bioexclusion levels defined below. Bioexclusion levels for each organism are indicated on the Organism list chart.
Level 1: Excluded from all animals. If a colony is confirmed positive, customers are notified and the colony is closed and repopulated with organism-free animals.
Level 2: Excluded from immunodeficient animals, but not immunocompetent animals. If a colony is confirmed positive, customers are notified. Immunodeficient animal colonies are closed and repopulated with organism-free animals. Immunocompetent colonies are maintained according to customer demand.
Level 3: Excluded based on customer demand. If a colony is confirmed positive, customers are notified and are maintained according to customer demand.
North America
800.793.7287
EU and Asia
1 Young adult animals are housed on a bottom shelf, near the room exhaust, and receive dirty bedding from colony residents.
2
Semi-annual tests are performed on one (1) sentinel/species/room minimum, six (6) animals/barrier minimum
3 Cotton rats are not tested serologically; rat and mouse sentinels for this species are tested.
4 Immunodeficient strains are not tested serologically; instead immunocompetent heterozygotes or isolator reared sentinels are used.
envigo.com/contactus firstname.lastname@example.org envigo.com
Reporting and Customer Notification of Health Status Changes:
Health reports list the most recent test results as well as 18-month historical results and are updated monthly. Routine findings are reported on our website and to individuals who have requested to be placed on our contact list. Customers are notified of changes in health status, once the results are confirmed, by phone or email.
Diagnostic Laboratory:
Envigo primarily utilizes our own diagnostic laboratory for routine health monitoring. Additional commercial diagnostic laboratories are used as necessary.
Envigo is transitioning to the use of a non-sacrificial panel (NSP) sampling based program for routine health monitoring.
In this phased approach, Phase I will include the use of fecal samples to screen organisms via culture or PCR. Phase II will utilize four sample types to screen colonies. Samples will be acquired from live animals in our facilities and include fur swab, oral swab, fecal sample, and dried blood spot. Phase III will include the use of Phase II screening but will include the addition of annual necropsy and collection of tissue for histologic evaluation.
Organism List and Testing Frequency
Legend: A = annually, Semi = semi-annually, Q = quarterly, M = monthly, - = not tested. PCR = Polymerase Chain Reaction
a Cotton rats are not tested serologically; therefore, mouse or rat sentinels are utilized.
All other endoparasites and all ectoparasites are Bioexclusion Level 1
Contact us
© 2020 Envigo
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Definition Clinical Signs Incubation Period Risk Factors Transmission
Definition
Clinical Signs
Incubation Period
Rabies
Diagnostic Sampling, Testing and Handling Post-mortem Shedding of Organism Following Resolution of Clinical Signs
Environmental Persistence Specific Control Measures Disinfection Zoonotic Potential
Rabies is a 100% fatal viral disease of mammals that occurs infrequently in horses. The Centers for Disease Control and Prevention report that equids account for 3-5% of all domestic animal rabies cases in the USA, with the total number of equine cases in recent years ranging from 13-47 horses annually.
* Clinical signs of equine rabies are highly variable, with insidious onset as the hallmark. Frequently reported initial clinical signs include colic, choke, lameness, dysuria, priapism, and neurologic abnormalities.
* In unvaccinated horses, rabies is rapidly progressive with death occurring 5–7 days following the onset of clinical signs.
* Physical signs may include:
* Choke
* Colic
* Fever
* Anorexia
* Blindness
* Dysphagia
* Hyperesthesia—manifesting as self-mutilation or intense pruritus
* Lameness
* Paresis and/or ataxia
* Incontinence
* Muscle twitching
* Paralysis—ascending
* Sudden death
* Behavioral signs may include:
* Variable behavior changes at onset
* Dumb form: depression/stupor; more common in horses
* Furious form: mania; less common in horses but extremely dangerous
Typically, 2–6 weeks, although incubation periods up to 6 months have been reported.
Risk Factors
Transmission
Diagnostic Sampling, Testing and Handling
* Unvaccinated horses
* 24-hour access to pasture
* Horses residing in regions with endemic wildlife vectors (skunks, raccoons, fox, bats, domestic animals)
* Exposure occurs primarily through a bite wound from an infected animal. Transmission can occur prior to the development of clinical signs in the biting animal.
* Virus replicates locally in muscle tissues, then travels up peripheral nerves into the spinal cord and brain. This process may take days to weeks, but longer incubation periods even up to 6 months have been reported.
* Exposure occurs through contact of mucous membranes or open wounds with infected animal CNS tissues, including innervated organs.
* Virus-laden aerosols produced during mechanical dissection of nervous system tissues are a potential source of infection, thus, practitioners performing necropsies on rabies suspects should take additional precautions to prevent contact with tissues and bodily fluids through inhalation and/or direct contact with the eyes and mouth.
Correct sampling and testing are imperative for a definitive diagnosis in rabies. Direct Fluorescent Antibody (DFA) test on brainstem and cerebellum is the recommended diagnostic method and is performed in designated state public health laboratories. Confirmatory testing may be performed at the Centers of Disease Control and Prevention (CDC) by DFA and other methods such as immunohistochemistry and RT-PCR. Positive cases are reported to the State Public Health Department and CDC.
Saliva and other body tissues become virus positive by the time clinical signs are evident, but there remains no fully reliable antemortem diagnostic test for rabies. Viral secretion in the saliva may precede clinical signs.
NOTE: Practitioners performing necropsies in the field are encouraged to contact the veterinary diagnostic laboratory to which they plan to submit samples for further testing such as histopathology and pathogen identification to ensure appropriate samples are collected and correctly handled, thereby optimizing the likelihood of a definitive diagnosis. For some situations involving neurologic cases, submission of the entire carcass or whole head to the diagnostic laboratory for post-mortem examination is recommended due to the time and labor required to perform a complete exam and collection of samples from the equine CNS.
Sample Collection and Submission for Rabies Testing:
* Personnel performing necropsies on suspected rabies cases should be vaccinated against rabies and use appropriate personal protection equipment including gloves, goggles and masks or face shields.
Post-mortem
Shedding of Organism Following Resolution of Clinical Signs
Environmental Persistence
* Suspected rabies cases should be euthanized without causing damage to the brain or head. The head may then be removed from the body and submitted intact for examination.
* Alternatively, practitioners may remove and submit the entire brain and brainstem OR a complete cross-section of the brain stem (through the medulla, pons, or midbrain area) and cerebellum (through each hemisphere and the vermis).
o Note: Obtaining both sides of the brainstem and cerebellum is critically important, as unilateral lesions are common in infected animals.
* Samples should be shipped refrigerated in a leak proof container so appropriate sections of the brain can be identified by the laboratory. DO NOT FREEZE SAMPLES.
* It is acceptable to formalin-fix the remaining portion of the brain for eventual histological examination.
* Many laboratories will not start ancillary testing until negative rabies results have been received. Contact the laboratory for specific policies and procedures.
* Some veterinary diagnostic laboratories will test for rabies on necropsy only when specifically requested to do so. Be sure to request rabies testing when submitting the carcass of any neurologic case for necropsy.
Additional resources for rabies sample collection and testing recommendations:
* New York State Health Wadsworth Center: Rabies Laboratory
* CDC State and local rabies contact information
* Centers for Disease Control and Prevention – Rabies Testing
Rabies virus does not cause gross lesions. Self-inflicted wounds may be observed on the body.
N/A
Rabies virus is sensitive to drying, ultraviolet radiation, and detergent. It is inactivated and removed by standard decontamination practices which include washing instruments and environment with common disinfectants such as quaternary ammonium compounds. Instruments should be sterilized by autoclaving.
Specific Control Measures
Prevention
* The rabies vaccine is an AAEP core vaccine that should be administered annually (every 12 months) to all equids regardless of breed, region, or intended use. More detailed information can be found in the AAEP Rabies Vaccination Guidelines.
* Vaccination by a licensed veterinarian may be required by state law in most states for rabies vaccine to be considered valid. Most states require rabies to be administered by or under the supervision of a licensed veterinarian. Although it is legal for owners to purchase rabies vaccine and vaccinate their own animals, many states will not recognize an animal as vaccinated unless a licensed veterinarian or a licensed veterinary technician who is under the immediate and direct supervision of a veterinarian on the premises administered the vaccine with appropriate certificates or veterinary records.
* Several vaccines are licensed for rabies prophylaxis in horses. All are inactivated tissue culture-derived products. Some are labeled for mixed animal species and some for horses only. They are available as a monovalent vaccine or in combination with other antigens. Rabies is an excellent immunogen, and these vaccines induce a strong serologic response after a single dose in adult horses and are licensed for 12-14 months of protection.
* In adult horses, a single dose is sufficient for inducing a protective antibody response regardless of vaccine history.
* The use of titers to determine vaccination intervals is not recommended in horses as significant variability of titers has been observed in challenge studies. Further information regarding the use of titers in horses with histories of life-threatening vaccine reactions can be found in the AAEP Serology Guidelines.
* Post-exposure vaccination of previously unvaccinated horses is of dubious value.
* Feeding and/or housing of wild animals as pets is discouraged, as these animals may serve as vectors for rabies transmission.
Management of Rabies SUSPECT cases
* Any horse exhibiting neurologic signs compatible with rabies should be considered a rabies suspect.
* Veterinarians should contact their local/state public health and animal health officials for quarantine guidance.
* Local/state public health and animal health officials should be notified of confirmed rabies cases immediately.
* Suspect and confirmed horses should be handled using contact precautions. Gloves and protective eyewear must be worn, and appropriate biosecurity measures should be adhered to by all in-contact personnel.
Disinfection
Zoonotic Potential
Further reading
* Minimize the number of personnel in contact with a suspect case. When possible, limit personnel to those who have been vaccinated.
* Establish records of all individuals having handled the suspect horse beginning 48 hours prior to onset of clinical signs.
* Local/state public health and animal health officials should be notified of confirmed rabies cases immediately.
* Horses exhibiting signs of rabies for which other differentials have been ruled out should be euthanized immediately and submitted for postmortem rabies testing.
Management of horses EXPOSED to rabies:
* Exposed animals may be eligible for booster vaccination and observation in quarantine. Quarantine regulations vary depending upon state as well as vaccination status of the exposed horse and should be carried out only under the guidance of state animal health officials.
* Any horse exposed to a known or suspected rabid animal should be reported immediately to the local health department and local/state animal health officials.
* If signs suggestive of rabies develop, the animal should be euthanized, and the head or entire brain (including brainstem) should be submitted for testing
Detailed guidance for recommended responses to potential rabies exposures including humans, domesticated animals and potentially rabid wildlife can be found in the National Assoc. of State Public Health Veterinarians (NASPHV) Rabies Compendium (2016
N/A.
Rabies is a serious zoonotic risk; thus, identification of potential rabies suspect cases is essential and should be promptly reported to public health authorities
See A Review of Equine Zoonotic Diseases: Risks in Veterinary Medicine.
National Assoc. of State Public Health Veterinarians (NASPHV) Rabies
Compendium (2016)
Advisory Committee on Immunization Practices for Rabies (ACIP)
Authors: Susan Moore, Ph.D., and Jacquelin Boggs, DVM, MS, DACVIM Supported and reviewed by: AAEP Infectious Disease Committee | <urn:uuid:56cba6fe-2e86-400a-a125-7a4bea613697> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 10,704 |
HCC COURSE SELECTION GUIDE
BUSINESS ADMINISTRATION: Management Associate in Science Degree
Name___________________________________________
Banner ID No. _________________________
Address________________________________________
Program Entry Date_________________
_________________________________________
Advisor ______________________________
PLACEMENT ASSESSMENT
DS091 □ DS095 □ DS010 □ DS011 □ DS050 □ DS099 □ EN100R □
PROGRAM REQUIREMENTS
3
3
3
3
3
4
3
3
3
3
3
3
3
3
3
3
3
3
| Semester Taken | | Grade | Course Number | Course Title |
|---|---|---|---|---|
| | Freshman Year | | | |
| | | | EN101 | Composition |
| | | | Elective* | Mathematics *(MA115 Or Higher) |
| | | | BU110 | Introduction To Business |
| | | | AC101 | Financial Accounting |
| | | | BU140 | Survey of International Business (fall) |
| | | | EN102 | Composition & Literature |
| | | | CS105 | Introduction To Computer Applications |
| | | | Elective | Business |
| | | | AC102 | Managerial Accounting |
| | | | Elective | Behavioral Science (PY, SO, ANTH) |
| | Sophomore Year | | | |
| | | | Elective | Fine Arts |
| | | | BU215 | Finance |
| | | | BU221 | Business Law I (fall) |
| | | | BU209 | Management |
| | | | Soc. Sc. | Economics 203 Or Economics 204 |
| | | | BU208 | Human Resource (Personnel) Management (fall) |
| | | | BU211 | Business Communications (spring) |
| | | | BU206 | Business Ethics (fall) |
| | | | Elective | Science |
| | | | Elective | Humanities |
BUSINESS ELECTIVES MUST BE CHOSEN AFTER CONSULTING THE BUSINESS PROGRAM ADVISOR. AC100 MAY NOT BE USED AS A BUSINESS ELECTIVE. BU103 or BU110 - alternate may not be taken as Business elective. Business electives: AC-BU-BOT-CS-EC
Note: BU218 Current Issues in Management FALL 1999 changed to BU206 Business Ethics FALL 2002 | <urn:uuid:27bc057a-7106-45cf-b536-f1f23a122ec1> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 1,882 |
ΕΛΛΗΝΙΚΗ ΔΗΜΟΚΡΑΤΙΑ ΝΟΜΟΣ ΣΕΡΡΩΝ ΔΗΜΟΣ ΣΙΝΤΙΚΗΣ
Σιδηρόκαστρο 10.07.2017
Αριθ. Πρωτ.: 9458
Προς: Τα μέλη της
Επιτροπής Ποιότητας Ζωής
ΠΡΟΣΚΛΗΣΗ ΣΥΓΚΛΗΣΗΣ ΕΠΙΤΡΟΠΗΣ ΠΟΙΟΤΗΤΑΣ ΖΩΗΣ
Καλείστε να προσέλθετε στην έκτακτη συνεδρίαση της Επιτροπής Ποιότητας Ζωής που θα διεξαχθεί στο Δημοτικό Κατάστημα την 11 η Ιουλίου 2017 ημέρα Τρίτη και ώρα 11.00' π.μ., για συζήτηση και λήψη απόφασης στο παρακάτω θέμα της ημερήσιας διάταξης, σύμφωνα με τις σχετικές διατάξεις του άρθρου 75 του Ν. 3852/2010 (ΦΕΚ Α΄87).
1 Επανεξέταση της υπ' αριθμ. 40/2017 απόφασης του Τοπικού Συμβουλίου Σιδηροκάστρου για κλείσιμο οδών στο Σιδηρόκαστρο κατά την θερινή περίοδο 2017, σε συνδυασμό με την 116/2004 απόφαση του Δημοτικού Συμβουλίου.
Το θέμα θεωρείται κατεπείγον λόγω έντονης κίνησης στην πλατεία Ελευθερίας με την έναρξη της θερινής περιόδου.
Ο Πρόεδρος της Επιτροπής Ποιότητας Ζωής
ΑΝΘΙΜΟΣ ΓΕΩΡΓΙΑΔΗΣ | <urn:uuid:6a58fa85-adf4-4b9b-acf0-360085697907> | HuggingFaceFW/finepdfs/tree/main/data/ell_Grek/train | finepdfs | ell_Grek | 892 |
Le Jury
Une table ronde de représentants publics, de futurs utilisateurs et d'experts extérieurs se réunit aux deux moments fondamentaux du marché : la sélection des candidats qui élaboreront une offre et, parmi eux, le choix du lauréat qui exécutera la mission. Une responsabilité partagée qui demande sensibilité, capacité d'écoute, esprit critique et multiplicité de compétences.
Date de génération du PDF : 20/09/2018 - 1/9
1. Une question de jugement
La bonne composition du Jury et sa capacité de jugement constituent un aspect crucial pour le succès du processus et la qualité du choix.
Le déroulement d'une séance du Jury doit permettre à chaque membre de se faire une idée personnelle et de s'exprimer librement sur les différentes propositions (ou candidatures) à analyser. Chaque membre doit en outre pouvoir comprendre les arguments des autres, les accepter ou les contester (sans polémiques), voire changer d'opinion au vu des débats qui se tiennent pour ou contre les différentes propositions.
Si le Jury n'est pas à la hauteur des ambitions du projet, si la parole ne circule pas assez, si on ne prend pas le temps d'aller en profondeur avec les arguments pour ou contre chaque proposition, tout le travail en amont du Maître d'ouvrage et des équipes concurrentes risque d'être vain.
La capacité d'écoute, le respect des avis d'autrui et la capacité à argumenter son propos constituent autant de qualités dont chaque membre d'un Jury devrait faire preuve.
La gestion de la parole et des tours de table est aussi essentielle pour garantir ce bon fonctionnement. Le président du Jury en est responsable.
Jury et adjudicateur
Le Jury ne doit pas être confondu avec l'adjudicateur. Le Jury propose (il dispose d'un pouvoir d'avis), l'adjudicateur décide.
D'habitude l'adjudicateur est présent au sein du Jury et la validation des propositions de ce dernier par l'autorité compétente n'est alors qu'une formalité.
2. Un Jury bien composé
Un bon Jury comprend en son sein toutes les compétences pour sélectionner les équipes les plus intéressantes et ensuite, parmi celles-ci, désigner celle qui a formulé la meilleure proposition.
La bonne réussite d'un Jury implique aussi que le lauréat en ressort plus fort, puisque son projet a été plébiscité par un choix collectif, qu'un ensemble d'acteurs décide de porter jusqu'à sa réalisation.
La composition du Jury et sa taille varient en fonction du projet. Il s'agit de réunir au maximum 10 à 12 personnes en observant deux principes de base :
G Tout d'abord, il est fondamental que les principales parties prenantes du projet soient représentées et qu'à ces membres s'ajoutent d'autres intervenants plus extérieurs, avec une compétence spécifique à l'objet du marché, qui alimentent les débats. Un bon équilibre est en général la garantie d'une ouverture des horizons en mettant à distance d'éventuelles idées préconçues ;
G Un deuxième principe, appliqué aussi à l'étranger, est que la moitié du Jury soit composée d'architectes ou de personnes familiarisées avec le jugement architectural. Non seulement les architectes du Maître d'ouvrage (par exemple, du service des Travaux ou de l'Urbanisme) ou de la Cellule architecture, mais aussi des architectes indépendants, ayant un regard expert et extérieur sur les propositions architecturales.
Pour préparer le travail du Jury, une Commission technique est chargée d'analyser les candidatures reçues (avant le Jury de sélection) et, ensuite, les pré-esquisses (avant le Jury d'attribution). Celle-ci est composée de deux ou trois personnes : généralement l'agent traitant (si possible un architecte) assisté d'une autre personne, par exemple un architecte de la Cellule architecture et/ou un utilisateur du bâtiment à transformer qui connait bien la configuration des lieux. Seules ces personnes ont accès aux documents avant la séance du Jury.
Le travail spécifique à accomplir par la Commission technique est décrit dans les sections 5 et 7 de ce Guide.
Plus concrètement, un bon Jury est composé des intervenants suivants :
Maître d'ouvrage. Des représentants du Maître d'ouvrage qui soient capables de juger des enjeux tant architecturaux que stratégiques du projet, donc urbanistiques, culturels, pédagogiques, sportifs, etc. Il peut s'agir du Bourgmestre, d'un échevin, d'un responsable de l'urbanisme, etc. Si le Maître d'ouvrage emploie des architectes, il est opportun qu'ils soient présents , soit dans le jury, soit dans la Commission technique.
Futurs utilisateurs. Les utilisateurs du projet, parce qu'ils connaissent mieux que quiconque la réalité de leur travail et ce qu'ils attendent du projet ; ils connaissent également le bâtiment qui va être transformé (le cas échéant), ses potentialités et les problèmes que les auteurs de projet devront régler.
Pouvoirs subsidiants. Pour des projets subsidiés, il est important d'inviter des représentants des services concernés à être présents, de préférence experts en la matière (représentants de l'enseignement, du tourisme, du sport, du patrimoine, de la culture, etc.).
Cellule architecture. Lorsqu'ils collaborent au déroulement du processus, les architectes de la Cellule architecture sont également présents, à la fois dans la Commission technique et dans le jury. La Cellule architecture propose en outre de présider le jury. En effet, le rôle prépondérant du président est avant tout un rôle de modérateur de débat, de faire circuler la parole, de synthétiser les débats, … L'expérience de la Cellule architecture en la matière lui permet de maîtriser la méthodologie nécessaire pour assurer ces tâches. L'objectif n'est évidemment pas de déposséder le maître d'ouvrage de ses prérogatives. Il assume toujours l'accueil des membres et une introduction sur les enjeux du projet. Suite au jury, c'est toujours lui qui officialise la décision. L'objectif est plutôt de clarifier les rôles de chacun et d'accentuer la plus-value que le jury apporte au maître de l'ouvrage. Il ne faut pas confondre présidence de jury et décision. En effet, le Président anime un débat mais ce n'est pas lui qui « décide ». Le jury d'ailleurs ne décide pas non plus: il conseille. Il est là pour avoir un débat et que ce débat soit consigné dans un rapport qui sert la motivation du choix que fera officiellement le maître d'ouvrage par la suite. Le jury et son président sont au service de l'adjudicateur.
Commune et Région. La présence de représentants en charge des enjeux urbanistiques, environnementaux ou patrimoniaux, tant au niveau communal que régional, est importante pour vérifier la pertinence des propositions des équipes par rapport à ces enjeux (tout en sachant qu'il s'agit d'ébauches et non de demandes de permis!). De plus, ces représentants ont l'opportunité de se fédérer autour du projet qui se développera sur leur territoire et sur lequel ils seront amenés à donner un avis.
Experts extérieurs. Comme déjà dit, la présence d'experts extérieurs habitués à juger des projets d'architecture est fondamentale. Il est recommandé d'inviter trois architectes, urbanistes, paysagistes, designers, qui puissent avoir des compétences ou des préoccupations pertinentes par rapport au projet. Les enseignants des facultés d'architecture, par exemple, ont une bonne expérience dans le jugement des projets. Dans le cas de projets d'envergure, il peut être pertinent de convier un expert étranger tandis que pour les marchés sans publicité (< 85.000 euros HTVA), la présence d'un seul expert est préconisée.
Il peut être utile d'inviter des personnes compétentes en d'autres matières, comme par exemple, un muséologue pour un musée, un expert en pédagogie pour une école, etc.
La présence de ces experts doit être dédommagée : la Cellule architecture propose un forfait de 375 /personne pour la journée, plus frais de transport (et d'hôtel) éventuels. S'agissant d'un dédommagement, la TVA n'est pas d'application.
Bien communiquer aux membres du Jury
L'implication de chaque membre dans le processus est facilitée par quelques actions qui ne sont pas nécessaires au niveau légal, mais qui sont très importantes au niveau de la qualité du processus. Il s'agit surtout de tenir le Jury au courant des différentes actions qui ont été accomplies tout au long du marché. Un simple courriel groupé suffit.
Ainsi, en complément des courriers officiels évoqués plus haut, il est recommandé de communiquer aux moments suivants :
G 10 jours avant la séance du Jury, envoyer un courriel de rappel demandant de confirmer à nouveau sa présence (procéder par téléphone en cas de non réponse). Envoyer aussi le modèle de déclaration de créance que les experts extérieurs pourront remettre le jour de la réunion du Jury. En phase d'attribution, envoyer aussi le PV de la séance de questions-réponses et des éventuelles questions successives auxquelles il a été répondu.
G Une fois que les candidats/soumissionnaires sont tous informés des résultats, transmettre le rapport d'attribution au jury, en lui indiquant que son devoir de réserve sur l'issue de la séance est levé.
3. En pratique
La convocation des membres du Jury à une date qui convienne à tous est une tâche qui peut prendre beaucoup de temps. Le mieux, c'est de s'y prendre le plus possible à l'avance.
- pour la réunion de sélection qualitative: les représentants du Maître d'ouvrage et des utilisateurs peuvent déjà bloquer un certain nombre de dates (minimum trois, des jours de semaine différents) avant la publication de l'Avis de marché; les autres membres devraient être contactés au moment de la publication de l'Avis de marché ; la réunion à fixer doit se tenir 6-7 semaines plus tard (au moins 2 semaines après la remise des candidatures, pour permettre leur préanalyse par la Commission technique et la préparation pratique du jury). Ces personnes (représentants de la Ville, de la Région et experts extérieurs) doivent être contactées personnellement, par téléphone et par courriel.
- pour la réunion d'attribution, la date pourra être fixée de la même façon, au moment de la notification et de la transmission du cahier des charges aux soumissionnaires retenus.
A chacune de ces deux étapes, une fois trouvée la date qui convient à tout le monde, il est important de confirmer la séance par un courrier officiel qui précise la date et le lieu de rendez-vous, ainsi que les dates-clés suivantes déjà définies (remise des candidatures, visite de site, remise des offres, ...).
En annexe, il est utile de joindre :
- en phase de sélection qualitative: déclaration de créance expert, copie de l'Avis de marché et règlement d'ordre intérieur; au-delà de 15 candidatures, les notes de motivation seront jointes pour lecture anticipée.
- en phase d'attribution: déclaration de créance expert, rapport de la sélection qualitative, cahier des charges ainsi que ses principales annexes (éventuellement par lien informatique) et règlement d'ordre intérieur
Renvoi vers les modèles
Tous les éléments de texte soulignés renvoient à un document-type téléchargeable en marge.
4. Déroulement d'une séance
L'idéal est de tenir la séance sur le site du projet ou à proximité.
Une bonne séance est structurée en plusieurs moments bien définis :
G Une introduction pendant laquelle sont situés brièvement les enjeux du projet, pour qu'ils soient clairs et identifiés par tous ;
G Lors de la première séance (sélection qualitative), certains enjeux peuvent être illustrés par une visite du site pour les membres qui ne le connaissent pas (cette visite se fera préférentiellement sur le temps de midi pour ne pas retarder l'examen des candidatures);
G Une explication rapide des documents de pré-analyse préparés par la Commission technique ;
G Une phase d'analyse pendant laquelle chaque membre du Jury peut se faire son opinion sur chaque proposition sans être influencé par les autres. Cela correspond au temps laissé pour l'analyse des dossiers de candidature (en phase de sélection qualitative) ou pour la présentation orale des pré-esquisses par les équipes retenues (en phase d'attribution) ;
G Un premier tour de table où chaque personne se prononce, à tour de rôle et sans intervention des autres, sur chacun des projets ou des candidatures analysés ;
G Un deuxième tour de table et/ou un débat pendant lequel les principaux arguments sont débattus. Cette phase est moins prévisible que les autres et dépend de la qualité des propositions, de la complexité du projet, des confrontations d'idées au sein du Jury, etc. ;
G À l'issue de cette phase, s'il y a consensus, le Jury arrête la liste des candidats retenus (en phase de sélection qualitative) ou le nom du lauréat (en phase d'attribution) ;
G Si les débats restent ouverts, le Jury peut s'exprimer par vote
G Si les soumissionnaires sont présents pour une présentation orale, il sera apprécié que le maître d'ouvrage indique oralement à chacun le planning prévisionnel des étapes à suivre.
En fonction du nombre de candidatures/offres, la séance de sélection peut durer toute la journée (jusqu'en soirée). Il est donc indispensable que le jury réserve sa soirée en cas de besoin.
La capacité du président du Jury à mener une telle réunion est fondamentale pour la réussite de la séance. Il doit avant tout maitriser la méthodologie (dérouelement de la journée, circulation de la parole, ...). Il devra faire respecter les temps impartis tout en s'assurant que tous les membres aient eu l'occasion d'exprimer leurs réflexions sur les différentes propositions examinées. De plus, il doit veiller à ce que toutes les propositions aient été évaluées sur un pied d'égalité et en fonction des critères d'attribution ; il doit pouvoir synthétiser les différentes positions exprimées pendant la séance et savoir susciter des débats ciblés sur les aspects à approfondir. Il doit enfin comprendre à quel moment arrêter les débats et, s'il n'y a pas de consensus, procéder sereinement à un vote.
Le travail en amont opéré par la Commission technique constitue un autre élément important pour le bon déroulement de la séance. Les documents doivent rester strictement objectifs, aider les membres du Jury à extrapoler les informations utiles et faciliter la comparaison quantitative et qualitative entre les propositions.
Lors de la deuxième séance du Jury, la Commission technique est aussi chargée de veiller à ce que la présentation orale des propositions par les équipes corresponde aux documents écrits remis, et attirer l'attention des membres au cas où des aspects problématiques d'une proposition ne seraient pas suffisamment pris en considération.
L'ordre de parole
L'ordre de parole lors des tours de table est important. Il est recommandé de donner dans un premier temps la parole aux utilisateurs afin qu'ils s'expriment de façon libre et puissent faire valoir toute leur expertise d'usage sans être influencés ou intimidés par d'autres membres détenant une forme d'autorité (autorité politique, autorité administrative ou experts extérieurs). Dans un second temps, l'intervention d'experts extérieurs permettra de compléter l'évaluation d'usage par une évaluation plus distante. Ensuite, les autorités extérieures de type pouvoir subsidiant et urbanisme pourront faire valoir leur arguments. Enfin, le maître d'ouvrage pourra à la lumière des différents avis exprimés, formuler sa position. Le rôle du président sera avant tout d'opérer une synthèse des jugements formulés et de lancer et orchestrer le débat de la délibération.
5. Préparation de la salle
La configuration de la salle a aussi un impact sur le bon déroulement des séances du Jury.
Idéalement, les séances du Jury se tiennent sur les lieux concernés par le projet, s'il y a un espace adéquat. Les exigences de la salle varient entre la séance pour la sélection des candidats, qui peut être relativement simple, ou celle pour la présentation des pré-esquisses.
Les exigences
Première séance (sélection) :
G Lumière naturelle (de préférence)
G Table ronde ou en fer à cheval
G Table de support pour les dossiers de candidature
G Boissons
G Snacks-fruits pour parer à d'éventuelles prolongations de la séance en soirée
Deuxième séance (attribution) :
G Lumière naturelle avec possibilité d'occultation
G Table "en fer à cheval" ouverte vers un espace de présentation réservé aux auteurs de projet (entre 2 et 6 personnes en moyenne)
G Surface de projection data + équipement silencieux
G Surface ou chevalet de support des panneaux à proximité des auteurs de projet
G Le cas échéant, table de support pour la maquette, avec un espace libre autour, le tout idéalement au centre du "fer à cheval"
G Surface d'accrochage ou chevalets où, suite aux présentations, tous les panneaux sont exposés (pendant les présentations ils sont retournés ou occultés)
G Idem, le cas échéant, pour ce qui concerne les maquettes
G Boissons.
Conseil : le repas
Pour la première séance du Jury (étape de sélection qualitative), prévoir des sandwiches afin de permettre, à ceux qui le souhaitent, de poursuivre la lecture des dossiers de candidature/de faire une visite du site pendant la pause.
Par contre, lors de la deuxième séance du Jury (étape d'attribution), les présentations orales des équipes doivent être interrompues par une "vraie" pause. Un repas léger peut être organisé, si possible hors de la salle de jury mais tout en restant dans un périmètre proche (autre salle du bâtiment, brasserie d'en face, ...). Pour gagner le temps de préparation, prévoir un menu unique ou, éventuellement, un choix entre 2 menus (un menu de base et un menu alternatif, à demander expressément par mail par les membres du jury quelques jours avant la séance). L'objectif est de sortir de l'ambiance jury sans pour autant être trop long/loin. Attention un retard pour l'audition de la première équipe de l'après-midi n'est pas envisageable.
6. Récapitulatif des tâches
G Prospecter quant aux experts extérieurs à inviter (première prise de contact)
G Rédiger le règlement d'ordre intérieur du Jury (reprenant sa composition) .
G Faire approuver ce règlement d'ordre intérieur par l'autorité
G Coordonner les agendas et fixer la date du premier Jury.
G Envoyer les convocations officielles.
G Vérifier que les dédommagements soient versés.
G Les tâches relatives aux rappels et aux informations à envoyer aux membres tout au long du processus sont récapitulées dans les sections spécifiques.
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PLANO NACIONAL DE PROMOÇÃO DO SUCESSO ESCOLAR PLANO DE AÇÃO ESTRATÉGICA DE PROMOÇÃO DA QUALIDADE DAS APRENDIZAGENS
MICRORREDE DE ESCOLAS DO CFAC
AGRUPAMENTO DE ESCOLAS DE VILA VERDE - Medida 6:
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PLANO NACIONAL DE PROMOÇÃO DO SUCESSO ESCOLAR
PLANO DE AÇÃO ESTRATÉGICA DE PROMOÇÃO DA QUALIDADE DAS APRENDIZAGENS
Necessidades de formação contínua
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ТРАКИЙСКИ УНИВЕРСИТЕТ, АГРАРЕН ФАКУЛТЕТ
СТАНОВИЩЕ
От: Проф. д-р Светла Стоянова Костадинова; Аграрен Университет - Пловдив, Научна специалност Агрохимия.
Отпослно: конкурс за професор по научна специалност „Мелиорации (вкл. почвена ерозия и борбата с нея)“ Професионално направление 6.1. Растениевъдство, по област на висше образование 6. Аграрни науки и ветеринарна медицина в АФ при ТРУ.
1. Информация за конкурса
Конкурсът е обявен за нуждите на катедра Растениевъдство при Аграрен факултет на ТРУ обявен в ДВ бр. 6/21.01.2022 г.
Участвам в състава на научното жури по конкурса съгласно Заповед № 764/24.03.2022 г. на Ректора на ТРУ.
2. Кратка информация за кандидатите в конкурса
Единствен кандидат за получаване на академична длъжност „професор“ е доц. д-р Антония Стоянова. Тя завършва висшето си образование през 1990 г. в АУ-Пловдив със специалност „Тропично и субтропично земеделие“. В периода 1999-2012 г. кандидатката работи в Земеделски институт, гр. Стара Загора като научен сътрудник по „Мелиорации (вкл. почвена ерозия и борбата с нея)“. От 2012 г. е главен асистент в Катедра Растениевъдство на Тракийски университет в Стара Загора и от 2015 г до момента е доцент в същата катедра.
3. Изпълнение на изискванията за заемане на академичната длъжност
3.1. Изпълнение на изискванията по Приложение 8.1:
Приложената информация в Приложение 8.1 посочва, че доц. д-р Антония Стоянова изпълнява минималните национални изисквания и допълнителните изисквания на Тракийския Университет към научната и
преподавателската дейност на кандидатката за заемане на академичната длъжност "професор" по Професионално направление 6.1. Растениевъдство.
- 1937.8 е сумата на броя точки в частта на минималните национални изисквания или изпълнението на изискванията надвишава 3.52 пъти минимума точки;
- В раздела допълнителни изисквания кандидатката е формирала сума от 615 точки или изпълнението на изискванията надвишава минимума 3.51 пъти.
4. Оценка на учебно-преподавателската дейност за всеки кандидат
Доц. д-р Антония Стоянова има 10 години педагогически стаж в катедрата по Растениевъдство при Аграрен факултет на Тракийски Университет гр. Стара Загора. Нейната преподавателска дейност е свързана основно с напояването и поливния режим на земеделските култури. Тя е самостоятелен автор на учебник по Напояване и други мелиоративни технологии. Доц. д-р Антония Стоянова има съществен принос в обучението на студенти и докторанти в областта на растениевъдството. Тя извежда три дисциплини в ОКС „Бакалавър“ – „Мелиорации и мелиоративни технологии“, „Ерозия на почвите“, „Биологично земеделие“, и две дисциплини в ОКС „Магистър“ – „Биологично земеделие“ и „Биологична растителна защита“. Доц. д-р Антония Стоянова е била е научен ръководител (съвместно с доц. Галя Панайотова) на един докторант, успешно защитил през 2021 г.
5. Кратка характеристика на представените научни трудове/публикации
В конкурса за заемане на академичната длъжност "професор", доц. д-р Антония Стоянова участва с общ брой от 64 научни труда, групирани по следния начин:
- Научни публикации, които са реферирани и индексирани в световноизвестни бази данни с научна информация 27 броя;
- Статии и доклади, публикувани в нереферирани списания с научно рецензиране или публикувани в редактирани колективни томове – 37 броя.
Представените научни публикации посочват, че изследователската работа на доц. Стоянова е в областта на растениевъдната наука. Пряко свързани с научната специалност „Мелиорации (вкл. почвена ерозия и борбата с нея)“ са 24 публикации или 37,5% от общата научна продукция на кандидатката. Основните научни проблеми по които тя е работила са
свързани с елементи от агротехниката на полски култури. Научната продукция по култури е както следва: 33 бр. са за пшеницата; 8 бр. за домати; 5 бр. за памук; 5 бр. за царевица; 3 бр. за роза; 7 бр. за други култури и 3 общи растениевъдни статии.
Доц. Стоянова е представила списък с общ брой от 115 цитирания, разделени в три групи:
1. Цитирания в научни издания, реферирани и индексирани в световноизвестни бази данни с научна информация – 58 цитати при цитирани 22 публикации;
2. Цитирания в монографии и колективни томове с научно рецензиране – 6 цитати при цитирани 3 публикации;
3. Цитирания или рецензии в нереферирани списания с научно рецензиране – 51 цитати при цитирани 31 публикации.
Това посочва, че значителна част от научната й работа е намерили отражение сред международната научна общност. Високият процент цитирания в научни издания, реферирани и индексирани в световноизвестни бази данни (50.4% от всички цитирания) доказва определен интерес към научните резултатите на доц. Стоянова и значимостта на експерименталната й работа.
6. Синтезирана оценка на основните научни и научно-приложни приноси на кандидатите
Доц. д-р Антония Стоянова е представила справка с формулирани 14 броя научни приноси, 8 броя приноси с научно-приложен характер и 8 броя приноси с приложен характер. Считам, че приносоите са добре формулирани и отговарят на научната продукция на кандидатката по настоящия конкурс за „професор“.
7. Основни критични бележки и препоръки
Нямам съществени бележки към представената научна продукция от доц. д-р Антония Стоянова. Кандидатката напълно покрива минималните национални наукометрични изисквания, посочени в Закона за развитие на академичния състав в Република България. Препоръчвам на доц. д-р Антония Стоянова да концентрира и задълбочи бъдещата си изследователска работа върху актуални проблеми в областта на научната специалност „Мелиорации (вкл. почвена ерозия и борбата с нея)“.
8. Заключение
Въз основа на направения анализ на педагогическата и научната
дейност на кандидатката считам, че Доц. Д-р Антония Стоянова отговаря на изискванията на ЗРАСРБ, ППЗРАСРБ и Правилника на Тракийския университет за неговото приложение.
Всичко това ми дава основание да оценя ПОЛОЖИТЕЛНО цялостната и дейност.
Позволявам си да предложа на почитаемото Научно жури също да гласува положително, а Факултетният съвет на Аграрния факултет при Тракийски университет – Стара Загора да избере Доц. Д-р Антония Стоянова за „професор” по научната специалност „Мелиорации (вкл. почвена ерозия и борбата с нея)”.
12.04.2022 г. / Пловдив
Подпис: ..........................................
(Проф. д-р Светла Костадинова)
TRAKIA UNIVERSITY, FACULTY OF AGRICULTURE
STANDPOINT
From: Prof. Dr. Svetla Stoyanova Kostadinova; Agricultural University - Plovdiv, scientific specialty Agrochemistry.
Concerning: competition for a professor in the scientific specialty "Melioration (including soil erosion and its control)", Professional field 6.1. Crop Production, in the field of higher education 6. Agrarian sciences and veterinary medicine in AF at TRU.
1. Information about the competition
The competition was announced for the needs of the Department of Crop Production at the Faculty of Agriculture of TRU, announced in SG no. 6 / 21.01.2022.
I participate in the composition of the scientific jury of the competition according to Order № 764 / 24.03.2022 of the Rector of TRU.
2. Brief information about the candidates in the competition
The only candidate for the academic position of "Professor" is Assoc. Prof. Dr. Antonia Stoyanova. She graduated in 1990 at the Agricultural University of Plovdiv with a specialty in "Tropical and Subtropical Agriculture". In the period 1999-2012 the candidate worked at the Agricultural Institute, Stara Zagora as a researcher associate in "Melioration (including soil erosion and its control)". Since 2012 she has been a senior assistant in the Department of Crop Production at the Thracian University in Stara Zagora and since 2015 she has been an associate professor in the same department.
3. Fulfillment of the requirements for holding the academic position
3.1. Fulfillment of the requirements under Annex 8.1.
The attached information in Annex 8.1 indicates that Assoc. Prof. Antonia Stoyanova, meets the minimum national requirements and the additional requirements of the Thracian University to the scientific and teaching activities of the candidate for the academic position "Professor" in Professional field 6.1.
Crop Production.
- 1937.8 is the sum of the number of points in the part of the minimum national requirements or the fulfillment of the requirements exceeds 3.52 times the minimum of points;
- In the section additional requirements the candidate has formed an amount of 615 points or the fulfillment of the requirements exceeds the minimum 3.51 times
4. Evaluation of the teaching activity for each candidate
Assoc. Prof. Dr. Antonia Stoyanova has 10 years of pedagogical experience in the Department of Crop Production at the Faculty of Agriculture of the Thracian University of Stara Zagora. Her teaching activity is mainly related to the irrigation and irrigation regime of agricultural crops. She is an independent author of a textbook on Irrigation and other melioration technologies. Assoc. Prof. Dr. Antonia Stoyanova has a significant contribution to the training of students and PhD students in the field of crop production. She teaches three disciplines in the Bachelor's Degree - "Melioration and Melioration Technologies", "Soil Erosion", "Organic Agriculture", and two disciplines in the Master's Degree - "Organic Agriculture" and "Organic Plant Protection". Assoc. Prof. Dr. Antonia Stoyanova was a research supervisor (together with Assoc. Prof. Galya Panayotova) of a PhD student who successfully defended in 2021.
5. Brief description of the presented scientific papers / publications
In the competition for the academic position "Professor", Assoc. Prof. Dr. Antonia Stoyanova participated with a total of 64 scientific papers, grouped as follows:
- Scientific publications that are referenced and indexed in world-famous databases with scientific information - 27 issues;
- Articles and reports published in non-peer-reviewed journals with scientific review or published in edited collective volumes - 37 issues.
The presented scientific publications indicate that the research work of Assoc. Prof. Stoyanova is in the field of crop science. Directly related to the scientific specialty "Melioration (including soil erosion and its control)" are 24 publications, or 37.5% of the total scientific output of the candidate. The main scientific problems she has worked on are related to elements of agricultural techniques of field crops. The scientific production by cultures is as follows: 33 pcs. are for wheat; 8 pcs. for tomatoes; 5 pcs. for cotton; 5 pcs. for corn; 3 pcs. for a rose; 7 pcs. for other crops and 3 general plant articles.
Assoc. Prof. Stoyanova presented a list with a total of 115 citations, divided into three groups:
1. Citations in scientific journals, referenced and indexed in world-famous databases with scientific information - 58 citations of 22 cited publications;
2. Citations in monographs and collective volumes with scientific review - 6 citations of 3 publications cited;
3. Citations or reviews in unreferred journals with scientific review - 51 citations of 31 published cited.
This indicates that a significant part of her scientific work has been reflected in the international scientific community. The high percentage of citations in scientific journals, referenced and indexed in world-famous databases (50.4% of all citations) proves a certain interest in the scientific results of Assoc. Prof. Stoyanova and the importance of her experimental work.
6. Synthesized assessment of the main scientific and scientific-applied contributions of the candidates
Assoc. Prof. Dr. Antonia Stoyanova presented a report with 14 formulated scientific contributions, 8 contributions of scientific and applied nature and 8 contributions of applied nature. I believe that the contributions are well formulated and correspond to the scientific output of the candidate in this competition for "professor".
7. Main critical remarks and recommendations
I have no significant remarks on the presented scientific production by Assoc. Prof. Dr. Antonia Stoyanova. The candidate fully meets the minimum national scientometric requirements specified in the Law on the Development of Academic Staff in the Republic of Bulgaria. I recommend Assoc. Prof. Dr. Antonia Stoyanova to concentrate and deepen her future research work on current issues in the field of science "Melioration (including soil erosion and combating it)."
8. Conclusion
Based on the analysis of the pedagogical and scientific activity of the candidate, I believe that Assoc. Prof. Dr. Antonia Stoyanova meets the requirements of ZRASRB, PPZRASRB and the Regulations of the Thracian University for its application.
All this gives me reason to positively evaluate its overall activity.
I would like to suggest to the esteemed Scientific Jury to vote positively, and the Faculty Council of the Faculty of Agriculture at the Thracian University - Stara Zagora to elect Assoc. Prof. Dr. Antonia Stoyanova as "Professor" in the scientific specialty "Melioration (including soil erosion and control with her)".
12.04.2022 г. / Plovdiv
Signature: _________________________
(Prof. Dr. Svetla Kostadinova) | 8b3911d5-a0d2-4bfc-8d7b-a477d57c0d47 | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 13,178 |
Com | World 2019 Document Database
1995 Mercedes E320 Repair Manual
1995 Mercedes E320 Repair Manual
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1995 Mercedes E320 Repair Manual - 2019 Com | World 2019 Document Database | <urn:uuid:4450f4fa-6e17-4715-9b09-0796fa4a71b0> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 1,802 |
Junior/Senior Formal Attire Guidelines for Ladies
Dress Checks: March 12
th
-19
th
7:20-7:40 or 3:15-3:45
New Wing 3
*DRESS CHECKS FOR LADIES ARE MANDATORY.
PLEASE COMPLETE ALTERATIONS BEFORE YOU ATTEND DRESS CHECK. IF YOUR DRESS DOES NOT PASS DRESS CHECK, YOU WILL HAVE TO SCHEDULE A TIME TO HAVE IT RECHECKED WITH MS. GRIZZLE BEFORE THE FORMAL (BY 3/27).
Our ultimate goal is for each of you to look beautiful and classy. We also want to enforce these guidelines as consistently as possible—which is why these guidelines are so specific. We will do everything that we can to help you figure out what will work and look good. If you are still unsure about a dress after consulting these guidelines, bring a photo of yourself wearing the dress to Ms. Grizzle before or after school before you buy it. Please do not text any of the staff photos of you in your dress for approval. Every young lady must come to dress check and try on her dress (even if she does not attend Faith Academy). If your date lives out of town, see the event coordinator to make a plan. A photographic record will be made of each young lady in her dress. Photos will not be shared publicly. If a young lady shows up on the night of the formal, and her dress does not meet the guidelines, she will not be allowed to attend.
General:
- Do not purchase a dress if you are not sure if it follows the guidelines/cannot be returned. Keep your receipts.
- If the guidelines say that it should be covered, cover it. Do not try to compromise with sheer/nude fabric.
- No visible tattoos.
Top/Cleavage:
- No visible cleavage.
- Dresses must be straight across. No sweetheart necklines or deep "V" necklines. If you insert a panel into the top of a dress, it must be high enough to make the dress go straight across. Panels cannot look like bare skin or be see through.
Side/Midriff:
- Dresses must cover the side. Dresses should not be cut all the way to the side seam. They should fit snugly on the sides so that you cannot see into the side of the dress.
- Dresses must cover the midriff. No cut-outs or see through panels in areas that should be covered. No dresses that give the appearance of bare skin showing that should be covered. If there is fabric behind a see-through panel or cut-out, it cannot be sheer or match the individual's skin tone (making it appear that the area is seethrough).
- No two piece dresses.
Back:
- Dresses cannot dip below the natural waistline in back. The natural waistline is defined as: "the thinnest part of your abdomen or torso—located between your ribcage and hips."
- No completely backless dresses.
Length:
- Dresses must come to the knee. Slits cannot be more than 2" above the knee.
- No short underlays with sheer fabric over them. The shortest part must touch the top of the knee. | <urn:uuid:cb7aaef7-d430-429f-bcc1-8d88cb6bb2b7> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 2,821 |
Grundejerforeningen Mosede Høj - Mosede Klint
Balance pr. 31/12-2016
| Aktiver | 2016 | 2015 |
|----------------------------------------------|------------|------------|
| Kasse | 1.960,50 | 1.760,50 |
| Danske Bank driftkonto | 66.732,61 | 82.392,58 |
| Danske Bank driftkonto | 0,00 | 0,00 |
| Danske Bank aftalekonto | 319.337,71 | 319.538,71 |
| Kontingent til gode | 0,00 | 0,00 |
| Adm. Bidrag til gode | 0,00 | 0,00 |
| Aktiver i alt | 388.030,82 | 403.691,79 |
| Passiver | 2016 | 2015 |
|----------------------------------------------|------------|------------|
| Egenkapital primo | -403.691,79 | -405.692,12 |
| Overskud grundejerforening | -151,53 | -17.524,67 |
| Underskud strandgrund | 15.812,50 | 31.562,50 |
| Ultimo | -388.030,82 | -391.654,29 |
| Skyldig kreditor | 0,00 | 0,00 |
| Depositium | 0,00 | -12.037,50 |
| El og vand | 0,00 | 0,00 |
| Passiver i alt | -388.030,82 | -403.691,79 |
| Balance | 388.030,82 | -388.030,82 | 403.691,79 | -403.691,79 |
Kasserer
Randi Hein
Formand
Mona Thomsen
Revisor
Peter Westergaard
## Grundejerforeningen Mosede Høj - Mosede Klint
### Resultatopgørelse pr. 31/12-2016
| Indtægter | 2016 Debet | 2016 Kredit | 2015 Debet | 2015 Kredit |
|-----------|------------|-------------|------------|-------------|
| 1005 Kontingent (60) | -60.000,00 | | -48.000,00 | |
| 1015 Adm. Bidrag | -100,00 | | 0,00 | |
| 1016 Renter bank | 0,00 | | -1.038,40 | |
| 1017 Indtægt ejendomsmægler | -2.900,00 | | 0,00 | |
| 1018 Renter Obligationer | 0,00 | | 0,00 | |
| **1099 Total** | **-63.000,00** | | **-49.038,40** | |
| Udgifter | 2016 Debet | 2016 Kredit | 2015 Debet | 2015 Kredit |
|----------|------------|-------------|------------|-------------|
| 1020 Generalfors. og møder | 2.385,40 | | 1.840,04 | |
| 1025 | 0,00 | | 0,00 | |
| 3205 formand og Kasserer kontorhold | 10.000,00 | | 10.000,00 | |
| 3305 Kontordrift | 0,00 | | 0,00 | |
| 3308 Renholdelse af veje | 45.125,00 | | 15.250,00 | |
| 3315 Gebyr Bank | 351,00 | | 628,50 | |
| 3321 Gaver nye medlemmer | 355,00 | | 100,00 | |
| 3322 Forsikringer | 4.159,17 | | 0,00 | |
| 3330 Diverse | 472,90 | | 3.695,19 | |
| **62.848,47** | | | **31.513,73** | |
| Grundejerforeningens resultat | **-151,53** | | **-17.524,67** | |
| 3350 Udlejning campingpl | 0,00 | | 0,00 | |
| 3360 Renovation | 0,00 | | 0,00 | |
| 3365 Elafgifter | 0,00 | | 0,00 | |
| 3370 Vandafgifter | 0,00 | | 0,00 | |
| 3380 Vandafgifter | 0,00 | | 0,00 | |
| 3390 Affaldsbeholder | 0,00 | | 0,00 | |
| 3400 Andel af hegn | 0,00 | | 0,00 | |
| 3570 Trærydning | 15.812,50 | | 31.562,50 | |
| **15.812,50** | | | **31.562,50** | |
| Strandgrundens resultat | **15.812,50** | | **31.562,50** | | | <urn:uuid:328fbdf2-12a4-4146-b659-7e6bcc1b1a05> | HuggingFaceFW/finepdfs/tree/main/data/dan_Latn/train | finepdfs | dan_Latn | 3,306 |
Uranium Corporation of India Limited invites Tenders from the eligible domestic bidders for the following works:
| No | Name of work | "Roof Treatment at AECS, Shopping Complex, GM Bungalow, MTC, Guest House and 'D' type Narwapahar" |
|----|------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------|
| 01 | Last date of Submission of e-tender | 27.11.2023 up to 03:00 PM |
| 02 | Date and Time of Opening of | 28.11.2023 up to 03:30 PM |
| 03 | The Period of Contract | 200 days |
| 04 | Estimated Value of Work | Rs. 46,63,618.00 (Including GST) |
| 05 | Cost of Tender Document | Rs. 500.00 |
| 06 | EMD is 1% of the estimated cost. Earnest Money Deposit (Demand Draft) only in favour of Uranium Corporation of India Limited, Payable to State Bank of India, Hartopa, IFSC-SBIN0009613 or (any current valid exemption Certificate). The Original EMD if any should be deposited or send by regd. Post, To Addl. Manager (Personnel), UCIL, Narwapahar Mines East Singhbhum Jharkhand-832111 The EMD should reach the above office before the due date opening of Techno commercial bid without which the bid shall be rejected. | Rs. 46,640.00 # Bidder should upload the scan copy of the EMD (DD) in www.uraniumcorp.in website also. # Public Sector Undertakings, State Government Undertakings, may be exempted from payment of EMD with the approval of Competent Authority. MSME/Small Scale Industries (SSI) with current valid registration with State or Central Govt. shall be exempted from payment of EMD (after ensuring that the registration in case of SSI) pertains to the class of items/stores/works for which the tender is floated) by the authority competent to conclude supply/contract orders. Exemption of startups and the MSMEs in Procurement Policy on prior experience- prior turnover criteria. # For exemption of EMD for the above category of bidders shall have to submit, Self authorized “Bid Security Declaration” should be uploaded in place of EMD as per format. |
| 07 | Date and Time of opening of (Price Part) | Shall be intimated to only those Tenderers who qualify in technical part later on. |
Full details terms, conditions ad specification of works as well as detail conditions of tendering shall be available in the tender document for above NIT document, which can be downloaded from our website www.uraniumcorp.in or it may be received from O/o. Addl. Manager (Personnel), Narwapahar. Postal, courier or Email bids will not be entertained.
Seal Tenders containing separate envelopes for Technical part & Price part will be received in tender box kept at the Office of Addl. Manager (Personnel), Narwapahar up to 3.00 P.M. on dated: 27.11.2023 and tender technical part will be opened on dated: 28.11.2023 at 3.30 P.M. at Narwapahar by Chairman & Managing Director or his representative(s) in presence of tenderers who may like to be present. Telex, Telegraphic or E-mail tenders will not be entertained.
The Corporation reserves the right to accept or reject any or all tenders either in full or part thereof or to split up the work if necessary without assigning any reasons whatsoever. This NIT is also displayed on our website www.uraniumcorp.in. Conditional tender shall not be accepted. Hence tenderers are advised to quote their price as per above NIT condition only.
For Uranium Corporation of India Limited, Jaduguda | <urn:uuid:19c02ef9-94f4-4304-91d9-3c6d0fb660a9> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 4,196 |
Comisión Permanente de Extensión de AUGM
I Reunión 2018
23 de abril de 2018, UNMDP. Mar del Plata. Argentina
ACTA
Participantes:
Julio Daher, UNCuyo
María Lucila Reyna, UNL
Gustavo Menéndez, UNL
Claudia Orleans, UNLP
Leandro Quiroga, UNLP
Romina Colacci, UNMdP
Marcela Bernardi, UNNE
Diego J. Batalla, UNNOBA
Pablo García Giménez, UNR
Claudio Carucci, UNS
Mónica Bussetti, UNSL
Luis Mario Montaño Riveros, UMSA
Sandra de Deus, UFRGS
Fernando Hashimoto, UNICAMP
Lilian Zárate Rojas, UNA
Juan Carlos Molinas C., UNE
Mario Barité, UdelaR
Fernando Sosa, Secretaría Ejecutiva AUGM
Presentación y bienvenida a los participantes.
Las palabras de bienvenida estuvieron a cargo del Rector Alfredo Remo Lazzeretti de la Universidad Nacional de Mar del Plata y de Fernando Sosa por la secretaría ejecutiva de AUGM.
De inmediato de procedió a la presentación del panel El rol de la Educación Superior de cara a los desafíos sociales de América Latina y el Caribe, actividad preparatoria de la III Conferencia Regional de Educación Superior, Córdoba 2018.
Las presentaciones estuvieron a cargo del Rector de la UNNOBA Guillermo Tamarit en representación del Consejo Interuniversitario Nacional de Argentina y de Dr. Víctor Martín Fiorino -Doctor en Filosofía por la Universidad de Lovaina, especialista en Ética Aplicada, Consultor Académico UNESCO-ORSALC y Catedrático en la Universidad de Salerno y en la Universidad Católica de Colombia-.
En el encuentro se presentaron las ideas y propuestas diseñadas por el Instituto de Educación Superior para América Latina y el Caribe (Iesalc-Unesco) sobre la temática así como temas informativos inherentes al diseño y la participación en la CRES.
Al término de la mesa se procedió al inicio de la reunión ordinaria de la Comisión Permanente de extensión universitaria de AUGM dando comienzo con una ronda de presentación de participantes.
Revisión del plan de trabajo bianual 2018 - 2019.
- Evaluación de la Escuela de verano realizada en la Un cuyo
El representante de UNCuyo Prof. Julio Daher informó acerca de los resultados obtenidos en la escuela de verano celebrada en dicha universidad en el mes de marzo pasado.
Las opiniones vertidas por participantes (en calidad de docentes y/o participantes) de la EV son positivas y se recomienda a seguir impulsando actividades en el formato establecido, dando prioridad a los apoyos para la participación de estudiantes.
Secretaría ejecutiva informa de la nueva normativa que promoverá la realización de estas actividades.
- Cátedra Itinerante de DD.HH. de AUGM
Se acordó la conformación de un consejo académico con el objetivo de diseñar una propuesta acabada de plan de acción para el desarrollo su aprobación en la próxima reunión de la CP en el segundo semestre de 2018.
Comisión Permanente de Extensión Universitaria
Dicho comité queda integrado por la Universidad de la República de Uruguay, por la Universidad Nacional del Litoral y la Universidad Nacional de La Plata de Argentina, La Universidad Mayor de San Andrés de Bolivia y la Universidad Federal de Minas Geraís y la Universidad de Campinas de Brasil.
Se acuerda impulsar un ámbito de trabajo en el corto plazo, aprovechando para ello o bien las agendas de interés previstas en la región o bien medios técnicos que permitan la virtualidad de la misma.
La agenda de la misma deberá incluir las propuestas enviadas desde las U. miembro para el análisis y perfeccionamiento de las mismas, en particular la presentada por la UMSA.
Se propone hacer circular un formulario con el objetivo de recabar la información sobre oferta de cursos en las U. miembro.
- Escuelas de Verano/Invierno 2018
No se presentaron nuevas propuestas para su desarrollo en 2018.
- Jornadas de Jóvenes Investigadores
Secretaría ejecutiva informó acerca de la realización de las XXVI JJI a celebrarse del 17 al 19 de octubre de 2018 y que tendrán como sede UNCUYO, Mendoza – Argentina.
Se recuerda la importancia de promover participación de Jóvenes investigadores en la temática de extensión universitaria, incluida en las jornadas desde su XXIV edición.
El Prof. Julio Daher de UNCUYO informa la propuesta de generar un encuentro con jóvenes investigadores que hayan presentado trabajos durante las jornadas para abordar distintos temas de interés.
- Publicación Digital de la CP de Extensión de AUGM.
La Universidad Nacional del Litoral informa sobre los avances en la publicación digital de la CP de extensión de AUGM.
Se resuelve poner a disposición de los interesados dicha publicación contando para su confección con el material hasta ahora enviado por la U, miembro.
Así mismo se solicita a la secretaría ejecutiva reenvíe la solicitud a las U. para que continúen enviando material de interés para la publicación.
- Participación de la CP de Extensión de AUGM en las Jornadas de Extensión del Mercosur
Se informa acerca de la invitación recibida por los organizadores de las Jornadas en particular por la UNICEN, para que AUGM exponga los temas de interés referidos a la internacionalización de la extensión y la experiencia del trabajo del Grupo. Se acordó que la representación estuviera a cargo del Prof. Gustavo Menéndez y la Profa. Sandra de Deus en su calidad de coordinadores de la CP.
Por otra parte se informó también de los apoyos otorgados a la realización de las Jornadas, destacándose la participación del Prof. Víctor Martín Fiorino Consultor Académico UNESCOORSALC en representación de la coordinación del eje de extensión de la próxima CRES 2018.
Informe de los avances en el grupo de trabajo de Discapacidad y Accesibilidad
Secretaría ejecutiva informó acerca del visto bueno otorgado por Delegados Asesores a la conformación del Comité Académico Discapacidad y Accesibilidad una vez se presentó y cumplieron las formalidades del caso.
Se toma conocimiento de la creación de dicho CA y se recuerda que a partir de ahora los nexos que unen a este ámbito (CP) con el de reciente creación serán solo de carácter académico y cuando exista interés.
Incorporación de la temática Salud Mental y Comunitaria
La representante de la UNLP Claudia Orleans presento un informé acabado sobre la fundamentación e importancia de avanzar en el trabajo de dicha temática.
Se acordó que la propuesta se empiece a desarrollar a través de la creación de un Grupo de Trabajo vinculado a la CP de extensión en línea con lo acontecido en la temática Discapacidad y Accesibilidad.
Conferencia Regional de Educación Superior 2018.
Secretaría ejecutiva informa de los avances en la organización de la III CRES a celebrase del 11 al 14 de junio de 2018 en la Universidad Nacional de Córdoba y en el marco de los 100 años de la Reforma Universitaria.
Se informa de la invitación recibida por AUGM de parte del coordinador del eje temático El rol de la Educación Superior de cara a los desafíos sociales de América Latina y el Caribe, Humberto Grimaldo de OREALC – UNESCO, para el uso de la palabra durante la plenaria de dicho eje en la CRES.
Se toma conocimiento de la invitación y se agradece el gesto recibido.
Comisión Permanente de Extensión Universitaria
Se acuerda enviar el resumen de 400 palabras solicitado por UNESCO como antecedente al uso de la palabra en la Conferencia.
La definición sobre la representación de AUGM en el uso de la palabra será tema a analizar por parte del Consejo de Rectores.
Se sugiere que los representantes de la CP de AUGM que estén presentes en la CRES 2018 puedan acordar un momento de encuentro durante la Conferencia. Se solicita al representante de UNC pueda apoyar en la iniciativa.
Por lo anterior se recuerda la importancia de inscribirse al evento y se subrayan las dificultades que se pueden ocasionar para el alojamiento de los delegados.
Se agradece al Dr. Víctor Martín Fiorino, Consultor Académico UNESCO-ORSALC quien en representación de Humberto Grimaldo, coordinador del eje que envuelve a los temas de extensión universitaria de la CRES 2018 nos acompañó de la mejor manera durante toda la jornada.
Se toma conocimiento de las informaciones referidas al VI Foro Regional de AL y C de responsabilidad social universitaria a celebrarse posteriormente a la CRES y donde se prevé pueda actuar como ámbito de acompañamiento a las resoluciones obtenidas en la Conferencia. Dicho encuentro está previsto se realice en la ciudad de Cuenca - Ecuador.
Se solicita a la secretaría ejecutiva para que, por su intermedio, se busque generar las condiciones para un espacio en el uso de la palabra en el eje de Reforma Universitaria con el objetivo de presentar la visión desde la CP de extensión AUGM.
Espacio Latinoamericano y Caribeño de Educación Superior – ENLACES.
Se informa de los avances en la concreción de ENLACES, y en particular de la celebración de su primera Conferencia General ordinaria prevista para el 15 de junio de 2018 en la Universidad Nacional de Córdoba.
IV Congreso de extensión de AUGM.
En consonancia con lo resuelto por la CP en su sesión del pasado III Congreso celebrado en la UNL, donde se indicaba que la sede del IV Congreso debiera ser en una Universidad de alguno de los tres países que tienen U. miembro y donde aún no se hubiere organizado, secretaría ejecutiva informa del compromiso asumido por las cuatro universidades de Chile para su realización (USACH, UPLA, UCH y UV).
23 de abril de 2018
UNIVERSIDAD NACIONAL DE MAR DEL PLATA
Se adjunta en anexo documento enviado por las universidades chilenas dando cuenta de lo informado en sala.
Se acuerda conformar un Comité Organizador Internacional para apoyar al comité organizador local en todas las tareas.
Dicho COI quedará integrado por la Universidad Nacional del Litoral de Argentina, la Universidad de Campinas de Brasil y la Universidad de la Republica, en tanto universidades que ya han organizado el congreso y por las Universidad Nacional de Asunción y la Universidad Mayor de San Andrés de Bolivia.
Dicho comité internacional en coordinación con el comité local deberán presentar una propuesta acabada de programa del IV Congreso para su aprobación en la próxima reunión de la CP a celebrarse en noviembre próximo. Se encomienda a dicho ámbito tener en consideración las recomendaciones surgidas de los últimos congresos.
Próxima Reunión de la CP.
Se acuerda que la II reunión 2018 de la CP se realice en ocasión de la celebración de las Jornadas Nacional de Extensión organizadas por la UdelaR del 14 al 16 de noviembre próximo en Uruguay.
Planteos de las Universidades miembro
El Prof. Julio Daher de UNCUYO informa la propuesta de generar un encuentro con jóvenes investigadores que hayan presentado trabajos durante las jornadas para abordar distintos temas de interés.
Se acuerda que el Prof. Julio Daher de UNCUYO representará a la CP en la reunión conjunta con Delegados Asesores prevista para el mes de octubre en la UNSL.
Por último agradecer a las autoridades de las Universidad Nacional de Mar del Plata por el apoyo y la acogida recibidas durante todo el proceso de organización y desarrollo de la reunión, en especial a la persona de Romina Colacci secretaria de extensión universitaria de dicha Universidad.
Siendo las 16.00hs se da por finalizada la reunión. | <urn:uuid:5bee0214-f837-4807-961f-44d9a57693f7> | HuggingFaceFW/finepdfs/tree/main/data/spa_Latn/train | finepdfs | spa_Latn | 11,237 |
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NGOs in the News: The Road to Taken-for-Grantedness
Angela Marberg¹ · Hans van Kranenburg¹ · Hubert Korzilius¹
Published online: 27 July 2016
© The Author(s) 2016. This article is published with open access at Springerlink.com
Abstract The proliferation of nongovernmental organizations (NGOs) since the 1970s has generated a wealth of research as to the causes and implications of the rise of this sector. Public awareness of NGOs and their activities has grown as well, at least in part due to increased media coverage of the organizations and the situations to which they respond. Although NGOs are not new to global polity, media attention to them as a sector only really began to take off in the 1990s. Using quantitative and qualitative analysis of two international newspapers from 1985–2010, this study explores the legitimation process of NGOs and examines the role of categorization and labeling in this process. The results show that the establishment of a distinct label in the media served to propel cognitive recognition of NGOs, and that media coverage reflects changes in cognitive legitimacy over time.
Résumé La prolifération des organismes non gouvernementaux (ONG) depuis les années soixante-dix a généré une riche gamme de recherches sur les causes et les effets de cette montée dans le secteur. La sensibilisation du public aux ONG et à leurs activités est aussi à la hausse, au moins et en partie à cause de la couverture que font les médias de ces organismes et des situations auxquelles elles réagissent. Même si les ONG ne sont pas des nouveautés pour la politique mondiale, l’attention qu’elle génère dans les médias en tant que secteur ne remonte toutefois qu’aux années quatre-vingt-dix. À l’aide d’analyses quantitative et qualitative du contenu de deux journaux internationaux datant de 1985 à 2010, cette étude explore le processus de légitimation des ONG et étudie le rôle qu’ont joué la catégorisation et l’étiquetage dans ce dernier. Les résultats démontrent que la mise en place d’une catégorie distincte dans les médias a propulsé la reconnaissance cognitive des ONG
¹ Institute for Management Research, Radboud University Nijmegen, Nijmegen, The Netherlands
firstname.lastname@example.org; email@example.com
et que la couverture médiatique accélère la formation identitaire organisationnelle et la légitimité d’un secteur.
**Zusammenfassung** Die starke Ausbreitung nicht-staatlicher Organisationen seit den siebziger Jahren hat zu einer Fülle von Forschungsstudien zu den Ursachen und Folgen des Wachstums dieses Sektors geführt. Das öffentliche Bewusstsein über nicht-staatliche Organisationen und ihre Aktivitäten ist ebenfalls angestiegen, was zumindest teilweise auf die vermehrte Medienberichterstattung über die Organisationen und die Situationen, auf die sie reagieren, zurückgeführt werden kann. Zwar sind nicht-staatliche Organisationen im globalen politischen System nichts Neues, doch als Sektor wurde ihnen erst in den neunziger Jahren vermehrte Aufmerksamkeit von den Medien geschenkt. Anhand einer quantitativen und qualitativen Analyse zweier internationaler Zeitungen über den Zeitraum von 1985 bis 2010 erforscht diese Studie den Legitimationsprozess nicht-staatlicher Organisationen und untersucht die Rolle der Kategorisierung und Kennzeichnung in diesem Prozess. Die Ergebnisse zeigen, dass die Etablierung einer separaten Kategorie in den Medien die kognitive Anerkennung nicht-staatlicher Organisationen vorantrieb und die Medienberichterstattung die organisatorische Identitätsbildung und die Legimität eines Sektors erhöht.
**Résumén** La proliferación de organizaciones no gubernamentales (ONG) desde los años 1970 ha generado una abundancia de investigaciones en cuanto a las causas e implicaciones del auge de este sector. La concienciación pública sobre las ONG y sus actividades ha aumentado también, al menos en parte debido a la creciente cobertura dada por los medios de comunicación a las organizaciones y a las situaciones a las que responden. Aunque las ONG no son nuevas para el sistema político mundial, la atención de los medios de comunicación sobre ellas como sector sólo comenzó a despegar realmente en los años 1990. Utilizando un análisis cuantitativo y cualitativo de dos periódicos internacionales de 1985-2010, el presente estudio explora el proceso de legitimación de las ONG y examina el papel de la categorización y etiquetado en este proceso. Los resultados muestran que el establecimiento de una categoría clara en los medios de comunicación sirvió para impulsar el reconocimiento cognitivo de las ONG, y que la cobertura de los medios aumenta la formación de identidad organizativa y la legitimidad de un sector.
**Keywords** Nongovernmental organization (NGO) · Legitimacy · Media attention · Framing · Category · Label
**Introduction**
The 1970s and 1980s were witness to an explosive growth in the number of nongovernmental organizations (NGOs) (Union of International Associations [UIA] 2011–2012), yet not until the 1990s did the organizations become publicly recognized as a sector rather than as individual activist organizations. Although the strength of NGOs may lie in their individual identity and the causes for which they
advocate, their power is due at least in part to a shared identity that took root in the 1990s and served to stimulate recognition—and legitimacy—and propel the sector into becoming a major player in the global arena.
According to Carroll and Hannan (1989), tracing the growth in number of organizations—organizational density—over time should tell us something about their cognitive legitimacy. Hannan (1997) points out that the original density dependence theory suggests a relationship between cognitive legitimacy and density as one of strict reversibility, meaning that changes to density result in commensurate changes in legitimacy. However, the revised density dependence theory notes that a decline in density does not automatically result in a decline in legitimacy, just as a rise in organizations does not necessarily result in a rise in legitimacy beyond a certain point in organizational evolution. In an industry that already enjoys cognitive legitimacy, this status is not necessarily threatened if there are fewer organizations within that industry at any given time. The original postulation with regard to obtaining cognitive legitimacy, however, remains the same: density legitimates. However, McKendrick et al. (2003) indicate that density alone does not ensure legitimacy. They argue that acquiring cognitive legitimacy also requires a collective identity recognizable by the public.
Scholars have increasingly come to see the media as playing a pivotal role in the legitimation process of a sector (Andrews and Caren 2010; Deephouse and Suchman 2008; Glynn and Navis 2013; Kennedy 2008). The media increases public awareness and co-create a category and cognitive recognition (McKendrick et al. 2003; Navis and Glynn 2010). When a group of organizations follows specific rules, doing so necessarily categorizes those organizations (Glynn and Abzug 2002). This initial categorization creates a collective identity that can foster legitimacy and attract resources. By being able to name the category specifically, audiences place organizations into a particular form (Hsu and Hannan 2005); an organization’s identity is comprised in part of belonging to this form (Ganesh 2003; Hsu and Hannan 2005; Pólos et al. 2002).
The existence alone of a group of organizations operating within the same domain is thus not sufficient to achieve legitimacy. Audience designation of these actors into a particular group with a collective label is fundamental in the legitimacy process (Fiol and Romanelli 2012) because labels allow for increased recognition by audiences, thus enhancing overall cognition (Hsu and Hannan 2005). In the case of NGOs, Salamon and Anheier indicated in 1992 that without a common understanding of what the sector is and an effective term with which to define it, development of the field might be impeded.
Given the emphasis by leading scholars in the field on the importance of NGOs to the global order (Boli and Thomas 1997; Salamon 1994; Teegen et al. 2004; Yaziji and Doh 2009), studying NGO legitimacy appears to be a relevant undertaking. Although Salamon (1994) stresses that the public was already conscious of organizations such as Amnesty International, Red Cross, and Greenpeace, the public did not identify these organizations as a group at that time. These groups had common features—for example, nonprofit, nongovernmental, international—and included private organizations, international pressure groups, and voluntary agencies (Martens 2002), but the term “nongovernmental organization” was not
widely used in the media. This began to change in the mid-1990s; this study centers around that change and what we might learn about NGO legitimacy from it.
Specifically, this research investigates when NGOs obtained taken-for-grantedness. We do so by tracing the emergence, rise, and framing of “nongovernmental organization” in print media. We maintain that mapping the use of the term “nongovernmental organization” and the way NGOs are framed in two leading international newspapers will reveal changes in the organizations’ cognitive legitimacy. This approach allows us to “recognize when changes in population characteristics and boundaries reflect deep changes in the social and cultural standing of the population” (Hsu and Hannan 2005, p. 482). We thus expect that tracing the development of NGOs as viewed through the lens of the media will not only provide information about NGOs but also about social developments in general.
This paper contributes to the literature on nongovernmental organizations by showing when the public became aware of the organizations as a sector (Salamon 1994), the importance of “nongovernmental organization” as an identifying label (Glynn and Navis 2013; McKendrick et al. 2003), and changes in the way NGOs have been discussed in newspapers over time (De Souza 2010). The study resulted in a number of findings about nongovernmental organizations that to best of our knowledge have not been previously reported. Regarding organizational legitimacy, our research points to changes in the legitimacy perceptions of nongovernmental organizations, and illustrates how newspaper coverage reflects shifts in understanding (Kennedy 2008; Pollock and Rindova 2003) of NGOs.
**Organizational Legitimacy**
Societal values dictate organizational behavior to the extent that not to operate in line with these values would threaten the survival of the organization (Parsons 1956; Meyer and Rowan 1977; Dowling and Pfeffer 1975). This principle is the foundation of organizational legitimacy. A legitimate organization is one that has been determined by society or a particular audience within society to be operating according to existing social values, norms, and expectations (Ashforth and Gibbs 1990; Deephouse and Carter 2005; Suchman 1995).
Suchman (1995) identifies three types of organizational legitimacy: pragmatic, moral, and cognitive. Pragmatic legitimacy involves an organization providing a good or service to a constituency and in return receiving support from that constituency. Pragmatic legitimacy is often reflected in policies and performance standards. Moral legitimacy is granted by audiences when the organization is judged to be ethically correct based on societal values by a segment of society or society-at-large (Bitektine 2011). It involves an evaluation of an organization’s products, procedures, and structures as “the right thing to do” (Suchman 1995, p. 579). Put simply, pragmatic legitimacy reflects an organization’s “responsiveness,” whereas moral legitimacy reflects an organization’s propriety (Suchman 1995, p. 578).
In contrast to pragmatic and moral legitimacy, Suchman (1995) states that an organization obtains cognitive legitimacy when it helps society make sense of and
bring order to its environment, or when the organization has become so institutionalized that we could not imagine things being any other way. In their discussion of taken-for-grantedness, Aldrich and Fiol (1994) indicate that cognitive legitimation is the result of awareness of, or familiarity with, a product or field. When an organization reaches taken-for-grantedness, it becomes less susceptible to scrutiny of its right to exist (Bitektine 2011; Meyer and Rowan 1977; Suchman 1995). It is not surprising, then, that cognitive legitimacy is the most difficult form of legitimacy to obtain (Suchman 1995). However, Deephouse and Suchman (2008) heed researchers to remember that obtaining one type of legitimacy may result in increasing one or both of the other types as well.
**Media, Framing, and Legitimacy**
Media attention is defined here as “the amount of prominence or coverage that an actor, event, or issue receives” (Andrews and Caren 2010, p. 843). It can be important to obtaining legitimacy and access to resources (Kennedy 2008). Media coverage can also be used to study and operationalize legitimacy (Baum and Powell 1995). In their research of the automobile industry, Hannan et al. (1995) found that the cognitive legitimacy of the industry increased as the news stories about automobiles increased. The more the information about the new organizational form spreads through the news and then to the public, the closer the form comes to taken-for-granted status (Hannan et al. 1995). Dowling and Pfeffer (1975) maintain that the values and norms of a society determine what is considered legitimate, and these values and norms are expressed in written and other communication channels. Pollock and Rindova (2003, p. 632) refer to the media as a “propagator” of legitimacy; Deephouse and Suchman (2008) state that the media is an indicator of legitimacy. They argue that because it can influence and reflect societal opinion, it has an important part to play in legitimacy research.
One of the ways that legitimacy can be studied in the media is through frame analysis. Frames in media discourse such as newspaper articles both reflect and shape public opinion. They are indicative of social values, but can also serve to shift those values and create meaning for the audience (Entman 1993; Gamson and Modigliani 1989). A media frame can be defined as “a central organizing idea” which is utilized to “make sense of relevant events, suggesting what is at issue” (Gamson and Modigliani 1989, p. 3). Matthes (2012, p. 249) describes frames as “selective views on issues—views that construct reality in a certain way, leading to different evaluations and recommendations.” Analyzing frames in the media can provide a bigger picture with regard to social developments and processes (Giles and Shaw 2009; Reese 2007; Van Gorp 2007) as well as how frames communicate values and their potential to influence audience understanding and cognition (Ball-Rokeach and Rokeach 1987; Price et al. 1997). In their study of framing and legitimacy of casinos and online gambling, Humphreys and LaTour (2013) also found that media frames can influence cognitive legitimacy. They maintain that frames have the power to direct audience attention to or from particular aspects of an organization, industry, product, or issue. The authors indicate that in so doing,
frames may also reveal the fluctuations in legitimacy. In their analysis of British newspaper coverage of climate change from 1985 to 2003, Carvalho and Burgess (2005) showed how the meanings associated with climate change shifted over time; coverage was influenced by social and political developments as well as the publications’ own ethos. They thus concluded that “Values and ideological cultures are key to explain variations in the media’s reinterpretations of scientific knowledge on climate change” (Carvalho and Burgess 2005, p. 1467).
Framing has also proven to be a useful tool in previous studies on nonprofit and nongovernmental organizations (Deacon et al. 1995; Hale 2007; Ihlen et al. 2015). For example, Deacon et al. (1995) research media portrayal of voluntary organizations in Britain; Hale (2007) examines how the portrayal of nonprofit organizations in the media from using agenda setting and framing theories; and Ihlen et al. (2015) investigate how NGOs develop and adapt framing strategies. Prior research on legitimacy and media frames has shown that media evaluations affect normative legitimacy (Deephouse 1996; Zimmerman and Zeitz 2002). However, Humphreys and LaTour (2013) maintain that media frames do not just result in changes to normative evaluations, but can directly impact cognitive evaluations as well. Their research revealed that when the new label “gaming” replaced the old label “gambling,” nongamblers responded positively and “had more associations with the legitimate practice after being shown the new label, ‘gaming’” (Humphreys and LaTour 2013, p. 788). The authors concluded that normative legitimacy judgments had been mediated by cognitive legitimacy. [Note the distinction between the use of the term label by Humphreys and LaTour (2013) and Hsu and Hannan (2005) the former use it in the context of frame name or description, while for the latter the term represents categorical classifications.]
Labeling is part of the categorization process involved in organizational identity formation (Glynn and Navis 2013). Category can be defined as “a conceptual label or set of meanings that are applied to the entity, thereby distilling it into a condensed form” (Glynn and Navis 2013, p. 1126). External audiences need categories to help them make sense of organizations so they can determine what the organizations do and how well they are doing it compared to others in the category or in other categories. Simply stated, categories provide audiences with a frame of reference.
Category membership has implications for both legitimacy and identity. Organizations that belong to a category can be more readily evaluated and talked about, and are therefore more likely to enjoy greater legitimacy than those that do not (Hsu and Hannan 2005). An organization’s identity is formed in part by the category or categories in which it is a member (Glynn and Navis 2013). Additionally, as some categories are more legitimate than others, organizations may try to identify with those whose association brings the most potential benefits (Glynn and Navis 2013). As McKendrick et al. (2003) showed, however, association alone is not enough to secure cognitive legitimacy. Developing—and embedding—a category that resonates with the public is critical in achieving cognitive legitimacy (Kennedy 2008). The media is one vehicle for embeddedness. Inclusion of organizations into a specific category by the media makes them identifiable as a new population (Kennedy 2008). Belonging to a category does not preclude organizational change; however, new categories can emerge as the social context changes,
and both firms and audiences can play a role in this process using “cultural narratives, frames, or labels” (Glynn and Navis 2013, p. 1132).
Humphreys (2010) showed how changes in the labels attached to casinos in the media affected industry legitimacy. Once described as places of crime and prostitution, casinos in the United States have more recently become synonymous with entertainment and, in the case of Las Vegas, with luxurious hotspots (Humphreys 2010). The author attributes this change in part to shifts in semantic emphasis in newspaper articles which can both reflect developments in industry legislation as well as reveal topic selection by the journalist. Topic selection impacts cognitive legitimacy in that the existence of a subject in newspaper pages over time creates awareness. The words used to write about the topics influence normative legitimacy as certain aspects are highlighted or particular values are emphasized. Determining what was newsworthy about the organizations and assigning specific words to them impacted organizational identity and legitimacy, and thus helped to change the face of the industry.
Media attention to NGOs has also been a critical part of sector development. The following section will discuss NGO status in the United Nations, NGO proliferation, and their road to taken-for-grantedness.
**Nongovernmental Organizations: Definition and Rise**
**United Nations**
The literature is rich with definitions for “nongovernmental organization” (Agg 2006; Florini 2008; Martens 2002; Salamon 1994; Spar and La Mure 2003) making the term both approachable and evasive at the same time. In this study, we use the United Nations’ requirements for consultative status as the defining features of an NGO. Given the governing body’s institutional standing and its role in NGO evolution, this appears to be a logical approach.
Article 71 of the Charter of the United Nations in 1945 marked the beginning of growing use of the term nongovernmental organization internationally. (See Charnovitz 1997 and 2006 for a detailed history of NGOs.)
The Economic and Social Council may make suitable arrangements for consultation with non-governmental organizations which are concerned with matters within its competence. Such arrangements may be made with international organizations and, where appropriate, with national organizations after consultation with the Member of the United Nations concerned.
Although Article 71 recognized that NGOs could play a role at the UN, this role was not clearly elucidated at the time nor was the meaning of nongovernmental organization specified. However, it was stipulated that in order for an NGO to be eligible for consultative status, the organization must be nonprofit, nonviolent, not a school or political party, and not exclusive in its aid (Willetts 2000). Willets (2002) attributes the use of the term “nongovernmental organization” over alternatives to the term’s generality. We hold that this generality and a common umbrella for a
group of diverse organizations ultimately facilitated public categorization and labeling of the organizations, thereby contributing to the cognitive legitimacy of the sector as a whole.
The United Nations not only provided categorical parameters for defining NGOs but also participation in UN conferences conferred regulative and normative legitimacy to the organizations. The 1990s were especially important to the legitimacy process. During this time, NGOs received more recognition from the UN, and the discourse regarding NGO involvement in UN affairs began to change as well. The granting of official observer status to the International Committee of the Red Cross in 1990 was a critical move toward NGO recognition (Willets 2000). Furthermore, NGO participation in UN conferences led to major stirrings of change (Willetts 2000). The most significant changes occurred during and after Habitat II, the UN conference in Istanbul in 1996, so named for its focus on human settlement and living environment conditions. For the first time, NGOs were officially included in the negotiating process, and the discourse surrounding UN-NGO cooperation moved from one of consultation to partnership (Willetts 2000). In May 2000, the discourse again took another tone when UN Secretary-General Kofi Annan called for even greater NGO participation in global policy: “Today, I am asking you NGOs to be both leaders and partners: where necessary, to lead and inspire governments to live up to your ideals; where appropriate, to work with governments to achieve their goals” (United Nations 2000). The UN was now asking NGOs not just to be partners but to be leaders in pursuit of policy goals as well.
Beginning in 2008, the discourse at the United Nations included aid effectiveness when the UN Economic and Social Council (ECOSOC) published “Towards a strengthened framework for aid effectiveness” (Manning 2008), a study commissioned by the UN Department of Economic and Social Affairs (UNDESA). Aid effectiveness had been the subject of the High Level forums in Rome in 2003 and Paris in 2005, but the UN officially put aid effectiveness and civil society accountability on its agenda with documents such as the one in 2008, which was published in preparation for the third High Level Forum held the same year. High Level forums on aid effectiveness are an initiative of the Organization for Economic Cooperation and Development [OECD], which are cosponsored by, among other institutions, the United Nations and the World Bank, and were established to discuss how to achieve the best results possible from aid funds and programs. They are not official UN events.
**The Rise of NGOs**
The rise of the NGO has been thoroughly documented by multiple scholars (Boli 2006; Charnovitz 1997; Doh and Guay 2006; Mathews 1997; Salamon 1994; Skjelsbaek 1971; Teegen et al. 2004; Yaziji and Doh 2009). Although estimations as to the specific number of NGOs worldwide vary depending on how the term is defined and who is doing the counting, it has been a growing sector for decades. Figure 1 illustrates this growth from 1909 to 2012, based on statistics published by the Union of International Associations (UIA) in the *Yearbook of International Organizations*. According to UIA, there were 2795 international NGOs in 1972.
This number jumped to 13,768 in 1985, and 16,113 in 1991. In 2005/06, there were 20,928 active, confirmed international NGOs and in 2012 the number rose to 24,310. A brief summary of how and why the rise in NGOs occurred will be provided below as a backdrop for the rest of the article.
Salamon (1994) attributes four crises with initiating the individual, institutional, and government action that fueled the NGO boom: the inability of western states to meet growing social welfare costs; the effects of the oil crisis in early 1970s and the economic recession in the early 1980s on developing countries; increased environmental concerns; and the failure of socialism that was evidenced by economic regression in the mid-1970s. He explains that these crises, combined with technological advances in communication and an economic boom in the 1960s and early 1970s that created middle class leadership in developing countries that would help establish nonprofit organizations in their countries, provided fertile ground for the development of the third sector. He maintains, however, that in 1994, although the NGO movement was growing, NGOs had not yet become “a serious presence in public consciousness, policy circles, the media or scholarly research” (Salamon 1994, p. 121). This is not to say that the public was unaware of individual organizations such as Amnesty International, the Red Cross, and Greenpeace or that no scholarly research on NGOs was being conducted. Yet the term nongovernmental organization and the acronym NGO were not yet widely known among the public nor was the public aware of an NGO sector.
Doh and Teegen (2002) state that NGO involvement in the antiapartheid movement in South Africa in the 1980s marked the entrance of NGOs as significant players in the international business arena. McGann and Johnstone (2006, p. 66) list the key events in the NGO “revolution” as the political transformation in Poland in the 1980s, the 1992 Earth Summit, the 1994 “Fifty Years is Enough” campaign, and the 1999 World Trade Organization protests in Seattle. While scholars may not agree upon which specific events influenced the NGO move to the global stage, the
combination of these events led to the NGO period of “empowerment” that began in the 1990s (Charnovitz 1997).
NGO newspaper exposure also began to rise in the 1990s which experts attribute to a number of factors. Ron et al. (2005) attribute the rise to more strategic, assertive media campaigns, citing Amnesty International’s increase in press releases in 1993. Chandler (2001) charges that the media surge was due to a transition in the provision of humanitarian relief from a nonpolitical standpoint to one that was focused on influencing policy and behavior. He states that NGOs sought the press to advocate their causes and the press was eager to report on shocking stories and anguished victims. Keck and Sikkink (1999) credit NGO success in the 1990s to the rise of transnational advocacy networks. The sharing of funds, personnel, information, and services allowed the networks to more effectively and extensively publicize and act on specific issues throughout the world (Keck and Sikkink 1999; Sikkink 1993). Bimber et al. (2005) maintain that developments in internet-based communication technologies (ICT) changed the face of collective action by allowing people from various backgrounds and geographical regions to connect and organize quickly and relatively cheaply.
The change in NGO status at the UN, continued growth in numbers, intra and interorganizational collaboration, and increased and more assertive communication appear to be part of a larger institutional shift that resulted in meaningful consequences for NGO legitimacy. Also fundamental to the legitimacy process was a general understanding of what NGOs are and what they do, and a common category label with which to identify them (McKendrick and Carroll 2001). One of the vehicles to communicate and embed this category and identity, and therefore increase NGO legitimacy, was print media. In the following section, we will explain how we analyzed the proliferation of the term nongovernmental organization and how the newspaper discourse about NGOs changed from 1985 to 2010.
**Method**
**Data Collection**
A content analysis of two English language newspapers was conducted for the period 1985–2010. In the analysis, we focus on the category “nongovernmental organizations” in an international context. As previously discussed, categories increase recognition of a group of organizations as belonging to a particular from and thus raise audience cognition (Hsu and Hannan 2005).
The newspapers used in the study—the *New York Times* and the *Financial Times*—were selected based on region, circulation, and agenda-setting capacity. According to a 2011 European Media & Marketing Survey (EMS) conducted by Synovate Research Group, the *Financial Times* was the number one international brand in Europe for daily print and web usage combined (“No. 1” 2011). A 2011 study conducted by ComScore, an independent digital survey company, indicated that *The New York Times* was the number one ranking global online newspaper (Durrani 2011). In addition, the two newspapers are considered elite media outlets
which can both reflect and impact legitimacy (Deegan et al. 2002; Deephouse and Suchman 2008; Vergne 2011). They have the ability to set the agenda for policy makers and the public (Carvalho and Burgess 2005; Holt and Barkemeyer 2010; Islam and Deegan 2010; Jordan 1993; Mazur and Lee 1993) as well as other news sources (Nisbet and Huge 2006). Thus, although the newspapers may cater to a different readership and present a different focus—‘center, right business’ versus ‘liberal news story and editorial’—they were chosen for this study due to their agenda-setting capacity. Moreover, as previously indicated, media accounts reflect the development of cognitive legitimacy (Baum and Powell 1995; Dowling and Pfeffer 1975; Hannan et al. 1995; Humphreys and LaTour 2013) and are therefore useful in studies of organizational legitimacy (Deephouse and Suchman 2008).
A keyword search in the LexisNexis archive was conducted for the search terms “nongovernmental organi*ation”—the asterisk representing either an “s” or “z”—from 1985 to 2010. Both “non-governmental” and “non governmental” resulted in substantially fewer hits in both newspapers, while “nongovernmental organization” resulted in more hits and included the articles which appeared for the other search terms. A total of 1611 articles were found in the *New York Times* and 3152 articles in the *Financial Times*. The purpose was to determine how many articles included the search term nongovernmental organi*ation and not the number of times the term was used in total. In addition, it is important to note that letters to the editor and obituaries were included. The reason for this is that we are studying the categorization, labeling, and legitimacy of a sector. Being named and referred to in either of these contexts is still appropriate to this research given increased salience. Mazur (2009) maintains that quantity can have greater audience impact than content. We chose 1985 as a begin date for the study for practical reasons. Given the focus in the academic literature on the 1990s, we wanted to go back at least five years prior to 1990 to determine what, if any, the trend in the newspapers might be. Also, the LexisNexis archive of the *Financial Times* begins in 1982 so we were unable to access earlier files via the database.
A LexisNexis search of the following terms was also conducted: relief agency, aid agency, voluntary organization, volunteer organization, humanitarian organization, nonprofit organization, non-profit organization, not-for-profit organization, charitable organization, and international nonprofit organization. The objective of this search was to confirm whether or not “nongovernmental organization” was the most appropriate term for the organizations we are seeking to research in the media. All of the terms above produced too few hits to be representative or included organizations beyond the scope of this study. For example, a search of the term “nonprofit organization” resulted in more hits than other terms, but included national and regional organizations dedicated to any number of causes from the arts to athletic activities. Hence, this term was not compatible with our definition of NGO. The terms relief agency and aid agency came close to our definition, but a search of these terms also included articles on *governmental* relief and aid agencies at national and regional levels; this does not meet our criteria of nongovernmental. Other terms in the search included voluntary organization, volunteer organization, international nonprofit organization, not-for-profit organization, charitable organization, and humanitarian organization. Of these terms, voluntary organization
seemed to come closest to what we call international NGOs, but the number of hits was not significant.
In addition to mapping term frequency, we also randomly selected a sample of 357 articles from the total number of articles between 1985 and 2010 and analyzed them using a framing tool. Given this total, a sample size of 357 was necessary in order to be 95% confident that the population percentage is within 5% of what we find in the sample (Neuendorf 2002, p. 89). The original sample consisted of 396 articles and included 56 articles (47 in the *FT* and 9 in the *NYT*) regarding quasi nongovernmental organizations (quango) or quasi-governmental organizations. Given that quangos are a highly contested issue in the UK, the prevalence of articles about them was greater in the *FT* than the *NYT*. The sample was first coded with the quango and quasi-governmental articles, but due to issues of politics and autonomy related to the organizations, we chose to exclude them (see Greve et al. 1999). The number of articles coded per newspaper per year was determined using a ratio of sum-to-total.
It is also important to analyze the growth pattern in the number of articles about NGOs. A common characterization of changes in the number of articles dealing with NGOs, as shown in Fig. 2, seems to support the idea that the occurrence of the term nongovernmental organization follows a trend line with a positive slope over the 26-year period. We also statistically analyzed the number of articles on NGOs in the *Financial Times* and the *New York Times*, separately and combined, for the period 1985–2010. The relatively short time series implies that our econometric models have to remain quite basic (Hagedoorn and Van Kranenburg 2003).
The data in Fig. 2 were subjected to regression analyses and curve fitting in order to see what patterns, linear and curvilinear, could be found. We analyzed patterns for three regression models. In the regression analyses, we focus on the amount of variance explained, adjusted $R^2$. Adjusted $R^2$ considers the amount of variation, 0–100, that is explained by the patterns in the number of articles over the time period. It takes into account sample size as well as the number of predictors in the regression model (Field 2009, pp. 221–222). As time series data are prone to
 *New York Times* and *Financial Times* “nongovernmental organization” mentions 1985–2010
autocorrelation, which means that observations are dependent because of the time lag between them, we used the Prais–Winsten estimation method to correct for this (Wooldridge 2013). We reported regression results after Prais-Winsten correction including the Durbin–Watson statistic as a measure for autocorrelation (Durbin-Watson values range from 0 to 4, values close to 2 indicate absence of serial correlation; see Field 2009, pp. 220–221). To check if the strength of the relationships differed, we compared the unstandardized regression coefficients of the *Financial Times* and *New York Times* articles (Paternoster et al. 1998). Finally, by means of curve fitting, we checked which approach (linear, quadratic, cubic) explained most of the variance in the data. In this we followed the principle of parsimony in which simple curves are preferred over more complex ones.
**Coding**
The articles were coded using a frame identification system based on De Souza (2010) who identified the following frames as relevant for NGOs: Do Good, Protest, Partner, and Public Accountability. Where an article appeared to contain more than one frame, the dominant frame—based upon article context—was documented. Specific words and phrases were cataloged to substantiate frame selection.
Because assigning the articles to the most appropriate frame is critical to the research, it is useful to define the frames in more detail. The Do Good frame focuses on important, productive work that NGOs have done in recognizing and reducing societal problems. The Protest frame includes articles that involve NGOs speaking out against government or business activity that they deem unethical, harmful, irresponsible, illegal, or threatening. Articles assigned to the Partner frame highlight collaboration with government and other sectors. The Public Accountability frame questions NGO activity, specifically concerning issues such as corruption, accountability, and poor management.
After an initial trial of coding using these frames, it became clear that additional frames were needed in order to more adequately capture the discourse. To the frames above, we added Expert, Government Resistance, and Other. Expert was used when NGOs were interviewed for their view on a subject or provided information. Government Resistance was used when the context in which the NGO was discussed had to do with limiting NGO rights in a particular country because a national government was skeptical of the NGO’s operations and/or concerned about NGO intentions. “Other” was marked when the term nongovernmental organization was mentioned, but the context did not meet any of the other frame criteria. That being said, the mere mention of nongovernmental organization points to increased media salience and thus cognitive recognition (Hsu and Hannan 2005; Kiousis 2011; McCombs and Shaw 1972).
When the final coding tool was completed, the tool was tested for reliability using a sample of 136 articles. The articles were coded by the first author and a colleague not participating in the project. Where there was a discrepancy in the codes, the coders discussed the articles and reached agreement, following a consensus-coding approach (Gibbert and Ruigrok 2010). Intercoder reliability of the preconsensus codes was 86% (kappa: .53, indicating fair agreement; see Fleiss et al. 2003).
During the coding process, the first author tested for coder drift two months after the original coding by randomly selecting 30 articles from the sample and recoding them. This resulted in a 97% agreement rate.
The research combines deductive and inductive approaches to our analysis. For example, we begin with a quantitative analysis informed by legitimacy theory and the concepts of density dependence and identity. This analysis alone did not provide sufficient information regarding the development of nongovernmental legitimacy. We therefore also conducted frame analysis using an existing framework. When we found frames in the data that were not represented, we added them to reflect what was discovered in the data set. As Hennink et al. (2011) indicate, the analysis process is circular rather than linear and developing explanations and verifying them involves moving back and forth through the data, literature, and theory. The final four NGO frames were arrived at inductively through this process.
Results
A search of related terms revealed that “nongovernmental organization” was indeed the most appropriate term for us to use in this research. Not only is nongovernmental organization the term used in United Nations documents and communications (see Willetts 2000), but it also proved to be the narrowest of the terms available.
From 1985 to 2010, the term was mentioned in the *New York Times* in 1611 articles compared to 3152 in the *Financial Times* (after correcting for quangos and quasi-governmental organizations). The search showed that from 1985 to 2010 stories including the term “nongovernmental organization” increased considerably in both the *New York Times* and the *Financial Times* (see Fig. 2). Despite the difference in numbers of articles in the newspapers, the graph profiles showing the number of articles over time are quite similar. Mentions in the *New York Times* and the *Financial Times* declined dramatically after 2005 and 2006, respectively, and had not yet returned to their 2006 level in 2010. In the *New York Times* in 1985, the term “nongovernmental organization” appeared in 21 articles. By 1999, this would increase to 53. Coverage reached a peak in 2005 at 127 articles, and dropped to 111 in 2010. In the *Financial Times*, there were 6 articles in 1985, and 200 in 1999. A peak of 310 mentions was reached in 2006; this dropped to 115 in 2010. We found very little reference to the term nongovernmental organization in the newspapers in 1985, followed by a surge in the 1990s, a peak in the middle 2000s, and a decline of mentions thereafter.
Table 1 shows the results of the regression analyses revealing that for the *Financial Times*, *New York Times*, and both newspapers combined there was a statistical significant model indicating a linear relationship in the number of articles on NGOs in the period 1985–2010. After Prais-Winsten correction, the Durbin-Watson statistic for the *New York Times* was closer to the value of 2 (indicating absence of autocorrelation), than for the *Financial Times* and for the newspapers combined. However, the data did not seem to indicate very serious problems regarding serial correlation (as values were not below 1). The data for the *New York*
Times better fit a linear curve than the data for the Financial Times (as appears from $R^2$ values in Table 1). However, comparison of the unstandardized regression coefficients did not reveal a difference in the regression slopes for the newspapers ($Z = .790$, $p = .43$). Curve fitting analyses showed, in general, that higher order curves (quadratic, cubic, power) or other curves (logarithmic, S-shaped, growth, exponential, logistic) did not substantially improve the amount of variance explained (in terms of adjusted $R^2$) in comparison to a linear curve (statistics withheld). All in all, the quantitative analyses indicated that there was a linear increase in the number of articles on NGOs in both the Financial Times and New York Times meaning that NGOs received more and more media coverage (resulting in greater public awareness) in the period 1985–2010.
As previously mentioned, the articles were coded using a framing tool. Table 2 shows the total results, and Table 3 shows the results in the time periods listed below. The time periods reflect the regulatory structure that was shaped by the United Nations; the newspaper articles echo the changes in these structures (Humphreys 2010) and thus the transitions in NGO legitimacy.
Tables 2 and 3 show the framing results of our sample of the Financial Times (FT) and New York Times (NYT) articles. The “Do Good” frame was the dominant frame overall and remained stable in all time periods. From 1992 to 1999, the partner frame began to develop. For the period 2000–2007, “Partner” and “Expert” became important themes. The figures show that the Do Good, Partner, and Expert frames were the most common over time (31, 16, and 18 %, respectively).
Table 1 Results regression analyses predicting number of newspaper articles on NGOs in Financial Times, New York Times, and both newspapers combined, in the period 1985–2010
| Newspapers | B | SE B | $\beta$ | Adjusted $R^2$ | Durbin-Watson |
|---------------------|------|------|-----------|----------------|---------------|
| Financial Times | 7.39 | 3.45 | .41* | .09 | 1.57 |
| New York Times | 4.70 | 0.40 | .92*** | .84 | 1.92 |
| Newspapers combined | 12.15| 3.72 | .56** | .26 | 1.67 |
Note. * $p < .05$; ** $p < .01$; *** $p < .001$
Table 2 NGO frames in the Financial Times and New York Times, 1985–2010 ($n = 357$)
| Frame | # Articles | % Total |
|------------------------|------------|---------|
| Do good | 109 | 31 |
| Protest | 51 | 14 |
| Partner | 58 | 16 |
| Accountability | 16 | 4 |
| Expert | 63 | 18 |
| Government resistance | 26 | 7 |
| Other | 34 | 10 |
| Total | 357 | 100.0 |
Table 3 Framing results
| Time period | Do good | Protest | Partner | Public account. | Expert | Govt. resistance | Other | Total |
|-------------|---------|---------|---------|-----------------|--------|------------------|-------|-------|
| 1985–1991 | 27 | 3 | 5 | 0 | 8 | 3 | 5 | 51 |
| 1992–1999 | 22 | 14 | 15 | 5 | 10 | 4 | 11 | 81 |
| 2000–2007 | 40 | 28 | 31 | 9 | 32 | 10 | 14 | 164 |
| 2008–2010 | 20 | 6 | 7 | 2 | 13 | 9 | 4 | 61 |
| Total | 109 | 51 | 58 | 16 | 63 | 26 | 34 | 357 |
Note. Account. = accountability; govt. = government
A Chi-square analysis revealed that there were statistically significant differences \((\chi^2(6, n = 357) = 37.0, p < .001)\) in the frames used in the *Financial Times* and *New York Times* during the 1985–2010 period. The number of “Do Good” frames was relatively higher in the NYT than in the FT, whereas the “Protest” and “Accountability” frames occurred more often in the FT than in the NYT. The occurrence of the other frames did not differ between the two newspapers.
Media attention to nongovernmental organizations as a sector has thus been predominantly positive over time. Given the financial crisis and the UN aid effectiveness discourse that began in 2008, we expected to see more articles in the public accountability frame between 2008 and 2010. The relatively few articles in this frame might be attributable to our sample size or the short span of three years in the final time period.
Further analysis of the frames resulted in four main categories and time periods that represent the broader changes (Boeije 2010) in the depiction of NGOs in the newspapers over time. The categories include Protectors, Partners, Policymakers, and Providers. The data showed that until 1991, NGOs were viewed mainly as what we term Protectors—individual organizations that deliver aid and advocacy. From 1992 to 1999, they became Partners, having gained increasing influence among international organizations. From 2000 to 2007, NGO involvement in government and business affairs continued to grow, as did their hand in policymaking. Beginning in 2008, aid effectiveness became a key theme at intergovernmental organizations such as the UN, OECD, and World Bank. While NGOs still retain significant influence, the shift from Policymaker to Provider of aid began to take place at this time. The categories reflect incremental shifts in the role of NGOs as depicted in the newspapers and the literature during the period 1985–2010, with perhaps the most striking shift taking place during the period 2000–2007 when the focus moved from NGOs as partners to NGOs as policymakers. Table 4 presents an overview of the shifts in framing. Examples of these shifts are provided in the newspaper excerpts below.
Our findings show that in 1985 when the term nongovernmental organization was used in an article in the NYT and the FT, it was often used in the context of the organization doing something good for society, either providing aid that government could not or delivering aid more successfully than government:
Table 4 NGO media frames
| Frame | Time period | Description |
|-----------|-------------|------------------------------------------------------------------------------|
| Protectors| ?–1991 | Individual organizations deliver aid and advocacy |
| Partners | 1992–1999 | Gaining access to more international organizations and exerting greater influence in multilateral negotiations |
| Policymakers | 2000–2007 | Growing NGO influence and power recognized by governments, international organizations, and business |
| Providers | 2008–? | Increasing focus on aid effectiveness |
Local problems should be solved by local people, but the nongovernmental organizations are necessary because governments are not giving us what we need (Crossette 1991, NYT).
Small nongovernmental organisations whose representatives have reached the affected areas have proved to be more effective than the official machinery (Ahmed and Sharma 1991, FT).
Between 1985 and 1991, NGOs were generally referred to positively in the media. They were viewed as peripheral groups providing humanitarian aid and advocating for human rights and environmental reform. They challenged existing policies, but they were not yet widely viewed as partners in reform the process.
The newspapers reveal that from 1992 to 1999, NGOs came to be represented as partners, working closely with governmental and international agencies. This also marked the beginning of an NGO move toward a greater role in policy making in the provision of aid. For instance, in an article entitled “The U.N. at 50: Facing the Task of Reinventing Itself,” in the New York Times, “greater representation of nongovernmental organizations” is listed as one of the changes taking place within the United Nations (Crossette 1995, p. 1). Another article reported that “One reason Western governments have turned to partnerships with nongovernmental organizations is that they are seen to be best placed to facilitate the bottom-up development that is key to reducing poverty” (Turnipseed 1996, NYT).
These passages reflect the growing influence of NGOs in the regulatory arena, and a switch from NGOs as individual activist organizations to NGOs as a group, as partners. “NGO” was still not a well-known acronym among the general public; however, it would still take time for “NGO” and “nongovernmental organization” to become household names as the identity labels for the industry. For example, in a report on Hillary Clinton’s speech at the United Nations Fourth World Conference on Women in Beijing, William Safire wrote the following:
Her use of NGO’s, an abbreviation, before using the full phrase, “nongovernmental organizations,” invited confusion in the minds of the worldwide audience; it’s not a good idea to assume everyone knows what the local
audience does. There are those for whom NGO stands for Nongovernmental Observers, Naval Gunfire Officer or National Gas Outlet (Safire 1995, NYT).
Although NGOs were still not a household name, in 1998 the *New York Times* reported a turning point in world polity and the place of NGOs therein:
To some, the growing role of private companies and nongovernmental organizations, or N.G.O.’s as they are known, in foreign policy marks a jaw-dropping transformation in the world’s political structure (Lewis 1998, NYT).
The following passage evokes the growing awareness of NGO economic and political influence, and also as welling concern about the extent of their involvement. The terms NGO and nongovernmental organization are also emphasized in the previous and following excerpts.
Their numbers have mushroomed in recent years, their spending has soared, and their political influence is steadily growing. They are the NGOs—non-governmental organisations, a multi-billion dollar industry, on the front line of Africa’s many conflicts, and at the heart of the continent’s battle for economic recovery. Some African governments fear that they are becoming the new colonists of the developing world (Holman 1999, FT).
Between 2000 and 2007, the newspapers indicate that NGO involvement in world polity reached new heights. Leading functions at key global events, soaring financial resources and economic power, and recognition by business of the global reach of NGO influence all point to a time of transition for the organizations:
De Beers is not alone in acknowledging the power of the nongovernmental organizations. This year, both the United Nations and the World Economic forum in Davos, Switzerland, recognized the organizations’ role, conferring a new legitimacy as many corporations move from confrontation to at least the appearance of cooperation with them (Cowell 2000, NYT).
Increasingly, they are operating from the inside by working closely with governments, especially from developing countries, to offer research, public relations resources and even help with the detailed drafting of negotiating proposals (de Jonquieres and Williams 2001, FT).
The expectations of NGOs were growing, but so too was trepidation as to whether continued aid might be solving short-term problems but creating long-term reliance. NGOs were no longer simply empowered by society and other organizations to fulfill a role in global social welfare, but rather in many cases they were being *expected* to do so.
Meeting such expectations and staying in business in an environment in which thousands of NGOs are competing for resources resulted in unexpected alliances with business. In 2004, the *Financial Times* quoted the Executive Director of Greenpeace UK as stating the following on the subject of the organization’s alliances with Unilever and the electricity company NPower:
We think (alliances) are essential to unlocking progress… The more unusual the alliance, the more effective it is likely to be. Greenpeace is interested in who has the power to make change, rather than simply being an outside group and protesting (Maitland 2004, p. 7).
Alliances between Oxfam and Starbucks, Chiquita and Rainforest Alliance, and Save the Children and Ikea are also mentioned in the article, citing “money, technology and influence” as partnership incentives for the NGOs.
The period 2006–2009 saw a considerable rise in growing suspicion by mainly nonwestern governments that the NGO agenda may be politically motivated. Stories on Russia rose substantially in the *New York Times* in 2006 as Putin began to impose more regulations on foreign NGOs. *New York Times* reporters also covered stories in 2006 about negative pressure and/or government restriction on NGO activities in Iran, China, Venezuela, Kazakhstan, and Afghanistan. Viewing NGOs as political arms of foreign governments began to hinder or halt foreign-funded NGO activities.
Not only were national governments questioning the independence and increasingly *governmental* nature of NGOs, but so too were experts in the field. For instance, in a letter to the editor on 16 June 2006, Richard Walden, then President and Chief Executive of Operation USA, stated that “Reimbursement by government and United Nations agencies has created a contracting—not a charity—mentality among relief agencies” (Walden 2006, NYT). This example signals a change in reporting on NGOs to an increasing awareness of accountability. For instance, one article in 2006 was titled “Accountability and Ethics: Billions of dollars of aid to Africa has had minimal effect” and reported on calls for more NGO and aid organization accountability (Jack 2006, FT). Another article in 2007 talked about the professionalism and focus on accountability of the aid industry (“Charities look,” 2007, FT). Our sample shows that most articles from 2000 to 2007 were about NGOs as experts, partners, or doing good, but it is important to note that accountability and change were also part of the discussion at this time.
In 2008, aid effectiveness became a dominant theme in the NGO discussion. A *Financial Times* story in 2008 entitled “Charity begins in the office” (Murray 2008) focuses on the issue of efficient aid administration and the use of online systems that simplify reporting for NGOs and allow donors to track the management of resources.
The reporting in the *New York Times* on the 2010 earthquake in Haiti also highlights accountability issues and the effectiveness of aid. While former U.S. president Bill Clinton co-authored articles that called on the public, business, and government to donate funds and coordinate efforts (Bellerive and Clinton 2010; Clinton and Bush 2010), *New York Times* columnist David Brooks argued that the long-term solution for countries like Haiti should not be continued donor aid. In his words, “we don’t know how to use aid to reduce poverty” (Brooks 2010, p. 27). He acknowledges the efforts of the relief workers, but indicates that empowering local leaders to enact change is the only long-term solution in a country that has received millions of dollars in aid and “has more nongovernmental organizations per capita than any other place on earth,” yet still lacks the infrastructure and services to govern independently (p. 27).
The articles in the *New York Times* and the *Financial Times* from 1985 to 2010 suggest a changing landscape between sectors, as well as public concern regarding NGO practices and the provision of aid. The change in NGO frames from protectors to partners to policymakers was fairly straightforward in the newspaper accounts. The focus on aid effectiveness beginning in 2008 suggests a dominant view of NGOs as aid providers, with a particular emphasis on the efficacy of that provision.
**Conclusion and Discussion**
The aim of this study was to determine when NGOs acquired taken-for-granted legitimacy and how this was reflected in the media. To that end, a longitudinal study of media coverage of nongovernmental organizations was conducted and the implications of this coverage on organizational legitimacy were analyzed. We were able to show the importance of categories and labels to organizational identity formation and sector legitimacy (Hsu and Hannan 2005). A framing approach to media coverage of nongovernmental organizations revealed changes in the public understanding of NGOs, and thus changes in the general culture as well (Van Gorp 2007). This paper contributes to the literature on nongovernmental organizations by showing when the public became aware of the organizations as a sector, the importance of “nongovernmental organization” as an identifying label, and changes in the way NGOs have been discussed in newspapers over time. The study resulted in a number of findings about nongovernmental organizations that to the best of our knowledge have not been previously reported.
First, our evidence shows that the use of the term nongovernmental organization became more popular in the *Financial Times* and the *New York Times* in the 1990s. Although its definition has been a source of contention in the literature, “nongovernmental organization” appears to be the category with the most cognitive staying power. While other terms are being used in the media and elsewhere, nongovernmental organization still seems to be the preferred nomenclature to describe the sector and the entities in the sector.
Second, our statistical analyses showed a linear trend in the number of articles that mention NGOs in both the *Financial Times* and *New York Times*. We can thus infer that given that the media serve to disseminate information (Hannan et al. 1995), NGO legitimacy as an organizational form did not occur in a vacuum. Although the newspapers cover two different institutional contexts—the US and Europe—increased legitimation appears to have occurred simultaneously which we can see in the jump in activity in both newspapers in the early 1990s. The institutional contexts do appear to play a role in the number of articles each paper devoted to the subject; there were considerably more mentions in the *Financial Times* than the *New York Times* from the 1990s until 2011 (the difference was not significant during the period 1980–1989). This difference might be explained by “an institutional setting more receptive to arguments and tactics of non-governmental advocacy” in the European Union (Doh and Guay 2006, p. 66), but additional research would need to be conducted to determine this conclusively.
Third, we found that while NGOs had been operating for decades and had been formally recognized by the UN since 1945, cognitive symbols—“words, signs, and gestures” (Hoffman 1999, p. 353)—related to this organizational form began to develop and flourish in the 1990s. Scholars refer to the 1990s as the NGO “heyday” or “revolution” despite the fact that the largest jump in the number of these organizations occurred a decade earlier. An increase in organizational density alone can thus not explain the increase in cognitive legitimacy (McKendrick et al. 2003). Only when relief, humanitarian, and advocacy organizations were categorized and came to be known by the general public as “nongovernmental organizations,” did NGOs begin to achieve taken-for-grantedness \textit{as a sector}. Embeddedness of the term in the media was critical to this process (Kennedy 2008). The power and influence that NGOs know today can in part be attributed to the collective identity that was established in the 1990s, with the tipping point occurring around 1996. Increased recognition by the United Nations in formal declarations, a changing NGO–media relationship, NGO partnership and collaboration, and the rise of the use of “nongovernmental organization” in print media helped to create and propagate the cognitive legitimacy of the sector. The establishment of a distinct category served to propel cognitive recognition and thus increase the legitimacy of the organizations (McKendrick and Carroll 2001).
Fourth, nongovernmental organizations were primarily represented as “doing good” in the \textit{Financial Times} and \textit{New York Times} from 1985 to 2010. In his study of U.S. nonprofit organizations, Hale (2007) also found that media coverage of nonprofits was generally positive. Given that positive coverage is an indicator of legitimacy (Deephouse 1996) and that legitimacy is linked to resource attainment (Suchman 1995), media representation remains consequential to the organizations.
Fifth, media framing has played an important role in the legitimacy process of NGOs. Topic selection in the newspapers leads to greater cognition, and semantic categories reflect normative judgments (Humphreys 2010). At the same time, what gets printed may also have to conform to the values of the publication (Carvalho and Burgess 2005). If specific labels are selected over others, public understanding can be influenced over time. Our findings show that although the category “nongovernmental organization” has remained the same, our understanding of these organizations has changed and this change can be detected through frame analysis of newspaper articles (Pollock and Rindova 2003). For example, Agg (2006) indicated that the “golden age” of the NGO may be over. We maintain that it is no coincidence that at the time of Agg’s study, NGO accountability and effectiveness began to enter the main discourse. However, it should be noted that our findings regarding the Provider frame were mixed. When all articles during this period were considered, we found many examples of accountability and aid effectiveness. Our sample, however, did not turn up as many articles in this frame as we had expected. As indicated above, this may be attributable to the fact that the study ended in 2010 and thus resulted in a frame of only three years. We expect that the Provider frame—and focus on aid effectiveness—continued beyond that time, but further analysis would be necessary to confirm this.
Finally, during the early 1990s and middle 2000s, the term nongovernmental organization helped to identify these organizations as a unified group, and that term stood for partner and policymaker. The end of the golden age signaled a focus on NGO efficaciousness as providers of aid. While NGOs are still partnering with business and government and are involved in policy development, their status has not been able to protect them from public scrutiny in the age of accountability. A combination of institutional and discursive factors resulted in changes in the way NGOs were framed in the newspapers, from protector to partner to policymaker to aid provider. Media attention alone does not determine legitimacy, but it contributes to the legitimacy process by embedding meaning through categories and understanding through frames.
The implication for NGOs of the findings presented here is that not only media attention to individual organizations is important to organizational legitimacy, but also the way that the sector is framed as a whole can impact legitimacy and therefore access to resources. How the organizations—as an industry or as smaller groups of networked organizations—strategically approach the current dominant frame of aid effectiveness could significantly impact both the legitimacy and identity of the sector.
The 1990s marked the beginning of taken-for-granted legitimation of nongovernmental organizations as a sector. The current aid effectiveness discourse reflects growing concerns about accountability as well as an environment in which competition for funds requires organizations to meet donor demands and show their performance outputs. Some praise these developments and increased cooperation with business (e.g., Yaziji and Doh 2009), while others indicate that donor-driven activity and a focus on measurements undermine the purpose of the sector (e.g., Banks et al. 2015). Sometimes maintaining legitimacy with one stakeholder may mean a loss of legitimacy with another. For instance, implementing donor performance and accountability procedures may serve to maintain legitimacy with donors, but it may decrease legitimacy with constituents or the general public who may view such cooperation as compromising the organization’s integrity and independence. However, not implementing such procedures could lead to a loss of funding that is critical to organization survival. We believe this Catch-22 could affect NGO identity in that organizations similar to one another may choose to splinter off and seek a new category or label that better represents them and the interests of their stakeholders, and distances them from threats to their legitimacy.
With regard to limitations of this study, we analyze an increase in cognitive legitimacy using two western newspapers. Although the *New York Times* and *Financial Times* are considered agenda-setting publications, generalizability could be improved through the use of more newspapers or media outlets. This study is a first step in an attempt to provide evidence concerning the statistical properties of a time series of newspaper articles dealing with NGOs that may be susceptible to systematic interpretation. Our econometric models provide a basic understanding of the movement of published newspaper articles. Future studies can develop a range of additional models that provide further understanding of the growth pattern in media attention.
Another limitation of the study was the relatively small sample size of coded articles. Although the sample was large enough to be 95% representative of the data population (Neuendorf 2002), a larger sample might show the patterns more distinctly. The coding scheme was also rather cumbersome to work with; future studies might modify or simplify the scheme to make it an easier tool with which to work. Additionally, the study does not provide causal evidence for the peak of coverage in the middle 2000s; whether events such as the 2004 tsunami across Indonesia or Hurricane Katrina and the Kyoto Protocol in 2005 resulted in peaks in news coverage attention cycles (Holt and Barkemeyer 2010) might be a topic for future research.
The research presented here focuses on NGOs as a sector, but another study might analyze specific NGOs to gain more perspective on the legitimation process from a *within* the organization. Finally, the subject of legitimacy here also opens the door to a discursive discussion concerning NGO institutional evolution and change.
**Appendix 1: Newspaper Article References**
**Financial Times**
Ahmed, R., and Sharma, K. K. (1991, May 9). “Bangladesh cyclone relief effort delayed by snags.” Financial Times, Overseas News, p. 4.
“Charities look to businesses: NGO evolution.” (2007, July 5). Financial Times, FT Report, p. 4.
Holman, M. (1999, August 19). “The ‘fireman’ flourish in the heat of Africa: NGOs flourish in disaster areas, but some are questioning their influence.” Financial Times, International, p. 4.
Jack, A. (2006, November 16). “Accountability and Ethics: Billions of dollars of aid to Africa has had minimal effect.” Financial Times, FT Report, p. 4.
Jonquieres de, G., and Williams, F. (2001, November 12). “Global activists adopt new tactics: Switch to behind the scenes influence.” Financial Times, World News, p. 10.
Maitland, A. (2004, December 24). “Old foes share common ground.” Financial Times, Business Life, p. 7.
Murray, S. (2008, November 11). “Charity begins in the office.” Financial Times, Wealth, p. 8.
**New York Times**
Bellerive, J. and Clinton, B. (2010, July 12). “Finishing Haiti’s unfinished work.” New York Times, p. A19.
Brooks, D. (2010, January 15). “The underlying tragedy.” New York Times, p. A27.
Clinton, B., and Bush, G. W. (2010, January 17). “A helping hand for Haiti.” New York Times, p. WK10.
Cowell, A. (2000, December 18). “Advocates gain ground in a globalized era.” New York Times, p. C19.
Crossette, B. (1991, August 6). “Village committees learn to guard endangered forest in Bangladesh.” New York Times, p. C4.
Crossette, B. (1995, October 22). “The U.N. at 50: Facing the task of reinventing itself.” New York Times, Sect. 1, p. 1.
Lewis, P. (1998, November 28). “Not just governments make war or peace.” New York Times, p. B9.
Safire, W. (1995, October 1). “Hillary Speaks.” New York Times. Sect. 6, p. 28.
Turnipseed, R. L. (1996, April 16). “Foreign aid makes a visible difference.” New York Times, p. A20.
Walden, R. M. (2006, June 16). “So how much help is foreign aid?” New York Times, p. A30.
Appendix 2: Coding Guidelines and Examples
Coding Guidelines
The guidelines below were followed by the first author and the independent coder.
1) Determining the frame: Do Good, Protest, Partner, Public Accountability, Expert, Government Resistance, Other*.
a) Do Good: Describes the useful work NGOs are doing; positive statements about NGOs.
b) Protest: NGO activity is mainly described in the article as speaking out—in the form of making an issue public, lobbying, legal action—about unethical, harmful, irresponsible, illegal, and/or threatening practices on the part of government or business.
c) Partner: Collaboration with government, business, or other organizations is highlighted.
d) Public Accountability/Credibility: “NGOs are criticized for corruption, lack of accountability, hidden agendas, and bad management skills” (de Souza 2010, p. 487). Articles in which NGO credibility, effectiveness, or purpose is questioned by constituency other than government (by journalist, expert, citizen, etc.).
e) Expert: Is the NGO or NGO representative being quoted as an expert on the subject? (This category was not part of De Souza’s research)
f) Government Resistance: Government against or negative toward NGO involvement (This category was not part of De Souza’s research).
g) Other: Does not meet any of the above.
| Date | LexisNexis article # | Headline | Section | # words | Author | Do good | Protest partner | Public acct.* | Expert resist.* | Govt. resist.** | Other Excerpt from text |
|------------|----------------------|--------------------------------------------------------------------------|------------------|---------|----------------|----------|-----------------|----------------|-----------------|-------------------|--------------------------------|
| 22 October 1994 | 42 | More heat than light in Nepal over power wrangle | p.3 | 870 | F. Gray | X | | | | | The government scheme is being strenuously opposed by such nongovernmental organizations (NGOs) as the US-based Environmental Defence Fund |
| 26 June 2003 | 136 | Accountability ‘vital’ if NGOs are to retain trust | Asia-Pacific | 328 | A. Maitland | X | | | | | International NonGovernmental Organizations must practice what they preach and become more accountable… |
| 3 October 2006 | 91 | Air deal founders on US bid to keep clients’ data | International Economy, p. 10 | 391 | A. Bounds, D. Cameron, H. Williamson | X | | | | | “Any individual could challenge this and ask the US how data has been used,” said Tony Bunyan, editor of Statewatch, a UK non-governmental organization that monitors civil liberties |
| Date | LexisNexis article # | Headline | Section | # words | Author | Do good | Protest | Public partner | Expert Govt. | Other resist.* | Except from text |
|--------------|----------------------|--------------------------------------------------------------------------|---------------|---------|------------|---------|---------|----------------|---------------|-----------------|------------------|
| New York Times | 16 | Kampala Journal: When the trouble is women, help women | Sect. A., p. 4, col. 3 | 1000 | J. Perlez | X | | | | | There is a lively nongovernmental organization, recently started by women, to help the country’s countless children orphaned by either the civil war or the AIDS epidemic |
| 5 June 1989 | | | | | | | | | | | |
| 2 December 1994 | 5 | Paris meeting backs UN program to combat AIDS | Sect. A., p. 12, col. 1 | 626 | A. Riding | X | | | | | We’re talking about a whole new partnership with non governmental organizations and with people with AIDS |
| 31 March 2009 | 80 | Obama urges Sudan to allow aid groups back into the country | Sect. A., p. 12, col. 0 | 413 | P. Baker | X | | | | | Bashir responded by expelling 13 nongovernmental organizations |
| | | | | | | | | | | | |
* Public accountability
** Government resistance
Compliance with ethical standards
Conflict of Interest Statement The authors declare that they have no conflicts of interest, nor has this study received any funding. Additionally, the authors confirm that this work is original and has not been published elsewhere, nor is it currently under consideration for publication elsewhere.
Open Access This article is distributed under the terms of the Creative Commons Attribution 4.0 International License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and reproduction in any medium, provided you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons license, and indicate if changes were made.
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Climate Change Research at Lacawac
By Rachel Pilla, PhD Student at Miami University, Oxford Ohio
The Global Change Limnology Laboratory at Miami University of Ohio has been working at Lacawac Sanctuary for many years to understand the lake's ecology and its responses to weather events and long-term climate change. Over the past 30 years, the Pocono Plateau has seen marked decreases in acid rain following the Clean Air Act Amendments in the early 1990s, but has
experienced some of the greatest increases in rainfall and storm events in the country due to climate change. As rainwater runs through the forests surrounding Lake Lacawac, it transports leaves, twigs, soil, and other organic material into the lake. This movement of organic matter into the lake, combined with decreases in acid deposition across the region, has reduced the transparency of Lake Lacawac through a process called "browning." Browning can affect the physical, chemical, and biological properties of a lake. Rachel Pilla, a graduate student at Miami, has been working at Lacawac to better understand these changes by monitoring the lake's temperature and oxygen changes and the responses of aquatic organisms. Her research shows that the decreases in water transparency in Lake Lacawac have led to warmer surface waters and cooler deep waters as light and heat are quickly absorbed near the surface of the lake. In addition, oxygen availability is decreasing the deep waters of the lake, which can pose problems for plankton and fish, a topic several students in this lab are currently investigating.
While Rachel has documented these temperature and oxygen changes during the summer, conditions during the winter months are less understood. Beginning in 2016, Rachel and her fellow graduate students deployed a set of "hidden" underwater sensors that record water temperature and oxygen availability every 15 minutes year-round, including while the lake is icecovered, to better characterize the winter lake environment. These sensors showed a remarkable pattern during the mild winter of 2016-2017. During this period, Lake Lacawac froze as it usually does, but experienced a unique mid-winter thaw in February, before refreezing again a few weeks later. Rachel is working to understand the effects of this mid-winter thaw on temperature and oxygen in Lake Lacawac, and how it might affect the lake in the weeks to months after the event. These sensors are currently underwater (or under ice) in Lake Lacawac collecting another year of data, which Rachel hopes will help her understand how mild vs. severe winters affect the lake.
The Global Change Limnology Laboratory also maintains an advanced aquatic buoy that has been deployed on the lake during the summer since 2011. The buoy, named ARTHUR (Aquatic Resource for High-Frequency Underwater Research) in honor of the founder and steward of Lacawac Sanctuary, Arthur Watres, is programmed to collect water quality data. Every six hours, a suite of profiling sensors are slowly lowered through the water column to record measurements of temperature, pH, water color, algae, and more. ARTHUR also has a weather station that records air temperature, rain, and wind data. Data are wirelessly sent to a computer to see real-time data in Lake Lacawac. ARTHUR is an excellent way to monitor changes in Lake Lacawac in response to unpredictable weather events, to collect data when researchers cannot collect data by hand, and to compare data and responses with similar buoys around the world. Recently, data collected by ARTHUR was compared with 11 other buoys from around the world to understand how these technologies advance our understanding of algae in different types of lakes. | <urn:uuid:c207bd06-bee7-4db8-b826-ee8ea3419e42> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 3,717 |
MCC Information Announcement 2015-4
City Service Centers
Reference: MCC Operating Plan for Scout Properties
Submitted By: Raymond M. Davis, MCC VP Properties
Date: August 19, 2015
MCC has listed the Flint, Auburn and Traverse City Service Center properties for sale. As approved by the Board of Directors in April 2015, the Properties Operating plan calls for the sale and lease back of Councils administrative properties where appropriate. It is the Council's intent to sell the properties to a scout-friendly donor, and lease the space back from that landlord where possible. By doing so, it minimizes concerns about building maintenance, upkeep, property tax and depreciation.
The purpose of this policy is to downsize our inventory of legacy properties to better fit our current needs while providing flexibility in locating and establishing additional shops to better serve our volunteers and families.
Previously announced actions include:
* Sale of Camp Agawam to the Orion Township for public use with specific weeks and weekends reserved for exclusive Scouting use.
* Lease of Lost Lake Scout Reservation for private use with commitments to maintain and enhance the facilities and properties.
* Listing for sale of Paul Bunyan Scout Reservation.
As previously published, the MCC Executive Board utilizes the following considerations before approving the disposition of any of the Council's properties:
* The MCC is committed to being good stewards of our properties, both utilized and closed.
* As a part of our overall stewardship, we must consider that closed properties account for considerable ongoing expenses including taxes, insurance, security and deterioration resulting in rapid depreciation of the assets.
* Our goal is to sell or lease properties we do not see as long term need or requirement for Scouting's use, and to do so before they deteriorate.
* Our considerations are influenced in the hope that properties we sell or lease can continue to be used in their natural state and where possible, available for use by Scouts.
* Our stated intent is that funds received from sold or leased properties be committed to covering our program costs, care for unused properties and for the maintenance and improvement of our active camp facilities to further enhance the MCC camping program.
* Where possible, we would hope that leased or sold property can be open for recreational use and the good of the local community.
If anyone is aware of "land trusts" or individuals who might be interested in acquiring these properties, please contact Ray Davis, MCC VP Properties or Frank Reigelman, MCC Director, Outdoor Adventures, email@example.com or 810-228-7501.
This information is being distributed to the following MCC leadership so they may share with their committees and be able to provide concise answers to any volunteer questions or external inquiries. MCC Professionals and Staff; MCC/FSC Executive Boards and District Key 3. | <urn:uuid:b709659c-a4ef-4a52-b6ed-190553daf279> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 2,963 |
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RESEARCH ARTICLE
Ecological and functional effects of fungal endophytes on wood decomposition
Lauren C. Cline
1
|Jonathan S. Schilling
2
|Jon Menke
2,3
|Emily Groenhof
2
|
Peter G. Kennedy
1,4
1Department of Plant and Microbial Biology, University of Minnesota, St. Paul, MN, USA
Abstract
2Department of Bioproducts and Biosystems Engineering, University of Minnesota, St. Paul, MN, USA
3Cargill, Hopkins, MN, USA
4Department of Ecology, Evolution and Behavior, University of Minnesota, St. Paul, MN, USA
Correspondence
Jonathan S. Schilling Email: email@example.com
Funding information
Minnesota Agricultural Experiment Station, Grant/Award Number: MN 12-087; University of Minnesota's Institute on the Environment Resident Fellowship, Grant/Award Number: MN 12-087; University of Minnesota's Department of Plant and Microbial Biology; Andrew W. Mellon Foundation Junior Faculty grant in Conservation and the Environment
Handling Editor: Rachel Gallery
1. Despite the central role of saprotrophic fungi in wood decomposition and terrestrial carbon cycling, the diversity and functioning of wood endophytes (i.e. fungi that asymptomatically colonize living plant tissue) on decay remains poorly understood.
2. In a 4-year field experiment in a boreal forest in the upper midwestern United States, we investigated whether endophytes influenced fungal community structure and subsequent wood decomposition via priority effects. We compared decay of sterilized and non-sterilized birch (Betula papyrifera) logs using both highthroughput sequencing and wood physiochemical analyses (i.e. density loss, dilute alkali solubility, ratio of lignin loss relative to density loss).
3. Endophyte presence significantly altered initial fungal species composition during the first 2 years and enhanced mass loss over the experiment's duration. Results suggest that following tree death the immediate utilization of organic substrates by wood endophytes significantly alters establishment patterns of later arriving fungal saprotrophs.
4. Independent of endophyte presence, white rot was the wood decay outcome at all sampling times, despite an initial presence of both brown and white rot fungi.
5. Collectively, these findings demonstrate that wood endophytes can affect early community assembly and subsequent decay rates, although environmental filtering leads to consistent selection for fungi with lignin-targeted decay strategies.
KEYWORDS
endophyte, fungal community, historical contingency, priority effects, wood decomposition
1|INTRODUCTION
Wood decomposition plays a pivotal role in terrestrial carbon cycling (Chao et al., 2009; Delaney, Brown, Lugo, Torres-Lezama, & Quintero, 1998; Harmon et al., 2004) and incorporating the fate of dead wood into earth system modelling efforts is an increasingly recognized priority (Bradford et al., 2014; Cornwell et al., 2009). Climate indices, including temperature and moisture averages, as well as plant litter traits are commonly used to predict wood decomposition rates (e.g. Viitanen et al., 2010). While these factors can be important determinants, particularly at large spatial scales (Bradford et al., 2014), they often fail to capture local variation in rates of wood decay (Jackson, Peltzer, & Wardle, 2013). Growing evidence suggests that stand-level variation in wood decomposition may be better attributed to differences in fungal community composition (van der Wal, Ottosson, & de Boer, 2015), as fungi represent the primary decomposers of lignocellulose (Baldrian, 2006). As such, elucidating the factors that structure fungal communities during wood decay can have significant ecosystem-scale
Functional Ecology. 2017;1–11.
wileyonlinelibrary.com/journal/fec
© 2017 The Authors. Functional Ecology
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consequences, and may ultimately enhance our ability to model these dynamics (e.g. Wieder, Grandy, Kallenbach, & Bonan, 2014).
Among the ecological factors shaping fungal communities at local scales, historical contingencies (i.e. the order and timing of past events) have been shown to play a critical role in a diverse array of study systems (Dickie, Fukami, Wilkie, Allen, & Buchanan, 2012; Hiscox, Savoury, Müller, et al., 2015). These contingencies can be the result of the order and timing of species arrival, in which the arrival of one species alters the establishment success of succeeding species (Chase, 2003; Connell & Slatyer, 1977). Such 'priority effects' can occur as initial colonists deplete resources and subsequently limit the abundance of later arriving organisms (i.e. niche pre-emption; Allison, 2012; Weiher, Clarke, & Keddy, 1998). Alternatively, colonists may alter local environmental conditions, thereby changing the identities and traits of later arriving propagules (i.e. niche modification; Hiscox, Savoury, Müller, et al., 2015). Along with changes to the abundance and identity of later arriving species, priority effects can have important consequences to ecosystem-level processes, including rates of carbon release from wood (Dickie et al., 2012; Fukami et al., 2010).
Historical contingencies may alter wood decomposition rates as a result of the varied physiological capacities of fungi, which yield variable carbon loss patterns and physiochemical 'signatures' (Schilling, Kaffenberger, Liew, & Song, 2015). For example, fungi have different growth rates, carbon use efficiencies and rates of CO 2 release, which all influence mass loss rates (Crowther & Bradford, 2013; Hiscox, Savoury, Vaughan, Müller, & Boddy, 2015). Nutritional strategies of fungi also range in lignin selectivity, from those removing minor amounts of lignin (brown rot) to those removing lignin at similar (simultaneous white rot) or faster rates (selective white rot) relative to wood carbohydrates (Schilling et al., 2015). As a result of these trait differences, distinct fungal communities can lead to varied decomposition outcomes under similar environmental conditions (Dickie et al., 2012). While a focus on species-level composition is important for linking community structure and function, the characterization of fungal guilds (i.e. functional groups, Nguyen et al., 2016) present may provide additional insight in tracking community changes during wood decay (Song, Kennedy, Liew, & Schilling, 2017).
A key transition in fungal community assembly in decaying wood is when living trees die (Stursová et al., 2014). Historical contingencies in wood decomposition likely begin with the legacy presence of endophytes (Boddy, 2001; Song et al., 2017), defined as fungi that are able to colonize plant tissues asymptomatically (Arnold, 2007; Schulz & Boyle, 2005), which may represent a significant 'carryover' portion of fungal communities that develop during the earliest stages of decomposition (Boddy & Griffith, 1989). Initial colonization by endophytes may function as an advantageous competitive strategy, as organisms transitioning to a saprotrophic lifestyle gain early resource access (Oses, Valenzuela, Freer, Sanfuentes, & Rodriguez, 2008; Osono, 2006). However, many of the most thorough studies of wood endophytes (e.g. Boddy & Griffith, 1989; Chapela & Boddy, 1988) pre- date high-throughput molecular identification techniques, and their characterization in natural settings is limited.
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In this study, we coupled high-throughput sequencing and wood physiochemical analyses to investigate the role of endophytes in structuring fungal community composition and carbon loss patterns over the course of decay under field conditions. Specifically, we evaluated fungal taxonomic and guild composition and corresponding functional effects (decay rate and rot type) in healthy and decaying birch (Betula papyrifera) at multiple time points over a 4-year period. To manipulate the endophyte contribution to wood decay, we compared sterilized wood against non-sterilized wood. Our study design, which utilized small-diameter (>4 cm) natural birch stem rounds, allowed for the tracking of fungal community assembly in coarse woody debris (>2.5 cm diameter threshold; Harmon et al., 2004) across multiple bole decay classes (i.e. stages; Sollins, 1982).
We hypothesized that the presence of endophytes would lead to competitive interactions with the dominant later arriving organisms, which include both generalist (e.g. Fomes, Trametes) and specialist (i.e. Piptoporus betulinus) wood-associated saprotrophic fungi (Lindhe, Åsenblad, & Toresson, 2004; Schilling et al., 2015). Support for that scenario comes from the recent study of Song et al. (2017), which tracked wood endophyte communities of healthy birch trees in a laboratory incubation and demonstrated that fungal endophytes inhibited the colonization of externally inoculated wood saprotrophic fungi (i.e. Fomes fomentarius and P. betulinus) and slowed wood mass loss after 5 months of decomposition. However, the ecological relevance of those results remains unclear, as microcosm settings strongly limit the diversity of fungi colonizing wood. We also predicted that the niche pre-emption caused by the presence of endophytes would have a stronger effect on community taxonomic composition than functioning, but that this effect would attenuate through time (Fukami, 2015).
2|MATERIALS AND METHODS
2.1|Experimental design and sampling
To investigate the influence of historical contingencies on fungal wood decay, we contrasted fungal community composition and extent of wood decay in sterilized and non-sterilized wood samples left to decay in ground contact. Our study site was at the University of Minnesota Cloquet Forestry Center (46°42′08″ N, 92°32′53″ W) in a c.70-year-old boreal forest stand dominated by paper birch (B. papyrifera), red pine (Pinus resinosa) and white spruce (Picea glauca). Located approximately 900 m apart from one another, three healthy paper birch trees with diameters between 4 and 7 cm were cut in February 2012, stripped of branches and cut into 40 cm segments. Each segment was cross-cut into two segments of equal length. One section was immediately frozen at −20°C, and the other was autoclaved at 121°C for two 1-hr runs prior to freezing. A lack of fungal regrowth or decay following sterilization in wood segments was confirmed in laboratory microcosms by Song et al. (2017). Ten samples were included in each sterilization treatment, for a total of 20 samples across three source trees, with tree 1 having one additional replicate per treatment. In April 2012, wood sections were placed in a North–South transect along the forest floor, alternating sterilized and non-sterilized samples
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of each tree replicate, with 1 m spacing. After 7, 19 and 42 months, two 3-cm thick discs were cut from the end of each wood segment with a sterile handsaw. The outer disc was discarded, while the inner disc was used for physiochemical and molecular analyses. Following harvesting, wood segments were returned to the forest floor to permit characterization of the downstream influence of endophytes on the same substrate. Prior to the initiation of the experiment, two 3-cm wood discs were sampled from opposite ends of each of the three trees and frozen in order to characterize the fungal community at time zero, although samples from only two trees were available for sequencing due to a storage error.
2.2|DNA extraction, amplification and rDNA ITS sequencing
ITS fungal libraries were sequenced from 0, 7, 19 and 42 month samples. To prepare wood samples for DNA extraction, they were surface sterilized by wiping wood surfaces with 70% ethanol, followed by DNA AWAY (ThermoFisher Scientific, Waltham, MA, USA), bark was removed, and discs were ground using a Midas Rex bone mill (Medtronic, Minneapolis, MN, USA). Following 0, 7 and 19 month sampling, genomic DNA was extracted from 250 mg using a modified CTAB extraction protocol (Jasalavich, Ostrofsky, & Jellison, 2000). After the 42 month sampling, genomic DNA was extracted from 250 mg of ground wood samples using the PowerPlant Pro DNA extraction kit (MO-BIO, Carlsbad, CA, USA). Regardless of extraction protocol, samples were first homogenized for 2 min using a Biospec bead beater (Bartlesville, OK, USA) with 500 mg of silica beads and, once in solution, heated for 10 min at 65°C. PCR amplification of the ITS region was conducted on 0, 7 and 19 month samples using ITS1F and ITS4 (Gardes & Bruns, 1993; White, Bruns, Lee, & Taylor, 1990) primers and sequenced using Roche 454 FLX titanium instruments and reagents (Branford, CT, USA). For the 42 month samples, PCR amplification of the ITS gene region was prepared by the University of Minnesota Genomics Center and sequencing was performed on Illumina MiSeq platform (San Diego, CA, USA) with 300 paired-end reads. Information on PCR conditions, amplicon clean-up and normalization at all time points is available in Appendix S1 of Supporting Information. To minimize the effect of differences in library preparation, sequences from each time point were processed individually and statistical analysis was focused on relative treatment effects (sensu Shade, Gregory Caporaso, Handelsman, Knight, & Fierer, 2013; see sections 2.3 and 2.5).
2.3|Sequence processing
Sequence data obtained from the ITS1 gene region were processed using established pipelines (Nguyen, Smith, Peay, & Kennedy, 2015; Schloss et al., 2009). Low-quality reads were removed bioinformatically (Appendix S1). Sequences were clustered at 95% sequence similarity with USEARCH followed by 95% with UCLUST (sensu Edgar, 2010; Nguyen et al., 2015). Taxonomy was assigned using BLAST algorithm (Altschul, Gish, Miller, Myers, & Lipman, 1990) against the
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UNITE database (v.7.0; Kõljalg et al., 2013) and guild classifications were made using FUNGuild (Nguyen et al., 2016), an open annotation community bioinformatics tool that classifies individual fungal operational taxonomic units (OTUs) according to their taxonomic assignment (Appendix S1 for further details). Due to differences in sequence returns across platforms, rare OTUs were pruned from the 454 and MiSeq datasets individually; OTUs with fewer than 5 and 12 sequences were removed, respectively. As such, all sequence libraries were rarefied to 2994 sequences per sample. As a result, two samples were dropped from the 7 month sampling and one sample was removed from the 19 month sampling point.
2.4|Wood physiochemistry
To characterize the rate and dominant type of wood decay across sterilization treatment and sampling time, we quantified the density loss, dilute alkali solubility (DAS) and ratio of lignin loss relative to density loss (L:D). For those samples that maintained sufficient integrity to analyse, wood volumes for density measurements were measured by calipering the average diameter from two perpendicular measurements and average thickness from four 'compass point' measurements of fully hydrated and frozen wood discs. Wood mass was measured after oven-drying samples at 100°C for 48 hr. Density loss was calculated by subtracting final from initial wood density (g/cm 3 ) and expressed as a percent. Wood DAS was also assessed as a measure of dominant rot type, as well as a sensitive measure of early depolymerization and wood cell wall 'loosening' (Schilling et al., 2015). The L:D, an indication of the selectivity of lignin removal (higher in white rot type fungi, lower in brown rot; 0.8 threshold per Worrall, Anagnost, & Zabel, 1997), was measured as the ratio of the loss of lignin, measured by the Klason technique, and the loss of density, as outlined for field samples in Schilling et al. (2015).
2.5|Statistical analysis
To determine the effect of wood sterilization on fungal community assembly and wood decay, we employed univariate and multivariate statistics using the program r (v.3.2.4; http://www.R-project.org). The effect of sterilization treatment on fungal community richness was calculated as the log response ratio, which is the natural log of the ratio of average OTU richness in the non-sterilized relative to sterilized treatments. Confidence intervals (95%) were assigned using the package ARPobservation (Pustejovsky, 2016). Following Hellinger transformations of OTU relative abundance (Legendre & Gallagher, 2001), pair- wise Bray–Curtis distances (Bray & Curtis, 1957) were calculated to assess OTU and guild β-diversity. The significance of the sterilization treatment was determined by permutational multivariate analysis of variance (PerMANOVA; Anderson, 2001) with 1,000 permutations in r package vegan (Oksanen et al. 2016). Sterilization treatment effect sizes on OTU and guild β-diversity were calculated by eta-square (η 2 ) in r package mbess (Kelley, 2016), which represents the variation explained by a factor in relation to the summed variation explained by the factor and the error associated with the model (Lakens, 2013).
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Linear regression was employed to determine whether pair-wise community dissimilarity was spatially auto-correlated to pair-wise geographic distances across the transect. We investigated the response of the 15 most abundant fungal genera to sterilization treatment. Of the abundant genera present in all three time points, the log response ratio of average read abundance was calculated as the natural log of the ratio of average genus relative abundance in non-sterilized wood relative to sterilized wood. Statistical significance was determined by non-overlapping 95% confidence intervals with 0, indicating that genus relative abundance differed between the two treatments. Wood density loss (%), L:D and DAS were estimated in a mixed effects model using the r package lme4 (Bates, Maechler, Bolker, & Walker, 2015) and lmerTest (Kuznetsova, Brockhoff, & Christensen, 2016). Sterilization treatment and time were included as fixed factors. Tree replicate was included as a random factor. Furthermore, to account for repeated measures sampling, sample was also included as random factor, nested within treatment. Post hoc analyses were conducted using Tukey's test. Density loss and L:D were log-transformed to meet model assumptions of linearity. Further, to distinguish extent of wood decay, decay outcomes were characterized by white vs. brown rot type (Schilling et al., 2015; Worrall et al., 1997) and one-tailed t-tests were conducted from L:D and DAS at each time point. Assumptions of linearity were verified prior to conducting t-tests, linear regression and ANOVA.
3|RESULTS
3.1|ITS sequence summary and fungal classification
A total of 86,041 quality fungal ITS gene sequences were obtained from libraries generated after 7 months of decay, 114,566 quality sequences from 19 month libraries, and 1,909,489 quality sequences from 42 month samples. Following pruning of rare OTUs and rarefaction, there were 117, 96 and 491 OTUs at the 7, 19 and 42 month time points, respectively. Sequences were assigned to a diverse range of fungal phyla, including the Ascomycota, Basidiomycota, Chytridiomycota, Glomeromycota and Zygomycota. Of the fungi detected in freshly cut wood samples (i.e. those at time zero), 141 OTUs were detected. Although most sequences from fresh wood samples could not be assigned to genus (86.3%) or guild (87.5%), the majority were classified to the phylum Ascomycota (77.1%). Furthermore, the most abundant genera included Flavopunctelia, Chrysothrix, Cryptococcus, Fellomyces and Tremella (Figure S1). Flavopunctelia and Chrysothrix were classified as fungi associating with lichens, the most abundant fungal guild in time 0 samples (7.0% of sequences), and may represent fungi growing on the bark before it was removed. Other relatively abundant guilds included those dually classified as animal pathogens and undefined saprotrophs (2.3%), undefined saprotrophs (1.0%) and mycoparasites (0.9%).
3.2|Fungal OTU and guild richness
Fungal OTU richness in decaying wood samples averaged 47 ± 25 (SE units) OTUs after initial tree death, 24 ± 2 OTUs after 7 months.
of decay, 19 ± 1 OTUs after 19 months and 79 ± 5 OTUs after 42 months. The log response ratio of OTU richness between the sterilized and non-sterilized treatment did not significantly differ from zero at any of the three sampling times (Figure 1a). There was also no difference in the number of guilds detected in sterilized or non- sterilized wood at any time point (8 guilds per treatment and time point), although the identity of guilds varied with time. Fungi dually classified as plant pathogens and wood saprotrophs were dominant at 7 and 19 months, while ectomycorrhizal taxa were present at low abundance at all three sampling points, and arbuscular mycorrhizae were detected only after 42 months of decay (Figure 2a).
3.3|Fungal OTU and guild composition
Wood sterilization significantly altered the taxonomic composition of fungi colonizing wood (Figures 1b and 3a-c). Operational taxonomic unit β-diversity was significantly different between sterilized and non- sterilized wood at 7 months (F 1,16 = 5.22; p< .001) and 19 months (F 1,17 = 2.71; p= .001), but not at 42 months (F 1,18 = 1.15; p= .20). Supporting the primary role of the sterilization treatment in shaping OTU β-diversity after 7 and 19 months, pair-wise spatial distance (m) among points was not significantly related to variation in Bray– Curtis distances at respective time points (p> .27). In contrast, there was some degree of spatial autocorrelation detected after 42 months (Figure S2; r 2 = 0.086; p< .001).
A similar but weaker treatment effect was observed when fungi were classified by guild (Figures 1b and 3d–f). Guild composition differed significantly by treatment at 7 months (F 1,16 = 4.60; p< .001), but not at 19 months (F 1,17 = 1.46; p= .16) or 42 months (F 1,18 = 0.46; p= .65). After 7 months, the variation in fungal guild composition between sterilization treatments was driven by significantly lower abundance of undefined saprotrophs (ANOVA; p= .017; Figure 2) and increased abundance of plant pathogen-wood saprotrophs (p< .001) in the non-sterilized wood. No significant relationship was observed among pair-wise spatial distance (m) and pair-wise differences in guild composition (Bray–Curtis dissimilarity) at 7, 19 or 42 months of decay (p> .17).
3.4|Genus-level response to sterilization treatment
Of the abundant fungal genera, eight persisted through all sampling times, including five wood saprotrophs with white rot nutritional modes: Crepidotus, Phlebia, Steccherinum, Trametes and Xenasmatella (Figure 4). The remaining three persistent genera were classified as undefined saprotrophs (Sistotrema and Ascocoryne) and a plant pathogen (Phaeoacremonium). Across guilds, response to sterilization treatment was largely dependent upon genus. Of the wood saprotrophs, the relative abundance of Trametes was significantly larger in non- sterilized wood across all time points, as well as Crepidotus at 7 and 42 months and Ascoryne at 7 months (Figure 4). In contrast, the abundance of Phlebia and Steccherinum was consistently suppressed in non-sterilized wood relative to sterilized wood (7, 19 and 42 months). Xenasmatella was also less abundant in non-sterilized wood after
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7 months 19 months 42 months
FIGURE 1 Wood treatment effect size on models of OTU (operational taxonomic unit) richness (a) and β-diversity (b) across time points. Log response ratio was calculated as the natural log of the ratio of average OTU richness of non-sterilized treatments divided by the average OTU richness of sterilized treatments. Error bars represent 95% confidence intervals. Wood treatment effect size on OTU and guild β-diversity was calculated as η 2 . Effect size significance was calculated by permutational multivariate analysis of variance (PerMANOVA), and determined individually at each time point. ** indicates treatment significance at α< 0.001
7 months, had no significant differences in abundance between sterilization treatments at 19 months, and became more abundant in non- sterilized wood after 42 months. No significant change in relative abundance was observed for Sisotrema or Phaeoacremonium by sterilization treatment. Furthermore, Phaeoacremonium, Phlebia, Sistotrema, Trametes and Xenasmatella were present in time zero samples (Figure S1), suggesting these five endophytic genera were able to establish in deadwood, increase in abundance and persist through time.
3.5|Fungal community rot type classification
Fungi classified as wood saprotrophs ranged between 26.6% and 40.1% of all sequences from 7 to 42 months, peaking after the 19- month sampling point, as compared to only 1.6% in time zero samples (Figure 5). Within the wood saprotroph guild, fungi with known white rot nutritional modes comprised the dominant rot type of at each time point, including among the initial endophytic colonists of wood at time zero (49.0%–77.5%). Brown rot fungi were absent in all decaying wood samples, but present at low abundance at the time zero sampling point (2.1% of wood saprotrophs). Wood sterilization treatment had no significant effect on white rot abundance at any
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time point (t-test; p> .16), indicating dominance by white rot fungi in the presence or absence of endophytes.
3.6|Rate and type of wood decay
Initial wood characteristics included a density of 0.5 g/cm 3 , 15.3% DAS and 32.9% lignin content. Over the course of decay, non- sterilized wood had a significantly higher density loss relative to sterilized wood (Figure 6a; n= 42, F= 8.8, p= .005), although time was not a significant factor in the mixed effects model (F= 2.3, p= .12) and no significant interaction was observed. Samples without enough integrity to quantify density loss could not be included in this analysis (four samples excluded at 42 months), thus these results underestimate the true extent of decay in more advanced stages. Conversely, the model of DAS, which does not require intact samples, indicated that treatment (n= 52, F= 16.2, p= .002), time (F= 13.6; p< .001) and their interaction (F= 18.5; p< .001) were all significant factors (Figure 6b). Post hoc comparisons revealed that DAS was significantly lower in sterilized wood relative to non-sterilized wood after 7 months (t= 5.17; p< .001) and 19 months (t= 4.34; p= .003), although treatment was not significant after 42 months (t= 0.05; p= .99). Density loss and DAS were positively correlated (t= 3.40; p= .001), likely the result of increases in soluble compounds at late decay stages, but remained well below the DAS threshold consistent with a brown rot- dominated decay process (Figure S3). L:D ratios further indicated that decomposition was dominated by white rot independent of sterilization treatment (n= 42, F= 0.0005, p= .98), with time being the only significant model factor (n= 42, F= 26.2, p< .001) and no significant interaction among factors (Figure S4). Post hoc analyses indicated that L:D was significantly higher after 42 months of decay relative to 7 or 19 months of decay (t= 9.21, p< .001), reflecting an increased rate of lignin decomposition at the later stages of decay as well as leaching losses. Furthermore, one-tailed t-tests indicated that the average L:D at each time point was significantly greater than 0.8 (t= 3.46–4.60; p< .001), confirming the rot type outcome as white rot. There were no significant correlations between transect location and density loss, DAS or L:D (Figure S5).
4|DISCUSSION
Our experimental elimination of endophytes, along with the assessment of fungal community composition and wood physiochemistry, allowed us to investigate how priority effects influenced wood decomposition. We tracked the rise to dominance among wood decomposers over the study duration, including fungi present at the outset in low abundances as endophytes. Wood sterilization had significant influences on fungal species composition over the course of community assembly and suppressed density loss over the length of the experiment, indicating that endophytes can influence both fungal community assembly and decomposition rates. Interestingly, eliminating endophytic initial colonizers suppressed overall wood decay rates in our study; whereas, other laboratory- and field-based studies have shown suppression of
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decay as a result of antagonistic interactions between initial colonists and later arriving species (Fukasawa, Osono, & Takeda, 2009; Purahong & Hyde, 2011). We believe these contrasting results may be due to the time-lag of fungi recolonizing sterile stem segments compared to the non-sterilized treatment, where initiation of decomposition commenced immediately following tree death. In particular, the increased rates of density loss in the presence of endophytes may be attributed to the initial presence (Figure S1) and persistence (Figure 4) of white rot wood saprotrophs, including Phlebia and Trametes.
Unlike the significant effects on both community composition and total density loss, the presence of endophytes had no effect on wood decay outcome, with white rot dominating at all three sampling points (Figure 5). Although white rot is typical for birch and other hardwoods in field settings (Hibbett & Donoghue, 2001), it is not the rule (e.g. brown rot fungi such as P. betulinus were present in our samples). For example, our results differed from the brown rot dominance observed in the same study system when endophytes were allowed to develop in absence of exogenous colonizers in microcosms (Song et al., 2017). These functionally distinct outcomes suggest that environmental conditions and fungal physiological capacities function in concert to shape decay outcomes. In particular, the more diffuse depolymerization mechanisms of brown rot fungi may encourage their dominance
FIGURE 4 Response ratio of the most abundant genera to wood treatment through time, grouped by guild and then alphabetically. Of the 15 most abundant genera at each time point, only those genera present at all time points (7, 19 and 42 months) were visualized. Bolded genus names represent genera that were present in time 0 samples. The response ratio of average genus abundance was calculated as the natural log of the ratio of average genus relative abundance in non-sterilized wood relative to average abundance in sterilized wood. Genus relative abundance was calculated as the proportion of sequences assigned to a particular genus divided by total sequences in a sample. Positive values indicate a genus was more abundant in non-sterilized wood; whereas, negative values indicate a genus was more abundant in the sterilized treatment. Error bars represent 95% confidence intervals. Colours represent fungal guild assignment and shape represents response at a given time point
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Response ratio (genus abundance)
Xenasmatella
Trametes
Steccherinum
Sistotrema
Phlebia
Crepidotus
Ascocoryne
Phaeoacremonium
7 months
19 months
42 months
Wood saprotroph
Undefined saprotroph
Plant pathogen
Non sterilized < sterilized
Non sterilized > sterilized
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in low competition settings. Fungi utilizing brown rot solubilize carbohydrates via the secretion of reactive oxygen species (Zhang et al., 2016), which results in spatial separation between the fungus and newly available resource. With many other fungi and other microbes present, there is a strong possibility of consumption of those sugars by 'cheaters' (Allison, Lu, Kent, & Martiny, 2014). While additional study is needed to test this possibility, elucidating the drivers of wood rot type is key for accurate ecosystem modelling efforts, as brown rot typically results in less complete wood decay and greater carbon inputs in soil organic matter relative to atmospheric pools (Gilbertson, 1981).
The presence of endophytes had mixed effects on the dominant fungal genera, particularly among the white rot fungi in the wood saprotroph guild (Figure 4). Notably, sterilization favoured dominance of Phlebia (putatively identified as P. radiata [>97% sequence similarity; >80% query length]) while non-sterilized birch was favoured by Trametes (putatively identified as T. versicolor [>97% sequence similarity; >80% query length]). These two fungal genera have similar lignin selectivities (Schilling et al., 2015; Worrall et al., 1997) and are considered combative secondary colonizers of wood (Boddy & Heilmann- Clausen, 2008). Somewhat surprisingly, these two genera were also the most abundant wood saprotrophs at time zero, as endophytes, indicating that the endophytic strategy was more viable for Trametes than for Phlebia in these conditions. Phlebia was instead the better colonizer of fresh, endophyte-free wood from the soil or via spores, and may be due to a combination of growth efficiencies (Crowther & Bradford, 2013), inoculum potential (Song, Vail, Sadowsky, & Schilling,
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Non sterilized Sterilized
2015), competitive strategies (Boddy & Heilmann-Clausen, 2008; van der Wal et al., 2015) and environment. Despite these interesting taxa-specific disparities, the white rot outcome implies rot type can be predictable in a given environment and demonstrates that trait classification can be an important tool in connecting community structure with function (Treseder & Lennon, 2015).
While the presence of endophytes initially altered the colonization success of saprotrophic fungal guilds (Figure 2), the declining importance of endophyte presence in shaping fungal community composition through time (Figure 1b) suggests that environmental filtering is increasingly important in later stages of decay. Specifically, later arriving wood saprotrophs may out-compete initial fungal endophytes as a result of the depletion of labile organic substrates during the course of wood decay, increasingly selecting for organisms with the capacity to decompose the lignified components of dead plant material (Boddy & Heilmann-Clausen, 2008; Frankland, 1998; Lonardo et al., 2013). Therefore, variation in wood decay communities following 4 years of decomposition likely reflects local variation in the 'source' pool of soil fungi along the environmental transect. These findings parallel those of van der Wal et al. (2015), who found evidence of negative species co-occurrence patterns (consistent with competition) in earlier stages of wood decay (i.e. the 2-year sampling) that disappeared over time. Furthermore, the increasing influence of lignolytic fungi paralleled the observed sharp increase in lignin utilization relative to wood carbohydrates (L:D; Figure S4) after 42 months of wood decay. Future experimental studies that manipulate the colonization order of endophytes and wood decay fungi would enable rigorous testing of priority effects as well as examining the various niche components upon which they are based (Vannette & Fukami, 2014).
Although to our knowledge this is the first DNA-based study to experimentally assess the effects of endophytes on wood decay under field conditions, we recognize a number of methodological caveats. First, endophyte presence was manipulated via sterilization by.
FIGURE 6 Density loss (a) and dilute alkali solubility (DAS) (b) of non-sterilized and sterilized wood treatments at individual time points (7, 19 and 42 month) as well as averaged through time (All months). Treatment was a significant main effect for percent density loss and DAS, as indicated by the panel label 'All months'. Time and the treatment x time interaction were also significant for DAS, and sterilized wood DAS was significantly lower at 7 and 19-month time points. Asterisk indicates significant treatment effects at α< 0.05. Density loss was log-transformed to meet model assumption of linearity, as represented by the y-axis scale
autoclaving, which can lead to hemicellulose side chain degradation and strength loss in wood (Winandy & Morrell, 1993). Because other established methods of wood sterilization (i.e. gas sterilization and gamma irradiation) also have consequences to the properties of wood (Despot et al., 2010; Smith, 1965), we chose a method for which we had verified efficacy. Second, our repeated sampling of wood sections at each time point may have disrupted the fungal community colonizing wood, potential removing established fungi and exposing a clean edge of the woody substrate. Despite these drawbacks, we feel confident that repeated sampling was the most appropriate approach to quantify the successive colonization of fungi on a substrate as well as the progressive modifications made to the substrate (e.g. Smith, Shortle, Jellison, Connolly, & Schilling, 2007). Furthermore, the changes in fungal communities through time reported in our study parallel natural patterns of fungal succession over the course of wood decay (Rajala, Tuomivirta, Pennanen, & Mäkipää, 2015). Finally, we used two different sequencing platforms (Roche 454 and Illumina MiSeq) to assess fungal community composition, merging two efforts to enable a more resolved, long-term time series. Although DNA extraction protocols, PCR primers, and sequencing platform have known biases (Amore et al., 2016; Luo, Tsementzi, Kyrpides, Read, & Konstantinidis, 2012), consistent β-diversity metrics and taxonomic assignment have been observed between libraries sequenced on 454 and Illumina platforms (Luo et al., 2012; Smith & Peay, 2014). Given that trends in our community data were consistent across sequencing methods, we feel confident these results are ecologically robust.
5|CONCLUSION
Collectively, our study demonstrated that endophytes shape decomposition dynamics as important initiators of wood decay in field
.
settings. While often categorized as competitors with wood saprotrophic fungi, our results suggest that endophytes may enhance rather than retard mass loss without altering the type of rot that occurs over the initial stages of decay. This facilitative role may be due to the presence of latent wood saprotrophs in the endophytic community, who can more quickly initiate decay by their presence upon tree death rather than having to colonize from external sources. Multiple studies have documented a transition from dominance by wood saprotrophic fungi in the early and middle stages of decay to ectomycorrhizal fungi in the later stages of wood decay (e.g. Rajala et al., 2015). Given the requirement for some amount of decomposition to occur before significant levels of colonization by ectomycorrhizal fungi are observed, the presence of endophytes may not only affect the composition of wood saprotrophic communities, but also indirectly facilitate later mycorrhizal colonization. Since ectomycorrhizal fungi play a key role in seedling establishment (e.g. Van Der Heijden & Horton, 2009) and seedling regeneration in high latitude forests is often associated with coarse woody debris (e.g. Harmon & Franklin, 1989), it is possible that the fungal communities present in living wood may have legacy effects that cascade across multiple fungal guilds and ultimately influence both carbon gain as well as loss from boreal forest ecosystems.
ACKNOWLEDGEMENTS
Funding for this project was made possible by the Minnesota Agricultural Experiment Station (Project MN 12-087; J.S.), University of Minnesota's Institute on the Environment Resident Fellowship (J.S.), University of Minnesota's Department of Plant Biology (P.K.), and an Andrew W. Mellon Foundation Junior Faculty grant in Conservation and the Environment (J.S.). The authors would also like to thank Feng Jin Liew for help with experimental set-up and sample processing.
AUTHORS' CONTRIBUTIONS
J.S. conceived the idea and designed methodology; J.S., J.M., P.K. and L.C. collected samples; L.C., J.M., E.M. collected data; L.C. led the analysis and writing of the manuscript with substantial contributions from P.K. and J.S. All authors contributed critically to the drafts and gave final approval for publication.
CONFLICT OF INTEREST
The authors declare no conflict of interest.
DATA ACCESSIBILITY
Raw sequence data and associated metadata were uploaded to the NCBI Sequence Read Archive (https://www.ncbi.nlm.nih.gov/sra) under study accession number SRP079521. Additional data are deposited in the Dryad Digital Repository https://doi.org/10.5061/ dryad.pf80t (Cline, Schilling, Menke, Groenhof, & Kennedy, 2017).
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SUPPORTING INFORMATION
Additional Supporting Information may be found online in the supporting information tab for this article.
How to cite this article: Cline LC, Schilling JS, Menke J, Groenhof E, Kennedy PG. Ecological and functional effects of fungal endophytes on wood decomposition. Funct Ecol. 2017;00:1–11. https://doi.org/10.1111/1365-2435.12949 | <urn:uuid:ab5cb1ca-850f-4af1-bf46-0c356688ffde> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 54,685 |
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Pöyhönen Arto
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Muut osallistujat
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Imatran krematorio
Kustannuksiin ei ole osallistunut mikään ulkopuolinen taho.
Seurakuntataloudet päättävät hautaustoimen maksuistaan itsenäisesti, kuitenkin lakien määrittämissä rajoissa. Hautaustoimilain mukaan maksut saavat olla enintään palvelun tuottamisesta aiheutuvien kustannusten suuruiset.
Tavoitteena on kattaa hautaustoimen kustannukset maksutuotoilla ja seurakuntien saamalla yhteisövero-osuudella. Käytännössä maksutuotoilla kuuluisi kattaa 20 -25 prosenttia hautaustoimen kokonaiskustannuksista. Vuonna 2015 hautaustoimen maksutuotoilla katettiin Imatran seurakunnassa 37 %.
Krematorion ylläpitämisestä ja tuhkaamisesta säädetään hautatoimilain 17 §:ssä. Sen mukaisesti krematoriota ei saa ylläpitää taloudellisen voiton tavoittelemiseksi.
Hautaustoimenessa perittäviin maksuihin sovelletaan, mitä hautaustoimilain 6 §:ssä säädetään. Säädöksen mukaan maksujen perusteiden tulee olla samat kaikille, joilla on oikeus tulla haudatuksi seurakunnan hautausmaalle.
Seurakunnilla on toimivalta vapaasti hinnoitella hautaustoimen palvelunsa lain asettamissa rajoissa, mikä on johtanut siihen, että samojen tehtävien hinnoittelussa on eri seurakuntien välillä suuria eroja. Tässä yhteydessä onkin nostettu esiin kysymys kansalaisten yhdenvertaisesta kohtelusta. Nykytilannetta voidaan pitää perustuslain edellyttämän kansalaisten yhdenvertaisen kohtelun näkökulmasta epätyydyttävänä.
Ehdotus:
Päätös:
Tuhkaushinnan kehitys
Imatran krematorion tuhkaushintaa tarkistetaan 15 € vuoden 2006 tasolle. Tuhkaushinta 1.7.2016 alkaen 210 € aikuiselta ja alle 10 vuotiaan tuhkaus 105 €. Vaikutus tuloihin 13.500 € vuodessa.
Vilkkaan keskustelun jälkeen Pekka Kärkäs ehdotti, että imatralaisilta perittäisiin pohjaehdotuksen mukainen tuhkaushinta ja ulkopaikkakuntalaisilta perittäisiin 240 euroa. Esa Hirvonen kannatti ehdotusta.
Puheenjohtaja totesi, että on tehty pohjaehdotuksesta poikkeava kannatettu ehdotus, joten suoritetaan kädennostoäänestys. Suoritetussa äänestyksessä Pekka Kärkkään ehdotus sai viisi (5) ääntä ja pohjaehdotus viisi (5) ääntä. Edelleen puheenjohtaja totesi, että tasatilanteessa puheenjohtajan ääni ratkaisee, joten pohjaehdotus on tullut hyväksytyksi.
Ehdotus:
Päätös:
11.5.2016
74
Nuorisotyönohjaajan viransijaisuus 1.6.2016 – 31.12.2017
Valmistelija: Haastatteluryhmä
Esittelijä: kirkkoherra Arto Marttinen, p. 040 522 0741
Kirkkoneuvosto myönsi 21.10.2015 § 163 opintovapaan 1.6.2016 – 31.12.2017 nuorisotyönohjaaja Heli Huotilaiselle.
Hakuaika päättyi 4.3.2016. Hakemuksessa kelpoisuusehtona oli piispainkokouksen 13.9.2005 antaman päätöksen (Kirkon säädöskokoelma nro 102) 2 §:n mukainen ammattikorkeakoulututkinto tai 4 §:n tarkoittama piispainkokouksen aikaisempien päätösten mukainen tutkinto. Nuorisotyön työalajohtaja Ismo Häyhä ja nuorisotyön pastori Timo Kälviäinen tutkivat määräaikaan mennessä tulleet hakemukset. Kaksi hakijaa täytti kelpoisuusehdon, mutta heistä kumpikaan ei tullut haastatteluun. Hakijoiden vähäisen määrän vuoksi päätettiin kelpoisuusehtoa väljentää.
Toinen hakuaika päättyi 21.4.2016. Hakemuksessa kelpoisuusehtona oli piispainkokouksen 13.9.2005 antaman päätöksen (Kirkon säädöskokoelma nro 102) 2 §:n mukainen ammattikorkeakoulututkinto tai 4 §:n tarkoittama piispainkokouksen aikaisempien päätösten mukainen tutkinto tai muu soveltuva tutkinto. Määräaikaan mennessä tuli 13 hakemusta. Liitteenä on yhteenveto hakijoista. Nuorisotyön työalajohtaja Ismo Häyhä ja nuorisotyön pastori Timo Kälviäinen valitsivat hakemusten perusteella haastatteluun Eetu Airevuon, Tomi Hämäläisen ja Tuomo Javanaisen.
Haastattelu pidettiin 27.4.2016. Haastattelijoina toimivat kirkkoherra Arto Marttinen, nuorisotyön työalajohtaja Ismo Häyhä, kappalainen, nuorisotyön pastori Timo Kälviäinen, kirkkoneuvoston edustaja Allan Mylläri ja sihteerinä Sirpa Kauppinen.
Haastatteluryhmä päätti yksimielisesti esittää kirkkoneuvostolle, että se valitsee nuorisotyön viransijaiseksi sosionomi AMK opiskelija Tomi Hämäläisen. Liitteenä on haastatteluryhmän muistio.
Hakuprosessissa on otettu lapsivaikutus huomioon.
Kirkkoneuvosto suorittaa virkavaalin valitakseen nuorisotyönohjaajan viransijaisen ajalle 1.6.2016 – 31.12.2017.
Marko Tiihonen ilmoitti olevansa esteellinen osallistumaan asian käsittelyyn ja poistui kokouksen asian käsittelyn ajaksi (HallL 28.1 § 1 kohta).
Kirkkoneuvosto valitsi yksimielisesti Tomi Hämäläisen nuorisotyönohjaajan viransijaisuuteen ajaksi 1.6.2016 – 31.12.2017.
75 Palkantarkistukset
Ei julkinen. Laki viranomaisten toiminnan julkisuudesta (621/1999) 24 §
Valmistelija ja esittelijä: palkka-asiamies Sirpa Paakki p. 040 505 7460
76 Selvitys taloudellisesta avustamisesta 2016
Valmistelija: diakonian työalajohtaja Riitta Sjöblom
Esittelijä: kirkkoherra Arto Marttinen, p. 040 522 0741
Diakoniatyön taloudellisen avustamisen periaatteiden mukaisesti avustuspäätösten lukumäärä ja niihin käytetyt rahavarat annetaan tiedoksi kirkkoneuvostolle neljännesvuosittain.
Diakoniatyön annetut avustukset ajalta 1.1. - 30.4.2016
Kielteisiä päätöksiä 3 kpl ja kesken olevia päätöksiä 3 kpl, jotka eivät näyt edellä olevissa luvuissa.
Ehdotus: Kirkkoneuvosto merkitsee tiedoksi.
Päätös: Merkittiin tiedoksi.
77
Vuoden 2016 talousarvioavustusten jakaminen
Valmistelija: lähetyssihteeri Ari Niemetmaa
Esittelijä: kirkkoherra Arto Marttinen, p. 040 522 0741
Piispainkokouksen suositusten mukainen seurakuntien avustus Kirkon lähetysjärjestöille ja Kirkon Ulkomaanavulle on noin 2-3 prosenttia kirkollisverotuloista (Kirkon lähetystyön toimikunta 4.3.2008). Kirkon lähetystyön keskus (KLK) suosittaa, että talousarvioavustuksien jakamisessa huomioidaan seuraavat seikat:
Ehdotus:
PÖYTÄKIRJA
11.5.2016
- lähetysjärjestön seurakunnalta ja suoraan seurakuntalaisilta vastaanottama lähetystyön vapaaehtoinen kannatus
- seurakunnan nimikkoyhteistyösopimukset
- lähetysjärjestöjen ulkomainen toiminta ja sen osuus järjestön lähetystyössä
- seurakunnan ja lähetysjärjestöjen yhteistyön laajuus ja laatu
- seurakunnan mahdollisuus osallistua järjestön lähetystoiminnan suunnitteluun ja kehittämiseen.
Kirkon lähetysjärjestöjä tulee kohdella keskenään tasavertaisesti siten, että ne järjestöt, joilla on yhteistyö- tai nimikkosopimus Imatran seurakunnan kanssa, saavat avustusmäärärahasta vähintään voimassa olevien sopimuksien mukaiset tavoitesummat. Ylijäävä osuus jaetaan edellisen vuoden toteutuneen järjestökohtaisen vapaaehtoisen kannatuksen suhteessa.
Avustusten ehtona on, että avustusta saavan tulee toimittaa seurakuntaan edellisen vuoden toimintakertomus ja tilinpäätös tai muu luotettava selvitys avustuksen käytöstä. Taloustoimisto ei ole maksanut muuten jo myönnettyä avustusta, ellei selvitystä ole saatu.
Kirkkoneuvosto jakaa vuoden 2016 avustukset seuraavasti: (suluissa vuonna 2015 myönnetyt avustukset)
Päätös:
Kirkkoneuvosto hyväksyi ehdotuksen yksimielisesti.
78
Ystävyysseurakuntatyö Virossa
Valmistelija: lähetyssihteeri Ari Niemetmaa
Esittelijä: kirkkoherra Arto Marttinen, p. 040 522 0741
Imatran seurakunnalla on Virossa kolme ystävyysseurakuntaa: Avinurme, Alatskivi ja Kodavere. Ystävyysseurakunnat on valittu siten, että Imatralla aikaisemmin toimineilla kirkkoalueilla oli jokaisella oma ystävyysseurakunta Virossa. Avustuksia ystävyysseurakunnille on maksettu vähän kolehtivaroista ja lähetystyön kirpputorituotoista. Ystävyysseurakuntatyön selkeyttämiseksi ja avustustoiminnan konkretisoimiseksi on syytä keskittää avustustoiminta yhdelle seurakunnalle.
Ehdotus:
Imatran seurakunta jatkaa ystävyysseurakuntatoimintaa Virossa Avinurmen seurakunnan kanssa ja ystävyysseurakuntatoiminta Alatskiven ja Kodaveren kanssa lopetetaan.
Päätös: Lisäselvitysten saamiseksi asia päätettiin palauttaa valmistelijalle.
79 Anomus Avinurmen seurakunnan diakoniatyöntekijän palkkaamiseksi
Valmistelija ja esittelijä: kirkkoherra Arto Marttinen p. 040 522 0741
Koillis-Virossa sijaitsevan Imatran seurakunnan ystävyysseurakunta Avinurmi anoo Imatran seurakunnan kirkkoneuvostolta 2000 euroa diakonin palkkaamista varten. Seurakunnassa toimii tällä hetkellä palkattuna kirkkoherra (palkasta 700 euroa tulee seurakunnalta ja 100 euroa koululta opettajantehtävistä). Hänen vaimonsa avustaa kanttorina ja emäntänä (palkka 400 euroa). Seurakunnalla on lisäksi eläkeläinen kirjanpitäjänä (korvaus 100 euroa) sekä neljä vapaaehtoista kirpputorimyyjinä. Seurakunnan haasteena on, että jäsenmäärä vähenee, jäsenten keski-ikä kohoaa eikä nuoriso tunne vetoa seurakunnan toimintaan.
Diakonin tehtäviin kuuluvat jumalanpalvelukset, pyhäkoulun ja rippikoulun pito, diakoniapiirit, vähävaraisten auttaminen, sielunhoito, seurakunnan kirpputorin hoitaminen sekä erikseen määrättävät kiinteistö- ja hautatoimeen liittyvät tehtävät. Seurakunnan tulot muodostuvat yksittäisistä lahjoituksista, kirpputorimyynnistä sekä kolmen suomalaisen ystävyysseurakunnan vuositasolla myöntämistä avustuksista. Erityisesti Paimion ja Joutsenon seurakunnat ovat olleet aktiivisia Avinurmen avustamisessa.
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11.5.2016
PÖYTÄKIRJA
11.5.2016
Avinurmen kirkkoherra Rene Alberi tarvitsee apua. Hän on etsinyt itselle työntekijää, mutta hänellä ei ole ollut varaa palkata työntekijää. Vaikeasta tilanteestaan huolimatta hän ei kääntynyt ystävyysseurakuntien puoleen, vaan avustustoiminnan uudelleen muotoilu ja käynnistäminen lähti liikkeelle Paimion seurakunnasta. Paimion seurakunnan kirkkoherra Vesa Tuominen näki ystävyysseurakuntavierailun yhteydessä ulkopuolisen silmin Avinurmen seurakunnan tilanteen ja laati sen pohjalta suunnitelman, miten saataisiin rahat diakoniatyöntekijän palkkaamiseksi. Tästä syystä Paimion seurakunnan osuus on muita ystävyysseurakuntia suurempi. Liitteenä on anomus.
Vuosi 2017 on reformaation juhlavuosi. Imatran seurakunnan strategiaan vuodelle 2017 soveltuu hyvin se, että seurakunta myöntää Avinurmen seurakunnalle 2000 euroa, koska Suomen evankelisluterilaisella kirkolla on perinteisesti ollut reformaation alkuvaiheista lähtien läheinen yhteys Baltian luterilaisiin kirkkoihin.
Ehdotus:
Imatran seurakunnan kirkkoneuvosto myöntää Avinurmen seurakunnalle 2000 euroa vuodelle 2017 diakoniatyöntekijän palkkaamiseksi.
Päätös: Lisäselvitysten saamiseksi asia päätettiin palauttaa valmistelijalle.
80
Aloite laajennetun johtoryhmän perustamisesta
Valmistelija ja esittelijä: kirkkoherra Arto Marttinen p. 040 522 0741
Kirkkovaltuuston puheenjohtaja Ilkka Ollonen ja kirkkovaltuuston varapuheenjohtaja Rauni Mynttinen ovat jättäneet 17.2.2016 Imatran seurakunnan kirkkoneuvostolle seuraavan aloitteen:
"Seurakunnan luottamushenkilön roolina olla sillanrakentaja, viestin viejä ja tuoja, oman elinympäristönsä, työpaikkansa tai harrastuspiiriensä ja seurakunnan välillä. Seurakuntalaiset ovat valtuuttaneet luottamushenkilön päättämään yhteisistä asioista koko seurakunnan parhaaksi. Luottamushenkilöiden ensisijainen rooli on kuitenkin suurten linjojen vetäminen ja resurssien varmistaminen.
Itse toiminnan johto kuuluu seurakunnan työntekijöille, ellei poikkeustapauksissa joskus toisin sovita. Parhaimmillaan luottamushenkilöt ovat yhdessä seurakunnan työntekijöiden kanssa suunnittelemassa ja rakentamassa seurakunnan parempaa huomista. Tällöin korostuu molempien osapuolten pyrkimys hyvään yhteistyöhön ja avoimuuteen. Seurakunnan työntekijät ja luottamushenkilöt ovat samalla puolella, katsoen asioita ehkä eri näkökulmista mutta samaan päämäärään pyrkien.
Useassa eri yhteydessä olemme korostaneet myös Imatran seurakunnan luottamushenkilöiden ja työntekijöiden välillä tarvittavaa säännöllistä vuoropuhelua. Se voi toteutua vapaamuotoisemmissakin keskusteluissa, eri seurakunnan toimintojen yhteydessä tai muualla, mutta joskus tarvitaan myös tilaisuuksia, jossa sovitusti ja säännöllisesti kokoonnutaan yhteen joko jonkun asian tiimoilta tai yleisemmin "tuulettamaan ja visioimaan" seurakunnan tulevaisuuden näkymiä. Tilaisuuksien ei tarvitse olla virallisia kokouksia, vaan vaikkapa päätöksentekoon tulevien, valmistelussa olevien asioiden ennalta pohdintaa tai joskus esimerkiksi vain purkukanavana; aina on asioita jotka voi myös Imatran seurakunnan arjessa tehdä paremmin tai toisin kuin aina on tehty. Voi olla helpompi tuoda ikäviäkin asioita keskusteluun, kun joku ulkopuolinen taho on mukana keskustelussa.
Tästä syystä ehdotamme, että Imatran seurakunnan kirkkoneuvosto perustaa laajennetun johtoryhmän tai muun vastaavan toimielimen. Johtoryhmä ei ole päätöksiä tekevä ryhmä, mutta se tekee valmistelua, suunnittelua ja asioiden vireille laittamista. Ehdotuksemme on, että johtoryhmän kokoonpano koostuu seurakunnan johtavista luottamushenkilöistä (kirkkovaltuuston puheenjohtaja ja varapuheenjohtaja sekä kirkkoneuvoston varapuheenjohtaja) ja johtavista viranhaltijoista (kirkkoherra, talousjohtaja, työalajohtajat).
Ryhmän tulisi kokoontua säännöllisesti ja tarkemmin toimintatavastaan ja roolistaan se voi sopia keskenään".
KL 23:1 §:n 2 mom. säätää luottamushenkilön velvollisuuksista: "Luottamushenkilön tulee edistää kirkon parasta sekä toimia luottamustoimessaan arvokkaasti ja tehtävän edellyttämällä tavalla". Aloite liittyy tähän, kun siinä muistutetaan seurakuntalaisten valtuuttaneen "luottamushenkilön päättämään yhteisistä asioista koko seurakunnan parhaaksi". Luottamushenkilöllä on oikeus ja velvollisuus osallistua päätöksentekoon. Suuri osa päätettävistä asioista on tarkoituksenmukaisuuskysymyksiä, joita on tarkasteltava aina päätöksentekohetkellä olleen tiedon valossa. Päätöksentekijänä luottamushenkilöllä on KL 25:8 §:n 2 mom. mukaan oikeus saada kirkolliselta viranomaiselta tietoja ja nähtäväkseen asiakirjoja, joita hän toimessaan pitää tarpeellisena, jollei salassapitoa koskevista säännöksistä muuta johdu. Johtavalla luottamushenkilöllä on laajennettu tiedonsaantioikeus. Tällainen tiedonsaantioikeus antaa hänelle oikeuden osallistua niihin kokouksiin, joita hän toimessaan pitää tarpeellisena, ja joissa ei käsitellä hänen tehtävänhoitoonsa kuulumattomia ja salassa pidettäviä tietoja. Tämän lisäksi johtavalla luottamushenkilöllä on oikeus aina, kun hän katsoo tarpeelliseksi, pyytää johtavia viranhaltijoita järjestämään kokous, joka sisältää esimerkiksi päätöksentekoon tulevien ja valmistelussa olevien asioiden pohdintaa. Toiminnan johto kuuluu seurakunnan esimiestehtävissä oleville viranhaltijoille, joiden virkavastuu ei ole siirrettävissä luottamushenkilöille.
Seurakunnan työntekijöistä koostuvaan johtoryhmään kuuluvat johtavien viranhaltijoiden (kirkkoherra ja talousjohtaja) lisäksi kaikki esimiestehtävissä toimivat sekä hallintosihteeri ja tiedottaja. Esimiesten tasavertainen kohtelu edellyttää, että heillä kaikilla on oikeus osallistua johtoryhmätyöskentelyyn.
Ehdotus:
Uutta johtoryhmää tai siihen verrattavaa toimielintä ei perusteta, vaan johtavat luottamushenkilöt osallistuvat heidän ja työntekijöiden väliseen vuoropuheluun laajennetun tiedonsaantioikeuden suomin valtuuksin.
Päätös:
Pitkän pohdiskelevan keskustelun jälkeen kirkkoneuvosto päätti yksimielisesti perustaa hallinnon tukiryhmän kahden vuoden määräajaksi. Hallinnon tukiryhmään kuuluvat kirkkovaltuuston puheenjohtaja ja varapuheenjohtaja, kirkkoneuvoston varapuheenjohtaja, valtuustoryhmien puheenjohtajat sekä johtavat viranhaltijat ja työalajohtajat. Koollekutsujana toimii kirkkoherra. Tukiryhmä kokoontuu neljä kertaa vuodessa.
81 Talousarvioraamit vuodelle 2017
Valmistelija ja esittelijä: talousjohtaja Sirpa Paakki p. 040 505 7460
Kirkkojärjestyksen 15 luvun 1 §:n mukaisesti seurakunnan toiminnassa ja talouden hoidossa on noudatettava talousarviota ja hyvän talouden hoidon periaatteita. Omaisuutta on hoidettava tuottavasti ja riskit halliten.
Talousarviossa sekä siihen liittyvässä toiminta- ja taloussuunnitelmassa hyväksytään toiminnalliset ja taloudelliset tavoitteet kolmeksi vuodeksi. Talousarviovuosi on kalenterivuosi, joka on toiminta- ja taloussuunnitelman ensimmäinen vuosi. Talousarvio sekä toiminta- ja taloussuunnitelma on laadittava siten, että edellytykset seurakunnan tehtävien hoitamiseen turvataan.
Tulojen ja menojen on oltava tasapainossa kolmen vuoden suunnittelukauden tai perustellusta syystä tätä pidemmän, kuitenkin enintään viiden vuoden ajanjakson aikana. Talousarvion hyväksymisen yhteydessä on päätettävä toimenpiteistä, joilla taseen osoittama alijäämä katetaan ottaen huomioon myös talousarvion laatimisvuonna kertyväksi arvioitu yli- tai alijäämä.
Talousarvioon otetaan tehtävien hoitamisesta ja toiminnallisten tavoitteiden edellyttämät määrärahat ja tuloarviot. Talousarviossa on osoitettava, miten rahoitustarve katetaan. Määrärahat ja tuloarviot otetaan talousarvioon bruttomääräisinä. Talousarviossa on käyttötalous- ja tuloslaskelmaosa sekä investointi- ja rahoitusosa.
PÖYTÄKIRJA
11.5.2016
Tilikauden tulos vuodelta 2015 oli alijäämäinen 590.557,22 €, mikä johtui ensisijaisesti tilikaudella toteutetusta siunauskappelin korjauksesta. Viimeisten vuosien aikana seurakunnan talous on hieman kohentunut, pitkäaikaista lainaa ei ole, mutta kuitenkin edelleen monet talouden tasapainoa kuvaavat tunnusluvut ovat keskimääräistä heikommat. Tästä syystä seurakunnan taloutta tulee hoitaa säästäväisesti, uusiin määrärahoihin ei ole mahdollisuuksia, jollei samanaikaisesti löydetä uusia toimintatuloja. Ainoastaan omaisuuden myyntituloilla tai seurakunnalle myönnetyillä avustuksilla on mahdollista varautua tuleviin korjaus- tai investointitarpeisiin.
Henkilöstömenot
Henkilöstömenoja on kertynyt noin 3,6 miljoonaa euroa vuosina 2012 – 2015. Muutokset eri vuosina on ollut vain noin +/- 20.000 euroa. Henkilöstömenojen odotetaan noudattavan aikaisempien vuosien tasoa.
Kiinteistöstrategian vaikutukset
Seurakunnan kiinteistöstrategialla on tätä asiaa valmisteltaessa kirkkoneuvoston hyväksyntä ja sen mukaisesti seurakunta ryhtyy toimenpiteisiin seurakuntakeskuksen ja Postillan tilojen suhteen vielä tämän vuoden aikana ja tiloissa tapahtuvan tarpeellisen toiminnan turvaamiseksi hankitaan noin 400 – 500 m 2 vuokratilat.
Kiinteistöstrategian mukaan Tainionkosken ja Imatrankosken kirkoista laaditaan ulkopuolisen asiantuntijan toimesta saneeraussuunnitelmat.
Edelleen kiinteistöstrategian mukaisesti seurakunta luopuu kaikista metsäkiinteistöistä. Myynnistä saadaan seurakunnalle varoja tarpeellisten kiinteistöjen korjauksiin.
Kärkihanke 2017: Armoa yhdessä
Vuoden 2017 kärkihanke "Armoa yhdessä" toteutetaan tiedotushankkeena sekä tiivistämällä työmuotojen yhteistyötä. Tiedotushankkeen ja 360-hankkeen toteuttamiseen varataan yhteensä 50.000 euroa.
Lähetysjärjestöille myönnettävät talousarvioavustukset Kirkon lähetysjärjestöjen ja Kirkon Ulkomaanavun avustukset ovat piispainkokouksen suositusten mukaisesti noin 2-3 prosenttia kirkollisverotuloista (Kirkon lähetystyön toimikunta 4.3.2008). Kirkon lähetystyön keskus (KLK) suosittaa, että talousarvioavustuksien jakamisessa huomioidaan seuraavat seikat:
Ehdotus:
11.5.2016
- lähetysjärjestön seurakunnalta ja suoraan seurakuntalaisilta vastaanottama lähetystyön vapaaehtoinen kannatus
- seurakunnan nimikkoyhteistyösopimukset
- lähetysjärjestöjen ulkomainen toiminta ja sen osuus järjestön lähetystyössä
- seurakunnan ja lähetysjärjestöjen yhteistyön laajuus ja laatu
- seurakunnan mahdollisuus osallistua järjestön lähetystoiminnan suunnitteluun ja kehittämiseen.
Lähetysjärjestöille myönnettyjen talousarvioavustusten määrä on ollut viime vuosina noin 55.000 €. Lisäksi lähetysjärjestöille on tilitetty vapaaehtoiskannatuksena noin 70 – 80.000 euroa. Oman seurakuntamme talousarvioavustuksen määrä kirkollisverotulosta oli 1,1 % vuonna 2015. Suosituksen mukaisen avustuksen myöntämiseen tulisi varata lisää määrärahaa noin 50.000 euroa.
Kirkollisvero
Kirkollisveroa kertyi vuonna 2015 yhteensä 5.146.510 euroa ja yhteisöveroa 510.552 euroa. Yhteisövero on korvattu kirkkohallituksen jakamalla valtionosuudella ja sen tuloarvio vuodelle 2016 on 548.268 euroa.
Kirkollisveron kehitykseen ei ole odotettavissa vuonna 2017 muutosta ja myös valtionosuuden odotetaan pysyvän samansuuruisena. Näin ollen myöskään tuloveroprosenttiin ei kohdistu suuria paineita.
Esityslistan liitteenä on luonnos vuoden 2017 talousarviosta ja siinä on otettu huomioon edellä esitetyt määrärahatarpeet.
Kirkkoneuvosto päättää, että vuoden 2017 talousarviossa
- henkilöstömenojen kokonaiskustannukset eivät nouse vuoden 2015 tasosta,
- kirkollisveroa arvioidaan kertyvän sama määrä kuin vuonna 2015.
- vuoden 2017 kärkihankkeen toteuttamiseen varataan 50.000 euroa,
- lähetysjärjestöille myönnettäviä talousarvioavustuksia korotetaan yhteensä 50.000 eurolla,
- kiinteistöjen saneeraussuunnitelmat ja uusien toimitilojen tilavuokrat katetaan kiinteistöjen luopumisesta aiheutuvilla säästöillä sekä omaisuuden myynnistä saatavilla tuloilla.
Päätös:
Kirkkoneuvosto hyväksyi ehdotuksen yksimielisesti.
82 Arviomiehen lausunto Ruokolahdella sijaitsevan määräalan kauppahinnasta
Valmistelija ja esittelijä: talousjohtaja Sirpa Paakki p. 040 505 7460
Arviomiehen lausunto on pyydetty Kaakkois-Suomen Metsätilat Oy:ltä. Lausunto esitellään kokouksessa.
Ehdotus: Kirkkoneuvosto päättää antaa lausunnon tiedoksi kirkkovaltuustolle.
Päätös: Ehdotus hyväksyttiin yksimielisesti.
83 Kirkkohallituksen myöntämä avustus Kolmen Ristin kirkon korjaukseen
Valmistelija ja esittelijä: talousjohtaja Sirpa Paakki p. 040 505 7460
Kirkkohallitus on myöntänyt täysistunnossa 19.4.2016 Kolmen Ristin kirkon korjaukseen 238.000 euroa. Yliarkkitehti Antti Pihkalan ilmoituksen mukaisesti avustuspäätöksessä mainitaan korjaustöistä ilmanvaihtojärjestelmän muutos ja korjaus, vesikaton korjaus, sisäänkäyntien korjaukset, pihan ja ulkovalaistuksen korjaukset.
Kolmen Ristin kirkon korjaustöiden suunnitteluryhmä kokoontui 29.4.2016 ja korjaustyöt päätettiin kohdentaa seuraavasti: porrastasanteiden runkorakenteiden korjaus ja vesieristys, kellotornin ympärille tulevan vesieristysseinämän rakentaminen, kellariin vievän portaikon kattaminen, itäseinämän loiskekivien ja vesikourujen asentaminen, piha-alueen osan korjaaminen sekä lisävaurioiden estämiseksi tehtävät korjaustyöt.
Korjausrakentamisen asiakirjat pyritään saamaan valmiiksi kesäkuun alkuun mennessä. Kirkkoneuvosto kokoontuu valitsemaan urakoitsijaa kesäkuun 29. päivänä.
Ehdotus: Merkitään tiedoksi.
Päätös: Merkittiin tiedoksi.
___________________________________________________________________________________
17 (21)
84 Talousarvion toteutuminen 1.1. – 30.4.2016
Valmistelija ja esittelijä: talousjohtaja Sirpa Paakki p. 040 505 7460
Esityslistan liitteenä talousarvion toteutuminen pääluokittain, tuloslaskelma, tase ja rahoituslaskelma 1.1. – 30.4.2016.
Ehdotus: Kirkkoneuvosto päättää antaa talousarvioraportit kirkkovaltuustolle tiedoksi.
Päätös: Ehdotus hyväksyttiin yksimielisesti.
85 Verotulokertymät 1.1. – 30.4.2016
Valmistelija ja esittelijä: talousjohtaja Sirpa Paakki p. 040 505 7460
Seurakunnalle on tilitetty verotuloja vuonna 2016 seuraavasti:
Ehdotus: Kirkkoneuvosto merkitsee tiedoksi verotulokertymät.
Päätös: Merkittiin tiedoksi.
86 Yhteistyötoimikunnan muistiot
Valmistelija ja esittelijä: talousjohtaja Sirpa Paakki p. 040 505 7460
Liitteenä ovat yhteistyötoimikunnan muistiot 9.2.2016 ja 13.4.2016.
Ehdotus: Merkitään tiedoksi.
Päätös: Merkittiin tiedoksi.
87 Kirkkoherran päätösluettelo
Valmistelija ja esittelijä: kirkkoherra Arto Marttinen p. 040 522 0741
Kirkkoherra on tehnyt liitteenä olevan luettelon mukaiset päätökset 21.4. – 2.5.2016 nro 45 - 51.
Ehdotus: Tehdyt päätökset merkitään tiedoksi.
Päätös: Merkittiin tiedoksi.
88
Talousjohtajan päätösluettelo
Valmistelija ja esittelijä: talousjohtaja Sirpa Paakki p. 040 505 7460
Talousjohtaja on tehnyt liitteenä olevan luettelon mukaiset päätökset 23.4. – 27.4.2016 nro 69 – 73.
Ehdotus: Tehdyt päätökset merkitään tiedoksi.
Päätös: Merkittiin tiedoksi.
___________________________________________________________________________________
19 (21)
89
Y-säätiön asunnon irtisanominen
Valmistelija ja esittelijä:
90
Saapuneet kirjeet ja asiakirjat
Valmistelija ja esittelijä:
talousjohtaja Sirpa Paakki p. 040 505 7460
Kirkkohallituksen yleiskirjeet:
(http://sakasti.evl.fi>etusivu>yleiskirjeet)
---
Kirkon työmarkkinalaitoksen kirjeet:
(http://sakasti.evl.fi/>etusivu> palvelussuhde>KiT yleiskirjeet)
Yleiskirje A2/2016
1. Palkanmaksupäiviä koskeviin KirVESTES:n määräyksiin muutoksia 1.1.2017 alkaen
2. Kirkon työmarkkinalaitoksen toimisto suljettuna 18.–31.7.2016
Ehdotus:
Merkitään tiedoksi.
Päätös: Merkittiin tiedoksi.
91
Muut esille tulevat asiat
Muita esille tulevia asioita ei ollut.
92
Seuraava kokous
Seuraava kirkkoneuvoston kokous on 29.6.2016 klo 17.00.
___________________________________________________________________________________
5/2016
20 (21)
11.5.2016
talousjohtaja Sirpa Paakki p. 040 505 7460
IMATRAN SEURAKUNTA Kirkkoneuvosto
5/2016
21 (21)
11.5.2016
___________________________________________________________________________________
92 Valitusosoitus ja kokouksen päättäminen
Puheenjohtaja totesi, että pöytäkirjaan liitetään kirkkolain 24 luvun mukainen valitusosoitus ja päätti kokouksen klo 19.15.
Arto Marttinen puheenjohtaja
Sirpa Paakki pöytäkirjanpitäjä
Pöytäkirja tarkastettu 12.5.2016 ja hyväksytään
Sirpa Koistinen
Esa Hirvonen
Pöytäkirja on asetettu nähtäville 13.5.2016 ja se pidetään KL 25 luvun 3 § mukaisesti nähtävänä 14.5. – 27.5.2016 kirkkoherranvirastossa sen aukioloaikoina.
Sirpa Kauppinen hallintosihteeri
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Mr Singh's weekly message
Dear Parents and Carers,
A very warm welcome to everyone – but particularly to new parents and carers whose children have joined us for the first time! I hope your child enjoys their time at our school. I am sure they will settle in quickly and be well looked after. This is our first newsletter of the academic year. Our newsletter is a really important way of staying in touch and will be sent home each half term in order to keep you up to date with all the different things happening in school. You will also find lots of information, including diary dates for each week, on our school website. We will also keep you up to date with news and events via texts and email.
It has been a pleasure to welcome the children back to school. Our children have returned to school with positive attitudes and have been keen to settle into their new classes. We are all looking forward to the term ahead with many exciting things being planned for each year group. Please see below for our important messages:
AFTER SCHOOL CLUBS
After school clubs have resumed, clubs will end at 16:15. Children have already been allocated their clubs and parents would have received their letters this week. We do have a waiting list and we will ensure that these children are prioritised as soon as a place becomes available.
UNIFORM
Please can I remind all that the school uniform is as follows:
* Royal blue V-neck jumper, cardigan or sweatshirt (with or without logo)
* Grey or black trousers/skirt
* White polo shirt, shirt or blouse (tie for Year 6)
* All black shoes and trainers
* No lines, shapes or extreme haircuts
Full guidance can be found on our website:
Uniform - The Vale Primary Academy (thevpacademy.org.uk)
PE (INCLUDING KIT UPDATE) AND FOREST SCHOOLS
PE days for the Autumn term are as follows:
Y1 – Wednesday
Y2 – Monday
Y3 – Tuesday
Y4 – Tuesday
Y5 – Thursday
Y6 – Thursday
Alongside this – your child will take part in a daily fit in 15 session – please send your child to school each day with a pair of trainers to change into.
Please ensure that your child dresses appropriately (depending on weather) for PE and is in full school PE uniform. PE t-shirts, linked to your child's house team will be issued this half term. Please note – I am aware of the issue with SPT Uniforms not displaying the coloured kits – We are working with them to resolve the matter. For now – your child is able to wear a plain white t shirt. SPT Uniforms | Affordable Quality School Uniforms
FOREST SCHOOLS
Forest Schools (children can wear their PE uniform. Warmer clothes, including a coat to be worn during Autumn (weather depending) and Winter.
This term, Year 1 and Year 2 will be taking part in Forest Schools.
Y1 – Tuesday
Y2 – Thursday
PACKED LUNCHES AND SNACKS
We encourage healthy snacks in school – only fruit, vegetables or cheese style snacks for break please. Lunchboxes can contain a treat as part of a healthy balanced meal, but no sweets or fizzy drinks are allowed. Due to a number of children with life threatening allergies, nuts (or items with nuts in - including Nutella) must not be brought into school. Children are encouraged to bring a water bottle to school. We do not allow fruit in the water as the acid rots teeth.
ATTENDANCE
At the start of each new school year, we take the opportunity to remind parents/carers of the importance of all children benefiting from regular school attendance. We would like to work closely with you to ensure that every child is successful, through continuity of learning, and is able to achieve their full potential at our school.
This year, a key part of our attendance strategy will be to effectively monitor and address patterns of school attendance through our 'Traffic Light' Attendance approach. Parents/ carers will be in receipt of a coloured letter informing them of their child's 'Attendance Zone' at the end of each school half-term. The table below explains the different attendance categories:
Furthermore, the table below explains the different attendance categories and what it converts to in days/weeks:
Should you wish to discuss your child's attendance with us, please do not hesitate to contact your child's class teacher.
HOUSE GAMES
We are pleased to announce and welcome parents to the first round of House Games for this academic year. On the week commencing 2 nd October – children will represent their houses in the football tournament.
The dates and times for this are:
* YEARS 1 & 2: 2 nd October – 15:30-16:30
* YEARS 3 & 4: 3 rd October – 15:30-16:30
* YEARS 5 & 6: 4 th October – 15:30-16:30
CLASS NEWSLETTERS
Class newsletters are now available on the website, these provide a more comprehensive overview of your child's learning and key evens coming up. These can be found here:
Classes - The Vale Primary Academy (thevpacademy.org.uk)
Best wishes
Mr J Singh
Key dates for your diary
SCHOOL EVENTS AUTUMN TERM:
21.09.23: National Fitness Day (21st)
25.09.23: Harvest collection
01.10.23: Black History Month
10.10.23: World Mental Health Day (10th)
16.10.23: Recycling Week
18.10.23: African dance and Virtual Reality Tour
27.10.23: Halloween Disco
Please note a P.T.A event will take place in October with dates and information to follow.
07.11.23 – DIYA lamp workshops
11.11.23: Remembrance Day
27.11.23 & 28.11.23: Christmas Glass Art Workshops
01.12.23: In school Pantomime (A Christmas Carol)
12.12.23: Y3-6 Theatre Visit
PARENTAL ENGAGEMENT AUTUMN TERM:
19.09.23: Meet the teacher Coffee morning.
20.09.23: Y6 SATs Meeting
21.09.23: Year 1 Phonics Meeting
02.10.23: Y1/2 House Games
03.10.23: Y3/4 House Games
04.10.23: Y5/6 House Games
19.10.23: Y1 Phonics workshops
13.11.23: Y1/2/3 Anti Bullying workshops
14.11.23: Y4/5/6 Anti Bullying workshops
23.11.23: Parents evening
28.11.23: Family assemblies (please see your child's class newsletter for more information)
04.12.23: Y1/2/3 House Games
05.12.23: Y4/5/6 House Games
15.12.23: EYFS Nativity
18.12.23: Reception & Y1 Family Christmas dinner
19.12.23: Y2 & Y3 Family Christmas dinner
20.12.23: Y4, Y5 & Y6 Family Christmas dinner
21.12.23: Christmas Concert
Twitter Please follow us on our twitter feed:
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Resource
Sleep
Getting a good night's sleep can be tough, especially when you are suffering from the symptoms of RA. We hope that this article will help to give you some tips for getting a good night's sleep.
Print
Getting a good night's sleep can be tough, especially when you are suffering from the aches, pains and inflammation associated with rheumatoid arthritis. We hope that this article will help to give you some tips for getting a good night's sleep.
Creating a good sleep environment
A good wind-down routine before bedtime, as well as going to bed at the same sort of time each
night can help your body to get into a better sleep cycle.
Try to make your bedroom a restful environment, avoiding leisure pursuits such as television and computer games while in bed or shortly before going to bed.
Make sure that your bedroom is generally comfortable, for example, that the temperature is right and the room is dark enough. Some people find that heavier curtains, with a 'blackout' quality, can help with this, especially in the summer when it stays lighter for longer.
Make sure that the bed, pillows and duvet are comfortable for you. If you find that use of a memory foam mattress helps you to sleep at home, you can also get a memory foam mattress 'topper' which you could take with you if staying at someone else's house or on holiday. They can also be a cheaper alternative to buying a memory foam mattress. Memory foam pillows are also available, and some people find this very comfortable.
If noise and/or light distract you from getting a good night's sleep, you can try earplugs, eye masks or other methods to try to block anything that creates unnecessary light or sound.
Preparing yourself for a good night's sleep
A warm bath before bedtime to relax the joints and muscles can help you to get a good night's sleep, but if a bath is not possible, a warm shower or soaking joints (such as hands and feet) in warm water can help.
If thoughts or anxieties keep you awake at night, some people find it helpful to keep a notepad and pen by their bed to write down anything that is concerning them, so that it can be tackled the next day.
Caffeine should be avoided close to bedtime, as it can stay in the body for a long period and make it difficult to sleep. If you want a hot drink before bed, milky drinks and herbal teas are therefore preferable to caffeinated drinks. Alcohol can also cause sleep disruption, so should also be avoided or taken in moderation. Eating food shortly before going to bed can also disrupt sleep.
Depression is a recognised symptom of rheumatoid arthritis and can also be a cause of sleep problems. If you are worried about depression, you should speak to your GP. However, if your GP prescribes antidepressants, this does not necessarily mean that you are being treated for depression, as low dose antidepressants can also be prescribed to treat sleep disturbance.
It is easier to get a good night's sleep if you have not over-exerted yourself during the day, so pacing yourself is important.
Some general lifestyle changes, such as taking regular exercise and establishing a regular sleeping pattern, can help in the long-term.
Coping with pain at night
A lot of people find pain more difficult to deal with at night. If pain sometimes prevents you from sleeping, taking painkillers before going to bed can help, especially if they work by slow release and their effects will last through the night.
Occupy your mind with sums, or visualisations of nice scenery; anything to keep your mind off any pain and anxiety you may be feeling. A wide range of books and CDs to teach you visualisation techniques and other forms of relaxation, such as meditation are available from book shops and online. Thinking about not being able to sleep can make it harder to get to
sleep, but any method of relaxation or distraction can help with this.
Other useful tips
If you wake up after 3 hours of sleep, then use the 20-minute rule. i.e. if you do not get back to sleep within 20 minutes, go and rest in a quiet, dark area until you feel sleepy and can go back to bed.
It does not matter if there is sometimes a break between periods of rest and sleep. Even if you cannot sleep, rest can also be beneficial, whether it's at night or during the day.
Try different methods to help you to sleep. As with so many things, what works for one person might not work for another, but keep trying until you find the routine that helps you.
Problems with sleep can greatly affect the quality of life, so if you are having consistent problems with sleep, bring this up with your healthcare team. GPs, rheumatologists, occupational therapists and physiotherapists could be able to help you depending on the cause of the sleep problems. For example, an occupational therapist might be able to supply you with splints to wear at night, or a physiotherapist could help you with an exercise plan, or other strategies. A GP could give information on controlling pain and depression, and your rheumatology team can help by getting your rheumatoid arthritis under better control.
Further reading:
NRAS Sleep Matters leaflet
The Sleep Council website
NRAS article: Managingthe Pain of RA
NRAS article on depression
NRAS article on the role of the occupational therapist
NRAS article on the role of the physiotherapist
References available on request
Sleep matters
Sleep disturbance is a problem many people are affected by and it can be particularly common for people with RA, who may find that painful joints prevent them from getting a good night's sleep. However, there are many simple changes that can be made to help you to sleep better at night. This is important, because being well rested has a big impact on how we feel both physically and mentally during the day.
Fatigue matters
Fatigue can have a severe impact on the quality of life of those affected and it can come on at anytime without warning. We have created a self-help guide to explain what fatigue is, the causes and what you can do to tackle this symptom.
Read more
Fatigue
Fatigue is one of the most common and can be one of the most debilitating symptoms of RA. It is a level of tiredness which cannot always be eased through getting a good night's sleep, and it can have a major impact on day-to-day living.
This article was downloaded from www.nras.org.uk. National Rheumatoid Arthritis Society (NRAS) is a registered charity in England and Wales (1134859) and Scotland (SC039721). A private company limited by guarantee. Registered in England and Wales (7127101). | <urn:uuid:4fdce883-4141-4551-88cf-4d39dd059e6d> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 6,587 |
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Plastikauto-förmiges Batteriespielzeug für Kinder ab 3 Jahren. Das Spielzeug verwendet 3 AG10 1,5V Batterien.
Art des Risikos Umwelt
Beschreibung des Risikos
Die Lötmittel in der Ware weisen eine übermäßige Bleikonzentration auf (gemessener Wert bis zu 68,9 Gew.-%). Blei stellt ein Risiko für die Umwelt dar.
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FOR IMMEDIATE RELEASE CONTACT: Mike Joyce
A Statement from TBLC President Justin Yancy regarding the creation of the Texas House Select Committee on Economic Competitiveness
AUSTIN – The Texas Business Leadership Council's President, Justin Yancy issued the following statement on the creation of the House Select Committee on Economic Competitiveness:
"The primary goal of the Texas Business Leadership Council is to build a more globally competitive Texas. We applaud the formation of the House Select Committee on Economic Competitiveness. Texas public policy must always align with our state's ideals of liberty, honesty, and integrity if we are to remain the vanguard state for economic competition. We welcome a fresh look at how our state's economic engine is influenced by public policy."
To schedule an interview with Mr. Yancy you can contact Mike Joyce at email@example.com or by calling 512-481-0525.
Justin Yancy is the President of the Texas Business Leadership Council.
The Texas Business Leadership Council is a network of Texas based CEOs and senior business executives who advance a long-term vision of a prosperous Texas in a globally competitive business environment.
Website:
www.txblc.org
Facebook: www.facebook.com/TXBLC
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The Marloes Glaucous Gull
At the bottom of the steps down to Marloes beach is a long-dead seal and this has recently been the favoured food supply of an unusual gull. It is very large - as big as a Greater Black-backed - but it is very pale in colour. It is basically whitish with pale brown checkers. It has a big pink bill with a black tip while the most significant feature is that the wingtips are snowy white. You have probably never thought about it but almost all our familiar gulls of the area, in all their different plumages, have dark wing tips.
This bird is a juvenile Glaucous Gull. There are usually one or two to be seen each year in Pembrokeshire often frequenting the marsh at Newgale or Fishguard harbour. The Marloes bird is unusual in that is rarely moves far from the favoured dead seal. Sometimes it flies to the
Mere for a wash in fresh water and a preen, and sometimes flies very aerobatically along the top of the cliffs in the strong winds when the almost luminous white wing-tips can be clearly seen.
Glaucous Gulls breed in the far north – all around the Arctic from Spiztbegen, northern Norway and northern Russia to the far north of Alaska, Canada and Greenland. The adult birds look like a very large, mean Herring Gull with pale wing-tips. They are the top avian predator in these areas and pairs sit confidently on prominent rocks just like the Greater Black-backs do on Skomer and Skokholm. In the winter they move south ahead of the ice but usually only the juveniles wander as far south as the UK.
Have a look at the Marloes website www.marloes.org.uk if you want to see some photos.
In the first paragraph I used the word "almost". The reason is that there is another uncommon gull with pale wing-tips – this is the Mediterranean Gull. This gull is very like a Black-Headed Gull but has a heavier bill, a different jizz, and pale wing-tips – again this is a key identification feature. A number of Mediterranean Gulls can usually be seen around Dale and Pickleridge during the winter but they can be surprisingly hard to pick out in their winter plumage. From colour-ringed birds we know that most of these Mediterranean Gulls breed in Eastern Europe and drift westwards to spend the winter here. There is also now a breeding population in the UK, especially in southern England, but as far as we can tell we don't see these birds in Wales.
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Philippe Rochat
The Oxford Handbook of Developmental Psychology, Vol. 2: Self and Other Edited by Philip David Zelazo
Print Publication Date: Mar 2013 Subject: Psychology, Developmental Psychology
Online Publication Date: Dec 2013 DOI: 10.1093/oxfordhb/9780199958474.013.0015
Abstract and Keywords
What constitutes self-concept? Current developmental literature suggests that there are different layers of meaning attached to self-concept and self-experience. Three distinct basic layers are discussed: the minimal self, the objectified self, and the personified self. These layers emerge and accumulate successively in child development. Each corre sponds to specific levels of representational complexities that accumulate "like onion lay ers" in an orderly fashion between birth and approximately 10 to12 years of age, the de velopmental span considered here. This development is part of a general meaning-making construction of what constitutes selfhood (what it is made of). It illuminates the represen tational content and what the notion of self is referring to in development, from birth and in the course of infancy, when children start to recognize themselves in mirrors by their second birthday, show embarrassment, refer to themselves by using personal pronouns and adjectives such as I, me, or mine!, but also start to express righteousness and preju dice toward others.
Keywords: self-concept, minimal self, self-consciousness, co-consciousness, moral sense, affiliation, ownership
Key Points
1. Infants at birth manifest an implicit sense of self.
2. There is an innate sense of the body as a situated, differentiated, substantial, and agentive entity among other entities in the world.
3. From an ecological sense of self at birth, children by 18 months of age develop an objectified sense of their own body that they now recognize.
4. As children start to recognize themselves in mirrors, they also manifest self-con scious emotions.
5. Mirror self-recognition combined with the expression of self-conscious emotions is an index of a new metacognitive stance children take toward themselves.
6. From the third year, children start to construe how other people see and evaluate them, integrating first- and third-person perspectives on the self.
7. Early on, children express a general tendency toward self-enhancement. They tend to overestimate their own value from a first-person perspective.
8. From 30 months, children start to conceptualize and measure themselves in refer ence to social norms.
9. Starting in the third year, children develop a social identity by group affiliation and rejection, eventually expressed in social prejudice beyond 5 years of age.
10. In all, self-conceptualizing in development is inseparable from children's develop ing conceptualizing of others as differentiated and sentient entities that can judge and reject them, with whom the child has to live and share resources.
(p. 379) When I say "I" or "Me," what am I referring to? Is it my body, my beliefs, my in tentions, my temperament, my smell, my look, or is it simply my voice uttering such sounds? What constitutes the concept of self and where does it come from? These are profound, perennial questions this chapter intends to address from the perspective of in fant and child development, based on recent empirical psychological research. From this perspective, we ask: What constitutes the sense of self in development, and how do chil dren come to conceive who they are?
Ongoing Philosophical Debate
In the history of Western philosophy, the preoccupation with selfhood has evolved in rela tion to at least two main foci: a focus on the origins of selfhood and a focus on its content. The former is specifically concerned with the question of self-knowledge, namely how we come to know what we conceive as ourselves. The latter is specifically concerned with the question of what constitutes self-knowledge.
In relation to the first focus (origins), over 16 centuries ago, in what is often considered the first self-narrative in the history of Western thought, Saint Augustine in his confes sions expresses the idea that the origins of self-concept are primarily social. Self-knowl edge would be learned from others, particularly women because of the primal maternal bond:
I give thanks to you, lord of heaven and earth (…) For you have granted to man that he should come to self-knowledge through the knowledge of others, and that he should believe many things about himself on the authority of the womenfolk. Now, clearly, I had life and being; and, as my infancy closed, I was already learn ing signs by which my feelings could be communicated to others.
(Confessions, 1.6.10. Saint Augustine [398 AD/2007])
The intuition of the social origins of self-knowledge has not always prevailed. Centuries later, Romantics like Rousseau believed in the existence of a core self and the "inner" good nature of the child, an intrinsic nature-given quality of young individuals that is eventually corrupted by experience with the adult world.
In contemporary philosophical jargon, these two opposite intuitions on the origins of self hood correspond to polarized internalist and externalist views: a view of self as originat ing from internal forces such as maturation or introspection, versus the idea that the self emerges in reference to external or environmental forces such as the social context and circumstances of the individual. One origin would be in essence more private, the other more public.
This theoretical polarity between internalist versus externalist views on the origins of selfhood, although ancient and to some extent overly schematic, still dominates current philosophical debates regarding, for example, the origins of metacognition (the knowl edge of knowing) and the validity of constructs such as introspection in relation to min dreading (e.g., Carruthers, 2009).
In relation to the second main focus that pertains to the content of selfhood (what it might be and what might constitute its existence), the question was fiercely debated among philosophers of the eighteenth-century Enlightenment, following the intellectual turmoil triggered by Descartes' Meditations, which was first published in 1641 and which in cludes his cogito idea (I think therefore I am ), his proof that the self exists.
Following the new "ego-logical" debate launched by Descartes with the Meditations, Scot tish empiricist David Hume (1711–1776) famously proposed that if something like a "self" exists, it exists as an illusion, not as a real entity. When introspecting in search of the self, Hume claims that he finds nothing but fleeting feelings and perceptions, no object per se. He concludes that what we tend to consider as self are in fact just sensory and perceptual impressions, not a real or core thing. It might exist, but if it exists it is not as real as a rock or a chair that can be thrown or sit upon; it is fleeting and impressionistic, a repre sentational construction of the mind.
Varieties of Hume's basic idea are still very much alive today in the philosophical theoriz ing of the mind, especially by researchers who, well informed of the current progress in brain and cognitive neurosciences, deny any ground for the assertion that there is in real ity such a thing as a self (see Metzinger's 2003 book Being No One, which comes to the conclusion that "no such things as selves exist in the world: Nobody ever was or had a self" [p. 1]).
To the Humean's skepticism, if not denial of the self, a radically opposite view is espoused by phenomenologists in the more recent tradition of Husserl, Heidegger, Merleau-Ponty, or Sartre, to name a few, all writings mainly from the first half of the twentieth century. Phenomenologists anchor their investigation of the mind in the systematic description of a first-person perspective, the experience of the world through one's own body, which is the primary locus of this experience as it unfolds in (p. 380) real time. The self exists pri marily as a preconceptual, implicit entity that arises from the embodied experience of be ing in the world.
Historically, the phenomenological approach is a deliberate departure that shies away from intellectualism, rationalism, or any kind of purely formal, "disembodied" conceptual ization of the mind. In basing its investigation of the mind, in particular the mind–body problem, on a first-person perspective, hence on "subjectivity," the phenomenological ap proach in philosophy gives back to selfhood the ontological status contested by Hume and his followers (see the 2006 book by phenomenologist Dan Zahavi, Subjectivity and Self hood).
In summary, this short schematic philosophical overview of the selfhood question shows that it is old, perennial, and unresolved. The debate goes on. Theories of selfhood contin ue to oscillate between externalist and internalist views on the origins of the self, that selfhood might derive from introspection and maturation, or on the contrary from social exposure and experience particularly with others. They also oscillate regarding the con tent of the self, assuming that such a thing ontologically exists. Debate exists between theories that assume the ontological existence of something like a core self, versus the rather nihilist or Humean views stating that if selfhood exists, it is something virtual, a mental or perceptual reconstruction, even possibly just an illusion. No such thing as a self would exist in itself, as recently proposed by Metzinger (2003), contra current phenome nological theories in cognitive sciences that push for the embodied existence of selfhood (Gallagher & Zahavi, 2008).
Gaining from the Developmental Approach to Selfhood
The focus of the chapter is on the origins and process by which self-concept develops, with a particular emphasis on how it unfolds in early human ontogeny. I ask: What are the origins of self-concept (what are the shaping forces behind it) and what is its content (i.e., what is it made of)?
In raising these questions and in relation to the ongoing philosophical debate briefly staked above, the existence of selfhood as an object of conceptualization is assumed. To the extent that we accept the intuition that there is some ontological validity to the idea of a self, the question is: How does it come about and what are the constitutive elements of the perceived and conceived sense of self in ontogeny?
Raising the question of selfhood during child development provides an empirically based "natural history" of self-concept as it unfolds in ontogeny. The strong intuition underlying such perspective is that looking at and documenting the developmental emergence of the sense of self ultimately should reveal what such sense has to be made of to become part of our subjective and rational experience.
The overall assumption driving the chapter is that looking at the question from the per spective of child development is necessary to unveil and to provide some empirical grounding to what might be the ontological nature of self-experience or subjectivity; what
are the constitutive elements of self-concept, an issue haunting both Eastern and Western philosophy since Confucius and the Greeks. Approaching the question from a develop mental perspective is indispensable and probably the best way to naturalize the issue. It has the promise to transform issues related to the self, from an armchair problem in the tradition of philosophy to an empirical question within a scientific and experimental framework. Furthermore, psychiatrists and neuroscientists who do address the question empirically typically do so in reference to an adult population, often with neural damage or other psychopathologies (e.g., Damasio, 1999; Parnas et al., 2005). The developmental perspective adds to such an approach by allowing us to grasp the building blocks of what might constitute fully formed self-experience and the actual foundation of the adult's con ceptualization of such experience. This is the theoretical bet of the developmental ap proach adopted here.
Defining Self-Concept in Development
A concept is an idea or a mental construct. In the most generic dictionary sense, a con cept is "something formed by mentally combining all its characteristics or particulars" (Random House Dictionary). Conceptualizing or forming concepts is thus about seizing the essence of things: what they consist of and the gist of their meaning. Self-concept can thus be construed as the product of such a conceptualizing process turned toward oneself, which product would capture essential aspects of "it" (the elusive self).
This definition assumes, a priori, that the self exists, simply because it is something that can be conceived. Accordingly, the self or selfhood is taken to be something real to the ex tent that it can be conceptualized. Concepts, by definition, do indeed refer necessarily to "something." The relevant questions therefore are: What is conceived, and how? Both, once again, pertain respectively to the content and the origins of the self as concept.
(p. 381) From a developmental perspective, we can also assume that the process by which the idea of the self is mentally constructed (conceptualized) is anything but fixed and stat ic. It does change, as infants and children develop. Self-conceptualization is, by necessity, an embodied process. It is embodied in both a physical and behavioral sense. It is insepa rable from the marked physical and brain growth of infants and children, and by conse quence also inseparable from perception, action, attention, and intention development, notwithstanding affectivity, social-cognitive abilities, and general cognitive development.
The self to be conceived by children is rapidly changing in experiential, physical, and psy chological aspects. It is therefore a moving target that requires constant reappraisal, and hence reconceptualization.
The developmental question is therefore: What is there to be reconceptualized? In other words, what is new or gained from such reappraisal? What might trigger such changes, and how do they come about?
For the rest of this chapter, I will review relevant and selected empirical research from the perspective of development that document what I view as the basic, constitutive cate gories of self-concept. These categories would correspond to different layers of meaning attached to self-concept, successively emerging and accumulating in child development. Each corresponds to specific levels of representational complexities that I hypothetically view as accumulating "like onion layers" in an orderly fashion between birth and approxi mately 10 to12 years of age, the developmental span we will consider here.
As a working hypothesis and for the sake of clarity, I view this development as part of a general meaning-making construction of what constitutes selfhood (what it is made of), in other words its representational content and what the notion of self is referring to when children start to recognize themselves in mirrors (at around 2 years of age) or begin to refer to themselves by using appropriate personal pronouns and adjectives such as I, me, or mine!
Three Constitutive Categories of Selfhood in Development
William James (1890) distinguishes the "Me" and the "I" as two basic aspects of the self: The "Me" corresponds to the self that is identified, recalled, and talked about. It corre sponds to the conceptual self that emerges with language and that entails explicit recog nition or representation. It is beyond the grasp of infants, who by definition are prever bal, not yet expressing themselves within the conventions of a shared symbol system. On the other hand, there is the "I" that is basically implicit, not depending on any conscious identification or recognition. The "I" is also referred to as the existential self (Lewis & Brooks-Gunn, 1979), machinery of the self (Lewis, 1994), the implicit self (Case, 1991), or the ecological and interpersonal self (Neisser, 1991). It is, for example, the sense of their own body and personal agency expressed by young infants when they start to reach and grasp objects around them. Infants implicitly express a sense of themselves as agent (reachers) as well as a sense of their own physical situation in the environment (objects around them are perceived by the infant as reachable and graspable depending on size and distance; see Rochat, Goubet, & Senders, 1999). Infancy research shows that the "I" is expressed long before any signs of a conceptual (explicit) sense of self (the "Me").
The "I" corresponds to basic biological and perceptual processes that are implicitly ex pressed from birth and during early infancy. Following James' basic distinction, the "Me" corresponds to the compound of represented characteristics that can be explicitly, hence publicly, expressed by the individual who identifies them to specify the self. However, if we accept the generic definition of "conceptualizing" proposed above (seizing the essence of things: what they consist of and the gist of their meaning), the "I" might be differential ly conceptual in nature than the "Me." The "I" would correspond to the body as a coher ent and unified locus of subjective experience rather than an object of rational thoughts.
In this context, instead of asking how children become conceptual about themselves, how they develop from expressing a nonconceptual to expressing a conceptual sense of self, it makes more sense to ask: What are the different levels of self-conceptualizing expressed from birth and in the course of development? This question is indeed more reasonable if we accept the idea that conceptualizing in the generic sense does not need to be explicit, but can also be implicitly expressed in perception and action, prior to language. This is what we will posit here, the rationale being that if we don't do so, we elude dealing with the sense of self expressed prior to language, what is viewed here as the necessary foun dation of what is conceptualized beyond infancy.
We can distinguish at least three basic levels of self-conceptualizing considered here as "superordinate" constitutive categories of selfhood: minimal, objectified, and personified categories of selfhood. (p. 382) These constitutive categories would correspond to three basic levels (or layers, following the onion metaphor) of self-conceptualizing that develop from infancy on. These layers of meaning making about the self would grow in succes sion, on top of each other, together contributing to the developing notion of selfhood.
Table 15.1 summarizes the proposed model of a developmental roadmap we will use for the rest of the chapter, reviewing in turn each of these basic levels of self-conceptualiza tion, following the chronology of their emergence in ontogeny. Each level is viewed as adding to the other.
Minimal Self
The infancy literature provides an abundance of empirical observations demonstrating the existence of an early, if not innate, experience of the body as an entity perceived by the infant as unified. These observations refute the view of the original (p. 383) "blooming buzzing confusion" of neonates proposed by William James over a century ago (James, 1890). We now know that infants are not born in a mere state of confusion with the world but rather show signs of a perception of their own body as well as nonself entities as uni fied discrete things (Kelman & Atterberry, 2006). Based on selected research findings, I review next some of the content of the presumed unified and meaningful self-perception and action expressed at birth, or shortly after birth. These findings indicate that new borns' perception of their own body in action is anything but disorganized, meaningless, or confused. It appears that there are innate frames to self-perception and experience. These frames correspond to biologically prescribed propensities that are embodied in ac tion systems (i.e., feeding, orienting, avoiding), above and beyond the collection of reflex es structuring behavior at birth (Amiel-Tison & Grenier, 1980; Reed, 1982; Rochat, 2001; Rochat & Senders, 1991).
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The strong behavioral propensities expressed at birth and already in the womb during the last trimester of gestation (e.g., bringing hand to mouth followed by sucking and swallow ing; see Prechtl, 1984) constrain subjective experience from the start, in particular the embodied proprioceptive sense of the own body as a distinct entity among other discrete entities in the environment. They also constrain what develops in relation to this minimal, perceptual sense of self. But what is the evidence in support of such an assertion?
Looking at the research literature, we can extract characteristics of the minimal self expressed at birth and in the first weeks of life, long before children begin to show signs of self-objectification, or the explicit sense of themselves as object thoughts, the next lay er of conceptualizing discussed later. These characteristics pertain to the content of sub jective or self-experience at the outset, a "proto" experience that is implicit but seen here as a first level of self-conceptualizing in the generic sense of seizing the essence of self hood: what it consists of and the gist of its meaning, as implicit as this meaning might be. These characteristics do not have to be construed as innate representational modules and probably are more accurately conceived of as primary representations that are emergent from the innate structure of the body and its propensities to act. It also means that these representations are not fixed but subject to enrichment based on learning and experi ence.
Subjectivity and Body Schema at Birth
The basic emotions expressed at birth and reliably identifiable by caretakers as joy, dis gust, interest, or various kinds of pain expressed in crying are symptomatic of a rich af fective life (see Barr, Hopkins, & Green, 2000). Newborns express these emotions with their whole body, becoming spastic and tense in particular ways, emitting particular sound pitches and contours, when for example crying out of pain as opposed to hunger. A rich palette of distinct affective motives underlies newborns' bodily movements. For ex ample, a drop of sucrose on their tongue leads them to calm down and systematically bring hand to the mouth in the most direct trajectory, coming to closure after oral biting and sucking (Rochat, Blass, Fillion, & Hoffmeyer, 1988). The drop of sucrose engages the feeding or appetitive system of the infant, which in turn mobilizes his or her whole body in orienting and rooting activities. These functionally purposeful activities come to rest only when something solid such as a finger or a nipple comes in appropriate contact with the face, eventually finding its way into the mouth for sucking (Blass, Fillion, Rochat, Hoffmeyer, & Metzger, 1989).
In relation to the body as a whole, hand–mouth coordination is closely associated with the engagement of the feeding system, as in this case of the drop of sucrose on the tongue of the infant. In itself, it is suggestive that newborns do possess rudiments of a body schema (Gallagher & Meltzoff, 1996). Such coordination implies some mapping of the body whereby regions and parts of the own body are actively and systematically (as opposed to just randomly) put in contact with each other, in this case hands and mouth with a coordi nated spatiotemporal trajectory (hand movements, head orientation, and mouth opening, often in anticipation of hand contact).
Neonatal imitation of tongue protrusion, but also of hand clasping or head rotation (Melt zoff & Moore, 1977), is another expression of a body schema whereby the sight of active bodily regions in another person (the model) is mapped onto homologous regions of the own body. Another evidence of body schema at birth is demonstrated in neonates who are turned to the side in their crib and plunged in the dark with just a thin beam of light cut ting across their visual field. Newborns observed in this condition tend to bring systemat ically their ipsilateral hand and arm into the beam of light for active visual exploration (Van der Meer & Lee, 1995).
(p. 384) In all, body schema and the active propensity of neonates to bring sense modali ties and regions of their own body in relation with each other are now well documented. This, in itself, supports the idea that infants sense their own body from birth as an invari ant spatial structure, as rudimentary and in need of further refinement as this spatial structure might be. This structure is obviously not Euclidian in the sense of not synthe sized (represented) in the mind of the young infant as a precise map of accurate spatial coordinates and configurations. It does not yet entail that the infant has already a recog nizable image of his or her own body (a body image). This structure is essentially topolog ical in the sense that it is made of focal attractor regions on the body surface that have great degrees of freedom and a high concentration of sensory receptors such as mouth and fingers. This topology is embodied in action systems that are functional from birth and drive early behavior.
Evidence of a body schema at birth provides some theoretical ground for the ascription of basic selfhood from the outset. Other research of these past few years shows that neonates behave in relation to their own body in ways that are different from how they behave in relation to other physical bodies that exist independent of their own. They feel and unquestionably demonstrate from birth a distinct sensitivity to their own bodily movements via proprioception and internal (vestibular) receptors in the inner ears. Both proprioceptive and vestibular sensitivities are well developed and operational at birth. They are sense modalities of the self par excellence.
Differentiated "Ecological" Self at Birth
Research shows, for example, that neonates root significantly more with their head and mouth toward a tactile stimulation from someone else's finger than from their own hand touching their cheek (Rochat & Hespos, 1997). Other studies report that newborns do pick up visual information that specifies ego-motion or movements of their own body while they, in fact, remain stationary. These studies indicate that neonates experience the illusion of moving, adjusting their bodily posture according to changes in direction of an optical flow that is presented in the periphery of their visual field (Jouen & Gapenne, 1995). This kind of observation points to the fact that from birth, infants are endowed with the perceptual, intermodal capacity to pick up and process meaningfully self-specify ing information.
Questions remain as to what might be actually synthesized or represented as an outcome of the self-specifying perceptual capacity manifested at birth. What might be the experi ence of selfhood in neonates? What is the subjective experience of the own body consider ing that selfhood is first embodied, only later becoming recognized as "Me?"
Neonates experience the body as an invariant locus of pleasure and pain, with a particu lar topography of hedonic attractors, the mouth region being the most powerful of all, as noted by Freud years ago in his account of the primitive oral stage of psychosexual devel opment. Within hours after birth, in relation to this topography, infants learn and memo rize sensory events that are associated with pleasure and novelty: they selectively orient to odors associated with the pleasure of feeding and they show basic discrimination of what can be expected from familiar events that unfold over time and that are situated in a space that is embodied, structured within a body schema. But if it is legitimate to posit an a priori "embodied" spatial and temporal organization of self-experience at birth, what might be the content of this experience aside from pleasure, pain, and the sheer excite ment of novelty?
Neonates do have an a priori proprioceptive sense of their own body in the way they act and orient to meaningful affordances of the environment, as well as in the way they de tect visual information that specifies ego motion (Jouen & Gapenne, 1995, see above). The proprioceptive sense of the body appears to be a necessary correlate of most sensory experiences of the world, from birth on. As proposed by James Gibson (1979), to perceive the world is to co-perceive oneself in this world. In this process, kinesthetic propriocep tion is indeed the sense modality of the self par excellence.
From birth, proprioception alone or in conjunction with other sense modalities specifies the own body as a differentiated, situated, and eventually also agentive entity among oth er entities in the world. This corresponds to what Ulric Neisser (1988, 1991) called the "ecological self," a self that can be ascribed to infants from birth.
Bounded and Substantial Embodied Self
As pointed by Neisser (1995), criteria for the ascription of an ecological self rest on the behavioral expression by the individual of both an awareness of the environment in terms of a layout with particular affordances for action, and of its body as a motivated agent to explore, detect, and use these (p. 385) affordances. Newborns fill the criteria proposed by Neisser for such awareness. In addition, however, I would like to add that they also seem to possess an a priori awareness that their own body is a distinct entity that is bounded and substantial, as opposed to disorganized and "airy."
Newborns perform self-oriented acts by systematically bringing hand to mouth, as al ready mentioned. In these acts, the mouth tends to open in anticipation of manual contact and the insertion of fingers into the oral cavity for chewing and sucking (Blass et al., 1989; Watson, 1995). What is instantiated in such systematic acts is, once again, an orga nized body schema. These acts are not just random and cannot be reduced to reflex arcs; they need to be construed as functionally self-oriented acts proper. Because they bring
body parts in direct relation to one another, as in the case of hand–mouth coordination, they provide neonates with invariant sensory information specifying the own body's quali ty as bounded substance, with an inside and an outside, specified by particular texture, solidity, temperature, elasticity, taste, and smell.
The a priori awareness of the own body as a bounded substantial entity is evident in neonates' postural reaction and gestures when experiencing the impending collision with a looming visual object, an event that carries potentially life-threatening information. Years ago, Ball and Tronick (1971) showed that neonates aged 2 to 11 weeks manifest head withdrawal and avoidant behavior when exposed to the explosive expansion of an optic array that specifies the impending collision of an object. Infants do not manifest any signs of upset or avoidant behavior when viewing expanding shadows specifying an ob ject either receding or on a miss path in relation to them. Consonant with Ball and Tronick's findings, Carroll and Gibson (1981) report that by 3 months, when facing a looming object with a large aperture in the middle, as an open window in a façade, they do not flinch or show signs of withdrawal as they do with a full textured solid object. In stead, they tend to lean forward to look through the aperture. In all, the detection of such affordance in the looming object indicates that there is an a priori awareness that the own body is organized and substantial. There is an innate sense that the own body occupies space and can be a physical obstacle to other objects in motion.
In summary, I briefly reviewed empirical observations that warrant the ascription of an in nate sense of self in perception and action. What is proposed here is that it corresponds to a first implicit conceptualizing of a minimal self. It is a perceptual awareness of the body that is framed by innate propensities to act in particular ways. It is the early charac teristics that infants perceive of their own body in perception and action as bounded, or ganized, differentiated, and substantial, but also situated (e.g., in the early detection of reachable objects) and containing (e.g., food ingestion and digestion, early transport of suckable objects to the mouth). In the generic sense used here, it is also the implicit con ceptualizing by young infants of their own body as an agentive entity: sucking to hear a sound and obtaining food, kicking in a certain way to set a mobile in motion. It is as well the conceptualizing of the own body as a specific bounded spatial locus of fluctuating emotions with a permanent address in space and where, from the outset, a rich affective life made of pleasure and pain is experienced: the locus of a continuous string of embod ied satisfaction and frustration.
Objectified Self
The early embodied self-experience and implicit conceptualizing of a minimal self is done both in relation to physical objects and also, if not primarily, in relation to others. Parallel to the expression of an ecological self, infants also express a highly organized interper sonal sense of themselves (Neisser, 1991). This implicit interpersonal sense of self is evi dent at least by 2 months with the emergence of socially elicited smiling in face-to-face proto-conversations (Rochat, 2001; Trevarthen, 1980; Wolff, 1987). In this context, infants develop social expectations, expecting others to behave in certain ways following certain
emotional bids in proto-conversation. They express distress when an engaged social part ner in playful interaction suddenly adopts a frozen still-face (Tronick et al., 1978) and show a marked loss of attention toward an adult who suddenly scrambles the narrative envelope of a peek-a-boo game (Rochat, Querido, & Striano, 1999).
All these findings indicate that early on, and at least from 2 months of age, infants devel op a sense of their own agency in relation to people, manifesting a sense of themselves as differentiated and situated emotional entities. They detect invariants in social exchanges and expect certain outcomes from people, showing surprise, if not disengagement and sadness, when such social expectations are not met. But all this experience happens in dyadic social exchanges, in the pragmatics of turn-taking face-to-face interactions that are primarily initiated and driven by the adult. But at around 9 months of age things change. (p. 386) This is a change that some authors go as far as characterizing as the "9month miracle" (Tomasello, 1995). In relation to self-conceptualizing, it marks the begin ning of the second layer of meaning making about the self: the objectified self.
The cardinal feature of the 9-month transition is the emergence of so-called secondary in tersubjectivity or the shared experience expressed by the child with people about things that surround them. In the first face-to-face exchanges that emerge by 2 months, if there is a sense of shared experience, it is contained within the infant–adult dialog, not refer ring yet to anything outside of it. It corresponds to a primary intersubjectivity or primary sense of shared experience accompanying dyadic, face-to-face exchanges that include af fective mirroring and other typically repetitive, well-outlined, playful, and adult-driven routines like peek-a-boo games. It is not yet a conversation about something outside of the relationship. This "aboutness" in conversation starts to emerge by around 9 months with the new propensity of the child to manifest systematically and with ostentation joint attention, social referencing, and referential gesture production and comprehension (Tomasello, 2008).
From this point on, infants begin to bring objects to the attention or others, checking back and forth whether their attempt is successful or not (joint attention). They begin to point and understand pointing gestures by others as referring to something "out there" (gestural communication). They check on the emotions of others while facing a shared ambiguous situation in the environment such as a stranger or a potential physical danger (social referencing). In all, infants begin to triangulate on things with others, starting to dialog in reference to and about objects that exist outside of the rich one-onone dyadic emotional transactions infants from 2 months are already capable of.
In the primary intersubjectivity associated with early face-to-face exchanges, infants may already have the opportunity to see themselves in others, to engage in self-objectifying and possibly self-recognizing in how others react and respond to them. Adults tend in deed to engage in affective "mirroring," repeating and exaggerating the emotions ex pressed by the infant (Gergely & Watson, 1999). Infants facing the engaged adult could in principle recognize and objectify themselves in the imitating other who would become a social mirror that reflects the self, thus becoming "objectify-able" and recognizable. They
could possibly already engage in self-conceptualizing at an explicit level, a level beyond the experience of a minimal self. But there is no clear evidence that this is the case yet. It is also not clear that with the emergence of referential (secondary) intersubjectivity, in fants already by 9 months begin to objectify themselves, contemplating themselves as an object of evaluative thoughts, thus adding a new layer of self-conceptualizing to the pri mary experience of the minimal self. It certainly announces such an additional layer, but prior to 14 months there are no clear signs of referential "aboutness" to the self proper.
Self-objectification as a new level of self-conceptualizing appears to emerge unambigu ously from approximately 14 to 18 months. Evidence comes from observations of children being imitated or impersonated in their games (Agnetta & Rochat, 2004).
First Signs of Self-Objectification
For children to become referential in relation to themselves, two processes are necessari ly required: projection and identification. In the process of projection, children become able and show the propensity to "eject" from their embodied self and mentally project their own physical embodiment and subjectivity onto another embodied entity, whether a thing (e.g., a doll) or a person (Baldwin, 1906). With this subjective projection, they expe rience both self and nonself entities as differentiated but coexisting and equivalent, mutu ally referring to each other (identification). So, for example, a child able to project and identify with things and people will recognize that someone is imitating him or her, that the other person attempts to behave in reference to himself or herself via impersonation. With such recognition, the child shows self-objectification in the imitating other. The same holds true for mirror self-recognition, as will be discussed next.
By 14 months children manifest an unambiguous understanding of being imitated, look ing and smiling preferentially toward a mimicking rather than a contingent adult (Ag netta & Rochat, 2004; Meltzoff, 1990; Meltzoff & Moore, 1999). From this age on, they demonstrate a new capacity to see others as potentially standing or impersonating them, taking a "like-me" stance toward them.
In one of our studies, 9- to 18-month-old infants faced either an experimenter mimicking their actions on an identical object or the object mimicking the results of their action in dependently of any manual contact by the experimenter (Agnetta & Rochat, 2004). Only 14- and 18-month-olds showed clear discrimination between the person mimicking them (p. 387) and the object emulating the consequence of their own actions on an identical toy. Interestingly, we found that this discrimination positively correlates with infants' relative ability to follow gaze and points in triadic exchanges, hence possibly a link with their rela tive ability to be referential in relation to others (Agnetta & Rochat, 2004).
This latter study indicates that by 14 months, children differentiate between a person and an object trying to impersonate what they do, showing more equivalence between them selves and an impersonating person than an emulating object. We interpret these findings as indicating that by this age, children begin to show signs of self-objectification in others, beginning to construe them as intentional agents, like them.
Until the middle of the second year, when linguistic and symbolic competencies start to play a major role in the psychic life of children, self-awareness remains implicit, as we have seen. It is expressed in perception and action, not yet expressed via symbolic means such as words. Prior to approximately 14 to 18 months there is yet no clear evidence that children perceive traces of themselves as standing for themselves—only themselves, and no one else, such as the little footprints they might leave in the mud or the image they see in the mirror.
Note, however, that infants do, months earlier, discriminate between their own image and the image of another infant. Preferential looking studies show that by 5 to 6 months in fants tend to be significantly more captivated by a prerecorded video of another, sameage infant compared to a prerecorded video of themselves wearing an identical, same-col or outfit (Bahrick, Moss, & Fadil, 1996). It appears that by this age, and presumably via previous exposure to mirrors and other self-reflecting devices, infants pick up invariant features of their own face. It does not mean, however, that they construe these features as standing for themselves; it is the product of perceptual learning of subtle invariant fa cial features they quickly become familiar with. When placed in a situation where they have the choice to explore either their own familiar face or the face of another child, they show a typical preference for novelty (e.g., Fantz, 1964; Rochat, 2001). Although certainly a necessary precursor and a sign of remarkable perceptual learning ability, this prefer ence does not mean yet that infants do recognize that it is they on the TV.
The same kind of interpretation applies to the findings that 4- and 7-month-olds show clear discrimination between seeing themselves live on a TV while moving around in their seat versus seeing a live experimenter on a TV engaged in the systematic imitation of what the infant is doing (Rochat & Striano, 2002). In our experiment, the experimenter shadowed the infant as mirrors do. We found that infants smiled, vocalized, and looked differentially at the imitating experimenter seen on TV compared to the self. In addition, infants tended to react differentially in either condition when the image was suddenly frozen in "still-face" episodes.
In all, young infants demonstrate once again their perceptual ability to distinguish be tween the familiar sight of themselves and the novelty of the experimenter appearing on the TV (see Rochat & Striano, 2001, 2002).
Despite all this perceptual discriminability between what pertains to the self and what pertains to others, up to the middle of the second year (approximately 21 months; Lewis & Brooks-Gunn, 1979), infants are oblivious that some rouge has surreptitiously been smeared on their face or that a yellow "Post-It" might appear on their forehead when looking at their own specular image (Bertenthal & Fisher, 1978; Povinelli, 1995). It is only by 18 months that infants start to reach for the mark on their own body, often in order to remove it. To most developmental and comparative psychologists, this behavior is the lit mus test of explicit self-awareness and self-objectification. It is often viewed as the evi dence of a conceptual or "represented" sense of self in any organism behaving like this in front of mirrors, whether the human child, nonhuman primates, avians, mammals like ele
phants, or even cetaceans like dolphins (Parker, Mitchell, & Boccia, 1994; Reiss & Mari no, 1998; Plotnik & De Waal, 2006). By showing this behavior, individuals are thought to demonstrate an ability to refer to the specular image as standing for their own embodied self. In other words, they refer the silhouette they see reflected in the mirror to precise regions of their own body they cannot see directly (e.g., their forehead). This would be impossible without a body schema or own body representation that is mapped onto what is seen in the mirror. Therefore, this behavior indicates that the mirror reflection is seen as standing for the representation of the embodied self. It is identified as referring to the body experienced and represented from within, not anybody else's. Identity is used here in the literal, dictionary sense of "recognizing the condition of being oneself, not anoth er" (Random House Unabridged Dictionary).
Mirror self-recognition expressed via the "successful" passing of the mark test is pre dictably linked to (p. 388) major progress in symbolic (referential) functioning of the child in other domains, in particular language development. By 18 months, infants start to mark contrasts between themselves and other people in their verbal production. They ex press semantic roles that can be taken either by themselves or by others (Bates, 1990). An explicit and hence reflective conception of the self is apparent at the early stage of language acquisition, at around the same age that infants begin to recognize themselves in mirrors.
This chronological link in development provides indirect validation of the mirror test and the interpretation I provided above. Indeed, as Bates argued, language acquisition re quires a preexisting conceptual or represented sense of self as "Me" as opposed to simply "I": "a theory of the self as distinct from other people, and a theory of the self from the point of view of one's conversational partners" (Bates, 1990, p. 165).
With the expression of self-objectification, of an objectified self, from approximately the middle of the second year, children become explicitly referential about themselves via processes of projection and identification. It represents a qualitative shift in self-concep tualizing in the generic sense used here, a crucial step that makes children explicitly ref erential in relation to the embodied self they experience implicitly from birth in percep tion and action (minimal self).
This shift represents a necessary step toward self-personification, the third and final level of self-conceptualizing (personified self following Table 15.1) that emerges in the third year and continues to develop all through the lifespan, as will be discussed next.
Personified Self
The emergence of an ability to refer to the embodied self as an object of recognition, and hence potentially as an object of thought in communication and evaluation with others (the objectified self discussed above), opens up a whole new possibility for the develop ment of self-concept and self-conceptualizing. It gives way to the development of the no tion of the self as a person: the third level of self-conceptualizing proposed here.
The Self as a Person
The etymology of the word "person" comes from the Etruscan word persona, standing for "theater mask." Semantically thus, in the broadest sense, the meaning of a person is in separable from some staging of the self or self-presentation (i.e., the social mask), as coined by Erving Goffman (1959). The concept of person is inseparable from the idea of staging or the public presentation and management of the self as an entity that can be judged and evaluated by others in relation to norms and shared rules. This concept thus relates to the notion of self as being "accountable" in relation to others and by others, lit erally a self that has a reputation (Rochat, 2009). By definition, a person is a self-entity that is public in relation to others who are entrusted with the capacity to judge and evalu ate. This is how we understand and will discuss the notion of person here to capture this third level of self-conceptualizing.
The self as a person is a self that is moral and has a sense of its ethical stance and situa tion in relation to others, as well as to norms and standards: whether what he or she is doing or presenting of the self is right or wrong in relation to others, whether it trans gresses or follows norms that are shared. It corresponds to the notion of a normative self, an entity that is constantly gauging its own situation and perspective in relation to norms, particularly social, moral, and ethical norms. In this sense, the personified self is more than just an object of thought; it is an object of evaluation (self-worth) in relation to oth ers and particularly in relation to norms that are shared with others, including etiquette, aesthetics, or expected ways to behave and perform in relation to others.
The self as a person derives from a level of self-conceptualizing that is essentially compar ative and normative in relation to others. It is inseparable from the internalization (stored or mentally held representation) of social norms and rules, against which the self can be measured (evaluated) and managed in its presentation to others. According to this view, self-worth is the product of an evaluation against values that are collectively rather than individually represented, not just reducible to discrete positive and negative "private" as sessments of the self. It is a moral product in the broad collective sense, a product that is defined in reference to social norms and rules that are co-constructed, values that are ne gotiated with others (Rochat & Passos-Ferreira, 2008; Rochat, 2009).
Becoming a Personified Self
The basic prerequisite for the awareness of the self as a person is a sensitivity to norms, this sensitivity emerging by the middle of the second year. A large corpus of developmen tal studies document that during the second year and from the time children manifest self-recognition in mirrors as well as (p. 389) the use of personal pronouns and adjectives, they also begin to manifest a sense of pride in work well done or in succeeding at resolv ing a problem (Kagan, 1981; Lewis, Sullivan, Stanger, & Weiss, 1989; Stipek, Recchia, & McClintic, 1992). They start to show empathy and act in ways recognized by others as prosocial (Eisenberg & Fabes, 1998; Zahn-Waxler et al., 1992). Interestingly, they also no tice abnormalities in objects, preferring intact over damaged, even slightly damaged things (e.g., a nondented over a dented cup) (Dunn, 1987). They start to manifest sur
prise, concern, and disappointment when something is or gets broken, such as a doll los ing its arm. As stated by Kagan (1989), "the central victories of the last half of the second year are (1) an appreciation of standards of proper behavior and (2) an awareness of one's actions, intentions, states, and competences" (Kagan, 1989, p. 236).
Kagan's conclusion regarding the cardinal social-cognitive achievements in the second year is based on empirical evidence demonstrating the robust emergence during this de velopmental period of behaviors like mastery smiles, directives to adults, distress to an adult modeling a novel action (interpreted as expression of inadequacy feeling on the child's part), as well as the first emergence of self-descriptive utterances.
From this period on, children add to their ability to conceive themselves as objects of thought, the comparison of themselves as objects to others. This comparison of the objec tified self in relation to others, and in general in relation to social standards, entails awareness of an objectified self that is enduring over time. The child must be able to re flect on the self as an object, but also as a permanent entity that is reminisced from the past and projected into the future, beyond the here and now of experience.
Self-Conception in Space and Time
If infants begin from approximately 18 months to self-refer when confronted with their own mirror reflection, the "Me" they identify remains enigmatic and ambivalent. They ap pear to still oscillate between an awareness of the self and an awareness of seeing some one else facing them (Piaget, 1962; Povinelli, 2001; Rochat, 2001).
Recognizing oneself in the mirror is a major feat, not only for the referential mapping be tween the mirror reflection and the own body schema, but also because what the child sees in the mirror is the way he or she often sees others: in an "en face" posture, often with eye contact. In relation to this basic experience of social encounters, what the child experiences in the mirror might be "Me," but it is also what others typically look like. The child therefore has to suspend and override his or her overall visual experience of others, the specular image standing for "Me as another."
The mirror experience of the self carries this fundamental ambiguity, and children strug gle with it until at least their fourth birthday. Note that this ambiguity is pervasive all through the lifespan. As adults, we look at ourselves in mirrors, working on our presenta tion by simulating or representing the evaluative gaze of others onto our own body. What we are seeing is de facto our appearance as seen by others, hence the pretense of some one else (see Rochat, 2009, for further discussion and broad theoretical considerations).
In his seminal observations of his own children, Piaget (1962) reports anecdotes that per tain to the mirror dilemma. Jacqueline, aged 23 months, announces to her father as they are coming back from a walk that she is going to see her father, her aunt, and herself in the mirror. Perfectly capable of identifying herself in the mirror as "Me" when prompted by her father asking "Who is there?," Piaget observes that Jacqueline provides also at times a third-person account of what she sees in the specular image. Likewise, she tends
to oscillate between claiming that it is "Me" or that it is "Jacqueline" when viewing pho tographs with herself on it (Piaget, 1962, pp. 224–225).
As part of a series of more recent studies on the developmental origins of self-recogni tion, Povinelli reports the commentary of a 3-year-old viewing herself on a TV with a sticker on her forehead. She says: "it's Jennifer. it's a sticker" and then adds: "but why is she wearing my shirt?" (Povinelli, 2001, p. 81). These observations illustrate the Me-ButNot-Me dilemma (Rochat, 2001); children struggle with it months after they show signs of mirror self-recognition.
Povinelli and colleagues demonstrate that children slowly bypass the Me-But-Not-Me dilemma when viewing live or prerecorded videos of themselves. For example, 3-year-olds and younger do tend to reach for a large sticker they see on top of their own head while viewing a live video of themselves, but they don't when viewing the replay of the same video taken only 3 minutes prior. Furthermore, when asked who was on the TV, it is only by 4 years that the majority of children say "Me" rather than their proper name, suggest ing a first-person stance rather than a third (see Povinelli, 1995, 2001, (p. 390) for a re view and discussion of this research). This third-person stance is an indication of in creased metacognitive abilities turned toward the self, from 4 years of age.
The studies of Povinelli and colleagues on delayed self-recognition show that it is not pri or to 36 months that children begin to grasp the temporal dimension of the self—that the self pertains not only to what is experienced now but also to what was experienced then, what can be seen in a mirror now or in a movie tomorrow: the same enduring entity. It is also from this point on that the blind veil of infantile amnesia appears to be lifted with the emergence of first explicit memories about the self. In contrast to presumably earlier forms of explicit or declarative memories requiring external and internal cueing (Man dler, 1994), the first autobiographical memories emerging from approximately 3 years of age are self-cued and autonoetic: memories accompanied by a sense of reexperiencing an event one has been actively participating in (Nelson & Fivush, 2004).
Research shows that from 3 years of age, most children are capable of providing detailed and coherent accounts of their own past experiences (e.g., a visit to Disneyworld that oc curred 6 months earlier); children become more competent at reminiscing about such events with more details and precision at 4 years and beyond (Hammond & Fivush, 1991). Autobiographical memory skills and narratives pertaining to the self thus appear to emerge by 3 years, developing in complexity and organization in the preschool years (Nelson & Fivush, 2004; Peterson & McCabe, 1982).
Emerging Self-Conception with Others in Mind
By the time young children begin to express and recognize the self as an enduring entity, they also begin to show major advances in their understanding of others. By 4 to 5 years, children demonstrate the ability to hold multiple representations and perspectives on ob jects. They can decide accurately whether people hold accurate or false beliefs about the state of the world. Across cultures, 5-year-old children acquire folk theories or theories of
mind (Callaghan et al., 2005; Wellman & Liu, 2004). For example, they can infer the par ticular age, relative sentience, temperament, and emotionality of a person by merely look ing at the quality of a simple drawing he or she produced. By this age, children infer the mind and affects of the artist behind a graphic symbol (Callaghan & Rochat, 2003). This ability is linked to the developing child's ability to construe false belief in others, as well as to grasp the representational status of graphic and other symbolic artifacts such as maps, photos, or scale models (Callaghan & Rochat, 2003, 2008; DeLoache, 1991; Olson & Campbell, 1993; Perner, 1991; see the chapter by Callaghan in this handbook).
The development of representational abilities in general and theories of mind in particu lar corresponds also to evidence of meta-awareness in relation to the self. For example, when children begin to understand explicitly that another person holds a false belief, they necessarily understand that they themselves hold the right belief. In the same way, when infants demonstrate some construal of object permanence, they also demonstrate their own permanence in relation to objects (Rochat, 2001). These terms are inseparable.
The expression of embarrassment in front of mirrors by 2 to 3 years is associated with the child's growing metacognitive abilities, in particular his or her growing ability to hold multiple representations and perspectives on the same thing, including the self. The recognition of self in the mirror is also for the child the recognition of how the self is pub licly perceived.
From the point of view of neurophysiology, there is an apparent link between the emer gence of metacognitive abilities around 2 to 3 years and the documented orderly matura tion of the rostrolateral region of the prefrontal cortex. The growth of this prefrontal cor tical region would correlate with the development of new levels of consciousness, in par ticular the transition from minimal to metacognitive levels of self-consciousness (Bunge & Zelazo, 2006; Zelazo, Gao, & Todd, 2007).
Elsewhere (Rochat, 2009), I interpreted the negative affective connotation of mirror selfexperience (embarrassment and self-conscious emotions as opposed to positive jubilation, for example) as expression of a universal tendency to hold an overestimated representa tion about the self that is at odds with what is actually seen by others, the latter "truly" revealed in the mirror. First-person (private) perspective on the self is generally overesti mated compared to third-person (public) perspective. This interpretation is supported by the well-documented illusory superiority phenomenon found in adults (Ames & Kamm rath, 2004; Beer & Hughes, 2010; Hoorens, 1993).
Mirrors would bring about the experience of a generalized gap between private (first-per son) and public (third-person) self-representations, a gap that (p. 391) is a source of basic psychic tension and anxiety, the expression of a generalized social phobia and universal syndrome expressed from age 2 to 3 years (Rochat, 2009).
An alternative interpretation would be that young children shy away from their reflection in the mirror not because they are "self-conscious," but rather because they wrongly con strue the presence of another child staring at them with some kind of a persistent stillface, hence to be avoided. But this is doubtful considering, as we have seen, that very early on infants discriminate between seeing themselves or seeing someone else in a video (Bahrick et al., 1996; Rochat & Striano, 2002).
By showing embarrassment and other so-called secondary emotions (Lewis, 1992), young children demonstrate a propensity toward an evaluation of the self in relation to the so cial world (the "looking-glass self" first proposed by Cooley in his 1902 book). They begin to have others in mind, existing "through" in addition to "with" others.
Secondary emotions such as the embarrassment children begin to express by 2 to 3 years parallel, and are probably linked to, the emergence of symbolic and pretend play. Such play entails, if not at the beginning but at least by 3 to 4 years, some ability to simulate events and roles, to take and elaborate on the perspective of others (Harris, 1991; Stri ano, Tomasello, & Rochat, 2001; Tomasello, 1999; Tomasello, Striano, & Rochat, 1999).
The process of imagining what others might perceive or judge about the self, whether this imagination is implicitly or explicitly expressed, is linked to the cognitive ability of run ning a simulation of others' minds as they encounter the self. There are fantasy and phan tasms involved, the stuff that feeds the self-conscious mind and characterizes a metacog nitive level of self-awareness (i.e., the construal and projection of what others might see and evaluate of us).
Self-Categorizing and Description in Children
Metacognitive self-awareness and the evaluation of self through the eyes of others entail what Michael Lewis called a categorical self-concept: a concept of self as a distinct entity with identifiable characteristics (see Lewis et al., 1989). With language development, the verbal expression of self-conceptualizing changes, not only in richness and complexity, but also in quality or value, showing increasingly a more balanced, less inflated, less onesided, and in some sense more ethical approach toward the construal of identifiable char acteristics of self.
Explicit self-description is related to the vocabulary explosion occurring between 24 and 36 months, children rapidly acquiring new words to qualify what they identify as self (Bates, 1990). From the third year on, children begin to depict themselves as owners, agents, as well as performers, with grammatical accuracy and precise uses of personal pronouns (e.g., "I am 3 years old and I live in a big house with my mother and father, and my brother, and I am very strong").
Harter (1999), following the work of Damon and Hart (1988), distinguishes three main pe riods in the development of explicit (verbal) self-description: very early childhood (3- to 4year-olds); early to middle childhood (5- to 7-year-olds); and middle to late childhood (8to 11-year-olds). Harter shows that 3- to 4-year-olds' self-description is made essentially of highly concrete and compartmentalized (nonarticulated) representations of observable features (e.g., "I can count," "I know my ABCs," "I live in a big house"). It consists of a taxonomic amalgam of physical ("I have curly hair"), performing ("I am very strong"), psychological ("I am happy"), and social attributes ("I have a lot of friends"). These attrib
utes also revolve around possessions ("I have a doll and a brother") and preferences ("I love pizza and candies").
Interestingly, self-attributes in the young child's description entail valuation, typically "unrealistically positive" self-representations, presumably pointing to a lack of skills for social comparison and the distinction between ideal and real self-concepts (Harter, 1999). Young children often allude to their own self-esteem via depicted potency and pretend en actments ("I am very strong. See? I can lift that chair!").
Thus, the early expression of self-worth appears more often than not exaggerated and in flated, at least by North American 3- to 4-year-old children growing up in a culture where parents tend to worry at any signs of self-deflation and excessive timidity in their child. Self-assertiveness (as opposed to respect and self-effacement) is particularly valued and nurtured by parents and educators of Western middle-class children, compared probably to non-Western, more traditional and less urban cultures. The role of socializing agents is indeed important in early self-evaluative and self-esteem processes (Higgins, 1991).
From 5 years of age (early to middle childhood period), Harter finds that children contin ue in their tendency to inflate their own capacities and "virtuosity," cataloging various self-attributed, (p. 392) typically exaggerated talents and competencies in the cognitive, social, or physical (athletic) domains. Compared to 3-year-olds, they begin nevertheless to show signs of forming representational sets combining multiple competencies (e.g., I am good at school, at riding my bike, at having friends, etc.). Another trend in 5-year-olds is their new propensity to present opposite characteristics about the self: "I am good at that, but bad at this." Such progress would correspond, according to Harter, to children's growing general ability to map representations onto one another, here expressed in oppo site sets. This interpretation is in resonance with the neo-Piagetian, information-process ing developmental account proposed by Fischer (1980).
In the third and final period proposed by Harter (1999), 8-year-olds and older children be gin to form higher-order concepts in their self-description, including more global evalua tions of the self and its worth as a person. Children might depict themselves as "smart," a trait acknowledged and understood by the child as encompassing many different skills, including interpersonal, academic, or athletic skills. Children from this age on do tend al so to consider in their self-description that they are made of positive and negative attrib utes that coexist in determining what is relevant to the self. In other words, beyond a mere amalgam of cataloged traits, children integrate in their self-description the opposi tion of identifiable characteristics—for example: "I can be happy but also sad…do good things but also bad things obey but sometime also disobey." With such integration of op posites, the child becomes less black or white, all or nothing, in his or her explicit grasp ing of selfhood, obviously an important cognitive but also emotional and socioaffective step in development. As already stated, by 8 years of age children begin to show a more balanced view in self-description, a tendency that expresses an overall progress in taking an ethical stance toward the self in relation to others as evaluators.
In short, it appears that children become more relativist and measured in their self-depic tion, developing a construal of the self that is morally personified (see above), with a sense of shame, pride, or potential guilt, combining strength and weaknesses in relation to socially shared standards. Reflected in the development of self-description in children, social norms are progressively internalized, as a function of social experience and social adaptation; the experience of communing with family, teachers, and peers; conflicts and rivalry with parents and siblings; but also in the creation of new relationships and social alliances outside of the family (Dunn, 1988). We can assume that it is primarily from this experiential context that children develop self-identification or categorical self-concept as defined above.
The social life of children is made up of novel attachments, intimacy, and self-defining so cial affiliation, beyond the first family bonding or attachment to primary caretaker(s) (Bowlby, 1969/1982). But it is also a life made of conflicts, prejudices, and fears, particu larly the fear of being rejected and not recognized by others (Rochat, 2009). In this con text, self-assertion, or the need to affirm and make room for self in relation to others, plays a central role in shaping and driving self-concept development.
Assertion of the Personified Self in Development
In an intriguing study performed some years ago, researchers asked a sample of over 500 U.S. third- to sixth-graders (8- to 11-year-olds) to fill in a 16-item self-report questionnaire assessing their subjective experience of loneliness and social dissatisfaction (Asher, Hymel, & Renshaw, 1984). On a 5-point scale, children were asked to assess the relative truth of statements such as "I am lonely" or "I feel left out of things." The authors found that over 10% of all children, independently of age or sex, reported strong feelings of loneliness and social dissatisfaction. Validating this self-assessment, the reported feelings of loneliness and social dissatisfaction were significantly correlated with the sociometric status of the child based on peer assessment.
This study shows how much self-conceptualizing in children, particularly its content, de pends on perceived popularity and peer recognition. It also shows how self-conceptualiz ing in development is more than a cognitive exercise: it often involves the objectification of social strength and fragilities, the relative situation of the self in relation to others.
Self-conceptualizing is indeed primarily the process by which we situate ourselves in rela tion to others: how close or how estranged we are in relation to others, what impact and power we have on others. In this respect, children show us that conceiving ourselves might serve a primary social function: the function of asserting who we are in relation to others, an important process by which we capture identifiable characteristics that shape our behaviors, intentions, and social decisions.
Early on, and from the time children are able to objectify themselves as persons, the con tent of these (p. 393) identifiable characteristics (what they are ontologically) is mainly de termined by how they compare to the perceived and represented (belief) characteristics of others. This is evidenced by the inseparable development of self-conceptualizing and
the early formation of gender identity and social prejudice, the way children construe their relative affiliation to particular others by ways of self-inclusion and group identifica tion, as well as by social exclusion: the necessary counterpart of any social identification, affiliation, or alliance (Dunn, 1988; Nesdale et al., 2005).
Extending the original cognitive-developmental work of Kohlberg (1966) on sex-role con cepts and attitudes, researchers observe that by the middle of the third year (i.e., 31 months), children correctly identify their own gender either verbally via labeling, or in a nonverbal sorting task in which they have to match their own picture with the picture of other male or female individuals (Weintraub et al., 1984). Interestingly, the degree of gen der identity expressed by 3-year-olds depends on parental characteristics. Weintraub and colleagues found that, compared to other parents, fathers who have more conservative at titudes toward women, who tend to engage less in activities that are stereotyped as femi nine, and who score low on various femininity scores have children scoring higher on the sorting and labeling gender identity task. This finding is consistent with the role of social experience with more or less highlighted parental sex-role differences in determining the onset of gender identity in development.
In relation to social prejudice, research investigating children's social identity develop ment suggests that, contrary to gender identity, it is only by age 4 to 5 years that children are aware of their own ethnic and racial identity. They begin to show identification and preference for their own ethnic group. They are also aware of the relative status of social groups they might or might not belong to, preferring affiliation with majority (e.g., white Caucasian) rather than minority groups (e.g., Latino or African-American).
Early on, children derive self-esteem, and hence a conception of self-worth, from group membership and group status. According to Nesdale (1999, 2004), ethnic and racial pref erence manifested by 5-year-olds is based on a drive to assert their own ingroup affilia tion, and not yet focusing on the characteristics of outgroup members that they would eventually discriminate or exclude. Social prejudices, whereby some children might find self-assertiveness in focusing on negative aspects of outgroup members, are manifested in development beyond the early ethnic preference phase of young children, no earlier than 7 to 8 years of age based on Nesdale's research and interpretation.
From 7 years of age, children's sense of social affiliation determines their self-identifica tion in relation to others. The norms of the group they feel affiliated with lead them to ap ply particular rules of inclusion or exclusion that determine stereotyped judgments and attitudes toward others. These include ethnic and racial prejudices that are shown to be exacerbated in situations of competition or threat from an outgroup (Nesdale, Maass, Durkin, & Griffiths, 2005). From this age on, the social dynamic of group affiliation plays a significant role in how children conceive of themselves in relation to others, particularly in relation to a selected group of individuals they identify with. In a complementary way, they also begin to specify themselves by disassociation with outgroup members, express ing prejudices and attitudes of exclusion toward them (Nesdale et al., 2005).
From 7 years on, the self and social identity begin to be conceptualized on the basis of combined social affiliation and exclusion processes. These combined processes are con trasting or "bringing out" the self positively by association with some persons and nega tively by dissociation with other. From then on, children are subject to group norm influ ences. They begin to construe their own person through the looking glass of the group they affiliate with, as well as the members of other groups they exclude. In this dual com plementary process, combining affiliation and contrast or opposition to selected others, children manifest new ways of asserting and specifying who they are as persons, for themselves as well as for others.
In summary, social psychology research on identity development, particularly the origins of social prejudice and attitudes, reveals an important aspect of self-conceptualizing in development. This aspect is the process by which children eventually establish and assess their own situation and value in relation to others by combined affiliation and opposition. It reveals how children develop self-concept ultimately to recognize and situate them selves in relation to and through the evaluative eyes of others (see Rochat, 2009, for fur ther discussion of this idea).
Self-esteem or the construal of self-worth depends on such a process. It is an eminently social process that plays a major part in self-concept development from the time children start to conceive (p. 394) of themselves as persons, from the time the self is measured against social norms and standards and conceived as a moral entity among other moral entities.
Summary and Conclusion
In this chapter, I tried to capture major changes as well as determinants in the develop ment of self-conceptualizing. I suggested that from being implicitly aware of their own body from birth, children become capable of objectifying themselves and eventually con struing who they are as persons in relation to others as well as shared social norms. I captured and referred this development to three major steps, each corresponding to what I construe as three layers of meaning about the self. Following the "onion metaphor," in development these layers of meaning would grow on top of each other like three large peels.
From approximately 3 years of age, the concept of self is constituted by these three lev els, each growing as a function of experience and maturation, particularly social experi ence and physical growth, including the growth of postural and bodily capacities as well as accompanying brain changes (not alluded to in the chapter, but see Kagan [1989] for a more detailed brain maturation and biologically oriented interpretation of self-awareness in development).
As children grow and develop new capacities for action and a sense of shared experience with others, they also develop new ways of construing what they are as embodied, and eventually categorized, represented, compared, and evaluated selves in relation to others.
The main idea conveyed in this chapter is that self-concept and self-conceptualizing in de velopment is inseparable from children's developing concept and conceptualizing of oth ers as differentiated and sentient entities that can judge and reject them, with whom the child has to live and share resources.
From the organized experience of an embodied self expressed from the outset (minimal self), children eventually recognize the self as an object of thought and representation (objectified self). Self-objectification, emerging from approximately the middle of the sec ond year, is not just the expression of a new solipsist, self-reflective cognitive skill. It is a process whereby children make themselves public to themselves as well as to others. It is the prerequisite for the development of the child's conception of self as a person, literally the image or mask of "Me" projected and presented to the outside social world, con trolled and managed by the child himself or herself via processes such as emotional dis play rules, deception, role adoption, or exaggerated effusion (personified self).
The personified sense of self emerges from the new consideration by children of social standards and norms against which they begin to compare and measure their self-worth. With the personified self expressed from approximately the middle of the third year, chil dren manifest new kinds of emotions, so-called "self-conscious" emotions, in particular shame, guilt, and pride, but also hubris and contempt. They all capture a new subjective experience arising from some assessment of the self in relation to others, whether they are present or in imagination via social standards that the child starts to internalize (e.g., how things should be and should be done; the stigma of success or failures; the sense of reputation; the sense and values of higher or lower social status).
Developmental research on self-description and social self-identity demonstrates that from the time children objectify themselves and develop as persons, a major aspect of self-concept, possibly even its major function, is self-assertiveness: the assertion of self in relation to others. First explicit self-descriptions as enduring and permanent entities re volve around not yet articulated, discrete identifiable characteristics of the self regarding skills, possessions, power, or preferences. Frequently, as shown by Susan Harter and col leagues, they entail unrealistically positive valuations of the self, representations that contrast and assert the self in relation to others. By 7 to 8 years of age, children become more balanced in describing themselves and more subtle in branding the self, weighing opposite characteristics that can coexist and fluctuate in their expression over time.
Finally, I tried to show that self-conceptualizing in development should not be considered exclusively as a self-contained, "internal" process. Rather, it is a process ultimately geared toward and in response to the outside world, particularly the social world. In the context of the ongoing philosophical debate about the origins and content of the self that I briefly outlined at the beginning of the chapter in order to stake the debate and provide some historical background, I defended a view that is more externalist than internalist.
The self does exist and is a real phenomenon as an experience and psychological repre sentation. It develops following a certain order in the ontogenetic unfolding of various levels of meaning making. If we look for causal explanations, I would say that it is more
likely that this development is triggered by the constraints and basic need of the individ ual to (p. 395) be recognized by others, even selected others, and to maintain affiliation with them (Rochat, 2009).
In terms of proximal psychological mechanisms, my intuition is that self-concept develop ment is more likely driven primarily by external (social) rather than internal (e.g., intro spective skills or maturation) factors. This is most evident when considering the influence of the group on an individual's self-conception, the expression of social attitudes and bur geoning prejudices of children from approximately 7 years of age.
With prejudices and social stereotypes, children express self-assertiveness and an explicit concept of who they are via social contrasting, a process that combines affiliation (identi fication) with selected individuals as well as its necessary counterpart: the rejection of others. As children develop to construe themselves as persons; when they begin to com pare and recognize themselves by transcending the minimal embodied experience in per ception and action that is a given from birth; when they begin from the third year to con ceptualize and measure themselves in reference to social norms; and finally, but not least, as they develop a social identity by group affiliation and rejection, what children achieve ultimately is to become not only self-conscious, but also conscientious individuals. Ulti mately, children develop to conceptualize themselves as principled and moral persons in relation to others.
As philosopher Charles Taylor reminds us: "What we are constantly losing from sight (here) is that being a self is inseparable from existing in a space of moral issues, to do with identity and how one ought to be. It is being able to find one's standpoint in this space, being able to occupy a perspective in it" (Taylor, 1989, p. 112). In relation to selfconcept, children develop ultimately to find and define their own perspective in this space.
Questions for Future Research
1. What is the link between the development of self-concept and the development of theories of mind or folk psychology?
2. What drives self-concept development and what accounts for interindividual differ ences?
3. What is the relation between individual temperament profiles documented in the early months and the development of self-concept?
4. Is there a link between early attachment and the development of self-concept?
5. What is the impact of culture on children's self-concept development (cultures, for example, that tend to emphasize either the value of autonomy and independence or in contrast the value of interdependence)?
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Philippe Rochat
Philippe Rochat is Professor of Psychology at Emory University. | <urn:uuid:dbe88ab8-3829-4ea3-9d6e-3e5b2387bf16> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 101,356 |
CLASS OF 2024
AAS CLASS DAY
YEARBOOK
In 2024, the Department of African American Studies recognizes and celebrates an amazing cohort of Undergraduate Majors and Certificate Recipients.
We extend a heartfelt appreciation to our dedicated faculty and staff for their exceptional efforts in ensuring our students' success. Moreover, we express gratitude to the families and friends of our students for their unwavering support.
AAS CLASS DAY
Order of Events
MONDAY, MAY 27, 2024
Welcome & Opening Remarks
Student Recognition
Senior Awards & Prizes
Closing Remarks
Reception & Celebration
Morrison Hall Patio
# Table of Contents
- About The Department .......................................................... 4
- Advisory Council .......................................................... 4
- Undergraduate Board of Advisers ........................................ 4
- Department Staff .......................................................... 4
- AAS Faculty ................................................................. 5
- Core Faculty .............................................................. 5
- Associated Faculty ....................................................... 6
- Visiting Faculty ........................................................... 8
- Class of 2024 ............................................................... 9
- AAS Majors ............................................................... 9
- Undergraduate Certificate Recipients ................................. 41
- Graduate Certificate Recipients ....................................... 45
- Senior Prizes ............................................................. 53
- Morrison Hall Memories ............................................... 65
The Department of African American Studies at Princeton University provides an exciting and innovative model for teaching and research about African-descended people, with a central focus on their experiences in the United States. We embody this mission in a curriculum that reflects the complex interplay between the political, economic, and cultural forces that shape our understanding of the historic achievements and struggles of African-descended people in this country and around the world.
**Advisory Council**
- Donna Beverly Ford '82
- Brent Henry '69
- Claudia Mitchell-Kernan '94
- Richard J. Powell
- Ruth J. Simmons
**Undergraduate Board of Advisers (UBA)**
- Ella Victoria Harris '25
- Azi Jones '25
- Katrina S. Nix '24
- Collin Riggins '24
**Department Staff**
- Shanda Carmichael, Administrative Assistant
- Anthony K. Gibbons Jr., Communication & Media Specialist
- Jana M. Johnson, Undergraduate/Graduate Administrator
- Elio Lleo, Technical Support Specialist
- April Peters, Manager, Finance & Administration
- Dionne Worthy, Administrative & Events Coordinator
This academic unit has grown from a program to a center, to a department. Today the department hosts some of the most prolific and notable African American Studies scholars in the world.
AAS Core Faculty
Anna Arabindan-Kesson
Associate Professor
Department of African American Studies & Department of Art and Archaeology
Wendy L. Belcher
Professor
Department of African American Studies & Department of Comparative Literature
Ruha Benjamin
Alexander Stewart 1886 Professor of African American Studies and Director of Graduate Affairs (DGA)
Department of African American Studies
Wallace D. Best
Hughes-Rogers Professor and Director, Program in Gender and Sexuality Studies
Department of African American Studies & Department of Religion
Eddie S. Glaude Jr.
James S. McDonnell Distinguished University Professor
Department of African American Studies
Reena N. Goldthree
Assistant Professor
Department of African American Studies
Joshua B. Guild
Associate Professor
Department of African American Studies & Department of History
Tera W. Hunter
Department Chair & Edwards Professor of American History
Department of African American Studies & Department of History
Naomi Murakawa
Associate Professor
Department of African American Studies
Kinohi Nishikawa
Associate Professor and Director of Undergraduate Studies (DUS)
Department of African American Studies & Department of English
Chika O. Okeke-Agulu
Robert Schirmer Professor of Art and Archaeology and African American Studies and Director, Program in African Studies. Director, Africa World Initiative.
Department of African American Studies & Department of Art and Archaeology
Lorgia García Peña
Professor and Director, Program in Latino Studies
Department of African American Studies & Effron Center for the Study of America
Keeanga-Yamahtta Taylor
Hughes-Rogers Professor of African American Studies
Department of African American Studies
Autumn M. Womack
Associate Professor
Department of African American Studies & Department of English
Associated Faculty
Tina M. Campt
Roger S. Berlind '52 Professor of Humanities
Department of Art & Archeology
Rafael Cesar
Assistant Professor
Department of Spanish and Portuguese
Dannelle Gutarra Cordero
Lecturer
Program in Gender and Sexuality Studies
Jacob S. Dlamini
Assistant Professor
Department of History
Paul Frymer
Professor
Department of Politics
Hanna Garth
Assistant Professor
Department of Anthropology
Simon E. Gikandi
Robert Schirmer Professor of English
Department of English
William A. Gleason
Hughes-Rogers Professor
Department of English
V. Mitch McEwen
Assistant Professor
School of Architecture
Dan-El Padilla Peralta
Associate Professor
Department of Classics
Laurence Ralph
Professor
Department of Anthropology
John N. Robinson
Assistant Professor
Department of Sociology
J. Nicole Shelton
Stuart Professor
Department of Psychology
Stacey A. Sinclair
Professor
Princeton School of Public and International & Department of Psychology
LaFleur Stephens-Dougan
Associate Professor
Department of Politics
Nicole Myers Turner
Assistant Professor
Department of Religion
Keith A. Wailoo
Henry Putnam University Professor
Department of History & Princeton School of Public and International Affairs
Visiting Faculty
Leonard Wantchekon
James Madison Professor of Political Economy
Department of Politics & Princeton School of Public and International Affairs
Judith Weisenfeld
Agate Brown and George L. Collord Professor of Religion
Department of Religion
Frederick Wherry
Professor and Director of the Dignity and Debt Network
Department of Sociology
Ismail White
Professor
Department of Politics & Princeton School of Public and International Affairs
Lyndsey P Beutin
Visiting Research Scholar
Department of African American Studies
Allison Guess
Visiting Research Scholar
Department of African American Studies
Marcus Lee
Cotsen Postdoctoral Fellow in LGBT Studies in the Society of Fellows and Lecturer
Department of African American Studies & Princeton Humanities Council
Ayah Nuriddin
Cotsen Postdoctoral Fellow in the Society of Fellows and Lecturer
Department of African American Studies & Princeton Humanities Council
Kevon Rhiney
Currie C. and Thomas A. Barron Visiting Professor in the Environment and Humanities High Meadows Environmental Institute (HMEI).
Department of African American Studies & Department of Anthropology
CONGRATULATIONS
Class of 2024
Photo by Collin Riggins
Eton College is committed to creating an environment where all students feel valued, respected and supported. We recognise that our students come from diverse backgrounds and experiences, and we strive to provide opportunities for them to thrive academically, socially and personally.
We believe in the power of education to transform lives, and we are dedicated to providing a high-quality, inclusive educational experience for all our students. Our aim is to foster a sense of community and belonging among our students, and to help them develop the skills and knowledge they need to succeed in their future endeavours.
At Eton College, we celebrate diversity and encourage our students to embrace their unique identities. We offer a range of support services and resources to help students navigate the challenges of school life, and we work closely with parents and guardians to ensure that everyone feels welcome and supported.
We are proud of our commitment to inclusivity and equality, and we are committed to continuing to improve our practices to ensure that all students have access to the same opportunities and resources. We believe that by working together, we can create a brighter future for all our students.
2024 AAS MAJOR
Khari Franklin
SUBFIELD
African American Culture & Life (AACL)
Photo by Collin Riggins
Khari Franklin is graduating with an African American Culture & Life (AACL) focus in the African American Studies Department. He hails from Atlanta, Georgia, and is a proud student, artist, and activist who centers his Muslim and Black identities both inside and outside of the classroom. His Princeton career featured involvement as a member of the Muslim Student’s Association, Co-President of the Black Men’s Association, Co-Captain of Princeton Mock Trial, and Artistic Director/Choreographer for several dance groups. His culminating thesis focused on the potential for West African dance traditions to foster cultural, political, and pedagogical change.
**Your favorite AAS course, and why?**
I must succumb to the truism that no single AAS course was more fulfilling than another. Special shoutout to Eddie Glaude for AAS 230 – *The Fire This Time* (Reading James Baldwin), where he guided us through Baldwin’s dissection of America’s cultural, political, and social pathologies regarding race and inclinations towards hope. Ruha Benjamin’s AAS 339 – *Black Mirror: Race After Technology*, was instrumental in helping actualize my imaginative capabilities towards a way forward.
**Senior Thesis Adviser**
*Keeanga-Yamahtta Taylor*
*Hughes-Rogers Professor of African American Studies, Department of African American Studies*
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**Senior Thesis Title**
*I Bet You Won’t Get Crunk: Explorations of West Africanist Dance Traditions In Diasporic Contexts*
The South got something to say. For generations, southern artists, scholars, and dancers have used their art forms to advocate for socio-cultural change both on and off the stage. In a national era dominated by consumerism, identity politics, and cultural conflict, this thesis asks how several black women from the South simultaneously embody the titles of dancer, scholar, artist, and activist. ‘I Bet You Won’t Get Crunk’ hopes to demonstrate the breadth of their contributions to American and global politics, culture, and education and imagine how dancers can recommit to the revolutionary ethos of movement off-stage.
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“The wise statement is the lost property of the believer, so wherever he finds it, then he is more worthy of it.”
– Narrated by Abu Hurairah (ra): that the Messenger of Allah
2024 AAS MAJOR
Kris H. Grant
SUBFIELD
Global Race and Ethnicity (GRE)
Photo by Collin Riggins
Kris is a major in African American Studies with certificates in Latin American Studies and Gender and Sexuality Studies. Kris is primarily interested in Caribbean art and transnational resistance across the region and the Global South. After growing up in Kingston, Jamaica and leaving home at a very young age, Kris started seeking out communities which emphasized collective care and abolition as being foundational to building new, nurturing futures. To Kris, African American Studies is one of the few departments that she believes is capable of providing her with a radical education. At the moment of writing, Kris is involved with the Pride Alliance, the Gender and Sexuality Resource Center, the Ida B. Wells Just Data Lab and the African Students Association at Princeton. Feel free to reach out to Kris if you have any questions about the department or just want to make a friend!
**Senior Thesis Adviser**
**Reena N. Goldthree**
*Assistant Professor, Department of African American Studies*
**Senior Thesis Title**
"Monstrous Mothers": An Exploration of the Pathologization of Black Women's Reproduction in Victorian Jamaica
Kristal Grant is to be congratulated for writing a thesis that engages with a complicated topic: the relationship of race and gender to the construction of post-Emancipation Jamaica. Grant explores this by focusing on photographs and travel narratives produced during the latter decades of the nineteenth-century, a period now known as the “New Jamaica.”
Elise Victoria Hogan
2024 AAS MAJOR
SUBFIELD
African American Culture & Life (AACL)
Photo by Collin Riggins
Elise is an undergraduate concentrator in the Department of African American Studies receiving a certificate in Portuguese. Her junior and senior independent work focused on Black contemporary literature with a particular interest in Black female authors of the 21st century. Following graduation, Elise will be moving to Washington, D.C., and hopes one day to pursue graduate education in English or African American Studies.
**Your favorite AAS course, and why?**
Professor Glaude’s James Baldwin seminar or Professor Womack’s African American Literature: Origins to 1910 course. They were both wonderful and incredibly engaging. I learned so much.
**Senior Thesis Adviser**
**Autumn Womack**
*Associate Professor, Department of African American Studies & Department of English*
**Senior Thesis Title**
*Freeing the “Tragic Mulatta”: Nella Larsen’s Passing and its Contemporary Revivals*
Freeing the “Tragic Mulatta”: Nella Larsen’s Passing and its Contemporary Revivals is a theoretically sharp and eloquently written analysis of the place of racial “passing” in literary production and cultural politics. Across the thesis’s three chapters and conclusion, Elise considers how and why passing has been adapted and adopted by Black female cultural producers at key historical junctures.
“You think your pain and your heartbreak are unprecedented in the history of the world, but then you read. It was books that taught me that the things that tormented me most were the very things that connected me with all the people who were alive, who had ever been alive.”
— James Baldwin
2024 AAS MAJOR
Jewel Justice
SUBFIELD
African American Culture & Life (AACL)
Photo by Collin Riggins
Jewel Justice is a writer, journalist, dancer, artist, and racial justice advocate from Wilmington, Delaware who now lives in South Jersey. Creating, reflecting, watching TV and movies, and spending time with people she loves energizes her. Also, Jewel is heavily invested in safety, equity, liberation, making space, and advancing anti-racism for Black people. Her journey as an African American Studies major has been extremely fruitful and helped ground her thinking about these topics, from the lens of culture and history.
Jewel is constantly thinking about how we can form safe, nurturing spaces for people of color to exist and flourish in. During her time at Princeton, she has witnessed firsthand the racism and exclusion embedded in the institution’s policies, structures, administrative tactics, and physical spaces. As such, her approach has been finding holes and gaps in terms of justice and writing about them to bring awareness; she will continue this after Princeton in the field of journalism.
**Your favorite AAS course, and why?**
My favorite AAS course is tied between two courses: AAS 230, *The Fire Next Time*, taught by Professor Eddie Glaude, and THR 392/AAS 347, *Performing the Black ‘90s*. The first course, which was on James Baldwin’s writings, was powerful. It was a seminar, so we all read texts each week and just came together and discussed the content and their implications. Baldwin’s writing is genius, poignant, and always relevant, and Professor Glaude’s teaching and scholarship are masterful. The second course, which I enjoyed just as much, was Professor Rhaisa Williams’ class on the Black ‘90s. I grew up on many of the shows, movies, music, and culture that we discussed in the course, but hearing about the politics and history surrounding that era made everything mean so much more to me. Also, theater and performance offer such an affordable lens to consider life and culture.
**Senior Thesis Adviser**
*Tera Hunter*
*Department Chair & Edwards Professor of American History, Department of African American Studies & Department of History*
**Senior Thesis Title**
*Issa Rae’s “Creative Empire”: How Authenticity is Challenged by Art’s Relationship with Capitalism*
This paper examines how the relationship between art and capitalism interacts with “authentic” and representative art that Black artists produce. I focus on creative, writer, producer, and entrepreneur Issa Rae’s “creative empire” of work, which consists of mainly visual art and TV entertainment, as well as product-focused businesses. Rae is a part of a network of Black woman writers and producers who have challenged previous representations of Black women on TV. She has, as I point out, displayed Black life in a uniquely authentic way. The term “authenticity” refers to art that is created from the truth of artists’ experiences and, in turn, mirrors the experiences of those artists represented in their work.
2024 AAS MAJOR
Kakuyon Mataeh
SUBFIELD
Race and Public Policy (RPP)
Photo by Collin Riggins
Senior Thesis Adviser
Keeanga-Yamahtta Taylor
Hughes-Rogers Professor of African American Studies,
Department of African American Studies
Senior Thesis Title
The Disenfranchisement of Black Americans in an AI-Driven Pharmaceutical System: Prioritizing Profit over Improving Accuracy and Minimizing Harm
This thesis is an in-depth social science, journalistic, and machine learning approach to examining automated medicinal capitalism and its disproportionate harms inflicted upon Black folk.
Katrina S. Nix
2024 AAS MAJOR
SUBFIELD
Race and Public Policy (RPP)
Photo by Collin Riggins
Kat Nix is a 2024 pre-law student on the Race and Public Policy Track in the African American Studies Department. Kat is pursuing a certificate in Spanish Language & Culture and is also pursuing fieldwork in both Visual Arts and Creative Writing as they are a poet, photographer, and filmmaker. They are passionate about equal justice, safe space curation, and helping communities thrive and heal. They are from Wilmington, Delaware and the Caribbean island of Barbados, and it is much of this background that inspired their passion for helping people, intercultural learning, and lounging in the sun. They will miss the care and value of the AAS Department, but they look forward to taking this newfound knowledge and worldview with them as they enter the work force.
**Your favorite AAS course, and why?**
My favorite course was the first one I ever took freshman fall, AAS 201. It brought me into AAS and the university in such a pivotal way, causing me to confirm my decision to major in AAS. It was taught by Professors Glaude and Perry that year, and I remember just being captivated and drawn into the field and the Department through their teaching.
**Senior Thesis Adviser**
*Ruha Benjamin*
*Alexander Stewart 1886 Professor of African American Studies, Department of African American Studies*
**Senior Thesis Title**
*Permission*
"Permission", is a thesis documentary focused on giving people the space to confront their grief. The space to let down their walls and let our community know that it is okay to do more than cope, that there is duality in perseverance and expressing emotion, that survivalism comes at a cost and our minds and hearts have been the ones to pay it for a long time now. I seek to share people's stories, pain, experiences, joy, and the cyclical hardship that is grief. The space is a conversation meant to explore grief, how we as a community grieve, how we've learned to grieve, why we process in certain ways, and what it means to practice healthy models of grieving and healing. Through this work, I seek to discover new and old ways of healing, as we confront a long history of impermissible grief emotion.
"Every individual has his or her own power, and it's a matter of working, taking time and defining what that power is."
– Jill Scott
2024 AAS MAJOR
Brooklyn Northcross
SUBFIELD
African American Culture & Life (AACL)
Photo by Collin Riggins
Hailing from Detroit, Michigan, Brooklyn Northcross is a graduate of the African American Studies department. In her studies, she is interested in the function of African American culture, paying particular attention to how such culture manifests in the black metropolis. Through this line of inquiry, she hopes to not only understand the history of the urban African American experience, but also ponder the potential of black futurity. Her senior thesis explores creative placemaking in Detroit and archives recent grassroots efforts that work toward making communities of care and belonging amidst forces of displacement and dispossession. On campus, Brooklyn was involved in the Ida B. Wells Just Data Lab, Princeton Association of Black Women, and Dorobucci Dance Company. She is passionate about infusing creativity into her academic interests through film and photography.
**Senior Thesis Title**
*Through the Eyes of the Beholden: A Mosaic of Grassroots Creative Placemaking in Detroit*
A stellar work of scholarship that asks how Black working-class residents of Detroit engage in creative placemaking against the backdrop of top-down efforts by city officials, architects, and urban planners to impose their values and visions onto the city. In this way, Brooklyn is making a critical scholarly and policy intervention while championing the right to self-determination of everyday people.
**Brooklyn Northcross selected as the winner for the Princeton Prize in Race Relations Senior Thesis Prize, Endowed by the Princeton University Class of 1966!**
The Princeton Prize in Race Relations Senior Thesis Prize, endowed by the Princeton University Class of 1966, is awarded annually to a member of the senior class, irrespective of academic concentration, whose senior thesis adds significantly to our understanding of issues of race and race relations in the United States, broadly defined.
*"You don’t have to know all the answers to press for a vision."* – Mariame Kaba
**Your favorite AAS course, and why?**
I am grateful for the junior seminar course because it introduced me to texts that have been very pivotal to my thinking and seeing. I appreciated the stimulating environment curated by Professor Murakawa and Professor Hunter that demystified the process of independent research and encouraged collaborative thinking.
**Senior Thesis Adviser**
**Ruha Benjamin**
Alexander Stewart 1886 Professor of African American Studies, Department of African American Studies
2024 AAS MAJOR
Ayanequé Pennant
SUBFIELD
Race and Public Policy (RPP)
Photo by Collin Riggins
Avanequé Pennant is a member of the class of 2024, originally from Jamaica and living in Queens, NY. Grounded in her passion for service, Avanequé joined the department to enter a community of intellectually passionate and socially minded individuals that would help her to mobilize around her education as a tool for change.
Academically, she is interested in the utility of an interdisciplinary and intersectional lens to interrogate the production and reproduction of inequities in contemporary American society. More specifically, Avanequé is curious about the role of policies in the perpetuation of inequity. Avanequé is also intrigued by how identity, both individually and collectively, is formed, maintained, and remade in the face of hegemonic pressures and systems of oppression.
On campus, Avanequé serves as an Associate Residential College Adviser in Forbes College. She is also the president of DoroBucci African Dance Company and social chair of Princeton Caribbean Connection. Through these activities, Avanequé aspires to ensure the creation of spaces that center the identity, safety, and well-being of students.
After Princeton, Avanequé hopes to attend law school to equip herself and her community to wield the law as a tool for justice, healing, and change.
"Now faith is confidence in what we hope for and assurance about what we do not see."
- Hebrews 11:1 (NIV)
Your favorite AAS course, and why?
My favorite AAS course has been AAS 318: Black Women and Spiritual Narrative, taught by Professor Wallace Best. This course not only allowed me to delve into literary works that had long piqued my interest but also provided a platform to critically examine the profound role of religious symbolism within narrative accounts of African American women.
Senior Thesis Adviser
Ruha Benjamin
Alexander Stewart 1886 Professor of African American Studies,
Department of African American Studies
Senior Thesis Title
Solidarity In Theory vs. Practice: An Analysis of International Activist Discourse, Ethos & Methods in the Transnational Movement Against “Murder Music”
In this outstanding and ambitious thesis, Avanequé Pennant examines the transnational campaigns against homophobic violence in Jamaica that targeted dancehall artists accused of promoting homophobia through their music and interviews. Avanequé’s stellar thesis is a model of rigorous and politically-engaged interdisciplinary research.
Kennedy Primus
SUBFIELD
Global Race and Ethnicity (GRE)
Kennedy Primus is graduating from the Department of African American Studies with certificates in Environmental Studies and Latin American Studies. She conducted her senior thesis research on methods of resistance among enslaved people. Her other academic interests include ethnomusicology and visual arts. During her time at Princeton, she has served as a board member for The Standard and performed with the African Music Ensemble. She also worked as an intern with the Department of Sociology, the National Museum of African American Music, HMEI and The Seed Farm, and The Long-Tailed Macaque Project. She is thankful for the professors, staff, community members, and friends who have transformed her experience at Princeton. She would like to thank her family members for supporting her during her academic journey.
**Your favorite AAS course, and why?**
My favorite AAS course has been Caribbean Women’s History with Professor Reena Goldthree. This was one of the first classes I had which focused on the Caribbean. I enjoyed learning about the role women played in resisting imperialism and their strategies for bringing about social change. I learned so much from my professor and classmates about the role of literature and religion in the Caribbean, which I hope to continue studying after I graduate.
**Senior Thesis Adviser**
**Joshua Guild**
*Associate Professor, Department of African American Studies & Department of History*
**Senior Thesis Title**
*Still Waters Run Deep: Enslaved Resistance within the North Atlantic, 1700-1850*
During the 18th and 19th centuries, enslaved people staged revolutions, fled and formed their own communities, and sabotaged plantations. Enslaved people conducted these actions on or near waterways and oceans. In my thesis, I draw a connection between these resistance methods and the aquatic environments in which they occurred. Enslaved people spread information about revolutions throughout the Black Atlantic and passed down knowledge about their surroundings. By understanding the connections between communities of enslaved people, I can understand how their actions disrupted plantation landscapes. I employ social network theory, analyze historical records, and look at archeological evidence to understand enslaved people’s networks. I find that enslaved people had a marked impact on waterway systems, bolstering their region-wide efforts towards abolition. My research helps us to understand enslaved communities as widely connected networks which relied on and shaped aquatic networks.
"As writers, what we do is remember. And to remember this world is to create it."
– Toni Morrison
Collin Riggins
2024 AAS MAJOR
SUBFIELD
African American Culture & Life (AACL)
Photo by Collin Riggins
Collin Riggins is a student from Kansas City, Missouri who is majoring in African American Studies and minoring in Visual Arts and Statistics & Machine Learning. In Collin’s work, he is most fascinated by the archive; calling on deep interests in data science and black artistic expression, Collin thinks about how both individual and collective African American histories appear in archival spaces. He hopes that through creative engagement with the archive, we can create an expansive portrait of the African American experience that honors diverse subjectivities, tells underlooked stories, and offers a better understanding of black culture today.
On campus, Collin is involved in the Ida B. Wells Just Data Lab where he is currently co-producing a film that challenges dominant depictions of safety in popular culture in order to reimagine community wellbeing through a holistic lens. He is also an active member of the vibrant arts scene, a member of the AAS Undergraduate Board of Advisors, and a Residential College Adviser for Forbes College. To decompress, Collin enjoys catching live music, throwing down in the kitchen, and kicking it with friends and fam.
**Senior Thesis Adviser**
**Autumn Womack**
*Associate Professor, Department of African American Studies & Department of English*
**Senior Thesis Title**
*Cotton Stains: Popular Culture, Imagination, and Black Cotton Production*
In *Cotton Stains: Popular Culture, Imagination, and Black Cotton Production* Collin Riggins offers a conceptually expansive and artfully articulated radical historiography of cotton. Unlike dominant historical accounts of cotton production in the United States, Collin does not imagine this as a project that is strictly historical (that is backwards looking or pitched in the past tense). Instead, Collin sets out to “chase” the story of blackness and cotton in the United States.
2024 AAS MAJOR
Sara Ryave
SUBFIELD
African American Culture & Life (AACL)
Sara is an African American Studies major in the class of 2024, hailing from Los Angeles. Her research interests include radical historiography, the American West, and Black intellectual thought. On campus she is an active member of WPRB (Princeton’s radio station) and the Alliance of Jewish Progressives, as well as a proud part of the Rocky–Mathey Dining Hall team. In her free time she enjoys taking a nice long walk.
**Your favorite AAS course, and why?**
Black Radical Tradition with Dr. Marcus Lee. This class introduced me to mind-blowing texts from Cedric Robinson, Sadiya Hartman, and more. It introduced me to radical historiography and showed me the power to retell history is still in our hands.
**Senior Thesis Adviser**
**Chika Okeke-Agulu**
Robert Schirmer Professor of Art and Archaeology and African American Studies and Director, Program in African Studies. Director, Africa World Initiative.
**Senior Thesis Title**
**Hip Hop Radio on WPRB, 1988-1998**
A truly remarkable work of writing a critical history of hip-hop programs on the Princeton-based WPRB, the oldest and reputedly the most successful commercial campus radio in the United States. The thesis focuses on the decade when hip-hop emerged as the dominant musical genre in the US.
"If I am not for myself, who will be for me? And being for myself, what am I? And if not now, when?"
– R Hillel the Elder
Mollika Jai Singh
SUBFIELD
Global Race and Ethnicity (GRE)
Mollika Jai Singh (they/she) is a poet, journalist, and scholar from San Diego and Maryland. Mollika is grateful for the Department recognizing that creative work and scholarly work go together, and that Asian American Studies and African American Studies are connected, especially under the condition that the University currently does not allow students to major in Asian American Studies. At the Department, she worked as the Communications and Journalism Assistant. Mollika is earning certificates in Creative Writing and South Asian Studies.
At Princeton, Mollika wrote and edited extensively in *The Daily Princetonian* before defecting to *The Nassau Weekly* and WPRB News and Culture, where she has covered culture for over two years. After serving as Managing Editor for Nassau Literary Review, Mollika co-founded Positions Magazine with Daniel Yu and Julia Shin, the first publication on campus dedicated to Asian/American students’ writing and art, and one of very few to publish all submissions. She proudly performed as a member of Ellipses Slam Poetry.
Mollika has organized with Students for Prison Education, Abolition and Reform, the South Asian Progressive Alliance and Princeton Israeli Apartheid Divest.
"What remains to be thought through may be precisely our melancholic affinities to the differences that define and reject us. For 'love' is not the solution to, but rather the very site for, ethical investigation." – Anne Anlin Cheng
**Your favorite AAS course, and why?**
My favorite AAS course was Topics in Global Race and Ethnicity: Race, Revolution, and Counterrevolution taught by Dr. Navid Farnia, who is now a professor at Wayne State University. In my sophomore spring, I gave English, Philosophy, and African American Studies each their best shot by taking courses that most intrigued me in each department. Dr. Farnia’s teaching and my classmates’ enthusiasm blew away the other possibilities. I learned that AAS was the place to learn how things change, not how to keep the status quo.
**Senior Thesis Adviser**
**Wendy L. Belcher**
Professor, Department of African American Studies & Department of Comparative Literature
**Senior Thesis Title**
**Before the Commune: Aunties in Service of Family Abolition**
Family abolition and critical auntie studies are two fields of research which have as yet not crossed. Family abolition literature often suggests that the commune should replace the family. However, the commune arises from inflection points such as protests and breakdowns in government. Before those occasions, aunties outside of the family represent care networks outside of the family already underway.
2024 AAS MAJOR
Storm Stokes
SUBFIELD
Global Race and Ethnicity (GRE)
Storm Stokes is a member of the class of 2024, originally from Metro-Detroit, Michigan. She was drawn to the AAS department by the rich opportunity to engage socially and politically significant work through multiple disciplinary methods. Her independent research collapses literary and political history, philosophy, and multi-medium dance and material art to theorize about the lived experiences of femme and queer persons who practice(d) Afro Protestant Christianity. She has utilized courses in African American Literary and Political history, Feminist and Queer Literature and organizing, Feminism in Christian Antiquity, Socio-Politically Significant Practices of Site Based Dance, and intensive choreographic training to translate complex black studies theories into critical site specific, installation, and proscenium based dance works. Her preliminary thesis research–resulting in an original, multi-medium dance production entitled ‘i, heresy’ and her written project in the African American Studies Department– was awarded and generously supported by the Alex Grant and the Rogers Jr’80 Sr Thesis Fund.
Outside of the department, Storm pursued a certificate in the Program in Dance and has received the program specific awards for “Outstanding Work” both her sophomore and junior year. Storm has also maintained leadership roles in several professional and extra-curricular programs as follows: Head Fellow as a third year tutor in the Princeton Writing Center; Research Associate in the Ida B. Wells JUST Data Lab; Curriculum Developer and Board member for the Princeton Prize in Race Relations (Symposium); Intern for the Executive Director of the Congressional Black Caucus; Choreographer and Publicity Manager of diSiac Dance Company; Carl A. Fields Center ‘Fields Fellow;’ and more.
**Senior Thesis Adviser**
**Joshua Guild**
Associate Professor, Department of African American Studies & Department of History
**Senior Thesis Title**
*i, heresy: A Black Studies and Dance Movement Research Intervention on Radical Reimagination of Black Liberation Theology*
We are in a transitional time– where political ideologies of black liberation are explicitly expanding to include class, gender, and queer, intersectional political interests. This thesis posits that to be a black Christian pursuing liberation at this historical time requires deconstruction of old spiritual realities and ideologies, while engaging in the reimagination of black liberation theology. This thesis is grounded in two distinct approaches; a close reading and intervention in social and political history; then secondly through a multi-medium dance production which reflects this analytical intervention. This thesis aims to center the voice of black, queer, femme persons in (black) liberation theology ideologies. In chapter one, I explore embodiment theory– an interdisciplinary and multi-medium approach to understanding the connection between dance movement and black studies critical theory, including the conjecture of socio-political significance. In chapter two, I focus on deconstruction of past political and religious ideologies, exposing spiritual dissonance with the old political ideological tradition which validates the dominant, white supremacist, masculinist, and heteronormative order of the state. And finally, in chapter three I address this spiritual dissonance by looking to the feminist, origins of Christian church practices to validate the reimagination of a black liberation theology.
Myla Wailoo
2024 AAS MAJOR
SUBFIELD
Global Race and Ethnicity (GRE)
After considering five different majors ranging from Anthropology to Neuroscience Myla fell in love with African American Studies her sophomore Spring. Now a proud member of the AAS Department, she is additionally receiving certificates in Linguistics and the Program in Latin American Studies. Myla is particularly interested in Afro-Caribbean and Latin American history and culture, having also done independent work exploring language and linguistics in Black communities, specifically researching the linguistic history surrounding Black Deaf education in the United States.
Outside of her studies, Myla is a member of Princeton’s Mock Trial team, and is a Guggenheim Fellow in Criminal Justice. After graduating she is interested in going to law school, where she is excited to learn more about immigration law and advocacy as a potential career path.
**Senior Thesis Title**
*Contemporary Afrofuturistic Brazilian Art: Carrying the Legacy of Quilombola Culture and Life*
Afrofuturistic Brazilian artwork remains largely unexplored, with much of the scholarly work on Brazilian Afrofuturism focusing instead on film, music and literature. This thesis examines Afrofuturistic Brazilian art, concentrating on works that emerge from quilombos – communities established by escaped slaves that continue to exist today. Beyond its conventional portrayal as a cultural and artistic movement, Afrofuturism – defined as futurism that focuses on Black themes – functions as a methodological framework in this study. The thesis dissects Afrofuturistic quilombo art to discern which elements of quilombo culture appear most frequently, arguing that the most recurring visual themes relate to Black Brazilian religions, as well as to nature and tradition in quilombos. The study contends that these cultural motifs serve as narrative devices that carry the legacy of quilombo culture and life, additionally acting as a means for artists’ works to reconcile the past and present in envisioning a future that best serves Afro-Brazilians.
“All that you touch You Change. All that you Change Changes you. The only lasting truth Is Change.”
– Octavia E. Butler, *Parable of the Sower*
What's next for our Majors?
"I will be working for a year in the community and business growth, before going on to attend law school in the 2025 school year."
- Katrina Nix
"After graduating, I will be working as an Investigator at Brooklyn Defender Services, a public defense office in NYC.
- Myla Wailoo
"My focus for the next year will be reconnecting with the spirited activist landscape in Detroit and contributing to ongoing organizing efforts. Afterward, I aim to pursue a PhD program specializing in Black studies"
- Brooklyn Northcross
"I will be attending Indiana University—Bloomington in the fall to pursue an MFA in Creative Writing and MA in English."
- Mollika Jai Singh
"After graduation, I look forward to continuing my academic exploration of the intersection between black studies and critical dance research and pedagogy and applying my skillset toward abolitionist and transformative justice community organizing."
- Storm Stokes
"Immediately after graduating, I plan to return home to Atlanta and begin my career in business. I ultimately aspire to commit my focus to education and political organizing."
- Khari Franklin
"I will be attending Law School in the Fall."
- Avanequé Pennant
"After graduation, I hope to work in the environmental policy field. My long-term plans are to apply to graduate school to study international affairs."
- Kennedy Primus
"I plan to continue my education with the Teacher Preparation Program at Princeton. I hope to become a high school History teacher and teach back in California"
- Sara Ryave
"After college, I plan to pursue investigative, arts, and cultural multi-media journalism, telling stories about people in underrepresented communities in an authentic way."
- Jewel Justice
AAS Undergraduate Certificate Recipients
Destiny Allen
Forbes College
Persis Akua Baah
Rockefeller College
Akhila Bandlora
Forbes College
Noah Bereketab
Rockefeller College
Samuel Julius Bisno
Forbes College
Ayinde E. Bradford
Forbes College
Harlowe Brumett-Dunn
Rockefeller College
David Chmielewski
New College West
| Name | College |
|--------------------|------------------|
| Caleb Coleman | Rockefeller College |
| Benjamin Crewe | Mathey College |
| Carrington Elcan | Rockefeller College |
| Mashonica Evans | New College West |
| Gedeon Guercin | Whitman College |
| Zakiya Helm | New College West |
| Carrington Johnson | Mathey College |
| Deaisha Johnson | Rockefeller College |
| Jordan Johnson | Mathey College |
| Svetlana Johnson | Mathey College |
| Name | College |
|-----------------------|------------------|
| Tanéyah A. Jolly | Butler College |
| Elizabeth Poku | Butler College |
| Jessica Jean Scott | Mathey College |
| Mohan Setty-Charity | Mathey College |
| Isabella Shutt | Mathey College |
| Sierra Rose Stern | Forbes College |
| Jalynn Thompson | New College West |
| Beianka Tomlinson | Yeh College |
| Jalen Travis | New College West |
| Bethany Villaruz | New College West |
Emmett Willford
New College West
LaJayzia Wright
Yeh College
2024 AAS Graduate Certificate Recipients
Lindsay Griffiths Brown
Doctoral Candidate, Department of English
Lindsay Griffiths Brown is Assistant Professor of English at Lafayette College. As of May 2024, she has earned her PhD in English from Princeton University with a graduate certificate in African American Studies. She previously received her B.A. in English and Spanish Translation at Hunter College and her Masters in English at Princeton University. She is an interdisciplinary scholar of Black diasporic literatures, as well as theories and practices of translation. Griffiths Brown is also the translator of several works, including Mercedes Cebrián’s Burp: Adventures in Eating and Cooking (2018), and co-translator (with Adrián Izquierdo) of the short story collection No One Really Knows Why People Shout (2023) by Mario Michelen.
Future Plans
Lindsay Griffiths Brown will be starting this fall as a tenure-track professor in the department of English at Lafayette College in Easton, PA.
Dissertation | Defense Date: May 1, 2024
“Taking Liberties: Loose Translation Across the Black Diaspora”
Keren Ashley Dillard
Masters of Architecture Professional Degree Candidate, School of Architecture
Keren Dillard is an architectural designer, researcher, and journalist from Yonkers, New York. She is a graduate of Barnard College where she completed her undergraduate degree in Architecture with a double minor in Africana Studies and Italian Studies. Keren has received her Masters of Architecture from Princeton University School of Architecture with certification in African American Studies. Keren’s work is grounded in cultural preservation and forward design thinking for the advancement of African American and African Diasporic communities across the United States. Her research deals closely with Black housing, ghettoes, and enclaves, as she is an advocate for equitable design in research and practice. Keren’s written design journalism work has been published in The Architects Newspaper, Dwell, Azure, Dezeen, and Architectural Digest’s Clever.
Future Plans
Keren will be returning home to NY and continue working towards licensure for the practice of architecture in the state of New York. Additionally, as a wood-furniture maker, Keren plans to continue growing her small business post-graduation.
Dissertation | Defense Date: May 13, 2024
"Testing Signals: Afro-transmissions from Architectural Nexus"
Michael James Harrington earned his Ph.D. from Princeton University in the Department of English, with certificates in Gender and Sexuality Studies and African American Studies. He has taught courses in English literature and composition at Fordham University. In September 2024, Michael will begin serving as an Assistant Professor and Faculty Fellow in the Provost’s Postdoctoral Fellowship Program at New York University.
While at Princeton, Michael was awarded a 2022-2023 Bain–Swiggett Assistant in Research Fellowship. He was the inaugural graduate assistant for Organizing Stories, a student-focused initiative supported by a Humanities Council Exploratory Grant to explore the relationship between storytelling and activism. Michael also served as graduate director of Poetry@Princeton and head librarian of the Bain–Swiggett Library of Contemporary Poetry. He is a Pushcart-nominated poet and co-writer of a Time Magazine Top 10 Video Games of 2018.
**Future Plans**
Assistant Professor/Faculty Fellow in the Provost’s Postdoctoral Fellowship Program at NYU
**Dissertation | Defense Date: April 30, 2024**
"Always Been Queer: Retracing Masculinity"
Annabelle Elizabeth Haynes
Doctoral Candidate, Department of English
Annabelle E. Haynes is graduating with a PhD in English and a graduate certificate in African American Studies, in May 2024. She is also the recipient of a 2023–2024 Princeton Institute for International and Regional Studies (PIIRS) Graduate Fellowship at Princeton University. Before coming to Princeton, she earned a BA in English from Mount Holyoke College, an MSc in Development Studies from the London School of Economics and Political Science, as well as an MA in English from Georgetown University. Her current research analyzes the confluence of postcolonial development discourse and literary experimentation, with special attention to works by Caribbean women writers. More broadly, Annabelle’s research interests include African diasporic literature, Caribbean studies, development studies, aesthetics and politics, postcolonialism, and the environmental humanities. She is a newly appointed Assistant Professor in the English Department at Hofstra University.
Future Plans
Annabelle Haynes will be an Assistant Professor of African American and African Diasporic Literature in the English Department at Hofstra University, as of fall 2024.
Dissertation | Defense Date: May 7, 2024
Island Imaginaries: Women Writers Mapping Freedom Beyond Development in Caribbean Literature from 1980-2020
Mikey McGovern is a historian of science, race, law, and technology focused on the history of data: why and how we measure what we do. His current book project tells the story of how civil rights lawyers embraced statistical proof of discrimination and the impact of their efforts on criminal justice data, employee evaluation, and legal doctrine in the modern United States. By providing a historical account of the opportunities and hazards of quantitative frameworks for racial justice, Mikey seeks to inform discussions about discrimination in our current era of big data and machine learning. His work has been supported by the Princeton Mellon Initiative, the William Nelson Cromwell Foundation, the American Society for Legal History, and the Consortium for the History of Science, Technology, and Medicine.
**Future Plans**
Resident Fellow (Postdoctoral Research Associate), Information Society Project, Yale Law School
**Dissertation | Defense Date:** July 23, 2023
*Justice in Numbers: Statistics and the Transformation of Civil Rights in Modern America*
Jessica Renee Womack
Doctoral Candidate, Department of African American Studies & Department of Art & Archaeology
Jessica Womack earned her Ph.D. from Princeton’s Department of Art and Archaeology in May 2024 and was awarded graduate certificates in Latin American Studies and African American Studies. Her dissertation, “Nation in the Making”: Art, Politics, and Statecraft in Jamaica after 1962, examines Jamaican art of the post-independence period; tracing the mid-to-late-twentieth-century negotiations, partnerships, and tensions between artists, arts institutions, and government agencies and officials, it probes the politics and practices of exhibition and display in Jamaica at the time and explores how these relationships were informed by—and also shaped—broader diplomatic, political, economic, and artistic concerns as Jamaica transitioned to statehood. Jessica earned her AB from Dartmouth College in 2014 and her MA from Princeton University in 2019. During her time at Princeton, she worked as a Scholars Institute Fellows Program graduate fellow and the project manager of digital humanities research project Art Hx: Visual and Medical Legacies of British Colonialism. She also was awarded a Graduate School Teaching Award and the George S. Heyer Graduate Fellowship in American/Modern Art History.
Future Plans
Before reentering the workforce, Jessica will be spending time with her new infant, who was born just a few months before her defense. Additionally, she will prepare sections of her dissertation for publication as well as work on a curatorial/writing project focusing on Jamaican art.
Dissertation | Defense Date: May 7, 2024
“Nation in the Making”: Art, Politics, and Statecraft in Jamaica after 1962
"Congratulations everyone! We have so much to be proud of. I can't wait to see what success our futures bring."
- Elise Hogan '24
AAS Spirit Award
2024 Award Winners: Khari Franklin’24, Kris Grant’24, Brooklyn Northcross’24, & Sara Ryave’24
This award is selected by AAS staff and is given to a senior for their positive contributions to the Department. It recognizes students who formally or informally assist the faculty, students, and staff.
The Badi Foster Distinguished Senior Prize in African American Studies
2024 Award Winners: Khari Franklin’24 & Storm Stokes’24
Awarded annually to the senior Major who has distinguished themselves academically as well as beyond the classroom, reflecting a commitment to the intellectual, political, and artistic traditions in African American Studies.
Outstanding Junior Paper in African American Studies Prize
2024 Award Winner: Avanequé Pennant’24
This prize is awarded to the senior who submitted the most outstanding Junior Paper.
Ruth J. Simmons Thesis Prize
2024 Award Winners: Collin Riggins'24 & Brooklyn Northcross'24
This prize is awarded to the African American Studies senior whose senior thesis best exhibits excellence in research and writing within the field of African American Studies. Ruth J. Simmons, Prairie View A&M University President, President Emerita of Brown University, and an honorary member of the Department of African American Studies Advisory Council, generously endowed the prize.
The Stephanie Gates Prize in African American Studies
2024 Award Winner: Elise Hogan'24
This prize is named in honor of Stephanie Gates class of 1975. The prize is awarded annually to the senior major who has distinguished themselves academically with the highest overall GPA.
"I love you all dearly. I hope we stay connected and continue resisting, dreaming, and dancing together."
- Khari Franklin '24
American Studies in Action
The American Studies program is committed to fostering a community that values diversity, equity, and inclusion. We celebrate our students' achievements and support their growth through various initiatives and events.
Top left: Students participate in a protest, advocating for Palestinian rights.
Top right: Faculty members pose with students, highlighting the collaborative spirit of the program.
Bottom left: A student proudly displays his graduation year, celebrating his academic journey.
Bottom right: Students engage with the American Studies program, showcasing their enthusiasm and involvement.
The Department of African American Studies is proud to announce the recipients of the 2024 Scholarships and Awards. These students have demonstrated exceptional academic achievement, leadership, and commitment to their community. Congratulations to all!
"We did it! Congratulations, everyone. I thank each and every one of you for your brilliant ideas and support. It has been an honor sharing intellectual space with you, as well as getting to know you all. I wish you all the best after Princeton."
- Jewel Justice '24
"To my fellow AAS graduates of the Class of 2024, thank you for learning beside me, challenging me to think beyond my own experience, and making me proud to be a piece of this department. As we journey beyond the walls of Morrison Hall, let us carry on the ever-important legacies of our ancestors and all whose knowledge we build upon."
- Brooklyn Northcross'24
"Congratulations! Thank you for the laughter, the support, and the memories that we have shared throughout our time. May your futures be bright, your hearts be full, and your dreams soar to new heights!"
- Avanequé Pennant'24
"I feel blessed to have learned and grown with you all. Thank you for making these last few years really special <3. WE DID IT!"
- Sara Ryave'24
"Thank you for always being supportive and enthusiastic when it comes to my poetry. And remember: once a student activist, always a student activist. Pick up the history from our books and put it back into the streets."
- Mollika Jai Singh '24
"Share your artistic gifts with as many people as possible! Collaborate and dream up new ideas with those around you."
- Kennedy Primus'24
"Throughout our time together, I am grateful for the way we have probed one another to evaluate the way the research and theory we engage and create actually impacts the lived experiences of ourselves and our communities. I am hopeful that our original and critically creative ideas will manifest as interpersonal, communal, and professional daily practices that emblemize our reimagination of a society that is (to borrow Ruth Wilson Gilmore's words) life affirming."
- Storm Stokes'24
Best memory at Morrison Hall?
"Every moment spent laughing, discussing African American studies, conversing organically, eating, learning, loving, and in existing in community with other Black people in Morrison Hall—my favorite memory is all those moments combined, which make up my time here."
- Jewel Justice'24
"Last Year's holiday party (2023)"
- Katrina Nix'24
"My favorite memories of Morrison Hall are a blend of moments from the Senior Colloquium. There is not much more fulfilling than dreaming alongside my classmates."
- Khari Franklin'24
"The holiday parties in Morrison Hall are memories that I will forever cherish. Celebrating the holiday season with the people who make the AAS department feel like home always put a smile on my face amidst the chaos at the end of the fall semester."
- Brooklyn Northcross'24
"At our junior year holiday party, we received sweaters with our first names on the back like jerseys. In that moment, I knew I chose the right department, not for the incredible merchandise, but because I felt no hesitation about repping this part of this institution."
- Mollika Jai Singh'24
"My most cherished memories in Morrison Hall are probably the late, late nights many of us in the cohort spent writing, revising, and workshopping our junior papers. I also am particularly partial to the hours of fellowship with Dionne and one another before and after class."
- Storm Stokes'24
"My favorite memories in Morrison Hall are those where my classmates and I shared our artistic endeavors and invited our peers to support us in them. I always enjoyed returning the next day to congratulate them on their successes."
- Kennedy Primus'24
"Working on our JPs together the night before the deadline! We were all locked in... suffering really brings people together."
- Sara Ryave'24
Stay Connected
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TENDINȚE CONTEMPORANE ÎN DEZVOLTAREA DECONTĂRILOR BANCARE
ÎN REPUBLICA MOLDOVA
Olga ȘTEFANIUC
Catedra Finanțe și Bănci
The effective settlement and payment systems that allow to establish transactions in a safe way and in due time, represent a determinative factor for monetary and financial stability of any country. That is why the central bank is responsible for the function of licensing and supervision of important payment systems, in order to protect the financial system of a country from the treat of destabilization, due to failures of payment and settlement systems. Through compliance with its obligations registered systems, the central bank aspires to protect the monetary and financial systems from possible hazards, as a consequence of a failure of any payment system. As it is noticed in the document of International Settlements Banks, the observation of payment and settlement systems is the function of the central bank. At the same time, the reliability and efficiency purposes are achieved by the monitoring of existing and planned systems, its rates in corresponding to these purposes, and if necessary, changes' initiation.
Decontările între agenții economici reprezintă o parte importantă pentru economia contemporană. Asigurarea acestor decontări este o funcție majoră a băncilor comerciale. Toate băncile au obligația de a se implica în organizarea decontărilor. Schimbările care au avut loc în sectorul bancar în ultimele decenii au adus la transformarea spectaculoasă a relațiilor interbancare, inclusiv în domeniul decontărilor. Semnificativ au evoluat modurile de organizare, instrumentele de decontare, tehnologiile de primire și de prelucrare a documentelor de decontare, principiile de asigurare a realității decontărilor.
Setul de înțelegeri privind descărcarea obligațiilor asumate de agenții economici, ori de câte ori aceștia achiziționează resurse reale și financiare, formează sistemul de plăți. Un sistem de plăți contemporan este structurat în felul următor: instituțiile care furnizează servicii de plăți, formele de creanțe transferate, metodele și mijloacele de transfer ale acestor creanțe, inclusiv controlul mesajelor de instrucțiuni, canalele de comunicație, relațiile contractuale.
Scopul principal al sistemului de plăți constă în asigurarea circuitului monetar în timp util și în executarea garantată a obligațiunilor de plăți ale agenților economici. Principiile de bază ale funcționării sistemului de plăți sunt siguranța, calitatea și rapiditatea decontărilor, precum și relevanța și eficacitatea costurilor.
În mod direct, în organizarea operațiunilor de decontări este implicată Banca Națională a Moldovei, căreia îi revine sarcina de a elabora cadrul normativ și de a facilita operațiunile de virament ale băncilor comerciale prin intermediul decontărilor interbancare. Prin aceste atribuții Banca Națională se situează în ipostaza de centru unic de decontare la nivelul întregii țări (Fig.1).
Fig.1. Derularea decontărilor interbancare prin SAPI.
În anul 2003 BNM a lansat un proces de modernizare a sistemului național de plăți. Procesul de reformare și modernizare a sistemului național de plăți a constat în implementarea Sistemului Automatizat de Plăți Interbancare (SAPI), care este la ziua de azi pivotul sistemului de plăți din republică, și în asigurarea cadrului normativ cu privire la instrumentele moderne de plată și la deservirea bancară la distanță. Implementarea sistemului modern de decontare pe plan național a avut ca obiective generale:
- introducerea unui sistem care corespunde celor mai bune practici și standarde internaționale;
- majorarea vitezei de circulație a mijloacelor bănești;
- facilitarea dezvoltării economiei prin sporirea securității și a eficienței sistemului de plăți interbancare;
- stabilirea unei baze legale bine fundamentate pentru sistemele de decontare de importanță sistemică;
- asigurarea unor mecanisme sigure și eficiente de gestionare a riscurilor;
- facilitarea utilizării instrumentelor moderne de plată.
Decontarea transferurilor în SAPI se realizează prin două tehnici [1]:
1. Decontarea pe bază brută în timp real, când transferurile sunt finalizate pentru fiecare client implicat pentru plățile urgente și de mare valoare. Mesajele sunt schimbate pentru fiecare pereche de bănci, separat pentru încasări și pentru plăți, multiplicându-se canalele de comunicație. În acest sistem sunt procesate atât ordine de plată privind transferurile urgente și de mare valoare, cât și ordine incaso privind efectuarea percepierii în mod incontestabil în conformitate cu actele normative în vigoare. Avantajul principal al acestei forme de construcție a sistemului de plăți constă în minimizarea riscului de neplată. Un alt avantaj constă în posibilitatea organizării decontărilor cu rapiditate ridicată chiar și în timp real. Dezavantajul constă în existența riscului de a nu face plățile din cauza insuficienței lichidității pe contul plățitorului. Efectuarea plăților la timp depinde în întregime de disponibilitatea mijloacelor în conturile participanților sau de valoarea limită de credit.
2. Decontarea pe bază netă se realizează prin procesarea pachetelor cu documentele de plată transmise de participanți și prin calcularea pozițiilor nete multilaterale ale acestora. În acest sistem sunt procesate atât ordine de plată privind transferurile de credit, cât și cereri de plată privind debitarea directă. Sistemul operează conform principiului de compensare și decontare pe bază netă, efectuând compensarea plăților transmise de participanți și remiterea rezultatelor compensării spre decontare în sistemul de decontare în timp real.
În cadrul activității în sistemul automatizat de plăți interbancare participanții pot fi expuși riscului de lichiditate și riscului operațional [2].
Riscul de lichiditate apare în caz dacă participantul nu dispune de mijloace bănești suficiente în contul său de decontare. În vederea limitării expunerii la acest risc băncile sunt obligate să monitorizeze solduri și rulaj din conturi de decontare, să monitorizeze pozițiile nete calculate de către sistemul automatizat de plăți, să administreze cozile de așteptare la contul de decontare. În același scop BNM asigură participanții cu informația necesară privind activitatea acestora în sistem automatizat de plăți interbancare, acordă credite intraday și overnight băncilor participante la sistemul de plăți, inițiază mecanismul automatizat de deblocare în cazul blocării plăților la unul sau mai mulți participanți.
Riscul operațional apare în cazul gestionării ineficiente a mijloacelor software și hardware aferente SAPI și al erorilor generate de neglijența, neatenția, calificarea insuficientă a personalului responsabil de administrarea procedurilor legate de activitatea în acest sistem. În scopul gestionării și minimizării acestui risc, participanții și BNM urmează să asigure implementarea măsurilor necesare pentru administrarea și exploatarea eficientă a mijloacelor tehnice aferente SAPI, precum și pentru asigurarea continuității activității în situații de incident.
Implementarea sistemului modern de decontări are anumite beneficii pentru clienții băncilor, dintre care putem menționa:
- obligativitatea pentru bănci de a procesa plățile în ziua primirii acestora, chiar și a plăților care nu sunt urgente;
- diminuarea timpului necesar pentru procesarea plăților urgente, de la cel puțin 5 ore până la 20-30 de minute;
- instrumente de plată moderne – transfer de credit și debitarea directă;
- premise la nivel de infrastructură pentru promovarea plăților electronice;
- clientul poate verifica dacă banca și-a onorat angajamentul, banca fiind obligată să-i pună la dispoziție confirmările necesare.
De asemenea, toate băncile comerciale au obligația de a se implica în organizarea decontărilor atât în relațiile ce privesc propriile conturi, cât și în legătură cu decontările intrabancare. În acest sens, băncilor le revin următoarele atribuții:
- să ofere clienților cele mai potrivite servicii bancare ce vizează sfera decontărilor, astfel încât să se realizeze o accelerare a fluxurilor bănești, situație benefică atât pentru titularul de cont, cât și pentru bancă. În condițiile percepierii unor comisioane pentru efectuarea operațiunilor de decontare, băncile vor fi interesate să efectueze cât mai multe viramente;
- să fie receptive la solicitările pe care le formulazează titularii de cont în legătură cu folosirea modalităților și instrumentelor de plată, în sensul de a le facilita servicii bancare de calitate. Principala cerință a clienților băncii în acest domeniu de activitate este ca transferul sumelor să se facă într-un timp cât mai scurt;
- să urmărească respectarea drepturilor și obligațiilor părților implicate în relațiile de decontare. În acest sens, băncile au posibilitatea să supravegheze ca toate încasările și plațile să fie generate de procese economice reale. De asemenea, băncile au posibilitatea să respingă de la plată acele documente de decontare care nu reflectă realitatea. Aceste aspecte vor fi urmărite cu atenție, în special în situația în care plățitorul are angajat un credit la banca respectivă. În felul acesta pot fi prevenite situații de intrare în incapacitate de plată și manifestările de blocaj financiar, deturările de fonduri și formarea de imobilizări, aspecte care în prezent se manifestă la nivelul multor societăți comerciale;
- să aibă în vedere îmbunătățirea în permanență a tehniciilor și instrumentelor privind operațiunile fără numerar. Astfel, pe linia perfectionării decontărilor, se impune cu prioritate efectuarea plaților în limita disponibilităților evidențiate în conturile bancare, fie că aceste disponibilități sunt generate de capitalurile proprii, fie că provin din împrumuturi sau din alte surse externe. Aceasta determină titularii de conturi să se preocupă, în permanență, de buna gestionare a mijloacelor materiale și bănești de care dispun.
Pentru desfășurarea în condiții normale a decontărilor între agenții economici, în sensul accelerării transferului de sume între conturi, se impune ca acestea să se efectueze în cadrul unor termene riguros stabilite.
Decontarea prin virament reprezintă un procedeu special de plată care se însărcuiște prin transferul sumei dintr-un cont în altul, prin debitarea contului plățitor și creditarea contului beneficiar. Apariția instrumentelor de decontare este legată de numeroasele dificultăți pe care le prezintă modul de plată tradițional, prin numear, concretizate în problemele privind depozitarea, manipularea, transportul și securizarea valorilor, probleme atât de natură tehnică vizând transportarea, supravegherea etc., cât și financiară – datorate costurilor aferente operațiunilor în cauză. În procesul utilizării instrumentelor de decontare, majoritatea acestora îndeplinesc un dublu rol. Ca instrumente de plată fără numerar, ele prezintă o dispoziție sau obligație asumată de către emițent. În același timp, având în vedere faptul că avem de-a face cu o plată amănătată, ele pot fi considerate și ca instrumente de credit, caz în care sumei transferate către beneficiar îl poate fi asociată o anumită dobândă. Mai mult, anumite instrumente din asortimentul cardurilor au și calitatea de instrumente de economisire și garantare.
Avantajele decontărilor prin virament sunt următoarele:
- nu este nevoie de a transporta numerarul de la un agent economic la altul;
- reduc riscul de sustragere a numerarului;
- gradul de asigurare a decontărilor este mai înalt;
- confirmarea decontărilor cu documentele de plată.
În cadrul operațiunilor de decontare sunt implicate:
- **emițentul** – persoana care emite un document de decontare;
- **plățitorul** – persoana din contul căreia se efectuează transferul mijloacelor bănești;
- **banca plățitoare** – banca care în baza documentului de decontare efectuează transferul mijloacelor bănești;
- **beneficiarul** – persoana în favoarea căreia se transferă mijloacele bănești;
- **banca beneficiară** – banca care finalizează operațiunile de decontare efectuând operațiunile relevante.
Decontarea prin virament se realizează pe baza următoarelor documente:
- **ordinul de plată** – document de plată în baza căruia se efectuează transferul de credit;
- **cererea de plată** – document de plată în baza căruia se efectuează debitarea directă;
- **ordinul incaso** – document de plată în baza căruia se efectuează perceperea în mod incontestabil a mijloacelor bănești din conturile contribuabilului/debitorului.
Documentele de decontare se întocmesc pe formulare-tip, care trebuie să corespundă normelor tehnice expuse în regulamentele respective. Orice document de decontare în mod obligatoriu trebuie să conțină:
- denumirea documentului de decontare;
- numărul documentului, data, luna și anul emiterii;
- codul tipului documentului de decontare;
- denumirea, codul, adresa sediului băncii plătitoare și ale băncii beneficiare;
- denumirea plătitorului și numărul contului lui la bancă;
- denumirea beneficiarului și numărul contului;
- codul fiscal al plătitorului;
- destinația platii;
- suma platii înscrisă cu cifre și litere;
- semnăturile și amprenta ștampiliei emitentului documentului de plată.
În documentele de decontare nu se admite corectări și greșeli. Documentele de decontare ce contravin normelor stabilite sunt considerate nevalabile și nu se execută. Funcționarul bancar responsabil de executarea documentelor de decontare este obligat să verifice completarea corectă a rechizitelor necesare.
Transferul de credit [3] reprezintă o serie de operațiuni care încep prin emiterea de către emitent a ordinului de plată și executarea de către banca-plătitoare a acestuia în scopul punerii la dispoziția beneficiarului a unei sume de mijloace bănești și se finalizează prin înregistrarea de către banca-beneficiară a sumei respective în contul beneficiarului. Transferul de credit poate fi efectuat atât în lei moldovenești, cât și în valută străină.
În funcție de specificul utilizării, transferul de credit se clasifică în:
- transfer ordinar;
- transfer bugetar.
Transferul ordinar este utilizat în scopul efectuării tuturor platilor, și anume: pentru achitarea mărfurilor livrate sau a serviciilor acordate și care nu se referă la bugetul public național.
Transferul bugetar este utilizat în scopul efectuării platilor care se referă numai la bugetul public național pentru achitarea taxelor, impozitelor etc.
Atât transferul ordinar, cât și cel bugetar poate fi utilizat și pentru platile cu caracter de periodicitate, la date programate și sume fixe – transfer programat, care se efectuează de către bancă în numele titularului de cont bancar în anumite intervale de timp, conform prevederilor contractului de mandat.
În funcție de solicitarea clientului, transferul de credit poate fi efectuat:
- în regim de urgență – transfer urgent, sau
- în regim normal – transfer normal.
Transferul de credit se efectuează în baza ordinului de plată întocmit de către emitentul acestuia.
Banca-plătitoare acceptă spre executare ordinul de plată dacă plătitorul are deschis cont bancar la banca-plătitoare; mijloacele bănești din contul plătitorului sunt suficiente pentru efectuarea transferului; asupra mijloacelor bănești din contul plătitorului nu sunt aplicate restricții privind utilizarea acestora din partea organelor abilitate prin lege; ordinul de plată este întocmit în conformitate cu cerințele reglementate; la ordinul de plată este anexat documentul justificativ, în cazul în care acest fapt este prevăzut de actele normative în vigoare.
Banca-plătitoare trece la scăderi suma înscrișă în ordinul de plată acceptat spre executare în ziua prezantării acestuia și îl transmite în aceeași zi prin intermediul sistemului automatizat de plăți interbancare în adresa băncii beneficiare; sau, prin sistemul intern al băncii, în adresa beneficiarului, în cazul în care plătitorul și beneficiarul se deservesc în aceeași bancă; sau prin alt sistem utilizat de bancă, în cazul transferului în valută străină.
Banca-beneficiară, după recepționarea ordinului de plată de la banca-plătitoare prin intermediul sistemului automatizat de plăți interbancare, efectuează în aceeași zi lucrătoare controlul corectitudinii indicării contului bancar și a codului fiscal ale beneficiarului. Dacă aceste date din ordinul de plată sunt indicate corect, transferul de credit se consideră finalizat și banca-beneficiară înregistrează imediat mijloacele bănești în contul bancar al beneficiarului și tipărește două exemplare ale ordinului de plată; primul exemplar îl remite beneficiarului, al doilea exemplar îl include în dosar.
În cazul în care transferul de credit nu poate fi finalizat, banca-beneficiară restituie băncii-plătitoare suma respectivă nu mai târziu de ziua lucrătoare următoare celei în care aceasta a fost primită, întocmind un ordin de plată în care indică codul tranzacției respective și se face referință la ordinul de plată transmis eronat de către banca-plătitoare.
Debitarea directă [4] este o modalitate de plată care constă în debitarea de către banca-plătitoare a contului bancar al plățitorului cu suma platăi indicată în cererea de plată, emisă de beneficiar, și în creditarea corespunzătoare de către banca-beneficiară a contului bancar al beneficiarului. Debitarea contului bancar al plățitorului de către banca-plătitoare se efectuează în conformitate cu mandatul de debitare directă, iar creditearea corespunzătoare de către banca-beneficiară a contului bancar al beneficiarului – în conformitate cu angajamentul privind debitarea directă.
Mandatul de debitare directă este un act juridic prin care plățitorul acordă o împuternicire unui anumit beneficiar pentru a emite cereri de plată, precum și băncii-plătitoare pentru a-i debita contul cu sumele indicate în cererile de plată.
Mandatul de debitare directă se întocmește în trei exemplare. Primul exemplar al mandatului de debitare directă se păstrează la banca-plătitoare, al doilea exemplar se păstrează la plățitor, iar al treilea exemplar se prezintă de către plățitor beneficiarului.
Angajamentul privind debitarea directă este acordul încheiat între beneficiar și banca-beneficiară ce cuprinde obligațiile acestora în cadrul utilizării debitării directe. Angajamentul privind debitarea directă se întocmește de către beneficiar în două exemplare. Primul exemplar al angajamentului se păstrează la banca-beneficiară, iar al doilea la beneficiar. Prin debitarea directă pot fi efectuate platăile în lei moldovenești pentru orice tip de servicii prestate, lucrări execute și mărfuri livrate.
Debitarea directă se efectuează în baza cererii de plată emise de către beneficiar, în limba de stat. Cererea de plată se prezintă de către beneficiar la banca-beneficiară în două exemplare. Primul exemplar al cererii de plată se legalizează cu semnăturile persoanelor cu drept de semnătură și cu ștampilă beneficiarului.
Cererea de plată urmează a fi prezentată la banca-beneficiară cu trei zile lucrătoare înainte de data finalizării platăi. Data finalizării platăi se indică de către beneficiar în cererea de plată și reprezintă data în care banca-beneficiară urmează să crediteze contul beneficiarului. Cu două zile lucrătoare înainte de data finalizării platăi banca-beneficiară transmite cererea de plată prin Sistemul Automatizat de Plăți Interbancare băncii-plătitoare. Banca-plătitoare, printrind cererea de plată din SAPI, efectuează controlul posibilității executării acesteia, verificând corectitudinea indicării contului bancar și a codului fiscal ale plățitorului; corespunderea cererii de plată mandatului de debitare directă; posibilitatea debitării contului bancar al plățitorului cu suma integrală indicată în cererea de plată; nu sunt aplicate restricții din partea organelor abilitate prin lege de a utiliza mijloacele din contul plățitorului.
Dacă cererea de plată este acceptată spre executare, banca-plătitoare debitează contul bancar al plățitorului, iar SAPI efectuează compensarea și decontarea cererii de plată. În ziua debitării contului bancar al plățitorului, banca-plătitoare imprimă pe suport de hârtie două exemplare ale cererii de plată pe care aplică mențiunile necesare. Primul exemplar al cererii de plată se include de către banca-plătitoare în dosar, al doilea exemplar se remite, anexat la extrasul de cont, plățitorului. Cel târziu în ziua lucrătoare următoare celei în care a fost primită din SAPI informația cu privire la compensarea și decontarea cererii de plată, banca-beneficiară creditează contul beneficiarului cu suma indicată în cererea de plată și aplică mențiunile necesare pe primul și pe al doilea exemplar ale cererii de plată. Primul exemplar al cererii de plată se include de către banca beneficiară în dosar. Al doilea exemplar al cererii de plată se remite, anexat la extrasul de cont, beneficiarului.
Perceperea în mod incontestabil [5] a mijloacelor bănești din conturile bancare ale contribuabilului/debitorului se efectuează de către banca în baza ordinului incaso emis de către persoana abilitată prin lege cu acest drept, cu excepția percepierii în mod incontestabil a mijloacelor bănești din conturile bancare ale Trezoreriei de Stat. Ordinul incaso se emite:
a) în două exemplare – în cazul în care emitentul ordinului incaso este în calitate de beneficiar;
b) în trei exemplare – în cazul în care emitentul este împuternicit prin lege cu dreptul de a emite ordin incaso în numele unei țețe persoane.
Primul exemplar al ordinului incaso se legalizează cu semnăturile persoanelor cu drept de semnătură și cu amprenta ștampiliei emitentului și se prezintă nemijlocit de către emitent la banca în care se deservește emitentul nu mai târziu de o zi lucrătoare după ziua emiterii. Banca emitentului aplică pe primul exemplar al ordinului incaso mențiunile necesare și în aceeași zi îl remite spre executare băncii-plătitoare. Banca-plătitoare acceptă spre executare ordinul incaso, dacă sunt respectate următoarele condiții:
a) ordinul incaso este emis de către persoana abilitată prin lege;
b) ordinul incaso este întocmit în conformitate cu prevederile legislative;
c) ordinul incaso este însoțit de originalul documentului executoriu (în cazul în care acesta a fost întocmit în baza documentului executoriu);
d) informația din documentul executoriu corespunde cu informația indicată în ordinul incaso;
e) pe ordinul incaso sunt aplicate semnătura și amprenta ștampilor băncii în care se deserveste emitentul;
f) mijloacele bănești în cont sunt suficiente pentru executarea totală sau parțială a sumei înscrise în ordinul incaso și disponibile pentru a fi utilizate (asupra acestora nu este aplicată procedura de suspendare sau sechestrare sau în urma aplicării acestora a fost asigurată suma necesară).
Pe ordinul incaso acceptat spre executare banca-plătitoare aplica mențiunile necesare și trece la scăderi suma totală sau parțială înscrisă în ordinul incaso în ziua primirii acestuia spre executare. Primul exemplar al ordinului incaso se include în dosarul băncii-plătitoare. Al doilea exemplar al ordinului incaso și copia documentului executoriu se remit plătitorului alăturat la extrasul de cont bancar. Al treilea exemplar al ordinului incaso se remite băncii în care se deserveste emitentul imputernicit cu dreptul de a emite ordin incaso în numele unei terțe persoane, pentru a fi prezentat emitentului.
Plățile externe sunt rezultatul încheierii unor tranzacții externe fie la nivelul economiei reale, prin vânzarea/cumpărarea bunurilor sau acordarea serviciilor, fie la nivelul piețelor financiare, prin tranzacții valutare sau de valori mobiliare. Structura procesului de decontare a plăților externe constituie un lanț de relații între conturi corespondente. Tipul relației de corespondent depinde de nivelul de liberalizare a sistemului financiar și de convertibilitatea monedei naționale. În alegerea partenerilor de corespondență băncile selectează partenerii reieșind din relațiile economice ale clienților. În general, relațiile corespondente presupun totalitatea modalităților de colaborare dintre două bănci, bazată pe îndeplinirea corectă și consecventă a angajamentelor reciproce. În scopul soluționării problemelor de informare în tranzacțiile internaționale, partenerii utilizează tehnologii moderne de comunicație, ceea ce determină creșterea complexității proceselor de decontare și scăderea duratei acestora. În prezent, pe plan mondial funcționează mai multe sisteme care procesează decontarea plăților externe și administrează riscurile aferente, din care fac parte:
- Sistemul de plăți privat CHIPS utilizat de Asociația Caselor de Cliring din New York, operând decontarea pe bază netă;
- Sistemul de plăți TARGET, operând decontări pe bază brută, aparținând Uniunii Europene;
- Sistemul SWIFT, operând cu diferite tehnici de decontare etc.
În prezent asistăm la o dezvoltare informatională fără precedent, ceea ce a făcut să se producă schimbări esențiale și în decontările bancare. Ca urmări remarcabile ale dezvoltării tehnologiei informaționale și a telecomunicațiilor au apărut plățile electronice. Sistemele de plăți electronice sunt cea mai dinamică parte a economiei informatizate, digitale, locale, regionale și globale. Cele mai importante componente ale acestor sisteme sunt sistemele de plăți prin carduri, comerțul electronic și transferurile electronice de fonduri interbancare și între companii. Toate acestea presupun existența, la scară globală, a unor rețele de telecomunicații vaste, cum ar fi MasterCard și Visa sau rețeaua SWIFT. Plățile electronice oferă beneficii evidente, în principal comoditate și viteză, tuturor părților implicate într-o tranzacție economică: sistemului bancar, clienților, comercianților.
Marea parte a volumului plăților electronice se realizează prin intermediul cardurilor bancare. În acest context, principalele activități ale băncilor se referă la emiterea cardurilor, operaționalizarea relațiilor de acceptare a acestora și procesarea lor. Evident că pe fluxul operațional apar și alte operațuni, printre care verificarea tranzacțiilor, autorizarea sau refuzul de plată, decontarea și altele.
Pentru a se apropia mai mult de clienți, băncile au dezvoltat unele sisteme ce permit oferirea unor servicii personalizate în timp real, la domiciliul clientului. Între acestea o poziție privilegiată ocupă banca la domiciliu sau home-banking-ul.
Home banking-ul oferă clientului posibilitatea de a se conecta la centrul de calcul al băncii prin intermediul telefonului, televizorului sau computerului ca mijloace de comunicație. Clientul trebuie să se identifice printr-o parolă, pentru a avea acces la sistemul băncii. După validarea accesului, el poate solicita și obține informații privind conturile sau operațiunile sale sau poate cere efectuarea de operațiuni de debitare/creditate a conturilor sale. În urma efectuării acestor operațiuni, banca îi va remite acestuia extrasele de cont, care confirmă executarea decontărilor.
Tehnologia home-banking a obținut cea mai largă răspândire prin intermediul serviciilor prin telefon sau telephone banking. Astfel, prin telefon, clienții pot consulta soldurile conturilor și pot realiza transferuri.
Pentru accesarea acestui serviciu de la un telefon cu tastatură, se formează numărul serviciului bancar telefonic și după audierea mesajului robotului telefonic, prin intermediul unui centru de apel, se tastează codul numeric personal și, după confirmarea accesului, codul operațiunii ce se dorește a fi efectuată în contul titularului. După obținerea detaliilor privind operațiunea de decontare, prin sistemul electronic va fi efectuată operațiunea de transfer al mijloacelor bănești. Rezultatele operațiunii de decontare vor fi reflectate în baza de date a băncii și vor fi transmise și clientului prin intermediul centrului telefonic al băncii.
Față de decontările clasice, acest sistem are anumite beneficii, cum ar fi:
- creșterea calității serviciilor oferite de bănci și a loialității clientilor prin accesul automat și continuu al acestora la efectuarea operațiunilor dorite;
- creșterea competitivității băncii în atragerea clientilor prin performanțele superioare ale serviciilor oferite;
- îmbunătățirea alocării resurselor financiare prin rapiditatea informării și luării deciziilor de către clienți;
- menținerea costurilor în limite relativ reduse;
- promovarea automată a produselor și a serviciilor băncii.
O altă componentă a sistemului plăților electronice este e-banking-ul. Serviciile e-Bank oferă date referitoare la: ordinele de plată și extrasele de cont; informațiile bancare; schimbul valutar; situația conturilor. Sistemul permite clienților introducerea tuturor ordinelor de plată, pe care le au de făcut partenerilor de afaceri, cu trimiterea automată către bancă, unde sunt verificate și prelucrate, eliminând necesitatea deplasării clientului pentru a aduce personal aceste documente. După prelucrare, clientului îi sunt transmise confirmările operațiunilor efectuate de bancă în contul clientului. Sistemul oferă clientului posibilitatea de a obține în orice moment extrasul de pe cont pe ziua curentă sau pe o perioadă specificată de acesta. În paralel, clientul primește de la bancă cu ajutorul acestui sistem informații la zi privind situația tuturor conturilor proprii, precum și informații privind serviciile oferite de bancă.
Dacă ultimul deceniu al secolului XX a consensat crearea unor sintagme precum e-business, e-commerce, e-banking, care evidențiază implicarea tehnologiilor electronice în domeniile respective, din 1997 au început să apară și sintagme precum m-business, m-commerce, m-banking, semnificând utilizarea rețelelor mobile de telefonia digitală, care permit folosirea ca interfață utilizator a telefonului celular. Prin intermediul telefonului mobil clientul poate accesa sistemul băncii dacă se identifică printr-o cheie sau parolă validă. Odată ce a fost acceptat, el poate introduce de la tastatura telefonului codul și detaliiile operațiunii solicitate de către bancă. După executarea operațiunii rezultatele acesteia sunt comunicate pe ecranul telefonului. În principiu, m-banking dă clienților posibilitatea să realizeze tranzacții oriunde și oricând, iar mărimea ecranului și faptul că telefonul mobil este un instrument de folosință personală asigură un grad de confidențialitate maximă acestui serviciu. Dezvoltarea serviciilor de m-banking reprezintă una dintre direcțiile principale de acțiune a băncilor din Moldova în diversificarea gamei de servicii oferite și în atragerea unui număr sporit de clienți.
Tehnologia Internet-banking constituie etapa imediat următoare e-banking-ului. Dacă la e-banking serviciul nu se putea accesa decât de la calculatorul instalat în companie sau la domiciliu, Internet-banking-ul poate fi accesat de la orice calculator conectat la Internet. Internet-banking-ul se integrează simplu în sistemul de management bancar existent, permitând clienților aflați la distanță să realizeze operațiuni precum cele cu ordine de plată, vânzări/cumpărări de valută, creare, alimentare sau retragere de depozite etc. Un produs de tip Internet-banking permite conectarea unuia sau a mai multor servere web cu serverul principal al băncii, printr-un modul de back-office responsabil de transferul bidirecțional al informației, definirea schemelor de validare a operațiunilor pentru client și bancă, configurarea fluxului de date și obținerea documentelor specifice tranzacțiilor efectuate de către clienti.
Principala problemă care trebuie avută în vedere implementând acest serviciu constă în asigurarea securității comunicațiilor prin Internet. Internetul oferă băncilor avantaje strategice, cum ar fi: costuri totale scăzute pentru bancă, comunicații îmbunătățite în interiorul băncii și în relația cu clienții, pătrunderea pe piete noi, facilitarea proceselor de fuziune și achiziție.
Băncile care implementează tehnologii noi își câștigă o imagine mai atractivă pe piață, pot reacționa mai rapid la cerințele pieței prin dezvoltarea și livrarea produselor noi și, ca urmare, atrag un număr de clienți mai ridicat grație avantajelor oferite acestora.
Așadar, tehnologiile de decontare se referă la produsele bancare traditionale care deservesc rulajul mijloacelor bănești prin virament în conturi clientilor. Gestiunea decontărilor în cadrul băncii comerciale are ca scop obținerea veniturilor sub forma comisioanelor, precum și a resurselor atrasse suplimentare. Obiectivul
principal al gestionii decontărilor pentru bancă constă în îndeplinirea obligațiunilor în domeniul transferurilor bănești în regim real, asigurând rapiditatea și securitatea acestora. Activitatea managerului în domeniul decontărilor poate fi evaluată după volumul comisioanelor obținute, precum și după volumul resurselor atrasе suplimentar în conturile clienților și deschiderea conturilor noi. În procesul de organizare a decontărilor eficiente banca gestionează diferite tipuri de riscuri legate cu transferuri bănești. Fiecare tip de risc în acest domeniu cere modalități specifice de gestiune minimizând erori posibile în efectuarea transferurilor. Pentru a efectua cât mai calitativ decontările, banca trebuie să asigure o infrastructură specifică în acest domeniu, utilizând cele mai effective sisteme, cu rapiditatea înaltă, cu costuri mai reduse, siguranța mai ridicată. Verificând completarea corectă a documentelor de decontare, personalul bancar specializat în gestiunea decontărilor este obligat în același timp să mențină lichiditatea permanentă a resurselor, disponibile în conturile corespondente, în volumul necesar pentru efectuarea continuă a tuturor transferurilor clienților și băncii; să organizeze controlul efectuării plăților cu corecititudine și la timp.
La nivel macroeconomic în gestiunea decontărilor este implicată Banca Națională a Moldovei, care asigură dezvoltarea pe teritoriul republicii a sistemelor electronice de decontări moderne, precum și cadrul normativ privind efectuarea acestora cu scopul de a îmbunătăți și dezvolta tehnologiile bancare, de a asigura condiții convenabile în gestiunea lichidității și de a determina nivelul suficient în acordarea serviciilor bancare. BNM trebuie să analizeze periodic rolul său în sistemul național de plăți, să reevalueze cum poate fi schimbat acest rol în asigurarea dezvoltării effective și sigure a sistemului de plăți. Influentând asupra dezvoltării sistemului de plăți, Banca Națională trebuie permanent să aprofundeze și să extindă cunoștințele și experiența sa în ce privește tendințele contemporane și problemele în domeniul. Ea trebuie să fie în stare să evaluateze corect consecințele inovațiilor propuse, luând în considerare eficiența și securitatea sistemului și determinând participarea sa cea mai activă în aceste inovații. Cu acest scop BNM este obligată să organizeze instruirea personalului său, astfel încât acesta să poată lucra cu tehnologii noi de decontări, să analyzeze permanent tendințele contemporane pe piața serviciilor de decontare.
Bineînțeles, atenție prioritară trebuie acordată sistemelor de decontări interbancare la nivel național; totuși, cunoașterea tendințelor internaționale ajută la promovarea și implementarea inovațiilor necesare. De aceea, BNM trebuie să implice personalul în consultații și discuții cu părțile cointeresate și care pot influența dezvoltarea sistemelor de decontări. Aceste consultații pot fi organizate cu experți de la organizațiile internaționale, cum ar fi Comitetul de decontări și plăți la Banca Reglementărilor Internaționale, cu experți de la Banca Mondială și FMI, precum și de la alte bănci centrale.
Referințe:
1. Regulamentul cu privire la sistemul automatizat de plăți interbancare, aprobat prin Hotărârea Consiliului de Administrație al Băncii Naționale a Moldovei nr.53 din 02.03.2006 // Monitorul Oficial al Republicii Moldova, 2006, nr.39-42/144 (cu modificările și completările ulterioare).
2. Regulamentul cu privire la supravegherea sistemului automatizat de plăți interbancare, aprobat prin Hotărârea Consiliului de Administrație al Băncii Naționale a Moldovei nr.154 din 28.06.2007, în vigoare din 01.01.2008 // Monitorul Oficial al Republicii Moldova, 2007, nr.131-135/514 (cu modificările ulterioare).
3. Regulamentul cu privire de credit, aprobat prin Hotărârea Consiliului de Administrație al Băncii Naționale a Moldovei nr.373 din 15.12.2005 // Monitorul Oficial al Republicii Moldova, 2005, nr.176-181/643 (cu modificările și completările ulterioare).
4. Regulamentul cu privire la debitarea directă, aprobat prin Hotărârea Consiliului de Administrație al Băncii Naționale a Moldovei nr.374 din 15.12.2005 // Monitorul Oficial al Republicii Moldova, 2005, nr.176-181/644.
5. Regulamentul privind suspendarea operațiunilor, sechestrarea și perceperea în mod incontestabil a mijloacelor bănești din conturile bancare, aprobat prin Hotărârea Consiliului de Administrație al Băncii Naționale a Moldovei nr.375 din 15.12.2005 // Monitorul Oficial al Republicii Moldova, 2006, nr.1-4/6.
Alte surse:
1. Regulamentul cu privire la cardurile bancare, aprobat prin Hotărârea Consiliului de Administrație al Băncii Naționale a Moldovei nr.62 din 24.02.2005, în vigoare din 30.06.2005 // Monitorul Oficial al Republicii Moldova, 2005, nr.36-38/124 (cu modificările și completările ulterioare).
2. Cocriș V., Chiulesan D. Tehnica operațiunilor bancare. - Iași, 2006.
3. www.reglement.net/bank/raschet/2011_2_article.htm
Prezentat la 26.10.2011 | 567dca4b-fd42-472c-9c41-4aa507215eb2 | HuggingFaceFW/finepdfs/tree/main/data/ron_Latn/train | finepdfs | ron_Latn | 37,511 |
Interactions and phase transitions of colloidal dispersions in bulk and at interfaces
By H. Löwen, E. Allahyarov, J. Dzubiella, C. von Ferber, A. Jusufi, C. N. Likos and M. Heni
Institut für Theoretische Physik II, Heinrich-Heine-Universität Düsseldorf, D-40225 Düsseldorf, Germany
Recent progress in the theory and computer simulation of effective interactions and phase transitions of colloidal dispersions is reviewed. Particular emphasis is put on the role of the discrete solvent in determining the effective interaction between charged colloids, bulk fluid–fluid phase separation of star-polymer–colloid mixtures, and on interfacial freezing transitions of sterically stabilized colloids on patterned substrates.
Keywords: effective interaction; charged colloids; star polymers; phase separation; surface freezing
1. Introduction
Colloidal dispersions represent excellent model systems with a clear separation of length-scales between microscopic degrees of freedom (such as solvent particles, counter- and salt-ions, monomers of grafted polymer chains, etc.) and the mesoscopically sized colloidal particles. Typically, one is only interested in colloidal properties such as, for example, structural correlations or phase transitions of the colloidal particles. In this case, only thermodynamic averages with respect to the microscopic degrees of freedom are needed, resulting in effective interactions between the colloids. In this paper, we apply this concept to different situations of colloidal science, highlighting recent progress in the theory and computer simulation of effective interactions between charged colloidal suspensions, as well as mechanisms of fluid–fluid phase separation in mixtures of colloids and polymers. Finally, we also address interfacial freezing transitions induced by a periodic substrate pattern.
The paper is organized as follows. The role of a molecular solvent on the effective interactions is emphasized in § 2. The effective interactions in star-polymer–colloid mixtures and their impact on fluid–fluid phase separation are briefly sketched in § 3. Finally, we describe recent results on surface freezing of neutral colloidal particles on topographically structured templates in § 4, and conclude in § 5.
2. Influence of a granular solvent on the effective interaction between charged colloids
(a) General remarks: modelling on different levels
Basically, the theoretical model for the description of charged colloidal particles can be done on five different levels (for a recent review, see Hansen & Löwen (2000)).
The higher the level, the more realistic the model is, and, at the same time, the more complicated the computational effort. Any higher level includes the lower levels as special cases. This is shown schematically in figure 1.
(1) The simplest approach is the linear counterion screening theory, which results in an analytical Yukawa pair potential for the effective interaction between colloids, as given by the electrostatic part of the celebrated Derjaguin–Landau–Verwey–Overbeek (DLVO) theory (Derjaguin & Landau 1942; Verwey & Overbeek 1948). In the absence of added salt, this potential, as a function of the distance between a colloidal pair, reads
\[ V(r) = \frac{q_p^2 \exp(-\kappa(r - \sigma_p))}{(1 + \frac{1}{2}\kappa \sigma_p)^2 \epsilon r}, \]
(2.1)
with an inverse Debye–Hückel screening length \( \kappa = \sqrt{4\pi \rho_c q_c^2 / k_B T} \). Here, \( q_p \) (\( q_c \)) is the polyion (counterion) charge, \( \sigma_p \) is the polyion radius, and \( \epsilon \) is the dielectric constant of the solvent. Furthermore, \( \rho_c \) is the counterion bulk number density and \( k_B T \) is the thermal energy. On this level, only the colloidal particles are considered explicitly.
(2) The next level is the nonlinear Poisson–Boltzmann (PB) approach, which includes a full treatment of the counterion entropy but still works on a mean-field level. By a suitable linearization, one recovers the DLVO theory as a special case. On the PB level, the colloids and the averaged counterion density field are considered explicitly.
(3) In the ‘primitive’ model (PM), one treats the counterions explicitly, arriving at the two-component model of strongly asymmetric electrolytes. The number density of the counterions is linked by global charge neutrality to the polyon charge and number density. This approach includes full counterion correlations. Ignoring these, the PM reduces to the PB level. The solvent, on the other hand, only enters via a continuous dielectric background. In detail, the input pair potentials are
\[
V_{ij}(r) = \begin{cases}
\infty & \text{for } r \leq \frac{1}{2}(\sigma_i + \sigma_j), \\
q_i q_j / \epsilon r & \text{otherwise},
\end{cases}
\]
with \((ij) = (\text{pp}), (\text{pc}), (\text{cc})\), and \(\sigma_c\) denoting the diameter of the counterions.
(4) If the solvent is treated explicitly, but only crudely modelled as neutral hard spheres of diameter \(\sigma_s\), one arrives at the so-called *hard-sphere solvent model* (HSSM). This level includes the discrete molecular structure of the solvent (its granularity), but ignores its polarizability, as well as all its multipole moments (Kinoshita et al. 1996). Still, the dielectricity of the solvent is treated as a continuous background. In the limit \(\sigma_s \to 0\), the solvent is a decoupled ideal gas and one gets the PM as a special case. The interactions on this level are the same as in (2.2), but now with \((ij) = (\text{pp}), (\text{pc}), (\text{ps}), (\text{cc}), (\text{cs}), (\text{ss})\), where the solvent is neutral, \(q_s \equiv 0\).
(5) Finally, one may describe the polar solvent with a permanent dipole moment. A suitable model is hard-sphere dipoles, the so-called *dipolar solvent model* (Lado 1997; Weis 1998) or a Stockmayer liquid (Groh & Dietrich 1994, 1995). On this level, the screening of the Coulomb interactions (i.e. the dielectric constant \(\epsilon\)) is an output and not an input. With quantum chemistry, one may even reach a higher level with a full microscopic description of the solvent interactions (Marx 1999; Marx et al. 2000).
We note that there are two important ‘intermediate’ cases. First, nonlinear screening effects resulting from PB theory can be partly incorporated into a Yukawa potential similar to (2.1), but with ‘renormalized’ parameters leading to the concept of colloidal *charge renormalization*, as quantitatively elaborated by Alexander et al. (1984). We call this approach the *Poisson–Boltzmann–Yukawa model* (PYBM).
Hence this approach is between levels 1 and 2. It is consistent with experimental data in dilute bulk solutions with monovalent counterions (Härtl & Versmold 1988; Palberg et al. 1995; Crocker & Grier 1994; Grier 1998; Kepler & Fraden 1994). Second, one may consider the *solvent-averaged primitive model* (SPM) by tracing out the hard-sphere solvent exactly from level 4 and approximately only include the pairwise part, similar to the old McMillan–Mayer approach for electrolyte solutions (McMillan & Mayer 1945). The SPM includes solvent-depletion forces (Biben et al. 1996; Dickman et al. 1997; Dijkstra et al. 1998, 1999; Götzelmann et al. 1999) on the pairwise level, in addition to the traditional PM interactions, but the solvent particles are not considered explicitly.
(b) *Comparison of the HSSM with the PM*
In almost any theoretical study (Allahyarov et al. 1998; Linse & Lobaskin 1999; Messina et al. 2000) of the effective interaction between charged colloids, the PM
was used. The reason for this modelling is that the effective interaction is studied for mesoscopic distances between the colloids, where one could expect that the molecular nature of the neutral solvent averages out and only the long-ranged Coulomb interaction may play the dominant role. A more subtle inspection shows, however, that the solvent may have an important influence by pushing counterions towards the colloidal surface via hydration forces. One may still believe in the PM by reducing the colloidal charge $q_p$ by the amount of counterions accumulated on the colloidal surfaces and treating only the rest explicitly as mobile counterions within the PM. Still, this separation into fixed and mobile counterions is questionable as the counterions are highly correlated near the polyion surfaces.
We have tested the validity of the PM by doing extensive computer simulations on the higher level 4 using the HSSM. These require an enormous number of solvent particles, so that one is restricted to moderate size asymmetries between colloidal and solvent spheres. Together with a solvent bath method, which is described elsewhere (Allahyarov & Löwen 2001), one can achieve size asymmetries of 14:1 at significant solvent-packing fractions corresponding to charged micelles. Explicit results for the averaged force $F(r)$ between a pair of charged polyions as a function of their mutual distance $r$ are presented in figure 2a,b. The parameters are $T = 298\,\text{K}$ and $\epsilon = 81$ (water at room temperature), with $\sigma_a = 3\,\text{\AA}$, $\phi_s = 0.3$ and $\sigma_c = 6\,\text{\AA}$.
For nearly touching polyions (full curves in the insets of figure 2), the force exhibits oscillations on the scale of the solvent diameter due to solvent layering leading to attraction for touching polyions as the solvent depletion part exceeds the bare Coulomb repulsion. For larger distances and monovalent counterions, the force is repulsive. Simulation data for the PM are also included which overestimate the force. The repulsion is even stronger in the PBYM and in DLVO theory. For divalent counterions, on the other hand, there is attraction within a range of several polyion diameters. This attraction is mediated by the discrete solvent as the PM yield repulsive forces. The SPM, on the other hand, almost perfectly fits the simulation data and thus includes the essential effects of the discrete solvent. As expected, the PBYM and the DLVO theory overestimate the force and do not lead to attraction.
In conclusion, although the interaction range of a hard-sphere solvent is small, the depletion attraction of the counterions towards the colloidal surfaces favours an accumulation of counterions near the polyions. This, in turn, leads to a different screening, resulting in a different long-range part of the colloid–colloid interaction. For divalent counterion, even over-screening may occur, leading to attraction. This attraction is absent in the PM.
### 3. Phase separation in star-polymer–colloid mixtures
We now turn to an example of a bulk phase transition, in particular to fluid–fluid phase separation in mixtures of neutral sterically stabilized particles and star polymers in a good solvent. We aim at a description on the level of two particle species having integrated out the monomer (and solvent) degrees of freedom.
The corresponding effective potentials are determined by a computer simulation of two particles. The colloid–colloid interaction is hard-sphere like,
$$V_{cc}(r) = \begin{cases} \infty & \text{for } r \leq \sigma_{\text{col}}, \\ 0 & \text{otherwise}, \end{cases} \quad (3.1)$$
Figure 2. Reduced distance-resolved force $F(r)\sigma_p/k_BT$ versus reduced distance $r/\sigma_p$. The inset shows the same for nearly touching polyions of molecular distances. (a) Monovalent counterions and $\sigma_p, \sigma_c, \sigma_s = 10:2:1$. (b) Divalent counterions and $\sigma_p, \sigma_c, \sigma_s = 14:2:1$. The further parameters are $|q_p/q_c| = 32$ and $\phi_p = 5.8 \times 10^{-3}$. Solid line with error bars, full solvent bath simulation; long-dashed line, SPM; short-dashed line, PM; open circles, DLVO theory; dot-dashed line, PBYM.
where $\sigma_{\text{coll}}$ is the colloid diameter. The star–star interaction has been the focus of intense recent research. By molecular simulation resolving the monomers explicitly (Jusufi et al. 1999) and by theoretical scaling arguments and neutron scattering data,
a simple analytical form for the effective star–star interaction was derived. It reads (Likos et al. 1998)
\[
V_{ss}(r) = \frac{5}{18} k_B T f^{3/2} \begin{cases}
-\ln\left(\frac{r}{\sigma_{sp}}\right) + \frac{1}{1 + \frac{1}{2}\sqrt{f}} & \text{for } r \leq \sigma_{sp}, \\
\frac{1}{1 + \frac{1}{2}\sqrt{f}} \left(\frac{\sigma_{sp}}{r}\right) \exp\left(-\frac{\sqrt{f}}{2\sigma_{sp}}(r - \sigma_{sp})\right) & \text{otherwise},
\end{cases}
\]
and was used to calculate the bulk phase diagram of star polymers (Watzlawek et al. 1999). Here, $\sigma_{sp}$ is the corona diameter and $f$ the arm number of the stars. This potential was generalized recently to two different arm numbers (von Ferber et al. 2000a) and triplet interactions have been shown to be small in semi-dilute star-polymer solutions (von Ferber et al. 2000b). The major problem is a quantitative description of the star-polymer–colloid interaction. We have again used molecular simulation to obtain the effective force acting on a star polymer near a hard sphere. The averaged force as a function of the colloid–star-polymer separation is presented in figure 3. The corresponding effective potential, in turn, is well described by an analytical function of the form
\[
V_{sc}(r) = \lambda k_B T f^{3/2} \frac{\sigma_{coll}}{2r} \begin{cases}
\infty & \text{for } r < \frac{1}{2}\sigma_{coll}, \\
-\ln\left(\frac{2z}{\sigma_{sp}}\right) - \left(\frac{4z^2}{\sigma_{sp}^2} - 1\right)(\xi_1 - \frac{1}{2}) + \xi_2 & \text{for } \frac{1}{2}\sigma_{coll} \leq r < \frac{1}{2}(\sigma_{sp} + \sigma_{coll}), \\
\frac{\xi_2(1 - \text{erf}(2\kappa z))}{1 - \text{erf}(\kappa \sigma_{sp})} & \text{otherwise},
\end{cases}
\]
(3.3)
where $z = r - \frac{1}{2} \sigma_{\text{coll}}$ is the distance from the centre of the star polymer to the surface of the colloid. The constants are
$$\xi_1 = \frac{1}{1 + 2\kappa^2 \sigma_{\text{sp}}^2} \quad \text{and} \quad \xi_2 = \frac{\sqrt{\pi} \xi_1}{\kappa \sigma_{\text{sp}}} \exp(\kappa^2 \sigma_{\text{sp}}^2)(1 - \text{erf}(\kappa \sigma_{\text{sp}})),$$
while $\lambda$ and $\kappa$ are fit parameters. The radius of gyration is $R_g = \sigma_{\text{sp}}/1.32$, fixed for all arm numbers $f$ and size ratios $q = \sigma_{\text{sp}}/\sigma_{\text{coll}}$. Taking these three potentials as an input, we have employed the Rogers–Young closure scheme to access the liquid structure and the thermodynamics of the star-polymer–colloid mixture. A fluid–fluid phase separation was found, which is shown for an arm number of $f = 32$ in figure 4. This picture is consistent with recent experimental data (Dzubiella et al. 2001). Star polymers are hybrid objects between hard-sphere colloids and coils of linear polymer chains such that one can continuously switch between these two cases by changing the arm number $f$. While in hard-sphere mixtures the fluid–fluid phase separation is preempted by freezing (Dijkstra et al. 1998), it is stable for linear polymer chains (Lekkerkerker et al. 1992) for suitably large polymer coils. Our case of star polymers is intermediate but still exhibits fluid–fluid phase separation.
4. Surface freezing of colloids on periodically patterned substrates
Phase transitions can also occur at interfaces. For example, there is a wealth of wetting phenomena (Evans 1990; Dietrich 1988). One peculiar case is the surface freezing transition. For hard-sphere colloids, it has been shown that a hard structureless wall induces precrystallization, i.e. few crystalline layers on top of the wall show up, even if the bulk density is below the freezing point of the fluid (Courtemanche & van Swol 1992; Courtemanche et al. 1993). The question we address in this section is whether and how this prefreezing effect is influenced by a topographically periodic surface pattern. We model this pattern by a periodic array of fixed hard spheres on a two-dimensional triangular or rhombic lattice. In fact, by ‘gluing’ colloidal spheres onto a periodic pattern, such surface structures can indeed be realized experimentally.
Figure 5. Geometry of the triangular and rhombic substrate pattern consisting of fixed hard spheres in a plane. The rhombic pattern results from the triangular one by distorting the lattice, as indicated by the arrows, such that the area $A_c$ of the unit cell remains constant.
(Arora & Rajagopalan 1997; van Blaaderen et al. 1997; Burmeister et al. 1997; Mio & Marr 1999).
The surface structure is sketched in figure 5. A triangular crystal that exactly fits the bulk face-centred cubic crystal coexisting with the fluid at the bulk freezing point is used as one possible substrate pattern. We also consider patterns that are distorted such that the area $A_c$ of the unit cell does not change. In detail, in the triangular case, the lattice constant $a_\Delta$ is $1.1075\sigma$ ($\sigma$ denoting the hard-sphere diameter), with a height $h_\Delta$. The rhombic pattern has a lattice constant $a$ smaller than $a_\Delta$, but a larger height $h$. We characterize the rhombic distortion via the lateral strain
$$\epsilon_\parallel = \sqrt{\left(\frac{a - a_\Delta}{a_\Delta}\right)^2 + \left(\frac{h - h_\Delta}{h_\Delta}\right)^2}.$$
Hence the whole system is completely characterized by the reduced bulk hard-sphere pressure $P^* = P\sigma^3/k_BT$ and the lateral strain $\epsilon_\parallel$. Monte Carlo simulations with suitable-order parameters (Heni & Löwen 2000) are used to detect freezing in different layers adjacent to the wall. We find a cascade of freezing transitions in the different layers. There is complete surface freezing for the triangular substrate. Complete freezing is possible as there is no additional strain that hinders growth of a full bulk solid upon approaching coexistence. The onset of surface freezing in the first adjacent layers occurs already at bulk pressures $P^*$ that are 29% smaller than the coexistence pressure $P_c^*$, while the onset of precrystallization for a flat wall occurs at pressures that are only ca. 3% smaller than $P_c^*$. For a rhombic pattern, on the other hand, surface freezing is incomplete, since the additional lateral strain results in a free energy penalty, which prevents further growth of the crystalline layers. The resulting crystalline phase inherits its structure directly from the underlying substrate pattern and is unstable as a bulk phase.
Our simulation results are summarized in figure 6, where the location of the first four layering transitions is shown in the plane spanned by $\Delta P^* = P_c^* - P^*$ and $\epsilon_\parallel^2$. A simple phenomenological approach that combines elasticity theory of the solid with thermodynamic arguments of wetting (Heni & Löwen 2000) yields a linear relation between $\Delta P^*$ and $\epsilon_\parallel^2$ for the freezing transitions in the same layer. The slope can be expressed by elastic constants and thermodynamic quantities. This simple theory fits the simulation data quite well. If the lateral strain $\epsilon_\parallel$ exceeds a critical value, there is no surface crystallization at all, since the elastic distortion is too large to produce...
even a single crystalline layer. The system prefers to stay in the inhomogeneous fluid phase in this case.
In conclusion, the structure of a substrate pattern profoundly influences the scenario of surface freezing. First, the onset of surface freezing can be significantly shifted away from coexistence by using a pattern that favours the crystal, as the triangular pattern in our study shows. Second, new surface phases, which are unstable as bulk phases, can be generated by a suitable pattern, leading to incomplete freezing at coexistence, as demonstrated for the rhombic pattern in our study. Third, surface freezing can be completely suppressed if the pattern is unfavourable for the solid.
5. Conclusion and outlook
To summarize, the concept of the effective potential can be exploited to bridge the length-scale gap omnipresent in colloidal applications, where the mesoscopic colloidal particles are coupled to many microscopic degrees of freedom. Once the effective potential is known, one may employ classical many-body theories (e.g. liquid integral equation schemes) or ordinary computer simulations to access the structural correlations or phase transitions in colloidal dispersions. The big advantage over molecular systems is that everything is shifted to a larger length-scale, so that real-space methods can be applied experimentally and so that controlled external perturbations such as well-characterized periodic substrate patterns can be realized. In this respect, colloidal dispersions play an important role as model systems subject to externally controllable fields.
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Discussion
S. Safran (Weizmann Institute of Science, Rehovot, Israel). One might be able to relate the increasing complexity of four various ‘levels’ and the observation that the interactions become more attractive as more detailed levels are calculated by noting that higher levels include more degrees of freedom.
The inclusion of additional degrees of freedom must lower the free energy (or else those degrees of freedom would just be ‘frozen out’). The decrease of free energy may result in the increasing attractions (one would expect expulsions to increase the free energy), but this argument is not yet rigorous.
H. Löwen. Indeed, if one includes more degrees of freedom, the total free energy goes down. This, however, does not imply that derivatives of the total free energy, with respect to some parameters, will also decrease. The effective force is such a derivative. In fact, one can find a simple counterexample in which, by adding additional degrees of freedom, even repulsions in the effective force can arise. This is the case for a binary mixture of hard spheres: with only one component, the effective interaction is zero outside the core. With small spheres added, there is an oscillatory depletion interaction, which can be both attractive and repulsive.
H. H. von Grünberg (Fachbereich Physik, Universität Konstanz, Germany). In figure 1 you summarized the different models/approximations for an inhomogeneous electrolyte solution: (a) Debye–Huckel approximation (DH), (b) Poisson–Boltzmann (PB), (c) primitive model, (d) hard spheres for water molecules, and (e) hard-spheres plus dipoles for water. Each of these five levels is understood to be an improvement of the previous level; so, PB improves on DH, primitive model on PB, and so forth. This means that you assume that a description of water as hard spheres with a dipole moment (level (e)) is an improvement of the simple hard-sphere model for water, thus implying that the steric effect of water molecules is more important than effects caused by the dipole moments of water. Would one not expect that it is just the other way round, i.e. the permanent dipole each water molecule has is a much more important property than the mere steric effect of water accounted for by the hard-sphere model? The first step to improve on a primitive model calculation would then be a model where one takes account of the most prominent property of water, namely that it is a strong dipole.
H. Löwen. How to include real water in a realistic way in order to ‘improve’ the primitive model is still a debate. Of course, the dipolar moment will be important. In fact, as the dipolar moment results in a long-ranged interaction while a steric interaction is short ranged, the dipole moment is much more important for a dilute solvent. In a dense liquid, on the other hand, one might expect that the dipolar nature averages out, establishing a nearly homogeneous dielectric background, and that thus the excluded volume of the solvent molecules is the most prominent property. Still more microscopic work is needed to clarify this issue.
C. W. Outhwaite (School of Mathematics, University of Sheffield, UK). On one of your overheads you said the granular (or solvent) primitive model is justified. Could you please explain how, as the status of this model between the McMillan–Mayer and Born–Oppenheimer description levels (figure 1), is to my knowledge not clearly not understood at the statistical mechanical level.
H. Löwen, What I claimed was that the SPM was justified by comparing its predictions to the full granular solvent model. This SPM corresponds exactly to the McMillan–Mayer description level. | <urn:uuid:c54c872e-a9f6-48db-8b3c-5b700475a2f7> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 27,960 |
DEZVOLTAREA CURSULUI DE INSTRUIRE LA DISTANȚĂ
„R-TEHNOLOGIA ȘI APLICAREA EI”
Natalia PLEȘCA, Liudmila NIGREȚCAIA-CROITOR
LCȘ „Tehnologii Informaționale”
R-technology is a visual programming technology, which combines basics of programming technology, theory of graphs and visual representation. This technology is characterized by the use of graphics and a complex system of documentation – which provides reengineering and automated and distributed technology of software development.
After R-technology and R-charts language research, we have intended to develop a distance learning course named "R-technology and its application". This course will be accessed remotely via the Internet by those who wish to study a new technology of visual programming.
R-tehnologia reprezintă o tehnologie de programare vizuală, care combină reușit noțiunile de bază ale tehnologiei programării, teoriei grafurilor și reprezentării vizuale. Această tehnologie se caracterizează prin folosirea imaginilor grafice și a unui sistem complex de documentare, ceea ce asigură reingineria și o tehnologie automatizată, distribuită de producere a softului [1].
Ca urmare a cercetării acestei tehnologii și a limbajului R-schemelor, ne-am propus să dezvoltăm cursul „R-tehnologia și aplicarea ei”. Această tehnologie a fost și este folosită în multiple proiecte din Ucraina și din Rusia. În Republica Moldova, însă, această tehnologie nu este cunoscută. Cursul vine să înlăture acest neajuns. El va fi plasat pe platforma deschisă Moodle și va putea fi accesat de la distanță, prin Internet, de toți cei care doresc să studieze o nouă tehnologie de programare vizuală.
R-schemele au multiple afinități cu limbajele și notatiile utilizate deja în modelarea soft-ului, precum: UML, schemele logice, diagramele stărilor de tranziții etc. Doar că în cele din urmă activitățile sunt prezentate în noduri, iar în R-scheme – pe săgeți. Acest fapt conduce la prezentarea activităților cât mai compact în diagrame.
Chiar dacă R-tehnologia, care are la bază R-schemele, a fost și este aplicată în proiectele ucrainești și rusești, acolo nu a fost încă elaborat un curs care descrie explicit R-tehnologia și care să poată fi accesat online de orice doritor. Acest lucru s-a preconizat a se face în cadrul proiectului moldo-ucrainean, cu aprobarea elaboratorilor R-tehnologiei. Un alt obiectiv urmat prin elaborarea acestui curs a fost promovarea R-tehnologiei în mediul vorbitorilor de limbă română.
1. R-schemele
Limbajul R-schemelor reprezintă un set de notății grafice împreună cu regulile de aplicare a acestora la specificarea construcțiilor mai complexe, ce se folosesc la reprezentarea grafică a produselor soft structurate și nestructurate. Programele nu se scriu, dar se desenează cu ajutorul nodurilor și al arcurilor etichetate. Astfel, putem afirma că R-programul este un graf orientat etichetat. Acest graf este alcătuit din noduri și din arcuri orizontale și verticale. Construcțiile principale (secvența, ramificările, ciclurile etc.) ale limbajului R-schemelor au o singură intrare și o singură ieșire.
Nodurile unei R-scheme se reprezintă cu ajutorul cerculețelor. Ele reprezintă stări ale programului.
Arcurile reprezintă procese de prelucrare a informației. O stare marchează terminarea executării activităților reprezentate de arcurile ce intră în nod și începutul executării activităților reprezentate de arcurile ce ies din nod. Arcurile pot fi de două tipuri:
1) de bază – arc orientat la stânga sau la dreapta;
2) speciale – arc reprezentat cu o linie dublă fără orientare și care are o interpretare specială (îndeplinirea unui ciclu, spre exemplu).
Liniiile de conexiune reprezintă linii verticale neorientate și neetichetate. Ele servesc pentru legarea arcurilor orizontale cu nodurile.
2. Modelul tehnologic de elaborare a unei R-aplicații
Dezvoltarea produselor soft conform R-tehnologiilor are loc conform pașilor tehnologici stabiliți la începutul proiectului. Ca rezultat al proiectării complexe a soluției se realizează pachetul de R-scheme pentru algoritmiții
produsului soft, scheme care pot fi multiple, în scopul testării diferitelor idei de realizare a soluției. Ca rezultat al etapei de proiectare sunt selectate doar acele scheme care vor alcătui prototipul necesar dezvoltării ulterioare a produsului soft (care descriu cât mai exact soluția problemei).
În cadrul R-tehnologiei se utilizează noțiunea „ciclu tehnologic universal” [1], care presupune că orice realizare a unui sistem soft trebuie să posede următorul ciclu tehnologic de dezvoltare (Fig.1):
**Fig.1. Ciclu tehnologic de dezvoltare a R-aplicațiilor.**
3. **Structura cursului „R-tehnologia și aplicarea ei”**
**Informații generale despre curs**
*Obiectivul general:* Cursul „R-tehnologia și aplicarea ei” este destinat tuturor persoanelor care doresc să cunoască o nouă tehnologie grafică ce poate fi utilizată la generarea codurilor de program intr-un anumit limbaj de programare, precum Pascal sau C. Are analogii cu tehnologiile CASE utilizate la generarea automată a codurilor de program.
*Precondiții:* Este bine ca persoanele care doresc să studieze acest curs să acumuleze cunoștințe generale despre „schemele logice” și structurile de bază utilizate în limbajele de programare structurate.
*Obiectivele cursului*
Se presupune că după parcurgerea acestui curs persoana ar trebui să:
- cunoască conceptele principale specifice R-tehnologiilor: nod, arc, arc special, R-schemă etc.;
- distingă notațiile utilizate la crearea R-schemelor de notății utilizate în cadrul altor tehnologii de generare automată a codului soft;
- poată construi cele mai elementare R-scheme pentru diverse formulări;
- știe cum să utilizeze editorul grafic la construirea R-schemelor;
- poate „citi” R-schemele deja construite și să explice ce modelează ele.
**Planul cursului și planul lecției**
Cursul a fost organizat pe două capitole:
- Descrierea limbajului R-schemelor
- Automatizarea construirii R-schemelor.
Materialul propriu-zis a fost structurat conform recomandărilor standardelor în domeniul instruirii SCORM – în mici obiecte de studiu – pentru a fi posibilă utilizarea acestora ori de câte ori este necesar.
Lecțiile la cursul „R-tehnologia și aplicarea ei” au următoarea structură [2]:
- Conținutul lecției
- Obiectivele de bază
- Bloc de informații:
- Partea teoretică;
- Partea practică (exemple)
- Sarcini individuale
- Test de autocontrol.
4. **Soluția pentru dezvoltarea cursului**
Acest curs a fost elaborat pentru lansarea de pe platforma MOODLE și respectând standardul SCORM [3,4].
Standardul SCORM – Sharable Content Object Reference Model (Modelul de schimb al materialelor de instruire) reprezintă un standard de organizare a materialului de instruire la distanță. Este unul dintre cele mai răspândite standarde în domeniul instruirii la distanță.
Cea mai mică componentă a unui curs de instruire îl reprezintă *Resursa de învățare* (Asset), ea fiind și unitatea de bază a cursului. Resursa de învățare reprezintă un fișier în format electronic de orice tip (pagină HTML, fișier video, audio, funcții java, imagine gif, obiect flash etc.) ce poate fi afișat în browser. Resurse de învățare pot fi descrise prin asset-metadata și se recomandă a fi împachetate împreună cu descrierile lor.
Ele pot fi căutate on-line, astfel fiind accesibilă refolosirea lor. Mai multe resurse de învățare pot fi grupate pentru a forma o resursă de învățare nouă.
O colecție din una sau din mai multe resurse de învățare pot forma un obiect de conținut partajabil (SCO – Sharable Content Object). Acest obiect reprezintă un document Web, care (spre deosebire de o resursă de învățare simplă) interacționează cu LMS (Learning Management System), cu scopul transmiterii, păstrării și primirii diferitelor date, utilizând un API (Application Programming Interface) special. Un SCO poate fi descris prin SCO-metadata, ceea ce conduce la localizarea on-line a acestuia.
Un curs reprezintă o colecție de mai multe obiecte de conținut partajabil (SCO) și resurse de învățare (Asset) grupate într-o arhivă .zip. Pentru descrierea împachetării conținutului se folosește limbajul XML. Fișierul imsmmanifest.xml aflat în rădăcina arhivei .zip descrie conținutul arhivei (cursului).
Orice sistem soft de instruire care corespunde standardului SCORM poate fi implementat într-un sistem de organizare a instruirii – LMS (Learning Management System). LMS sunt acele sisteme care sunt responsabile de organizarea procesului de instruire electronică: înregistrează studenții, îi informează ce cursuri vor studia, îi instruiesc în baza programelor acestor cursuri, duc evidența aprecierilor, notelor etc.
Una dintre cele mai frecvent utilizate platforme de organizare a instruirii la distanță este MOODLE (Modular Object-Oriented Dynamic Learning Environment) – un mediu soft gratis folosit pentru plasarea cursurilor de instruire la distanță, care are la bază standardul SCORM [5]. Platforma MOODLE oferă posibilitatea interacțiunii dintre profesor și student, duce evidența accesării resurselor cursului. Studenții, la rândul lor, sunt implicați în diverse scenarii, situații ce stimulează gândirea. De asemenea, studenții își pot verifica cunoștințele accesând testele on-line.
Această platformă satisface principalele cerințe funcționale înaintate unei aplicații care găzduiește cursuri de instruire la distanță:
1. Generarea/editarea cursului în regim de dialog
2. Instruirea utilizatorului (oferirea de cunoștințe)
3. Verificarea cunoștințelor acumulate (prin evaluări, teste) și afișarea rezultatelor
4. Comunicarea celor două părți (profesor-student) implicate în procesul de instruire.
5. Elaborarea cursului de instruire la distanță „R-tehnologia și aplicarea ei”
Pentru realizarea conținutului cursului au fost îndeplinită câțiva pași. Primii doi pași, din cei descriși în continuare, au format modelul pedagogic. Următorii pași reprezintă realizarea tehnică a cursului.
1. **Elaborarea scenariului cursului**
2. **Colectarea materialelor necesare realizării scenariului și divizarea lui în obiecte distincte**
3. **Crearea obiectelor SCORM – ASSET-uri, SCO-uri**
4. **Crearea structurii cursului**
5. **Elaborarea regulilor de instruire adaptivă**
6. **Crearea metadatelor cursului**
7. **Publicarea cursului.**
**Elaborarea scenariului cursului**: au fost determinate obiectivele de instruire și tipurile de cunoștințe care trebuie oferite persoanei instruite; au fost selectate strategiile de instruire și metodele de oferire a cunoștințelor corespunzător obiectivelor de instruire; a fost determinată succesiunea evenimentelor instruirii; au fost selectate mediile de prezentare a cunoștințelor. Pentru elaborarea materialelor cursului au fost alese următoarele instrumente: 1) editor de texte Microsoft Word – pentru crearea resurselor textuale; 2) editor de R-scheme – pentru crearea R-schemelor; 3) mediu de creare a cursurilor eXe (eLearning XHTML editor) – pentru crearea structurii și generarea metadatelor cursului. După cum a fost menționat mai sus, drept mediu de implementare/publicare a cursului a fost ales MOODLE.
**Colectarea materialelor necesare realizării scenariului și divizarea lui în obiecte distincte**: aceasta a fost posibil în urma studierii R-schemelor și a regulilor de construire a acestora. Materialul a fost colectat și structurat corespunzător.
**Crearea obiectelor SCORM – ASSET-uri, SCO-uri**: cea mai mică componentă a unui curs de instruire îl reprezintă Resursa de învățare (Asset), ea fiind și unitatea de bază a cursului. Mai multe resurse de învățare pot fi grupate pentru a forma o resursă de învățare nouă. În continuare sunt aduse exemple de resurse de învățare, elementul minim de studiu pentru cursul „R-tehnologia și aplicarea ei”:
Exemplu de resursă de învățare 1 (text):
LIMBAJUL VIZUAL AL R-TEHNOLOGIEI
R-tehnologia, în calitate de limbaj internațional de percepere, utilizează grafurile cu arcuri etichetate din teoria grafulor a matematicii clasice. În comparație cu metodele tradiționale, programele nu se scriu, dar se desenează, arcurile orientate ale grafulor fiind etichetate cu secvențe de program. Graful orientat, construit cu utilizarea liniilor orizontale etichetate și a liniilor verticale, care este format din subgrafuli ce au o singură intrare și o ieșire, conform ISOCT 19.00585 și ISO 8631, se numește R-schemă sau R-graf.
Un R-graf este reprezentat numai prin linii orizontale sau verticale (arcuri). Arcurile orizontale sunt numai de două tipuri: orientate fie la stânga, fie la dreapta și speciale – reprezentate cu o linie dublă fără săgeată, care au o interpretare specială. Linile verticale nu au nici săgeți și nici etichete. Ele sunt secundare și servesc pentru legarea arcurilor orizontale cu nodurile (sau alte structuri din R-scheme).
Exemplu de resursă de învățare 2 (imagine):
Fig.2. Tipuri de arcuri în R-scheme.
Exemplu de resursă de învățare 3 (sarcină individuală):
Sarcină individuală nr. 1:
Să se construiască R-schema pentru algoritmul care calculează soluțiile pentru ecuația de gradul doi.
Crearea structurii cursului: etapa necesară pentru structurarea corectă a cursului. Acțiunea de formare a cursului este gestionată de elaboratorul acestuia, el fiind acela care decide dacă respectivul curs va fi alcătuit doar din partea teoretică sau va avea și evaluări, teme pentru acasă, alte resurse sau activități destinate însușirii eficiente a cursului. De asemenea, elaboratorul indică numărul de lecții din care este format cursul, adaugă în aceste lecții resurse și activități. La acest pas a fost folosit mediul de elaborare a cursurilor eXe. Cu ajutorul lui au fost create lecțiile, la care au fost adăugate resurse textuale, resurse grafice și activități suplimentare, cum ar fi studii de caz, sarcini individuale, întrebări de reflecție și teste de autoevaluare. Lecțiile au fost aranjate pentru a corespunde scenariului de navigare a cursului.
Elaborarea regulilor de instruire adaptivă: conținutul cursului trebuie să poată fi racordat la schimbările ce pot interveni în decursul instruirii. Aceasta se poate întâmpla deoarece există intrări diferențiate (sub formă de răspunsuri) de la cursanți, dar și capacitățile de acumulare a cunoștințelor sunt diferite. Cum cursul „R-tehnologia și aplicarea ei” este structurat pe elemente de studiu mici (asset-uri), inserarea de noi elemente, la necesitate, sau repetarea învățării doar a unor componente ale cursului nu va fi o activitate greu de realizat.
Crearea metadatelor cursului: mediu eXe utilizat la elaborarea prototipului cursului a generat metadatele și a creat arhiva cursului în mod automat.
Publicarea cursului: cursul împachetat într-o arhivă .zip este ușor portabil și poate fi publicat în orice sistem LMS compatibil cu standardul SCORM.
6. Scenariul de navigare în interiorul cursului „R-tehnologia și aplicarea ei”
Pentru cursul „R-tehnologia și realizarea ei” a fost propus scenariul ierarhic de navigare.
Navigarea ierarhică – o adaptare a navigării liniare utilizate foarte des. Paginile de curs sunt grupate într-o ierarhie de secțiuni, iar navigarea în cadrul unei secțiuni este iarăși ierarhică sau liniară (Fig.3). Este prezentat un tabel de conținut cu link-uri către secțiuni și butoane de navigare la pagina principală a nivelului dat de ierarhie sau de navigare spre diverse noduri ale secțiunii curente:
Fig.3. Sistem de navigare ierarhic.
Cursul a fost divizat în 2 capitole. Fiecare capitol a fost divizat în mai multe teme, iar fiecare temă a fost divizată în câteva pagini de tipuri diferite:
- Pagina-introducere în temă, care conține obiectivele principale ale lecției
- Pagina de conținut, care reprezintă însuși conținutul lecției
- Pagina de evaluare, care propune studentului o sarcină sau/și test de autoevaluare.
Prezența blocului de autoevaluare (sarcini individuale, teste de autocontrol) și a întrebărilor de reflectie la fiecare temă a cursului permite învățarea reflectivă a studentului. El însușește materialele cu mult mai profund atunci când nu doar simplu memorizează sau înțelege informațiile, dar și când gândește activ, rezolvând problemele și utilizând cunoștințele obținute [6].
**Concluzii**
Scopul principal al acestei lucrări a fost promovarea R-tehnologiei care poate fi utilizată la dezvoltarea vizuală a produselor soft prin elaborarea cursului respectiv de instruire la distanță. Considerăm că acest curs a fost elaborat în baza standardului SCORM drept un avantaj al procesului de elaborare al cursului. Aceasta permite portabilitatea sporită și compatibilitatea cu mai multe LMS. Iar utilizarea instrumentului eXe pentru crearea structurii cursului și automatizarea generării metadatelor și arhivei cursului conform standardului SCORM a simplificat considerabil procesul de elaborare.
Cursul a fost lansat de pe platforma Moodle, deoarece aceasta este deschisă și permite oricărui doritor să acceseze orice resursă din curs, oricând dorește de la distanță.
Se presupune ca acest curs va fi extins, în funcție de posibilități, adăugând versiuni în alte limbi, sau, dacă tehnologia/editorul grafic se va modifica – vor fi adăugate noi teme pentru studiu.
**Referințe:**
1. Вельбицкий И.В. Визуальное программирование графическими структурами // Информационное общество, 1990, вып. 2, с.32-51.
2. Plesca N., Nigretcaia-Croitor L. Development of a course on „R-technology and its application” // International Conference Mathematics & Information Technologies: Research and Education (MITRE-2011), Chișinău, August 22-25, 2011, Abstracts. - Chișinău: CEP USM, 2011, p.147-148.
3. Новые педагогические и информационные технологии в системе образования / Под ред. Е.С. Полаг. - Москва: Академия, 2000.
4. Plesca N. Modelarea sistemelor de instruire la distanță // Proceeding of the 5th International Conference on „Microelectronics and Computer Science”, sept. 19-21, 2007, Chișinău, Moldova ISBN 978-9975-45-047-8, p.153-156.
5. Plesca N. Metodologia dezvoltării cursului de instruire la distanță a limbajului UML pe platforma Moodle // The 2-nd International Conference “Telecommunications, Electronics and Informatics” (ICTEI 2008). 15-18 Mai, 2008 Chisinau, Moldova ISBN 978-9975-45-083-6 (vol.II), p.417-422.
6. Plesca N. Metode de evaluare în instruirea la distanță // Studia Universitatis. Seria „Științe ale educației”, 2008, nr.5(15), p.63-67.
*Prezentat la 07.02.2012* | b498295a-bc8f-4c68-a38b-18f77f8c38aa | HuggingFaceFW/finepdfs/tree/main/data/ron_Latn/train | finepdfs | ron_Latn | 18,473 |
Case Report
DOI: http://dx.doi.org/10.18203/2320-6012.ijrms20160833
Are prisons safe? Death due to depression while in custody: a case report
Rupeshkumar Naik*, Kusa Kumar Shaha, Vinod A. Chaudhari
Department of Forensic Medicine, JIPMER hospital, Pondicherry, India
Received: 15 February 2016
Revised: 08 March 2016
Accepted: 09 March 2016
*Correspondence:
Dr. Rupeshkumar Naik, E-mail: firstname.lastname@example.org
Copyright: © the author(s), publisher and licensee Medip Academy. This is an open-access article distributed under the terms of the Creative Commons Attribution Non-Commercial License, which permits unrestricted non-commercial use, distribution, and reproduction in any medium, provided the original work is properly cited.
ABSTRACT
Prisoners are not born but made. Custodial deaths were becoming crunch to the mistreated police control for so many decades. A 32-year-old male was found dead inside prison because of depression that he was prisoned. On examination, there was ligature mark over neck that was suicidal in nature. Proper care of the prisoners, motivation inside the prison, maintaining surprise visits by higher officials, and closed monitoring by CCTV may prevent these type of suicidal behaviours inside the prison. The present case gives the idea for the police personnel to motivate and monitor the prisoners to prevent suicidal behaviour.
Keywords: Custodial death, Autopsy, Prisoner, Suicide, Prevention
INTRODUCTION
Criminals are made not born. As per the Oxford dictionary "custody" means protective care or guardianship of someone or something. In the legal phrasing, Custody is defined as any point in time when a person's freedom of movement has been denied by law enforcement agencies, such as during transport before booking, or during an arrest, prosecution, sentencing, and correctional confinement. 1
The word "torture" means the infliction of intense pain to the body or mind to punish, to extract a confession or information, or to obtain sadistic pleasure. A person or suspect who determined by Law enforcement agents is a person whose freedom is directly controlled or limited. 3 In actual fact: torture is a deliberate infliction of pain (physical or mental) for a purpose desired by the perpetrator. To the victim of torture, it results in the violation of the dignity inherent in his humanity. 4
In developing countries like India, Custodial deaths are the hovering issue on human rights violation when seen all over the world. Accusations of police misdemeanours, media speculation and passionate community grief were coupled with sudden and unanticipated deaths in custody. Because of the law enforcement misdemeanours there is a need of systematic and vigilant examination by the forensic pathologist to provide certain facts with respect to cause of death. 2
All custodial deaths are to be testified within 24 hours and autopsy is to be conducted by a panel of doctors and the same should be videographed. A Report from 200102 to 2006-07 by NHRC showed an upturn in custodial deaths all over India. 5
This paper is to bounce some attentiveness to the law enforcement agencies in executing proper safety measures to the prisoners in preventing suicides.
CASE REPORT
A dead body of a 32-year male prisoner was brought for an autopsy. As per the investigating officer, deceased was a prisoner and arrested for a cognizable offence. Next day after arrest, found with partial hanging to the bar of his prison with loin cloth (lungi). The body was directly brought dead for autopsy.
Autopsy findings
On external examination there was a ligature mark, present over neck below the level of the thyroid cartilage, passes obliquely upwards and backwards towards the right side, and obliquely upwards and backwards towards the left side of the neck. Lividity was stock and glove type. It was situated 2.5 cm below right angle of mandible, 8cm above manubrium and 2.5 cm below the left angle of the mandible. It is absent on the posterior neck. It is brown, dry and parchment like.
Contusions of size 14 cm x 10 cm with 0.5 cm deep over the left back of abdomen and 4 cm x 3 cm with 0.25 cm deep, over the right side back of abdomen at the L2 level. Both were reddish blue collared (Figure 1). Abrasions of 1 cm x 1 cm and 1.5 cm x 0.7 cm noted over the right back of abdomen and left buttock.
Internally, on opening the ligature mark, there was whitish glistening under the ligature mark mentioned above. Thyroid cartilage was intact. Examination of hyoid bone revealed a fracture on the left greater horn at its outer one third and inner two-thirds junction with surrounding effusion of blood (Figure 2). Examination of peritoneal cavity revealed evidence of some blunt force injury to the abdominal wall. There was a contusion of 7cm x 3cm present on the inner aspect of right 11 th and 12 th ribs along the paravertebral line and it was reddish colour. Another contusion of size 9 cm x 5 cm over 11 th , 12 th rib on the left side along the posterior axillary and paravertebral lines with reddish colour. Other visceral organs were congested. Lungs and brain were edematous. Routine viscera sent for analysis was negative for any poisons, alcohol and drugs. Nail scrapings from fingers of both hands and glass slides (04 in number) with cellophane lifted tape from the ligature mark doesn't reveal any blood, tissue or foreign body. Histopathology of lungs revealed pulmonary edema; the heart was within normal limits and there was no narrowing of coronaries. Stomach wall and small intestine, liver, kidneys were all shown normal architecture. By altogether it was concluded that the cause of death was owing to asphyxia due to hanging and the manner was suicidal.
DISCUSSION
If a suicide occurs in a prison, it not only has a bearing on the other prisoners but also to the prisoner's staff, relatives and of course to their family members. It is understood that failure to create a safe environment inside the prison is the main cause for these deaths. 8 As per the NCRB publication, during the year 2014, the number of complaints testified against police personnel's was 47,714, out of which 2601 cases were registered, and 44 police personnel were convicted. Maximum number of complaints was reported from Delhi (24.9%, 11902 out of 47,714) followed by Madhya Pradesh (22.8) and Maharashtra 13.7% (6,528 complaints) and Chhattisgarh 6.5% (3,105 complaints). 108 cases of Human Rights Violation by Police were reported out of which 33 were charge-sheeted. 9 A study in Ontario showed 41% natural deaths in custody and in California the same natural deaths was 62% of the custodial deaths. 10,11
Midst custodial deaths, the deaths in prison outstripped the death in police custody. The death in prison was natural in almost 85% cases and unnatural in 15% cases. Lion's share suicides in the custodial death noted in the police cell. 12 In Australia, almost 50% of all prison deaths were as a result of inmate suicide with hanging as the most common method. 13 Suicide is documented as the foremost cause of death in prison in Canada, and in Britain by dint of hanging as the most common method. Likewise, Suicide in prison is much more common than suicide in the communal. 14,15 However, both England and the United States reports have noted the relative uncommonness of suicide in exceptional security hospitals
Bansal YS studied 90 cases and reported that males were more commonly involved 95% and females 5%. The
majority of them 63% from the Punjab, followed by Haryana (27%), Chandigarh (7%), Uttar Pradesh (2%) and Himachal Pradesh (1%). 89% of deaths are due to natural causes and 11% lone accounts for unnatural, which are mostly suicidal. 15
In our case, he was arrested for chain snatching and kept into custody. The injuries noted over the back of abdomen signposts that he was tortured after his arrest. Because of the torture made by the police personnel he might have got depressed and committed suicide with lungi in the prison. If the prison doesn't have suspension points or repeated visits by higher officials or monitoring with CCTV etc. may well have prevented the death of the prisoner.
In India, police lock-ups are solely managed by the police personnel and such incidents are only possible by their actions. Nobody can make anyone's life monochrome since every life is smeared by God. Thomas Alva Edison said that "I will not say that I failed 1000 times, I will say that I discovered there are 1000 ways that can cause failure." This is to boost the morale for those who are travelling in such a way to end human rights violations.
CONCLUSION
When a person is under arrest, it point towards that his right is taken away by the law. It is the duty of the law personnel in taking care of these people. There is a high chance of depression in the prisoners who are far from the relatives. To avoid, the police personnel should watch the prisoners half an hourly or one hourly and organize some surprise visits by some higher officials periodically. Moreover these surprise visits may prevent the illegal and intentional acts made by the police personnel. Some modern technology like CCTV cameras can be installed to solve the problem. To reduce the mortality, there is a need to chart and implement the already laid down strict guidelines. There is a need to provoke the prisoners to prevent the suicide behaviour.
Funding: No funding sources
Conflict of interest: None declared
Ethical approval: Not required
REFERENCES
1. Gill J, Koelmeyer TD. Death in Custody and Undiagnosed Central Neurocytoma. Am J Forensic Med Pathol. 2009;30:289-91.
2. Torture in India 2010. Asian Centre for Human Rights. 2010:1.
3. Bryan GA. Black Law Dictionary, 8th Edition.
4. Such as an affront to (prisoners') dignity as human beings, sometimes reaching the dimension of torture: see A. A. Adeyemi, Custodial Rights: Rights of Prison Inmates. JUSTICE: A Journal of Contemporary Legal Problems, 48; lumping many inmates in a single room, lack of provision of adequate food and clothing, and even medical care: see Adeyemi, A. A., United Nations Human Rights Instruments and Criminal Justice Norms and Standards in Bassiouni, M. C. and Motala, Z. (eds.), The Protection of Human Rights in African Criminal Proceedings London. 1991;2:11.
5. Wobeser W, Datema J, Bechard B. Causes of death among people in custody in Ontario, 1990-1999. Can Med Assoc J. 2002;167:1109-13.
6. Brown M, Barraclough B. Epidemiology of suicide pacts in England and Wales, 1988-92. BMJ. 1997;315:286-7.
7. Crime in India Report. National Crime Record Bureau. New Delhi. 2014.
8. Gill J, Koelmeyer TD. Death in Custody and Undiagnosed Central Neurocytoma. Am J Forensic Med Pathol. 2009;30:289-91.
9. Grant J, Southall P, Fowler D. Death in custody: a historical analysis. J Forensic Sci. 2007;52:1177-81.
10. Bardale R, Shrigiriwar M, Dixit P, Tayade S. Death Behind Bars: A five-year study of custodial deaths. Medicolegal Update. 2005;5(4):105-8.
11. Morrison S. Custodial suicide in Australia: a comparative study of different populations. Med. Sci. Law. 1996;36(2):167-77.
12. Green C, Kendall K, Andre G, Looman T, Polvi N. A study of 133 suicides among Canadian Federal Prisoners, Med. Sci. Law. 1993;33(2):121-7.
13. Smith R. Death in prison. British Med. J. 1984;288:208-12.
14. Haynes RL and Marques JK. Patterns of suicide among hospitalised mentally disordered offenders. Suicide and Life-threatening Behav. 1984;14(2):133-25.
15. Bansal YS, Murali G, Dalbir Singh, Custodial Deaths - An Overview of the Prevailing Healthcare Scenario, J Indian Acad Forensic Med. 2010;32(4):315-17.
Cite this article as: Naik R, Shaha KK, Chaudhari VA. Are prisons safe? Death due to depression while in custody: a case report. Int J Res Med Sci 2016;4: 1304-6. | <urn:uuid:682687ac-e218-4cb7-852d-d801ae7b52e3> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 11,830 |
WellCare - H1032
Clasificación de estrellas de Medicare para 2015*
Cada año, el programa Medicare califica a todos los planes de salud y de medicamentos con receta de acuerdo a su calidad y desempeño. Estas calificaciones le permiten saber qué tan bien está funcionando nuestro plan. Usted puede utilizarlas para comparar el desempeño de nuestro plan con el de otros planes. Los dos tipos principales de clasificaciones de estrellas son:
1. Una clasificación de estrella en términos generales que combina todos los puntajes de nuestros planes.
2. Resumen de clasificación de estrellas que se enfoca en nuestros servicios médicos y de medicamentos con receta.
Algunas de las áreas que Medicare revisa para las clasificaciones incluye:
* Cómo califican nuestros miembros los servicios y el cuidado del plan;
* El nivel de desempeño de nuestros médicos para detectar enfermedades y mantener saludables a los miembros;
* El nivel de desempeño del plan para ayudar a nuestros miembros a utilizar medicamentos con receta seguros y recomendados.
Para el 2015, WellCare recibió la siguiente calificación general de Medicare.
★★★★
3.5 Estrellas
Recibimos el siguiente resumen de clasificación de estrellas por los servicios del plan de salud/medicamentos de WellCare:
★★★
★★★★
Servicios del plan de salud:
3 Estrellas
Servicios del plan de medicamentos:
3.5 Estrellas
La cantidad de estrellas indica el nivel de desempeño de nuestro plan.
★★★★★
Excelente
★★★★
Por encima del promedio
★★★
Promedio
★★
Por debajo del promedio
★
Deficiente
Aprenda más sobre nuestro plan y cómo nos diferenciamos de otros planes en www.medicare.gov.
También puede comunicarse con nosotros los 7 días de la semana de 8:00 a.m. a 8:00 p.m., hora local, llamando al 877-817-5794 (sin cargo) o al 877-247-6272 (TTY) del 15 de octubre al 7 de diciembre. Nuestro horario de atención para el resto del año es de lunes a viernes de 8:00 a.m. a 8:00 p.m., hora local.
Los miembros actuales deben llamar al 866-637-8041 (sin cargo) o al 877-247-6272 (TTY).
*Las clasificaciones de estrellas están basadas en 5 estrellas. Las clasificaciones de estrellas son evaluadas cada año y pueden cambiar de un año al otro.
H1032_FL027886_WCM_INS_SPA CMS Accepted 10252014
©WellCare 2014 FL_10_14
FL5RATINS61886S | <urn:uuid:7067723a-0c8a-4ebd-8612-a11cec1a47a4> | HuggingFaceFW/finepdfs/tree/main/data/spa_Latn/train | finepdfs | spa_Latn | 2,296 |
MODIFICACIÓ PUNTUAL DEL POUM PER LA DELIMITACIÓ D’UN ÀMBIT DE PLA ESPECIAL A LA SERRA
DOCUMENT COMPRENSIU
CONSELL COMARCAL DEL PLA D’URGELL
SERVEIS TÈCNICS
Arca Guardiola Franci,
Arquitecta col·legiada número 48881/1
Octubre de 2015
DOCUMENT 0
DOCUMENT COMPRENSORIAL
1. PETICIONARI I OBJECTE
Ha instat la redacció d’aquest document l’Ajuntament de Mollerussa, el qual està adscrit als Serveis Tècnics del Consell Comarcal del Pla d’Urgell. Per tant, correspon a la iniciativa pública la modificació de planejament que es proposa en aquest document, amb la finalitat de facilitar el desenvolupament del Parc de la Serra, ordenant les activitats existents i facilitant la ubicació de nou usos que complementen el caire educatiu i esportiu d’aquest àmbit mantenint l’espai com una reserva natural del municipi.
2. SITUACIÓ I ESTRUCTURA DE LA PROPIETAT
El Parc Territorial de la Serra, avasta sòl de diversos municipis de la comarca, i és un espai de gran valor natural i paisatgístic a la zona, que tradicionalment s’ha utilitzat a banda dels usos agrícoles propis d’aquest tipus de sòl, com a zona d’esbarjo i de guadi dels habitants de la comarca.
El municipi de Mollerussa és la capital de la comarca del Pla d’Urgell, té una superfície de 7,1 km² i una població de 14.963 habitants. L’àmbit on es situa el Pla Especial, és el Parc de la Serra del municipi de Mollerussa. Els terrenys estan situats al sud-oest del terme municipal i tenen el seu accés principal des de la Carretera LV-2001.
L’àmbit delimitat té una forma irregular amb una superfície conjunta de 640.304 m². Limita al Sud amb sòl no urbanitzable, clau 11 espai d’interès agrícola, al Oest amb el terme municipal de Torregrossa, al Nord amb el Terme Municipal de Fondarella i a l’Est amb sòl no urbanitzable, clau 11 espai d’interès agrícola.
Els terrenys tenen un pendent ascendent de nord-est a sud-oest, des de una cota de 243,54m a 290,22m.
D’acord amb les dades registrals i cadastrals de les quals disposem, les parcel·les afectades són les següents:
| Titular | Informació registral | Superfície | Informació cadastral | Superfície |
|--------------------------|--------------------------------------------------------------------------------------|-------------|-----------------------|--------------|
| Generalitat de Catalunya | - Finca 2699 del Tom 1872 del Llibre 100 Folí 219
| - Finca 2698 del Tom 1872 del Llibre 100 Folí 222 | 284.446 m² | 2196108CG2029N0001EL | 24.243 m² |
| | | | 2196101CG2029N0001OL | 273.939 m² |
| | | | 2196107CG2029N0001JL | 4.305 m² |
| | | | 2196110CG2029N0001JL | 9.818 m² |
| | | | 2196118CG2029N0001BL | 10.600 m² |
| | | | 2196112CG2029N0001SL | 6.513 m² |
| Ajuntament de Mollerussa | - Finca 574 del Tom 2273 del Llibre 168 Folí 4
| - Finca 1360 del Tom 1736 del Llibre 83 Folí 31
| - Finca 350 del Tom 706 del Llibre 24 Folí 157
| - Finca 1295 del Tom 1930 del Llibre 109 Folí 37
| - Finca 1066 del Tom 462 del Llibre 16 Folí 195
| - Finca 1359 del Tom 239 del Llibre 10 Folí 57
| - Finca 1532 del Tom 2341 del Llibre 183 Folí 65
| - Finca 4065 del Tom 2341 del Llibre 183 Folí 68
| - Finca 1602 del Tom 306 del Llibre 12 Folí 168 | 852 m² | 2196105CG2029N0001XL | 852 m² |
| | | | 25172A007000110000SH | 58.626 m² |
| | | | 2196106CG2029N0001IL | 5.841 m² |
| | | | 2196109CG2029N0001SL | 7.150 m² |
| | | | 2196117CG2029N0001AL | 25.507 m² |
| | | | 2196102CG2029N0001KL | 14.472 m² |
| | | | 2196103CG2029N0001RL | 7.578 m² |
| | | | 2196104CG2029N0001DL | 15.760 m² |
| | | | 2196111CG2029N0001EL | 43.927 m² |
| | | | 2196116CG2029N0001WL | 9.809 m² |
| | | | 1592801CG2019S0001KM | 31.282 m² |
| José Pedrós Duch | - Finca 466 del Tom 2262 del Llibre 166 Folí 112 | 21.707 m² | 25172A006000180000SK | 21.707 m² |
| Clot del Agulló SA- | - Finca 6436 del Tom 1777 del Llibre 88 Folí 154
| - Finca 2831 del Tom 1924 del Llibre 108 del Folí 102 | 2.428 m² | 11.780 m² | |
| Graus Terratzos i Paviments | | | 25172A007000070000SU | 2.331 m² |
| | | | 25172A007000090000SW | 10.890 m² |
| | | | 25172A007000060000SZ | 5.613 m² |
| Propietari | Descripció de la finca | Superfície (m²) | Codi catastral | Superfície (m²) |
|--------------------|------------------------|-----------------|----------------|----------------|
| Francisco Argilés Felip | Part de la finca 9277 del Tom 2189 del Llibre 152 del Fol 7 | 2.314,28 m² | 25172A007000180000SP (part) | 2.314,28 m² |
| SAT N1596 NUFRI | | | | 9.428 m² |
| Francisco Argilés Felip i Garrofé | Finca segregada: Francisco Argilés Garrofé | 5.856 m² | | |
| | | 4.358 m² | | |
3. ORDENACIÓ VIGENT
Els terrenys afectats per la modificació, s’ordenen al plànol número 3. “Regulació del sòl no urbanitzable” dels plànols d’ordenació del POUM vigent, dintre de l’àmbit del Pla Director de la Serra i l’article 169 de la normativa del POUM vigent. També
“article 169. Pla director del “Parc de La Serra”
1. Àmbit:
Inclou el conjunt de Parc Territorial i d’equipaments del Parc de la Serra, on s’han localitzat equipaments de tipus diversos: l’institut d’educació secundària agrària, l’estació meteorològica, la pista de Cross, l’aeròdrom del Pla d’Urgell i altres activitats que incideixen en l’ordenació del paisatge del conjunt.
Aquest àmbit d’ordenació es podrà ajustar incloent terrenys veïns, a fi d’establir una delimitació més adequada i precisa respecte les condicions de la vegetació, topografia o límits de la propietat del sòl. La superfície del sector és de 640.304 m².
2. Objectius:
- Ordenar la mobilitat rodada i accessibilitat general de l’àmbit, respecte a la primera corona del Pla d’Urgell; la millora de la mobilitat de vianants i de ciclistes, avaluar i precisar les demandes i les necessitats futures d’aparcaments, l’aprofitament del traçat de la futura Via Orbital en la millora de l’accessibilitat.
- Ordenar els accessos al Parc de La Serra des de l’àrea central de Mollerussa, establint les condicions de relació entre les edificacions existents i l’espai obert i viari, de manera que els traçats d’accessibilitat esdevinguin traces del parc, per a una adequada relació de les activitats i usos presents en l’àmbit.
- Regular i ordenar les activitats i els usos actuals, nous i potencials respecte de les demandes internes del municipi i les expectatives de l’àmbit a escala supra-municipal, tenint en consideració les sinèrgies producte de la permanència de les diverses activitats (institut, aeròdrom, cross i les activitats massives de duració limitada en el temps) en l’àmbit.
- Millora de l’articulació entre els usos, les activitats i els recintes existents amb l’objectiu d’optimitzar el lloc i el funcionament polivalent dels espais.
- Ordenar paisatgísticament l’àmbit del Parc de La Serra en relació amb els espais de valor natural i de connexió biològica, i de la capacitat potencial per poder allotjar altres activitats i usos, per tal de precisar un programa coherent i adequat a les persistències del lloc natural, del paisatge i dels usos actuals.
3. Condicions d’ordenació, d’edificació i d’ús:
El pla director establirà l’estructura dels sistemes urbanístics de sòl públic necessària per a la consecució dels objectius definits en el apartat 2 d’aquest article.
Determinacions fonamentals de l’ordenació:
- L’ordenació del pla director garantirà l’equilibri entre l’espai lliure i l’espai equipat per a una bona gestió de l’espai com a Parc Territorial.
- S’establiran les mesures preventives i de desenvolupament respecte de la conservació i la restauració d’hàbitats naturals i de la flora i de la fauna del parc per facilitar l’equilibri entre les funcions antròpiques i les funcions ambientals de l’espai en contacte amb el sistema territorial d’hortes i secans.
4. Condicions de gestió:
Aquest pla serà de promoció pública i establirà els projectes successius, així com les etapes d’execució corresponents.”
4. JUSTIFICACIÓ DE LA SOLUCIÓ ADOPTADA
La modificació puntual objecte d’aquest document es tramita per tal de facilitar el desenvolupament del Parc de la Serra, així com la ubicació de noves activitats i usos, i la regulació de les existents. El POUM actualment vigent, delimita un àmbit de Pla Director per tal d’ordenar i regular aquesta zona, determinant una ordenació orientativa de sol destinat a equipament i a parc territorial i fixant que mentre no es desenvolupi el corresponent Pla Director, no es podrà edificar en sòl destinat a parc territorial.
Així doncs, atenent a la necessitat de l’Ajuntament de Mollerussa d’ubicar nous usos i equipaments en aquest àmbit (pista d’atletisme), es proposa destinar una part dels terrenys a sistema d’equipaments generals i definir com a figura de planejament per desenvolupar l’àmbit, el Pla Especial.
En la normativa del POUM vigent es fa constar que la figura per desenvolupar el sòl no urbanitzable serà la de Pla Especial(article 167), que ajustarà les condicions de l’edificació, restringirà els usos permesos i fixarà la superfície mínima de les finques en la regulació de cada ús i àrea de sòl.
En l’article 168 del POUM vigent diu:
“1. Independentment de la possibilitat de desenvolupar plans especials en sòl no urbanitzable, d’acord amb les finalitats descrites a l’article anterior d’aquesta Normativa, aquest Pla estableix en determinats sectors la necessitat de la tramitació d’un pla especial per al seu desenvolupament, i en defineix els objectius i criteris generals d’ordenació, edificació i d’ús, així com les condicions de gestió.
2. Aquest sector de desenvolupament en sòl no urbanitzable és:
- El pla director del “Parc de La Serra”.
Així doncs, el mateix POUM deixa clara la necessitat de tramitació d’un pla especial per al desenvolupament de determinats sectors del sòl no urbanitzable, i anomena aquest sector Pla Director de la Serra.
Pel que fa a la voluntat que en l’actualitat l’Ajuntament de Mollerussa té d’ubicar en uns terrenys inclosos en l’àmbit objecte d’aquesta modificació, d’una pista d’atletisme i la futura ampliació de la pista d’aterratge de l’escola de vol, es proposa un canvi de classificació d’una part dels terrenys d’aquest àmbit, actualment classificats com a Parc Territorial a sòl destinat a equipaments generals en sòl no urbanitzable. Malgrat que la normativa del POUM vigent, l’ús esportiu i l’aeronàutic són compatibles en el sòl destinat a Parc Territorial, es més convenient classificar aquest terrenys que es destinaran a dos instal·lacions lúdico-esportives del municipi, a sòl destinat a equipaments en sòl no urbanitzable.
A la modificació puntual objecte d’aquest document no li és d’aplicació l’article 98 del text refós de la Llei d’Urbanisme, consolidat amb les modificacions introduïdes per la Llei 3/2012, de Modificació dels sistemes urbanístics d’espais lliures, zones verdes o d’equipaments esportius, ja que no s’altera la zonificació o ús urbanístic els espais lliures, les zones verdes o els equipaments esportius considerats pel planejament urbanístic com a sistemes urbanístics generals o locals.
Per altra banda, en l’article 116.3 del text refós de la Llei d’Urbanisme, modificat per la llei 3/2012, es determina que es pot dur a terme directament l’execució de sistemes urbanístics previstos en el POUM sempre que les previsions contingudes en el pla siguin suficientment detallades. Per aquest motiu s’adjunta a aquesta modificació puntual un apartat destinat al nou equipament previst d’executar en l’àmbit de la modificació: la pista d’atletisme.
5. ORDENACIÓ PROPOSADA
Pel que fa a la regulació dels Parcs Territorials:
“SECCIÓ SEGONA. SISTEMA DE PARCS TERRITORIALS
article 108. Règim general
1. En l’obtenció, la projectació, el finançament, l’ús, l’explotació i la conservació dels diferents parcs territorials, s’observaran els preceptes establerts en aquestes Normes i els que es determinaran mitjançant els corresponents plans especials que s’hauran d’elaborar per a desenvolupar l’ordenació d’aquests sectors.
2. En desenvolupament de les previsions contingudes en aquest POUM, s’elaborarà el pla especial per al parc territorial enumerat a l’article 106 d’aquestes Normes, amb la finalitat de preservar i de conservar les seves característiques ecològiques i paisatgístiques i d’ordenar adequadament el seu ús d’esbarjo i de lleure.
3. Mentre no s’aprovi el pla especial seran aplicables els criteris definits per a la zona de sòl no urbanitzable més propera, restringint els usos admesos a l’agricola existent.
4. En qualsevol cas, es garantirà la conservació dels sistemes naturals i seminaturals d’aquests espais, i es determinaran les condicions per a la seva regeneració i millora.
article 109. Condicions d’ús
1. Ús dominant: espai lliure, d’acord amb el que estableix l’article 52 dels paràmetres comuns d’aquestes Normes.
2. Usos compatibles: agrícola, educatiu, aeronàutic, cultural i esportiu.
- S’admeten aquests usos sempre i quan siguin activitats compatibles amb els objectius del sistema i complementàries de l’ús d’esbarjo i de lleure, i de protecció i de promoció de la natura i del medi ambient.
- També s’admeten instal·lacions per a la pràctica esportiva, sempre i quan no excedeixin del 15% del sòl executat i siguin d’ús i de domini públic.
3. L’ampliació o la restricció dels usos compatibles i la determinació del règim de la titularitat es regularà mitjançant l’elaboració d’un pla especial.
4. Mentre no es redacti el corresponent Pla Especial en els sòls qualificats de sistema d’espais de parcs territorials no s’admetrà cap tipus de construcció nova. Les edificacions existents residencials s’estaran al règim de volum disconforme, podent-se autoritzar obres de reforma i rehabilitació, i essent prohibides les obres d’ampliació de volum o de nova planta.
5. En els sòls qualificats de parc territorial, no s’admetrà l’obertura de nous camins ni accessos, i els existents hauran de ser urbanitzats conforme a la seva condició d’espais de protecció paisatgística.
6. S’admet l’ús d’habitatge unifamiliar només quan aquest és complementari i vinculat a d’altres usos admesos i compatibles amb els objectius del parc, amb la finalitat de manteniment de les instal·lacions i de vigilància de l’entorn.
article 110. Ordenació mitjançant plans especials
1. Per a l’ordenació detallada dels espais de parcs territorials que aquest Pla d’Ordenació Urbanística Municipal delimita, es redactarà un pla especial.
2. Aquest pla especial establirà les següents determinacions fonamentals:
a. La delimitació dels sòls públics i privats i la forma d’obtenir els primers, així com la determinació dels instruments de gestió i d’organització necessaris per garantir les funcions dels parcs.
b. Les condicions de repoblació forestal per tal de no malmetre les espècies forestals existents garantint l’equilibri ecològic i preveient les mesures necessàries per a la prevenció d’incendis.
c. La regulació específica dels usos i de les condicions de l’edificació que s’hi permetin.
d. Les edificacions o instal·lacions al servei dels usos admesos dins d’aquests espais hauran d’acomplir les següents determinacions:
- No perjudicaran la qualitat de l’arbrat, ni limitaran els recorreguts interns i a través dels espais.
- No es podrà edificar en els turons ni transformar-ne les condicions naturals més que per a dur a terme projectes de repoblació i millora dels terrenys forestals.
- Les determinacions referents al projecte d’urbanització de l’espai que contemplin els serveis i infraestructures necessàries per al bon funcionament del mateix, com són l’accés rodat i el peatonal, l’aparcament de vehicles, l’abastament d’aigua i d’energia elèctrica i la correcta evacuació i tractament de les aigües residuals, garantint una bona integració dins de l’àmbit del parc i no perjudicant la qualitat de l’arbrat i de la vegetació existents.”
Pel que fa a la regulació del Sòl no Urbanitzable:
“article 168. Classificació i definició dels sectors de desenvolupament en el SNU
1. Independentment de la possibilitat de desenvolupar plans especials en sòl no urbanitzable, d’acord amb les finalitats descrites a l’article anterior d’aquesta Normativa, aquest Pla estableix en determinats sectors la necessitat de la tramitació d’un pla especial per al seu desenvolupament, i en defineix els objectius i criteris generals d’ordenació, edificació i d’ús, així com les condicions de gestió.
2. Aquest sector de desenvolupament en sòl no urbanitzable és:
“Àmbit del Pla Especial del “Parc de La Serra”.
article 169. Pla Especial del “Parc de La Serra”
1. Àmbit:
Inclou el conjunt de Parc Territorial i d’equipaments del Parc de la Serra, on s’han localitzat equipaments de tipus diversos: l’institut d’educació secundària agrària, l’estació meteorològica, la pista de Cross, l’aeròdrom del Pla d’Urgell i altres activitats que incideixen en l’ordenació del paisatge del conjunt.
Aquest àmbit d’ordenació es podrà ajustar incloent terrenys veïns, a fi d’establir una delimitació més adequada i precisa respecte les condicions de la vegetació, topografia o límits de la propietat del sòl. La superfície del sector és de 640.304 m².
2. Objectius:
- Ordenar la mobilitat rodada i accessibilitat general de l’àmbit, respecte a la primera corona del Pla d’Urgell; la millora de la mobilitat de vianants i de ciclistes, avaluar i precisar les demandes i les necessitats futures d’aparcaments, l’aprofitament del traçat de la futura Via Orbital en la millora de l’accessibilitat.
- Ordenar els accessos al Parc de La Serra des de l’àrea central de Mollerussa, establint les condicions de relació entre les edificacions existents i l’espai obert i viari, de manera que els traçats d’accessibilitat esdevinguin traces del parc, per a una adequada relació de les activitats i usos presents en l’àmbit.
- Regular i ordenar les activitats i els usos actuals, nous i potencials respecte de les demandes internes del municipi i les expectatives de l’àmbit a escala supra-municipal, tenint en consideració
les sinèrgies producte de la permanència de les diverses activitats (Institut, aeròdrom, cross i les activitats massives de duració limitada en el temps) en l'àmbit.
- Millora de l'articulació entre els usos, les activitats i els recintes existents amb l'objectiu d'optimitzar el lloc i el funcionament polivalent dels espais.
- Ordenar paisatgísticament l'àmbit del Parc de La Serra en relació amb els espais de valor natural i de connexió biològica, i de la capacitat potencial per poder allotjar altres activitats i usos, per tal de precisar un programa coherent i adequat a les persistències del lloc natural, del paisatge i dels usos actuals.
3. Condicions d'ordenació, d'edificació i d'ús:
El **pla especial** establirà l'estructura dels sistemes urbanístics de sòl públic necessària per a la consecució dels objectius definits en el apartat 2 d'aquest article.
Determinacions fonamentals de l'ordenació:
- L'ordenació del **pla especial** garantirà l'equilibri entre l'espai lliure i l'espai equipat per a una bona gestió de l'espai com a Parc Territorial.
- S'establiran les mesures preventives i de desenvolupament respecte de la conservació i la restauració d'hàbitats naturals i de la flora i de la fauna del parc per facilitar l'equilibri entre les funcions antròpiques i les funcions ambientals de l'espai en contacte amb el sistema territorial d'hortes i secans.
4. Condicions de gestió:
Aquest pla serà de promoció pública i establirà els projectes successius, així com les etapes d'execució corresponents.
5. **El sòl classificat com a equipament, tindrà la consideració de sistema urbanístic general o local, i per tant, no es podrà modificar quan es desenvolupi el Pla Especial de la Serra. En aquest tipus de sòl, mentre no es desenvolupi el corresponent Pla Especial que ordeni l'àmbit del Parc de la Serra, s'hi podran construir els equipaments d'interès públic que siguin necessaris.**
6. **TRAMITACIÓ DE LA MODIFICACIÓ PUNTUAL**
Als efectes d'allò que es determina a l'article 85 del DL 1/2010, l'aprovació inicial de l'expedient així com la posterior aprovació provisional quan correspongui, és competència de l'ajuntament de Mollerussa, el qual haurà d'acordar ficar-lo a exposició pública pel termini d'un mes (art. 85.4) i requerir els informes sectorials pertinents (art. 85.5).
La nova aprovació inicial de la proposta de modificació puntual hauria de comportar la declaració expressa per part de l'ajuntament de Mollerussa de la suspensió de llicències afectades pel contingut de la modificació d'acord amb allò que es determina als articles 73 i 74 del DL 1/2010 Text refós de la Llei d'Urbanisme de Catalunya, a l'àmbit inclòs dins de la línia vermella del plànol que consta al punt 3 d'aquest document.
Mollerussa, octubre de 2015
Aroa Guardiola Franci,
Arquitecte Col. 48881/1 | <urn:uuid:ff685d80-e1a1-42ca-b42a-709399d247aa> | HuggingFaceFW/finepdfs/tree/main/data/cat_Latn/train | finepdfs | cat_Latn | 23,748 |
Os efeitos do desamparo psíquico em profissionais da saúde no atendimento de pacientes com COVID-19*
The effects of psychic helplessness in health professionals in the care of patients with COVID-19
Lucas Jivago Lourenço Franco 1 Debora Lydinês Martins Corsino 2 Sílvia Nogueira Cordeiro 3
Resumo
A infecção COVID-19, causada pelo coronavírus SARS-CoV-2, foi responsável por uma pandemia de escala mundial, ocasionando grande impacto na sociedade como um todo, especialmente no âmbito da saúde. No que se refere aos profissionais da linha de frente no combate contra o vírus, sabe-se que eles foram uma das primeiras classes de trabalho afetadas pelo novo cenário. Nesse sentido, a presente pesquisa objetivou compreender os efeitos na saúde mental dos profissionais de saúde que vivenciaram o processo de cuidado de pacientes adoecidos pela COVID-19. O delineamento do estudo apresentou-se como descritivo, de natureza clínico-qualitativa. Utilizou-se de entrevistas semidirigidas, com questões abertas direcionadas a sete profissionais da saúde que atuavam no contexto de pandemia da COVID-19 em hospitais do Paraná. Os resultados e a discussão foram apresentados em forma de categorias, que foram estudadas a partir do método da análise de conteúdo de Bardin. Foi possível compreender que as vivências do ofício hospitalar para aqueles presentes na linha de frente da pandemia foram marcadas pelo desamparo psíquico, que trouxe sofrimento aos profissionais de saúde, decorrente das especificidades do tratamento dos pacientes com COVID-19, excesso de casos e falta de amparo dos órgãos competentes.
Palavras-chave: coronavírus; pandemia; profissionais da saúde; saúde mental.
Abstract
The COVID-19 infection, caused by the SARS-CoV-2 coronavirus, was responsible for a worldwide pandemic, causing great impact on society as a whole, especially in the field of health. Regarding the professionals struggling against the virus in the frontline, it is known that they were one of the first working classes affected by this new scenario. Thereby, the present research aimed to
1 Universidade Estadual de Londrina – Londrina/PR – firstname.lastname@example.org
3 Universidade Estadual de Londrina – Londrina/PR – email@example.com
2 Universidade Estadual de Londrina – Londrina/PR – firstname.lastname@example.org
* Agência de Fomento: Conselho Nacional de Desenvolvimento Científico e Tecnológico - CNPq.
understand the effects on the mental health of health professionals who experienced the process of caring for ill patients with COVID-19. The study design was presented as descriptive, of a clinical-qualitative nature. Semi-structured interviews were used, with open questions directed at seven health professionals who worked in the context of the COVID-19 pandemic in hospitals in Paraná. The results and discussion were presented in the form of categories, which were studied using the method of content analysis by Bardin. It was possible to understand that the hospital professional experiences, for those present on the front line of the pandemic, were marked by psychological overload, which brought suffering to health professionals, resulting from the specificity of treating COVID-19 patients, excess of cases and lack of support from the responsible agencies.
Keywords: coronavirus; pandemic; healthcare professionals; mental health.
Introdução
O Sars-CoV-2, vírus responsável por causar a infecção que se popularizou como COVID-19, teve seus primeiros casos anunciados em dezembro de 2019 (WHO, 2020). A Organização Mundial da Saúde (OMS) declarou a pandemia no início de 2020, sob o cenário de 110 mil casos distribuídos em 114 países. No Brasil, declarou-se Emergência de Saúde Pública de Importância Nacional (ESPIN) no início de fevereiro de 2020, devido à rapidez do contágio da doença, que influenciou de maneira significativa a vida de bilhões de pessoas em todo o planeta (Brasil, 2020).
Destaca-se que, no momento do presente estudo, com a coleta tendo sido interrompida em maio de 2021, não havia ampla disponibilidade de vacinas e a dificuldade de encontrar um tratamento comprovadamente eficaz para o coronavírus fez da estratégia de distanciamento social a medida mais importante na intervenção para o controle do vírus. No entanto, essa estratégia não se aplica às equipes de assistência à saúde, principalmente para os profissionais que estão no cuidado direto de pacientes com suspeita ou com diagnóstico confirmado de Covid-19 (Teixeira et al., 2020).
A exposição direta aos pacientes infectados fez dos profissionais hospitalares grupo de risco para a doença, sendo também afetados por fatores como cansaço físico, estresse psicológico, insuficiência e/ou negligência com relação às medidas de proteção e cuidado à saúde. Situação que traz como consequência um aumento significativo de sofrimento psíquico nestes profissionais (Teixeira, et al. 2020).
Esses fatores têm íntima relação com o cenário contemporâneo de crise econômica mundial, ac entuado pela expansão do modo de produção capitalista e neoliberal, que possibilitou processos de reorganização dos Estados marcados pelo desmonte das políticas sociais, aprofundamento da precarização do trabalho, retirada de direitos e ataques à democracia, pesquisa, educação e meio ambiente. Criou-se, portanto, um contexto propício para uma pandemia devastadora, que atingiu boa parte da população mundial afetada por não possuir condições mínimas para realizar o isolamento social, devido a situações precárias de trabalho, saúde e moradia (Pinto & Cerqueira, 2020).
Essa precariedade diz respeito à implementação da doutrina neoliberal, que se dá a partir da década de 70, marcada pela entrada do discurso de psicologização no campo econômico e político, trazendo intervenções profundas em relação ao estatuto social do sofrimento nos modos de socialização capitalistas. Esse processo identifica como falha moral a não correspondência das expectativas impostas com o ideal de existência do sujeito do desempenho, o "empresário de si" (Safatle, 2021).
O sujeito, portanto, sofre de uma eterna sensação de cansaço e insuficiência ao ter sua identidade formada e padronizada a partir do neoliberalismo. Nesta política do sofrimento,
descobre-se que sua administração adequada e mensurada serve como um forte motor para a produção. Desse modo, faz-se uma gestão individualizada e instrumentalizada do sofrimento psíquico, primando pela supervalorização do consumo e da produção acima do bem-estar social (Dunker, 2021).
É a partir disso que, com a suspensão do "mundo existente" na pandemia, os profissionais da saúde acabam por ser engolidos pelos seus trabalhos, confinando-os em um período de crescentes demandas hospitalares. Essa situação se encaixa nas exigências das políticas neoliberais que, ao seguir uma tendência para além da economia, passa a legitimar sofrimentos úteis para a produtividade, caracterizando tanto os sintomas clínicos quanto o mal-estar existencial (Safatle, 2021).
Nesse contexto, os profissionais da saúde foram requeridos a atender demandas desgastantes, acentuadas pelo descaso dos órgãos competentes em realizar medidas de isolamento social e investimento no combate ao coronavírus, levando os sistemas funerário e de saúde de alguns estados à beira de um colapso (Pinto & Cerqueira, 2020; Kind & Cordeiro, 2020). Foi possível observar que a irrupção desses fatores coloca em evidência o desamparo psíquico do ser humano, intensificado pelo cenário traumático da pandemia.
Nesse sentido, frente à angústia e devido à demanda de amor e proteção, o sujeito recorre a recursos internos e/ou externos para construções imaginárias e simbólicas que lhe permitem lidar com o desamparo psíquico. Uma solução ilusória para essa fragilidade sentida pelo sujeito dá-se através do laço social, sendo construído por ele em associação com sua rede de relações intersubjetivas dentro do contexto em que está inserido, criado como reação às situações de desamparo (Ceccarelli, 2009).
Os laços sociais foram colocados em questão na pandemia, como consequência do déficit das condições materiais oriundas da falta de amparo técnico e dificuldades na gestão pública, aliadas ao excesso de trabalho. A situação descrita trouxe sobrecarga psíquica aos profissionais de saúde, sendo também fruto da necessidade súbita da mobilização de trabalhos de luto, não somente pelas perdas de pacientes, colegas e familiares, mas também pela perda simbólica relacionada ao desaparecimento das antigas rotinas, à restrição da liberdade de circulação e do convívio social (Dantas et al., 2020).
Em vista disso, será apresentado, no primeiro ponto, um recorte do conceito de angústia nos escritos freudianos enquanto um afeto que se destaca em situações de perigo sentidas pelo sujeito, que reage de maneira diferente perante essas vivências. Já no segundo ponto, será demonstrado o processo de construção da morte no ocidente, assim como ela se presentifica no ambiente hospitalar, impactando a imagem e o ofício do profissional da saúde.
Angústia: afeto privilegiado no cotidiano hospitalar
O confronto com a morte é uma experiência que coloca o sujeito diante do limite humano: a realidade da finitude da vida, o desamparo. A experiência com a morte é singular e difícil de ser simbolizada e subjetivada, o que torna necessário um tempo para a elaboração. A angústia é um afeto privilegiado nessa experiência, na medida em que dá o tom para as vivências psíquicas de um sujeito que passa por situações de perda ou separação (Oliveira, 2020).
As primeiras formulações sobre o afeto em questão ocorrem nos Estudos sobre a histeria de Breuer e Freud (1894/1980). Nesses textos, anteriores à estruturação da teoria metapsicológica da psicanálise, a angústia foi abordada dentro de uma entidade clínica de sintomatologia própria (irritabilidade, ansiedade, expectativa angustiante e ataques de angústias diversos) denominada "neurose de angústia". Ela possui fonte orgânica e se origina como reação a traumas, repetindo-se cronicamente. Esta abordagem foi estabelecida devido à insuficiência do uso de fatores externos enquanto explicação para o surgimento e manutenção da angústia (Lourenço, 2009).
Naquele momento, a angústia foi compreendida como uma excitação resultante de uma disfunção que invade a psique, expressando-se como um "sentir-se mal", podendo apresentar sudorese, vertigem, distúrbios respiratórios, tremores, pânico noturno, entre outros indicadores. Entre as condições etiológicas para a aparição da neurose de angústia, Freud (1894/1980) observou uma que aparenta ser a única de natureza não sexual: a neurose que emerge como produto da sobrecarga de trabalho.
Assim, quando há esforço exaustivo, como, por exemplo, o cuidado de enfermos durante noites em claro, a energia libidinal, por ser pouco resistente ao cansaço, é transformada de tal maneira que não consegue mais lidar com a excitação somática, desligando-se da representação e causando uma irrupção de afetos. Essa energia excessiva e desligada pode ser considerada um substrato primordial para a angústia (Freud, 1894/1980).
Nas "Conferências Introdutórias à Psicanálise", Freud (1916-1917/2014) voltou a abordar o afeto, agora sob a primazia dos aspectos psíquicos devido à abordagem metapsicológica presente na investigação psicanalítica. Assim, o autor compreendeu o afeto a partir da elevação de tensão no sujeito, oriundo dos conflitos internos sentidos como ameaças. A angústia, portanto, passou a ser considerada um estado de expectativa a um perigo indeterminado, sentido como interno ou externo.
Foi apenas no segundo momento da teorização que Freud (1926/2014) em "Inibição, Sintoma e Angústia", olhou para o conjunto de observações clínicas de seu período para retificar algumas de suas conclusões sobre o tema. O autor primou pelo argumento de que este afeto consta em uma reação à sinalização de perigo, de modo que o Eu defensivamente aplica investimento na liberação de desprazer em forma de angústia ao perceber representantes psíquicos apreendidos como causas de conflitos ou possíveis ameaças.
Freud ressaltou que a angústia possui importância primordial na formação do infante, visto que é o afeto que indica o perigo desde o momento do nascimento, e torna-se modelo para as situações de perigo posteriores, existindo, portanto, anteriormente aos conflitos intrapsíquicos e não sendo produto deles. Assim, para o autor, o afeto de angústia tem a capacidade de ser atualizado de acordo com as vivências traumáticas presentes na história do sujeito, sendo despertado quando situações análogas aos estados de perigos passados ocorrem (Freud, 1926/2014).
O estado de perigo, para Freud, incide na verificação da angústia pelo infante ao se ver abandonado e sem segurança frente a possíveis ameaças; logo, sem o cuidador que sempre satisfez suas demandas, essa ausência representa situação de aflição. A sensação de angústia, então, revela-se como produto do desamparo psíquico do infante, construída conforme suas vivências, além de ser essencial para a preparação do ser humano, pois visa a autopreservação (Freud, 1926/2014).
Neste sentido, a angústia foi compreendida como uma expectativa do trauma ao mesmo tempo que se trata da "reprodução atenuada" dele, um sinal de ajuda a partir do que foi experienciado passivamente, podendo ser interpretada como uma repetição que objetiva uma participação mais ativa do sujeito perante as atribulações vividas (Freud, 1926/2014).
Esse breve percurso foi feito visando às contribuições da abordagem freudiana da angústia enquanto afeto psíquico originado na reação a perigos indeterminados e suas possíveis relações com as vivências dos profissionais da saúde durante a pandemia. A partir disso, o próximo ponto pretende discutir uma dessas fontes de perigo que se faz presente no hospital e mobiliza diversas reações e modos de agir: a morte.
A morte no ocidente e sua influência na atuação do profissional da saúde
A circunscrição da morte no contexto hospitalar se deu no advento da modernidade, a partir do século XIX. Da Idade Média até os dias de hoje, a concepção de morte mudou radicalmente pois, se antes a morte era familiar e presente no cotidiano, agora passa a ser negada, ocultada
e distanciada através de um longo processo histórico. Assim, sua presença passa a ser recebida em conjunto com as ideias de falência do corpo, dos métodos de atenção à saúde, das relações sociais etc. (Ariès, 1977/2012).
Os significados atribuídos ao temor da doença e da morte fizeram com que a sociedade contemporânea utilizasse o saber e técnica científicos como refúgio ou uma maneira de diluir a impotência sentida diante das representações de morte e sofrimento. Percebe-se uma dissociação entre a efemeridade da vida, a naturalidade do adoecimento e a inevitabilidade da morte, como se fossem elementos heterogêneos sem complementação (Ariès, 1977/2012).
A morte deixou de ser vista como um limite natural para o sofrimento, sendo construída em paralelo a este num contexto impregnado pelo pessimismo existencial das sociedades industriais. Ao aparecer junto com o sofrimento, causa perplexidade no sujeito, visto que há uma idealização comum sobre o processo de morrer (Pitta, 1999).
Portanto, compreende-se a construção social de um processo de trabalho do profissional da saúde, responsável, por meio dos aparatos técnico-científicos, de prolongar a vida até onde puder, afastando a dor, a doença, a morte, escondendo-as nos hospitais e UTIs, reforçando, então, suas características incômodas e míticas (Ariès, 1977/2012; Pitta, 1999).
Esse processo resulta em um homem moderno desaparelhado para lidar com as contingências da morte, impactando o dia a dia do profissional de saúde, que lança mão de estratégias, inconscientes e conscientes, para lidar com o que seria um padrão socialmente aceitável de morte, luto e adoecimento (Pitta, 1999). Considera-se aqui que a posição subjetiva ocupada pela pessoa na relação dela com o adoecer é influenciada por sua singularidade, sua rede de relacionamentos interpessoais e o contexto em que se insere (Simonetti, 2004).
É então possível adaptar a afirmação de Freud (1915/2020) sobre a perturbação da relação que se mantém com a morte, quando o sujeito é abalado em suas expectativas ao lidar com esse processo, especialmente quando envolve um grande número de mortes.
O caráter irrepresentável da morte influi nessa construção, pois "no fundo, ninguém acredita em sua própria morte, ou, o que vem a ser o mesmo: no inconsciente, cada um de nós está convencido de sua imortalidade" (Freud, 1915/2020, p. 117). Essas circunstâncias corroboram a posição cultural convencional que o homem ocidental assume de deixar a morte de lado, buscando eliminá-la, não elaborando, portanto, sua própria condição enquanto ser efêmero.
As situações que causam angústia, como perdas e separação, têm um registro devido às experiências presentes na história do sujeito, porém a angústia diante da morte não tem esse mesmo registro. Assim, essa situação a que reage o Eu é captada como um estado de perigo e diz respeito ao sentimento de abandono do sujeito "pelas forças do destino -, de modo que não há mais segurança contra todos os perigos" (Freud, 1926/2014, p. 52).
Freud (1926/2014) também configurou o conceito de "inibição", como resultado da restrição ou diminuição de uma função do Eu, não necessariamente patológica, que atinge funções básicas, com o objetivo de evitar a angústia. O excesso de tensão sentido pelo sujeito ocasiona no rebaixamento da libido. Assim, quando o Eu deve lidar com um trabalho psíquico que lhe requer grandes exigências, como o luto, há uma supressão de afeto que empobrece a energia libidinal disponível em prol da sua manutenção, com a possibilidade de desencadear estados depressivos e melancólicos (Freud, 1926/2014).
Por fim, Freud (1917/2016, p. 78) aponta que o luto diz respeito à perda de "uma pessoa querida ou de uma abstração que esteja no lugar dela, como a pátria, a liberdade, um ideal, etc.". A partir dessa afirmação, no cenário da pandemia, é possível observar o desamparo do sujeito diante das extensas reorganizações do aparelho psíquico exigidas pelos trabalhos de luto, restrições e aumentos das exigências no trabalho.
A partir das perspectivas colocadas, o presente estudo traz questionamentos sobre as possíveis consequências dessa catástrofe na vida dos profissionais de saúde, por meio da investigação dos efeitos psíquicos que lhes atravessam em face das exigências de desempenho cada vez mais impossíveis de se alcançarem. Dessa forma o objetivo da pesquisa visou compreender os efeitos na saúde mental dos profissionais de saúde que vivenciaram o processo de cuidado de pacientes adoecidos pela COVID-19.
Procedimentos Metodológicos
Este estudo se estruturou como uma pesquisa descritiva, de natureza clínico- qualitativa, como definido por Turato (2003). Este delineamento envolve uma abordagem que relaciona os métodos qualitativos das ciências humanas com a atitude clínico-psicológica sob enfoque psicodinâmico, comum nas ciências da saúde, priorizando a compreensão da relação de significações dos fenômenos para os sujeitos e para a sociedade e o acolhimento de suas vivências emocionais.
Em consequência das restrições sanitárias impostas pela pandemia de Covid-19 no momento da pesquisa, a coleta de dados foi realizada de forma virtual, por meio do aplicativo Google Meet, com profissionais da saúde que atuam no tratamento de pacientes infectados pelo coronavírus dentro do contexto hospitalar brasileiro, especificamente, nos hospitais do Paraná. O pesquisador disponibilizou o convite para a participação da pesquisa por meio de e-mails e redes sociais (como o Instagram, WhatsApp e Facebook), aqueles que se interessaram pelo estudo entraram em contato com o pesquisador. Todos os participantes concordaram com o Termo de Consentimento Livre Esclarecido – TCLE, disponibilizado através do Google Forms, e confirmaram seu aceite em participar do estudo. O sigilo dos participantes foi assegurado em todas as etapas da pesquisa.
Foi elaborado um roteiro de perguntas que contemplasse os objetivos do estudo, ou seja, utilizou-se a técnica da entrevista semidirigida de questões abertas, conforme proposto por Bleger (1998), com liberdade para que o pesquisador realizasse questionamentos de acordo com os conteúdos que surgissem (Turato, 2003). As entrevistas foram realizadas de forma individual e a partir da autorização prévia dos profissionais, essas entrevistas foram gravadas, transcritas e posteriormente apagadas.
A seleção da amostra foi proposital e/ou intencional, pois buscou-se profissionais que fornecessem informações relevantes, seguindo os objetivos do estudo. Para definir o tamanho da amostragem foi utilizado o critério de saturação, a interrupção da coleta de dados ocorreu quando percebeu se a redundância das informações entre os entrevistados (Fontanella, Ricas, & Turato, 2008). Participaram do estudo sete profissionais, seis mulheres e um homem.
Após o início da coleta, foram feitas a transcrição e a avaliação das entrevistas, de maneira a compreender as informações que se repetiam até a identificação de saturamento da amostra. Os dados, envolvendo diário de campo da observação e as entrevistas transcritas na íntegra, foram analisados a partir de leituras sucessivas, por meio de avaliações conjuntas entre o pesquisador e sua orientadora, além de serem discutidos entre os pares do Laboratório de Estudo e Pesquisa em Psicanálise (LEPPSI) da Universidade Estadual de Londrina.
A análise de conteúdo foi a técnica escolhida para o tratamento dos dados, consistindo na descoberta, por meio de leituras flutuantes dos dados coletados, transitando entre os aspectos objetivos e subjetivos das unidades de sentido componentes da comunicação, tendo sua presença ou frequência como essencial para a significação, de acordo com o objetivo analítico pretendido (Bardin, 1977/2011).
Os dados foram analisados tendo como base a teoria psicanalítica e seus conceitos. O material coletado, portanto, foi lido e classificado em categorias temáticas pensadas a posteriori, de acordo com os temas e assuntos advindos das entrevistas (Fontanella, Ricas, & Turato, 2008).
O presente estudo recebeu fomento do CNPQ, tendo sido aprovado pelo Comitê de Ética em Pesquisa Envolvendo Seres Humanos da Universidade Estadual de Londrina, sob parecer nº 4.235.018.
Resultados e Discussão
O grupo foi composto por duas enfermeiras, uma auxiliar de enfermagem, uma técnica de enfermagem, uma fisioterapeuta e dois médicos. Os nomes atribuídos são fictícios, visando preservar o sigilo das identidades dos entrevistados. A faixa etária variou entre 26 e 56 anos, seis participantes declararam ser da religião católica e um espiritualista. Todos eram atuantes no Paraná, tanto em hospitais públicos quanto privados. A partir de suas narrativas, foram construídas três categorias de análise que serão apresentadas a seguir: "Nós estamos vivendo no sufoco": o sufocamento subjetivo nos profissionais; "Os heróis da saúde": sensação de nãovisibilidade e impotência; e por fim, "Eu não consigo esquecer": as singularidades nas reações frente à morte.
Nós estamos vivendo no sufoco: o sufocamento subjetivo nos profissionais
Nesta categoria foram abordadas as expressões do sujeito na posição de profissional de saúde submetido a demandas cada vez mais árduas devido à pandemia. Os entrevistados relataram como enfrentaram os incessantes casos a serem atendidos, demonstrando um esgotamento frente à sobrecarga, à precarização das condições de trabalho e ao isolamento social requerido, o que traz um novo conjunto de sofrimentos derivados da hipervigilância (com o vírus e com suas próprias condutas) e das vivências de desamparo.
Nossa, como tá sendo? Tá sendo sufocante. Tá sendo muito sufocante, nós estamos sofrendo muito. Porque nós não temos apoio, principalmente da direção, é superlotação (...), é isso, nós estamos vivendo no sufoco (...) (Carla, auxiliar de enfermagem).
A sobrecarga do trabalho evidenciada acima, que resultou da lotação hospitalar pandêmica e da falta de recursos, invadiu todas as esferas de vida dos profissionais. É possível inferir que esse excesso laboral associa-se aos processos neoliberais de subjetivação, onde se incorpora constante vigilância e autoavaliação, que o sujeito utiliza para medir suas ações e melhorar sua performance. (Safatle, 2021).
Assim, nesses processos, o indivíduo ideal é aquele que não abandona seu posto, buscando saciar a produtividade exigida, não só por seu empregador, mas também por si mesmo. Ele está sempre procurando otimizar seu desempenho ao administrar seu próprio sofrimento, mesmo que às custas de seu lazer e sua saúde (Dunker, 2021).
É assim que o trabalho hospitalar dos profissionais na pandemia passou a ser ressignificado e a energia dedicada foi excessivamente direcionada em prol da realização das demandas da COVID-19. Na volta ao lar, o sujeito continua a trabalhar, não podendo aproveitar do sentimento gratificante de descanso e liberdade pessoal, impedindo a elaboração dentro do confinamento, como se demonstra nas falas a seguir:
Vida pessoal não tem mais, não existe. Literalmente, você se dedica 24 horas pro hospital, então você acaba não… não conseguindo ter vida social, e até mesmo porque hoje a gente não tem mais vida social, não é? (Paula, técnica de enfermagem).
E na pessoal, é... a gente acaba esquecendo um pouco porque mergulha na parte do trabalho. Então eu não tenho me preocupado tanto com a questão pessoal em si (Jorge, médico).
A precarização das condições de trabalho no contexto pandêmico aliada ao excesso de cobrança permitiu o não desligamento das funções desempenhadas pelos profissionais da saúde. Com o auxílio das tecnologias atuais, mesmo quando estão em seu "tempo livre", eles continuam a atender as demandas dos pacientes ou familiares,e realizavam as funções para os quais não tinham tempo no hospital, como se vê a seguir:
(...) o nosso Whats App às vezes é a noite toda, eu não desligo meu celular, a noite toda, eles estão pedindo informação, pedindo alguma ajuda. Então, assim, não tem mais vida nenhuma, é casa, trabalho, trabalho, casa e, assim, não há Sky, não há Netflix, não tem nada um livro, ou bíblia, ou qualquer coisa que seja, que possa, é... tirar da gente esse pensamento único desse ano de pandemia (Gabriele, fisioterapeuta e intensivista).
(...) de manhã, às seis da manhã eu saio de casa pra trabalhar, eu volto pra casa às 11 da noite (...) e agora, quando eu tenho uma noite livre, eu chego em casa mais cedo pra rever exame, falar com familiar de paciente ansioso, familiar ansioso de paciente, e dormir depois no horário, então eu não tenho mais tempo livre assim (Jorge, médico).
A angústia sentida pelos profissionais, de acordo com seus relatos, pode ser relacionada com as contribuições freudianas iniciais acerca da etiologia não sexual da "neurose de angústia", quando o autor relatou que a energia excessiva proveniente de esforços exaustivos se torna a base da angústia ao ser transformada por não conseguir lidar com as quantidades de excitação (Freud, 1894/1980).
Por conseguinte, o estabelecimento dessa nova rotina não possibilitou um momento de "respirada" para a elaboração das situações desgastantes. A sensação de sufocamento dos profissionais pode ser interpretada por meio dos relatos que demonstram esgotamento diante das situações de trabalho hospitalar, sinalizando na forma de angústia a chegada do perigo, resultando na expressão de sintomatologias diversas, conforme apontado por Freud (1926/2014). É possível entender que esse perigo é associado ao período passado no hospital, ocupado pelo contato com pacientes.
E depois do que aconteceu, eu realmente percebi já, uns três plantões eu ando meio, digamos que com ansiedade, eu sinto, eu tô começando a ter sintomas que eu sei que é de uma síndrome de pânico" (Paula, técnica de enfermagem).
(...) então faz muito tempo que eu não consigo dormir uma noite completa, é... Faz muito tempo que eu não consigo não sentir medo e não ter segurança do que que me espera o próximo dia de trabalho, sabe? Então assim, as noites são interrompidas, às vezes por pesadelos (...) (Gabriele, fisioterapeuta).
Às vezes, acabam as energias (...) você se sente esgotado, já aconteceu mais de uma vez durante a pandemia... de eu me levantar de manhã... fisicamente descansado, porque eu durmo bem, mas psiquicamente exaurido. Daí eu trocava de sapato, de camisa, de jaleco no braço e não conseguia levantar da minha cama, fiquei ali umas duas horas mais ou menos, atrasei todos os atendimentos porque não conseguia sair da cama. É o esgotamento psíquico, que agora se fala bastante, da síndrome de esgotamento psíquico, o burnout. (Jorge, médico).
Foram evidenciados sinais de esgotamento psíquico nos relatos dos entrevistados, podendo, portanto, relacionar os sintomas relatados com o contexto compartilhado. Porém as posições subjetivas assumidas pelos profissionais variam de acordo com a sua relação com o adoecer e a significação dada às suas vivências de angústia.
Deste modo, alguns experienciam a sinalização de um perigo indeterminado em suas crises de ansiedade e noites de insônia, podendo ser relacionada ao trabalho hospitalar, devido à repetição dos estados de perigo nesse ambiente, enquanto outros relatam a inibição de suas funções, possivelmente resultado do esvaziamento psíquico pelo excesso de tensão, muito semelhante ao descrito por Freud (1926) e Simonetti (2004).
O esgotamento relatado também diz respeito às exigências excessivas impostas à figura do profissional da saúde, que serão discutidas na próxima categoria, em específico os efeitos psíquicos frente à impossibilidade de responder a essas demandas, devido às condições materiais do contexto.
"Os heróis da saúde": sensação de não visibilidade e impotência
Serão discutidos nesta categoria os efeitos psíquicos nos profissionais ocasionados pela quebra da ilusão do laço social diante da sensação de não visibilidade perante a falta de amparo estatal e institucional, impactando em decorrência do contraste da idealização do profissional da saúde e a falta de reconhecimento pelo meio social.
A construção social da figura do profissional da saúde e a paralisia do sujeito ocidental moderno devido aos padrões socialmente aceitáveis quanto às vivências da morte e do adoecer, conforme já descritos, se relacionam com as idealizações imaginárias do profissional da saúde e com o que seria uma forma adequada de morrer e enlutar-se no hospital (Ariès, 1977/2012; Pitta, 1999). Processo que resulta no que se chamou de "heróis da saúde" e no que se espera deles na atuação frente a COVID-19.
Então, às vezes eles (colegas da equipe) falam, olha, nós não somos heróis não, a gente tá cumprindo, tentando fazer a nossa profissão (...), tentando cumprir o nosso trabalho, mas nosso trabalho tá extremamente desgastante. (Anita, enfermeira).
No começo da pandemia teve os 'heróis da saúde', não sei o que os 'heróis da saúde'. Agora todo mundo já esqueceu disso, todo mundo... continuou todo mundo trabalhando normal, exacerbadamente, e assim, não que a gente quer reconhecimento. Mas a gente é muito cobrado mesmo, então, é difícil isso. (Adriana, médica).
A cobrança ao profissional da saúde veio de diversas direções, da instituição em que atuou, da população brasileira que necessitou de sua atuação para o enfrentamento da pandemia, dos seus pacientes e seus familiares com pedidos de cuidados, e por fim, somado a tudo isso, a autocobrança do profissional. Essas expectativas foram construídas pelo meio social, podendo ser interpretadas como demandas não apenas para o combate ao coronavírus, mas também para solucionar um desamparo, já presente na criação do laço social e acentuado pela pandemia (Ceccarelli, 2009).
Assim, nas situações em que o descaso estatal, institucional e social foi experienciado, evidenciou-se uma lacuna entre o excesso de cobrança aos profissionais e a ausência de reconhecimento e amparo da sociedade e do conhecimento técnico-científico disponível. Houve, deste modo, uma quebra da ilusão heroica do profissional hospitalar pela não correspondência dessa idealização com a realidade material, como se vê nos relatos a seguir:
Ah, e outra coisa, falta de tudo essa semana. (...) Cortamos garrafas para tomar água porque não tinha mesmo copo pra tomar. Medicação tá faltando, você pode esperar que essa semana vai faltar oxigênio (...). Nossos respiradores estavam acabando, e a parte mais triste que tem no hospital é quando você precisa é... esperar uma pessoa ir a óbito, pra você poder limpar, então, o respiradouro dele pra usar, essa é uma parte triste também (Carla, auxiliar de enfermagem).
(...) às vezes nós passamos por falta de respiradores, a gente já passou por, é... mortes prematuras de gente jovem, a gente já viu paciente morrer na nossa frente sem que pudéssemos fazer nada (...) (Gabriele, fisioterapeuta intensivista).
Concluiu-se que os relatos dos profissionais denotam vivências de desamparo ao terem entrado em confronto com os limites humanos da vida, sendo necessário trabalhos de luto não apenas pelas fatalidades, mas também por abstrações, como idealizações da imagem e atuação do profissional da saúde perante o adoecimento e a morte (Freud, 1917/2016; Dantas et al., 2020).
Assim, pode-se entender que as mortes não evitadas devido à indisponibilidade de conhecimento médico necessário, associado às condições que impossibilitaram a atuação sem sobrecarga do profissional, demandam extensas reorganizações psíquicas nos profissionais e tempo para a elaboração dessas vivências de perdas e separações (Oliveira, 2020).
Esta situação desembocou nos estados de perigo sentidos pelo sujeito, passíveis de serem apreendidos conforme o que Freud (1926/2014) relata sobre situações de angústia naquele que se vê abandonado por forças exteriores sem qualquer segurança diante das ameaças deste tempo, em específico o excesso de mortes. Essa angústia diante da morte será mais bem trabalhada na próxima categoria, em que se discute a perda de pacientes pelos profissionais da saúde e a impotência sentida pela falta de condições propícias para o atendimento
"Eu não consigo esquecer": as singularidades nas reações frente à morte
Esta categoria visa apresentar as vivências dos profissionais marcadas pelo excesso de mortes e pelas suas relações com os pacientes. Essas relações mobilizam identificações com os pacientes e seus familiares, além de demarcar posições singulares observadas nas diferentes modalidades de cuidado e nas reações frente às contingências de morte e luto específicas da pandemia, associadas ao sentimento de impotência devido à falta de conhecimento técnico e as concepções de morte ocidentais.
As mortes como consequência da pandemia podem ser associadas a uma quebra de expectativa devido à própria posição cultural ocidental do sujeito frente ao ato de morrer, que escape de quaisquer ideais. A morte idealizada, segundo Pitta (1999) e Freud (1915/2020), está dissociada de uma relação com o sofrimento e é abalada diante de grandes números. Assim, observaram-se efeitos da perturbação dessa visão nas situações de atendimento e as reações dos profissionais em seus relatos após "saberem" que seus pacientes iriam morrer e se sentirem impotentes diante disso, como se vê a seguir:
E com todas essas coisas faltando, você entra em uma enfermaria e, paciente com aquela oxigenação ruim, ele fala assim, enfermeira por favor, pede pro médico, manda ele me intubar. E é triste, essa parte, quando o paciente pede pra ser intubado, e que você sabe que ele vai ser intubado e ele não vai voltar (Carla, auxiliar de enfermagem).
E muitas vezes tá chegando no final da jornada ali, da vida dele, e você fala senhor amado, quanta medicação, quanta coisa, e sabe que o paciente não vai voltar, mas não deixa de fazer, faz tudo o que você pode fazer, investe tudo que tem que investir, mas mesmo assim, ele não, não retorna pra gente. (Paula, técnica de enfermagem).
A falta de conhecimento científico para combater a COVID-19 pode ser associado a esse sentimento de impotência percebido nos relatos, visto que o saber técnico-científico é utilizado como refúgio devido ao desamparo sentido diante das representações de doença e morte (Pitta, 1999). Com suas limitações aparentes, não restam alternativa aos profissionais a não ser assistirem os enfermos como podem.
Aí você fala, até que ponto que a gente consegue, é... intervir para uma melhora, então a gente se depara com as nossas limitações... a gente tentar aliviar o sofrimento, mas nem sempre a gente consegue efetivamente ter essa melhora (Anita, enfermeira).
A partir disso, pode-se interpretar, segundo Pitta (1999), que os profissionais "desaparelhados" para lidar com essas contingências lançam suas estratégias de defesa singulares, seja pela via da indignação e denúncia da situação, da conformação passível de ser interpretada por alguns como banalização, ou pelo desânimo intenso, como percebido nos relatos a seguir.
(...) então, é a sobrecarga de trabalho, é bem grande mesmo, e aí quando você vai perdendo o paciente, é mais um que foi. Mas não dá
pra sobreviver fisicamente trabalhando, com tanta gente precisando da sua assistência, é a lei natural assim, que tá selecionando quem tá sobrevivendo, porque na verdade, a situação que tá hoje, sobrevive quem Deus quer (Adriana, médica).
(...) essas pessoas que não levam a sério, deviam passar pelo menos um dia dentro de uma UTI (...). Mas ficar dentro de uma UTI para COVID. Só pra pessoa sentir como que é e dar um pouquinho mais de valor à vida dela mesmo, porque tá extremamente cansativo... (Paula, técnica de enfermagem).
(...) o que tem acontecido é uma negligência. Não uma negligência desculpa, uma banalização da morte pelo COVID. Já ouvi vários médicos dizerem assim: COVID mata mesmo. Não, não é assim, COVID não mata mesmo. Eu acho que a gente tem que lutar pela vida de qualquer pessoa até a última gota. (Gabriele, fisioterapeuta e intensivista).
Estas últimas falas revelam as vicissitudes do tratamento da COVID-19 e uma amostra do impacto deixado na vida daqueles em contato com os pacientes durante a pandemia. Deste modo, entende-se que as consequências das alterações significativas trazidas por esse cenário perpassam a atuação profissional, tendo reações diretas nas vidas pessoais dos entrevistados.
Considerações finais
A partir das entrevistas, foi possível acompanhar a dimensão da pandemia em uma parcela de profissionais atuantes no contexto hospitalar paranaense e, embora não se deva fazer generalizações, tal recorte ilustrou uma realidade possível no combate ao coronavírus. Esse cenário reverberou no contingente dos profissionais, tendo efeitos em sua saúde psíquica, ao estarem próximos da morte e da contaminação pelo vírus, submetidos à precariedade das condições laborais, marcados pelo sofrimento, medo, insegurança, estresse e exaustão.
Portanto, o combate à COVID-19 revelou o hiato entre a sobrecarga de casos e desconhecimento da doença e a necessidade de seu atendimento imediato. Esse desencontro relaciona-se com o que se esperou da ciência enquanto saber capaz de solucionar o desamparo advindo das demandas desta conjuntura e o que se efetuou na realidade material.
Assim, pensa-se na importância da escuta da singularidade promulgada pela psicanálise de modo a abordar o sofrimento considerando o descompasso estrutural do sujeito e seu meio. Essa escuta considera os limites das respostas científicas frente ao mal-estar, sem ignorar a incidência do laço social na manifestação dos sintomas, e visa legitimar os sofrimentos em questão e entende ser fundamental a responsabilização dos órgãos competentes em prol do reconhecimento social das mazelas enfrentadas pelos profissionais.
Referências
Ariès, P. (2012). História da Morte no Ocidente: Da Idade Média aos nossos dias. Rio de Janeiro: Nova Fronteira. (Trabalho original publicado em 1977).
Bardin, L. (2011). Análise de conteúdo. São Paulo: Edições 70 LDA. (Trabalho original publicado em 1977).
Bleger, J. (1998). Temas de psicologia: Entrevistas e grupos. São Paulo: Martins Fontes.
Brasil. Ministério da Saúde. (2020). Declara Emergência em Saúde Pública de importância Nacional em decorrência da Infecção Humana pelo novo Coronavírus (2019-nCoV) (Portaria MS/GM n. 188, de 3 de fevereiro de 2020). Diário Oficial da União, Brasília (DF). Disponível em: https://bvsms.saude.gov.br/bvs/saudelegis/gm/2020/prt0188_04_02_2020.html
Ceccarelli, P. R. (2009). Laço social: uma ilusão frente ao desamparo. Reverso, 31(58), p. 33-41. Disponível em: http://pepsic.bvsalud.org/scielo.php?script=sci_arttext&pid=S010273952009000200004&lng=pt&nrm=iso
Dantas, C. de R., et al. (2020). O luto nos tempos da COVID-19 : Desafios do cuidado durante a pandemia. Revista Latinoamericana de Psicopatología Fundamental, 23(3), 509–533. Disponível em: https://doi.org/10.1590/1415-4714.2020v23n3p509.5
Dunker, C. (2021). A hipótese depressiva. In V. Safatle, N. Silva Junior, & C. Dunker (Orgs.). Neoliberalismo como gestão do sofrimento psíquico (p. 177-212). Belo Horizonte, Autêntica.
Fontanella, B. J. B., Ricas, J., & Turato, E. (2008). Amostragem por saturação em pesquisas qualitativas em saúde: Contribuições teóricas. Cadernos de Saúde Pública, 24(1), p. 17-27. Disponível em: https://doi.org/10.1590/S0102-311X2008000100003.
Freud, S. (1980). Sobre os fundamentos para destacar da neurastenia uma síndrome específica denominada neurose de angústia. In S. Freud, Edição standard brasileira das obras psicológicas completas de Sigmund Freud (Vol. 3, pp. 48-68). Rio de Janeiro: Imago. (Trabalho original escrito em 1894 e publicado em 1895).
Freud, S. (2014). A angústia. In S. Freud, Obras Completas: Conferências introdutórias à psicanálise (1916-1917) (S. Tellaroli, Trad., vol. 13, pp. 422-442). São Paulo: Companhia das Letras. (Trabalho original publicado em 1917).
Freud, S. (2014). Inibição, sintoma e angústia. In S. Freud, Obras Completas: Inibição, sintoma e angústia, o futuro de uma ilusão e outros textos (1926-1929) (P. C. de Souza, Trad., Vol. 17, pp. 13-123). São Paulo: Companhia das Letras. (Trabalho original publicado em 1926).
Freud, S. (2016). Luto e melancolia. In S. Freud, Obras incompletas de Sigmund Freud (Vol. Neurose, psicose e perversão, M. R. Salzano, Trad., pp. 78-95). São Paulo: Autêntica. (Trabalho original publicado em 1917).
Freud, S. (2020). Considerações contemporâneas sobre a guerra e a morte. In S. Freud, Obras incompletas de Sigmund Freud (Vol. Cultura, sociedade, religião: o mal-estar na cultura e outros escritos, M. R. Salzano, Trad., pp. 99-135). São Paulo: Autêntica. (Trabalho original publicado em 1915).
Kind, L., & Cordeiro, R. (2020). Narrativas sobre a morte: a Gripe Espanhola e a Covid-19 no Brasil. Psicologia e Sociedade, 32, p. 1–19. Disponível em: https://doi.org/10.1590/18070310/2020v32240740
Lourenço, L. C. d'Avila. (2009). A pulsão de morte e a gênese da angústia. Ágora: Estudos em Teoria Psicanalítica, 12(1), p. 101–117. Disponível em: https://doi.org/10.1590/S151614982009000100007
Oliveira, L. C. (2020). Saúde mental nos tempos de pandemia: Uma releitura dos afetos e da pulsão de morte em Freud. Pluralidades em Saúde Mental, 9(1), p. 18-34. Disponível em: https://doi.org/10.17648/2447-1798-revistapsicofae-v9n1-2
Pinto, M. B., & Cerqueira, A. S. (2020). Reflexões sobre a pandemia da COVID-19 e o capitalismo. Libertas, 20(1), p. 38–52. Disponível em: https://doi.org/10.34019/19808518.2020.v20.30485
Pitta, A. (1999). Hospital: dor e morte como ofício (4ª ed.). São Paulo: Hucitec.
Safatle, V. (2021). A economia é a continuação da psicologia por outros meios: Sofrimento psíquico e o neoliberalismo como economia moral. In V. Safatle, N. Silva Junior, & C. Dunker (Orgs.). Neoliberalismo como gestão do sofrimento psíquico (pp. 17-46). Belo Horizonte: Autêntica.
Simonetti, A. (2016). Manual de psicologia hospitalar: O mapa da doença (8 ed.). São Paulo: Casa do Psicólogo.
Teixeira, C. F. de S. et al. (2020). A saúde dos profissionais de saúde no enfrentamento da pandemia de Covid-19. Ciência e Saúde Coletiva, 25(9), p. 3465–3474. Disponível em: https://doi.org/10.1590/1413-81232020259.19562020
Turato E. R. (2003). Tratado da metodologia da pesquisa clínico-qualitativa: Construção teórico-epistemológica, discussão comparada e aplicação das áreas da saúde e humanas. Petrópolis: Vozes.
World Health Organization - WHO. (2020). Novel coronavirus China: Disease outbreak news [Internet]. Geneva: World Health Organization [cited 2020 Apr 27]. Available from: https://www.who.int/emergencies/disease-outbreak-news/item/2020-DON233
Lucas Jivago Lourenço Franco – Psicólogo.Graduado em Psicologia. Bolsista de Iniciação Científica CNPq. Debora Lydinês Martins Corsino – Psicóloga. Mestranda em Psicologia PPGPSI Universidade Estadual de Londrina.
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Vom deutschen Künstler Frank Bolter stammt die Idee, mit einem aus Karton hergestellten Boot eine richtige Fahrt auf dem Wasser zu unternehmen. Und er hat diese Idee realisiert. Ein
Video, das Repubblica TV veröffentlichte, zeigt seine Bootsfahrt auf der Themse in London. Dabei nahm Frank Bolter selbst Platz im Boot, und er las auch Zeitung. Für das ungewöhnliche Wassergefährt hatte der Künstler Tetrapack-Material verwendet und Eisenstangen für die Stabilität des Bootes. Das Boot, das mehrere Personen aus Tetrapack «zusammenfalteten», war am Ende fünf Meter lang.
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Date d'affichage : 10 / 02 / 2023
Date de convocation : 01 / 02 / 2023
Nombre de membres :
En exercice : 10
Présents : 10
Absents : 0
Votants : 10
Objet :
Délibération 2023-005
Approbation du procès-verbal du conseil municipal du 18 janvier 2023
Le 08 février 2023 à 20h30.
Se sont réunis les membres du conseil municipal sous la présidence de Mme FIEFFÉ, Maire.
Étaient présents : Mme FIEFFÉ Patricia, Mme DELALANDE Soizic, Mr BESANÇON Geoffroy, Mme LE COGUIC Ophélie, Mr LEBOYER Hugues, Mme HAGHEBAERT Olympe, Mr MENARD Bruce, Mme PERREE Edwige, Mr GAUCHET Bruno, Mme HAMELIN Jocelyne.
Formant la majorité des membres en exercice.
Mr BESANÇON a été désigné comme secrétaire de séance.
Le procès-verbal de la réunion de Conseil Municipal du 18 janvier 2023 a été transmis aux conseillers municipaux le 26 janvier 2023 par voie électronique à la suite de la séance.
Il est demandé s'il y a des observations sur la rédaction de ce procès-verbal.
Il est proposé de l'approuver.
Après avoir entendu Madame le Maire et délibéré, le Conseil municipal, à l'unanimité des membres présents décide :
- D'APPROUVER le procès-verbal de la réunion du 18 janvier 2023.
Acte rendu exécutoire après dépôt en Préfecture de Caen le 10/02/2023 et publication ou notification du 10/02/2023
Fait et délibéré le 08 février 2023
Le maire,
Patricia FIEFFÉ | <urn:uuid:0bcd600e-ac5d-4807-be62-c15bcdeacda8> | HuggingFaceFW/finepdfs/tree/main/data/fra_Latn/train | finepdfs | fra_Latn | 1,347 |
L'an deux mille vingt et un, le trois décembre à dix heures, le Bureau Syndical, régulièrement convoqué en date du vingt-six novembre deux mille vingt et un, s'est réuni à Sahune, sous la Présidence de Nicole PELOUX :
**Délégué.es présents.es**
2 représentants du Conseil régional Auvergne-Rhône-Alpes (porteurs de 2 voix chacun)
Claude AURIAS, Didier-Claude BLANC
1 représentante du Conseil régional Provence-Alpes-Côte d'Azur (porteuse de 2 voix)
Agnès ROSSI
1 représentante du Conseil départemental de la Drôme (porteuse de 2 voix)
Corinne MOULIN
1 représentant du Conseil départemental des Hautes-Alpes (porteur de 2 voix)
Gérard TENOUX
13 représentants des communes, EPCI et villes-portes (porteurs d'1 voix chacun)
Sébastien BERNARD, Philippe CAHN, Jean-Christophe CAMP, Gilles CREMILLIEUX, Jean-Jacques MONPEYSSEN, Nicole PELOUX, Roland PEYRON, Éric RICHARD, Michel ROLLAND, Frédéric ROUX, Christelle RUYSSCHAERT, Danielle TOUCHE, Yann TRACOL.
**Délégué.es excusé.es ayant donné pouvoir :**
Marlène MOURIER à Claude AURIAS, Nicolas DARAGON à Didier-Claude BLANC, Pierre COMBES à Jean-Jacques MONPEYSSEN, Vincent JACQUEMART à Nicole PELOUX, Laurent CHAREYRE à Frédéric ROUX, Robert GARCIN à Danielle TOUCHE
**Délégué.es excusé.es :**
Jean-François PERILHOU, Pascale ROCHAS, Lionel TARDY
********
Le quorum étant atteint, Madame Nicole PELOUX déclare la séance ouverte à 10 heures.
Madame Agnès ROSSI est nommée secrétaire de séance.
Objet : Développement de la marque « Valeurs Parc naturel régional » pour les productions agricoles. Sélection d’un prestataire pour les audits de 8 exploitations
| Montant des dépenses PnrBP | 2022 |
|---------------------------|------|
| Fonctionnement | 3 600 € |
| Investissement | 0 |
| Coût global prévisionnel | Dépenses | Recettes | Dont participation des exploitants aux audits |
|--------------------------|----------|----------|-----------------------------------------------|
| | 3 600 € | 2 000 € | 1 600 € |
Rapport :
Depuis 2018, le Parc naturel régional des Baronnies provençales a fait le choix d’étendre la marque "Valeurs Parc naturel régional" aux productions agricoles du territoire. Pour bénéficier de cette marque collective, les candidats doivent respecter un référentiel. Ce document constitue le cadre de critères communs obligatoires d’utilisation de la marque nationale. À partir de ce cadre, les Parcs élaborent les critères d’utilisation de la marque sur leur territoire. Le Parc naturel des Baronnies provençales a fait le choix de développer deux référentiels : « élevage herbivore » et « plantes à parfum aromatiques et médicinales ». Les critères sont évalués lors de la réalisation d’un audit qui détermine les conformités et non conformités.
Afin de réaliser les audits de marquage « agricoles » en apportant une garantie d’objectivité et un accompagnement technique sur ces deux filières, il est proposé de recourir à une prestation technique extérieure. Une demande de devis a été adressée à différents prestataires afin de recevoir des propositions chiffrées. L’objectif est de réaliser entre 5 à 8 audits pour l’année 2022. Le prix unitaire des prestations comprend la réalisation de l’audit, la récolte des documents justificatifs, la rédaction de la fiche synthèse et les échanges avec la chargée de valorisation des productions.
Suite à cette consultation qui s’est déroulée du 11/10/2021 au 02/11/2021, trois prestataires ont répondu avec pertinence à la demande :
- ILONA GENTY MEZEI
- BBL - Barbara Braun
- ECOCERT
Il est proposé de retenir l’un des trois offres suivantes :
| Nom du prestataire | Prix unitaire pour un audit HT | Prix unitaire pour un audit TTC |
|--------------------------|-------------------------------|-------------------------------|
| ILONA GENTY MEZEI | 450€ | 450€ |
| BBL – Barbara Braun | 590€ | 740€ |
| ECOCERT | 1 250€ | 1 500€ |
Délibération
Vu la délibération du Bureau syndical n°2021-10-18 du 25 octobre 2021
Après en avoir délibéré, et à l’unanimité des membres présents ou représentés, le Bureau Syndical
Décide de retenir l’offre de ILONA GENTY MEZEI, compatible au budget du dossier, pour un montant de 450€ TTC par audit.
Autorise la Présidente à signer tout acte relatif à cet objet.
Pour extrait certifié conforme
Aux jour et an susdits
La Présidente
Nicole PELOUX
75 route de Nyons * 26510 * SAHUNE * Tél.: 04 75 26 79 05 * firstname.lastname@example.org * www.baronnies-provencales.fr | <urn:uuid:e7272149-501d-406d-914b-1836db1b3fe7> | HuggingFaceFW/finepdfs/tree/main/data/fra_Latn/train | finepdfs | fra_Latn | 4,713 |
1/7 Lavender Street Lavender Bay NSW
Cosmopolitan Harbourside Living...
Affordable opportunity to buy into one of Sydney's most prized waterfront suburbs. Historic Lavender Bay has always attracted those with a passion for beauty. It's no wonder that an impressive list of artists and poets have lived in, loved and featured Lavender Bay in their work.
This protected harbour cove, with its majestic Canary Island Palms and Moreton Bay Fig trees framing a jaw dropping view of the sparkling Harbour, the Opera House, Harbour Bridge, Sydney city skyline and Luna Park, is as iconic as it comes. Imagine the convenience of owning your own ground floor apartment within the secure landmark "Kareelia" apartment block set in the heart of one of Sydney's finest locations!
Price: $820,000
View: https://www.blakeproperty.com.au/sale/nsw/north-shore-lower/lavender-bay/residential/apartment/6645586
Andrew Blake
02 9973 4444
https://www.blakeproperty.com.au
Ground Level
Bedroom
4.3 x 2.7m
Living
4.9 x 3.7m
Dining
Kitchen
2.7 x 1.8m
Covered Carspace
4.7 x 2.4m
Basement Level
Approx. Internal Area: 42m²
Whilst BLAKE Property have made every attempt to ensure the accuracy of the floorplan and siteplan contained here, measurements are approximate and no responsibility is taken for any error, omissions or mis-statements. This plan is for illustrative purposes only. Boundaries are approximate only and should not relied upon. Prospective purchasers should make their own independent enquiries.
1/7 Lavender Street, Lavender Bay | <urn:uuid:4ee0f6aa-939d-4749-9124-0f5c5d62d4fd> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 1,540 |
Ravitsemus- ja terveysväitteiden valvontaohje
Sisällys
Laatija Hyväksyjä
Marjo Misikangas Annika Nurttila
Tuoteturvallisuusyksikkö
RAVITSEMUS- JA TERVEYSVÄITTEIDEN VALVONTAOHJE
1. Johdanto
Tämä valvontaohje on tarkoitettu elintarvikevalvontaviranomaisten ja elintarvikealan toimijoiden käyttöön. Tämän valvontaohjeen rinnalla tulee lukea Eviran ohjetta 17052/2, Ravitsemus- ja terveysväiteopas elintarvikevalvojille ja elintarvikealan toimijoille. Siinä on kuvattu tarkemmin ravitsemus- ja terveysväiteasetuksen soveltamiseen liittyviä kysymyksiä.
Viranomaisen toiminnan tulee perustua laissa olevaan toimivaltaan ja viranomaistoiminnassa tulee tarkoin noudattaa lakia. Viranomaisohjeet eivät ole oikeudelliselta luonteeltaan muita viranomaisia tai toimijoita sitovia. Viime kädessä lainsäädännön soveltamista koskevat kysymykset ratkaisee tuomioistuin.
Tässä ohjeessa on sekä suoria lainauksia lainsäädännöstä että tulkintoja lainsäädännön soveltamisesta. Ohjeessa esitetyt tulkinnat ovat Eviran näkemyksiä siitä, miten lainsäädäntöä tulisi soveltaa.
2. Lainsäädäntö ja ohjeet
- Euroopan parlamentin ja neuvoston asetus (EY) N:o 1924/2006, elintarvikkeita koskevista ravitsemus- ja terveysväitteistä (myöhemmin väiteasetus)
http://eur- lex.europa.eu/LexUriServ/LexUriServ.do?uri=CONSLEG:2006R1924:201211 29:FI:PDF
- Komission asetus (EU) N:o 116/2010, Euroopan parlamentin ja neuvoston asetuksen (EY) N:o 1924/2006 muuttamisesta ravitsemusväitteiden luettelon osalta
- Komission asetus (EU) N:o 1047/2012, asetuksen (EY) N:o 1924/2006 muuttamisesta ravitsemusväitteiden luettelon osalta
- Komission asetus (EU) N:o 432/2012, muiden kuin sairauden riskin vähentämiseen ja lasten kehitykseen ja terveyteen viittaavien elintarvikkeita koskevien sallittujen terveysväitteiden luettelosta http://eurlex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2012:136:0001:0040:FI:PD F
- Komission asetukset, joilla hyväksytty ja hylätty sairauden riskin vähentämiseen ja lasten kehitykseen ja terveyteen viittaavia terveysväitteitä löytyvät komission rekisteristä http://ec.europa.eu/nuhclaims/
- Maa- ja metsätalousministeriön asetus 588/2009 elintarvikkeiden ravintoarvomerkinnöistä (myöhemmin ravintoarvomerkintäasetus) http://www.finlex.fi/fi/laki/alkup/2009/20090588
- Euroopan parlamentin ja neuvoston asetus (EU) N:o 1169/2011 elintarviketietojen antamisesta kuluttajille, Euroopan parlamentin ja neuvoston asetusten (EY) N:o 1924/2006 ja (EY) N:o 1925/2006 muuttamisesta sekä komission direktiivin 87/250/ETY, neuvoston direktiivin 90/496/ETY, komission direktiivin 1999/10/EY, Euroopan parlamentin ja neuvoston direktiivin 2000/13/EY, komission direktiivien 2002/67/EY ja 2008/5/EY sekä
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komission asetuksen (EY) N:o 608/2004 kumoamisesta (myöhemmin elintarviketietoasetus)
http://eur- lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2011:304:0018:0063:FI:PD F
- Komission täytäntöönpanopäätös, Euroopan parlamentin ja neuvoston asetuksen (EY) N:o 1924/2006 10 artiklassa säädettyjen terveysväitteisiin sovellettavien erityisten edellytysten täytäntöönpanoa koskevien suuntaviivojen hyväksymisestä http://eurlex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2013:022:0025:0028:FI:PD F
- Eviran ohje 17052/2, Ravitsemus- ja terveysväiteopas elintarvikevalvojille ja elintarvikealan toimijoille http://www.evira.fi/portal/fi/tietoa+evirasta/julkaisut/?a=view&productId=268
3. Elintarvikkeista esitettäviä ravitsemus- ja terveysväitteitä koskevat vaatimukset
Elintarvikkeiden pakkausmerkinnöissä ja mainonnassa käytettäviä väitteitä säädellään Euroopan parlamentin ja neuvoston asetuksella (EY) N:o 1924/2006 elintarvikkeita koskevista ravitsemus- ja terveysväitteistä (jatkossa väiteasetus). Väiteasetusta on sovellettu 1.7.2007 alkaen.
Väiteasetuksessa väitteellä tarkoitetaan vapaaehtoista esitystä tai kuvausta, jossa todetaan, esitetään tai annetaan ymmärtää, että elintarvikkeella on erityisominaisuuksia. Kirjoitettujen viestien lisäksi väite voi olla myös kuva, symboli tai graafinen esitys. Myös elintarvikkeiden tavaramerkit, tuotenimet tai kuvitteelliset nimet kuuluvat väiteasetuksen soveltamisalaan.
Ravitsemusväitteellä tarkoitetaan elintarvikkeen hyödyllistä ravintosisältöä käsittelevää väitettä. Hyväksytyt ravitsemusväitteet ja niiden käytön edellytykset on lueteltu väiteasetuksen liitteessä.
Terveysväitteellä tarkoitetaan elintarvikkeen ja terveyden välistä yhteyttä käsittelevää väitettä. Terveysväitteet jakautuvat toiminnallisiin väitteisiin (artikla 13), sairauden riskitekijän vähentämistä koskeviin väitteisiin (artikla 14.1a) sekä lapsen kasvuun ja kehitykseen viittaaviin väitteisiin (14.1b) (Taulukko 1.).
Väiteasetuksen piiriin kuuluviksi terveysväitteiksi katsotaan kaikki kaupallisessa viestinnässä esitetyt väitteet, jotka koskevat elintarvikkeiden hyödyllisiä ominaisuuksia, ja joita käytetään lopulliselle kuluttajalle tarkoitettujen elintarvikkeiden pakkausmerkintöihin, esillepanoon tai mainontaan. Väiteasetusta sovelletaan vain kaupalliseen viestintään, eikä esimerkiksi julkisten terveysviranomaisten ja elinten antamaan ravitsemusohjaukseen tai –neuvontaan, lehdistössä ja tieteellisissä julkaisuissa tapahtuvaan ei-kaupalliseen viestintään ja tiedotukseen.
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Taulukko 1. Terveysväitteiden jaottelu artiklan 13 ja 14 väitteisiin
Väiteasetus määrittelee edellytykset, joiden perusteella tuotteisiin voi liittää ravitsemus- ja terveysväitteitä ja luo siten yhteiset pelisäännöt ja hyväksymiskäytännöt väitteiden käytölle kaikissa EU-maissa.
Terveysväitteiden käytön lähtökohta on, että väitteiden taustalla oleva tieteellinen näyttö tulee hyväksyttää etukäteen ennen kuin väitettä voi käyttää. Väitteiden taustalla olevan näytön arvioi Euroopan elintarviketurvallisuusviranomainen (EFSA) ja väitteen hyväksyy käyttöön Euroopan komissio. Jokaiselle hyväksytylle terveysväitteelle on annettu käytön edellytykset, joiden tulee toteutua, jotta väitettä voidaan käyttää tuotteen markkinoinnissa.
Lisätietoja ravitsemus- ja terveysväitteistä löytyy Eviran julkaisemasta Ravitsemus- ja terveysväiteoppaasta:
http://www.evira.fi/portal/fi/evira/julkaisut/?a=view&productId=268
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4. Toimijan omavalvonta
4.1. Toimijan vastuu
Euroopan komission on julkaissut kansallisten valvontaviranomaisten ja elintarvikealan toimijoiden käyttöön täytäntöönpanopäätöksen väiteasetuksen 10 artiklan täytäntöönpanoa koskevista suuntaviivoista.
http://eur- lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2013:022:0025:0028:fi:pdf
Komission täytäntöönpanopäätöksen mukaisesti hyväksyttyjäkään terveysväitteitä ei saa käyttää, ellei niiden käyttö ole täysin väiteasetuksen kaikkien vaatimusten mukaista. Elintarvikealan toimijan tulee kyetä osoittamaan toimivansa moitteettomasti ja näyttämään ne toimet, jotka se on toteuttanut väiteasetuksen kunkin osan noudattamiseksi.
- Käytetään vain hyväksyttyjä väitteitä väiteasetuksen mukaisesti
- Hyväksyttyjen väitteiden yhteydessä esitetään väitteiden käytön edellyttämät pakolliset tiedot
Elintarviketietoasetuksen mukaan elintarviketiedoista vastuussa oleva elintarvikealan toimija on se toimija, jonka nimellä tai toiminimellä elintarviketta pidetään kaupan. Vastuullisen toimijan on varmistettava elintarviketietojen mukanaolo ja oikeellisuus.
Ne elintarvikealan toimijat, jotka eivät vaikuta elintarviketietoihin eivät saa toimittaa elintarvikkeita, joiden ne tietävät tai olettavat olevan lainsäädännön vastaisia. Ne eivät myöskään saa muuttaa elintarvikkeen mukana seuraavia tietoja, jos tällainen muutos johtaisi loppukuluttajaa harhaan. Elintarvikealan toimijat ovat vastuussa kaikista elintarvikkeen mukana seuraaviin elintarviketietoihin tekemistään muutoksista.
Elintarvikkeista esitettävien terveysväitteiden käytössä vastuu jakautuu esimerkiksi seuraavasti:
- Toimija on vastuussa niiden elintarvikkeiden pakkausmerkinnöissä esiintyvistä väitteistä, joita se itse valmistaa, valmistuttaa, maahantuo (sisämarkkinoilta ja/tai kolmansista maista) tai pakkaa.
- Toimija on aina vastuussa itse tuottamassaan markkinointimateriaalissa käytettävistä väitteistä. Tämä koskee kaikkia elintarvikealan toimijoita: valmistaja, valmistuttaja, maahantuoja, pakkaaja, myyjä, kauppias, jne. Väitteiden käyttö toimijan itse tuottamassa markkinointimateriaalissa (esim. kyltit, esitteet, lehtimainonta, internet, radio, TV) ei saa olla ristiriidassa pakkausmerkinnöissä esitettyjen tietojen kanssa.
Toimijan omavalvontasuunnitelmassa tulee olla kirjattuna elintarviketurvallisuuden ja elintarvikemääräysten kannalta kriittiset kohdat.
Elintarvikealan toimija vastaa tuotteidensa ja niistä annettavien tietojen määräystenmukaisuudesta. Toimijan tulee tunnistaa ja hallita elintarvikelainsäädännössä näille aineille ja niiden käytölle säädetyt vaatimukset. Määräystenmukaisuuden varmistamisen tulee olla osa toimijan omavalvontaa.
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Laatija
Hyväksyjä
Marjo Misikangas
Annika Nurttila
Tuoteturvallisuusyksikkö
RAVITSEMUS- JA TERVEYSVÄITTEIDEN VALVONTAOHJE
Toimijalla tulee olla suunnitelma siitä, millaisiin toimenpiteisiin ryhdytään ja millaisella aikataululla, jos terveysväitteiden käytön omavalvonnassa havaitaan puutteita tai virheitä.
Mikäli toimija havaitsee tai saa tietoonsa, että hänen valmistamansa, valmistuttamansa, maahantuomansa, pakkaamansa tai myymänsä tuote ei täytä turvallisuudelle asetettuja vaatimuksia, on hänen ryhdyttävä toimenpiteisiin tuotteen vetämiseksi pois markkinoilta ja kuluttajien informoimiseksi.
Takaisinvetoon johtavia syitä ovat esimerkiksi:
- elintarvikkeen markkinoinnissa käytetään sellaisia lääkkeellisiä väitteitä, joista voi olla vaaraa kuluttajan terveydelle esimerkiksi sen vuoksi, että
o elintarviketta markkinoidaan tietyn sairauden hoitoon tai
o on epäilys, että markkinoinnin vuoksi asianmukainen lääkkeellinen hoito korvataan elintarvikkeen nauttimisella
Tarkempaa tietoa takaisinvedoista ja toimijan velvollisuuksista löytyy Eviran internetsivuilta http://www.evira.fi/portal/fi/elintarvikkeet/valmistus_ja_myynti/takaisinvedot/
Lisätietoa omavalvonnasta löytyy Eviran internetsivuilta http://www.evira.fi/portal/fi/elintarvikkeet/hygieniaosaaminen/tietopaketti/omavalvonta/
4.2 Valmistajan, valmistuttajan, maahantuojan ja pakkaajan omavalvonta
Elintarvikkeita valmistavalla, valmistuttavalla, maahantuovalla (sisämarkkinoilta ja/tai kolmansista maista) tai pakkaavalla elintarvikealan toimijalla tulee olla riittävät ja oikeat tiedot tuottamastaan, jalostamastaan ja jakelemastaan elintarvikkeesta sekä sitä koskevasta lainsäädännöstä (elintarvikelaki, 19 §). Toimija ei saa toimittaa eteenpäin tuotetta, jos se tietää tai sillä on syytä olettaa tuotteen olevan lainsäädännön vastainen.
Elintarvikkeita valmistavan, valmistuttavan, maahantuovan tai pakkaavan toimijan tulee varmistaa omavalvonnalla elintarvikkeen turvallisuus ja tuotteesta annetun informaation todenperäisyys.
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Tuoteturvallisuusyksikkö
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17060/1
29.5.2013
RAVITSEMUS- JA TERVEYSVÄITTEIDEN VALVONTAOHJE
Omavalvonnalla tulee varmistaa seuraavien asioiden toteutuminen:
- Henkilökunnalla on riittävä tietotaito väitteiden käytön suhteen
o Väitteiden ja niiden edellyttämien lisämerkintöjen vaatimustenmukaiselle käytölle on nimetty vastuuhenkilö
- Elintarvikkeiden pakkausmerkinnöissä tai markkinoinnissa ei käytetä kiellettyjä väitteitä
o Pakkausmerkinnöissä tai markkinoinnissa ei käytetä lääkkeellisiä väitteitä
o Pakkausmerkinnöissä tai markkinoinnissa ei käytetä väiteasetuksen artiklan 3 tai 12 mukaisia kiellettyjä väitteitä
- Elintarvikkeiden pakkausmerkinnöissä tai markkinoinnissa käytetään vain sallittuja väitteitä
o Käytetyt väitteet ja niiden sanamuodot ovat sallittuja (väite löytyy hyväksyttyjen väitteiden listalta tai odotuslistalta tai väitteeseen sovelletaan siirtymäaikaa)
o Mahdollista yleistä, täsmentämättömään hyötyyn liittyvää ilmaisua täydennetään hyväksytyllä terveysväitteellä (artikla 10(3))
o Mahdolliset väitteen sisältämät tuotemerkit, kuvat, graafiset esitykset jne. on huomioitu ja ne ovat väiteasetuksen mukaiset (mahdolliset siirtymäajat, väitteen sisältämää tuotemerkkiä/kuvaa /graafista esitystä tms. on täydennetty hyväksytyllä väitteellä)
- Väitteiden käytön ehdot toteutuvat
o Väitteiden käytön ehdot toteutuvat tuotteessa (esim. määrä, onko varmistettu, onko oikeassa tuoteryhmässä)
- Väitteiden käytön pakkausmerkintävaatimukset täyttyvät
o Pakkauksessa on vaaditunlainen ravintoarvomerkintä (ravintoarvomerkintävaatimus ei koske ravintolisiä)
o Pakkauksessa on ilmoitettu väitteen kohteena olevan aineen määrä
o Pakkauksessa on artiklan 10(2)a-b mukaiset lisämerkinnät (terveysväitteet)
o Pakkauksessa on tarvittaessa artiklan 10(2)c-d ja 14(2) mukaiset lisämerkinnät (terveysväitteet)
o On huomioitu, että väitteiden käyttö markkinoinnissa (esim. esitteet, mainokset, internetsivut) edellyttää yllä olevia pakkausmerkintöjä, vaikka itse pakkauksessa ei esitettäisikään väitteitä
- Takaisinvetoihin on tarvittaessa ryhdytty
Keskeisiä hallintakeinoja maahantuojan, valmistuttajan ja pakkaajan omavalvonnassa ovat toimivat työkäytännöt ja työohjeet
- tavarantoimittajien valinnasta (esim. valmistajalla on laatujärjestelmä, toimittaja-auditoinnit)
- uusien tuotteiden valinnasta (esim. ajantasaiset tuotekuvaukset, spesifikaatiot)
- tiedonhankinnasta ja -välityksestä koskien tuotteiden tuotanto-olosuhteita ja koostumusta
- henkilökunnan osaamisesta, vastuuhenkilöiden nimeämisestä
4.3 Myyjän omavalvonta
Elintarvikkeita myyvällä elintarvikealan toimijalla tulee olla riittävät ja oikeat tiedot tuottamastaan, jalostamastaan ja jakelemastaan elintarvikkeesta sekä sitä koskevasta lainsäädännöstä (elintarvikelaki, 19 §). Myöskään elintarvikkeen myyjä ei saa toimittaa eteenpäin tuotetta, mikäli se tietää tai sen on syytä olettaa tuotteen olevan lainsäädännön vastainen. Samat velvollisuudet koskevat kaikkia elintarvikkeita myyviä toimijoita, riippumatta siitä rajoittuko toiminta esimerkiksi elintarvikehuoneistoon, virtuaalihuoneistoon, nettimyymälää, verkostomyyntiin tai etämyyntiin.
Valmiiksi pakattujen elintarvikkeiden osalta pakkaukseen tehtyjen merkintöjen oikeellisuudesta on vastuussa se toimija, jonka nimellä tai toiminimellä elintarviketta myydään. Mikäli elintarvikkeita myyvä toimija myös valmistaa, valmistuttaa, maahantuo tai pakkaa elintarvikkeita, joista esitetään ravitsemus- tai terveysväitteitä, tulee toimijan omavalvonnassa huolehtia tällöin kohdassa 4.2 esitetyistä asioista.
Toimija on vastuussa itse tuottamassaan markkinointimateriaalissa käytettävistä väitteistä, esim. kyltit, esitteet, lehtimainonta, internet, radio, TV. Väitteiden käyttö tällaisessa markkinointimateriaalissa ei saa olla ristiriidassa pakkausmerkinnöissä esitettyjen tietojen kanssa.
Ravitsemus- tai terveysväitteiden esittäminen markkinointimateriaaleissa edellyttää tiettyjä pakollisia pakkausmerkintöjä:
- Pakkauksessa on vaaditunlainen ravintoarvomerkintä (ravintoarvomerkintävaatimus ei koske ravintolisiä)
- Pakkauksessa on ilmoitettu väitteen kohteena olevan aineen määrä
- Pakkauksessa on artiklan 10(2)a-b mukaiset lisämerkinnät (terveysväitteet)
- Pakkauksessa on tarvittaessa artiklan 10(2)c-d ja 14(2) mukaiset lisämerkinnät (terveysväitteet)
Ellei pakkausmerkinnöissä ole näitä pakollisia pakkausmerkintöjä ei myyjä voi esittää tuotteesta ravitsemus- tai terveysväitteitä itse tuottamassaankaan markkinointimateriaalissa.
5. Viranomaisvalvonta
Elintarvikkeista esitettyjen ravitsemus- ja terveysväitteiden valvonta kuuluu elintarvikelain mukaiseen elintarvikevalvontaan. Valvontaviranomaisten on suoritettava virallisia tarkastuksia valvoakseen ravitsemus- ja terveysväiteasetuksen noudattamista asetuksen (EY) N:o 882/2004 mukaisesti.
Euroopan komission on julkaissut täytäntöönpanopäätöksen väiteasetuksen artiklan 10 tarkoittamien terveysväitteitä koskevien erityisten edellytysten soveltamisesta. http://eur- lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2013:022:0025:0028:FI:PDF
Täytäntöönpanopäätöksen mukaisesti hyväksyttyjäkään terveysväitteitä ei saa käyttää, ellei niiden käyttö ole täysin väiteasetuksen kaikkien vaatimusten mukaista. Siinäkin tapauksessa, että väite on hyväksytty ja sisältyy sallittujen terveysväitteiden
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luetteloon, kansallisten viranomaisten on ryhdyttävä toimiin, jos terveysväitteen käyttö ei täytä kaikkia väiteasetuksen vaatimuksia, esimerkiksi jos väitteen käytön edellyttämät pakolliset pakkausmerkinnät puuttuvat.
5.1 Riskiperusteisuus
Elintarvikelain 6 a § mukaisesti lain nojalla säädettyjä velvoitteita toimeenpantaessa (toimijat) ja niiden noudattamista valvottaessa on otettava huomioon toimijan harjoittaman toiminnan
- laajuus (paikallinen / valtakunnallinen toiminta)
- turvallisuus (esim. lääkkeelliset väitteet, varoitusmerkinnät, käyttöohje)
- luonne (esim. erityisille kuluttajaryhmille tarkoitetut tuotteet)
- kuluttajansuoja
o kuluttajan harhaanjohtamisen estäminen (esim. kielletyt väitteet, käytetään vain sallittuja ravitsemus- ja terveysväitteitä)
o kuluttajan tiedonsaanti valintojen tekemistä varten (esim. väitteiden käytön edellyttämät pakolliset pakkausmerkinnät)
5.2 Valvontaviranomaiset
Kunnan tehtävänä on huolehtia elintarvikkeista esitettyjen ravitsemus- ja terveysväitteiden valvonnasta alueellaan olevien toimijoiden osalta. Tämä koskee elintarvikkeiden pakkauksissa esiintyvien väitteiden lisäksi muissa markkinointimateriaaleissa esiintyvien väitteiden valvontaa, ml. kyltit, esitteet, lehtimainonta, internet, radio, TV. Kunnan valvontaviranomaisen tulee varmistua siitä, että toimija korjaa lainsäädännön vastaiset ravitsemus- ja terveysväitteet elintarvikkeiden pakkauksista ja markkinointimateriaaleista. Ainakin selvissä tapauksissa kunnan valvontaviranomaisen tulee tarvittaessa käyttää elintarvikelain mukaisia hallinnollisia pakkokeinoja pakkausmerkintöjen ja/tai markkinointimateriaalien korjaamisen varmistamiseksi.
Aluehallintovirastojen tehtävänä on toimialueellaan suunnitella, ohjata ja valvoa ravitsemus- ja terveysväitteiden valvontaa sekä valvoa ravitsemus- ja terveysväitteisiin liittyvien vaatimusten noudattamista.
Eviran tehtävänä on valtakunnallisesti suunnitella, ohjata ja kehittää ravitsemus- ja terveysväitteiden valvontaa. Tarvittaessa myös Evira voi käyttää elintarvikelain mukaisia hallinnollisia pakkokeinoja varmistaakseen elintarvikkeiden markkinoinnin säädöstenmukaisuuden.
Eviran tarkastuseläinlääkärit valvovat omavalvonnan toimivuutta ja toteutumista toimialueillaan ottaen siinä myös huomioon ravitsemus- ja terveysväitteisiin liittyvät vaatimukset.
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Muut valvontaviranomaiset (Valvira, Puolustusvoimat, Tullilaitos ja rajaeläinlääkärit) huolehtivat elintarvikkeista esitettyjen ravitsemus- ja terveysväitteiden valvonnasta omalta osaltaan.
Erityistapauksissa, joissa kunnalliset elintarvikevalvontaviranomaiset tai muut valvontaviranomaiset ovat aktiivisesti käyttäneet omat valvontakeinonsa loppuun, ne voivat kääntyä Eviran puoleen, mikäli valvontatoimet edellyttävät elintarvikelain mukaista markkinoinnin kieltämistä (65 §) tai markkinoinnin oikaisua (66 §).
5.3 Valvonnan toteuttaminen
Viranomaisen suorittama ravitsemus- ja terveysväitteiden valvonta keskittyy
- omavalvontasuunnitelman kattavuuden ja riittävyyden sekä toteutuksen arviointiin;
- pakkausmerkintä- ja asiakirjatarkastuksiin;
- käytännön toiminnan tarkasteluun;
- tarvittaessa reseptitarkastuksiin (ohjeistus Eviran ohjeessa 17055/1, Pakkausmerkintöjen valvontaohje).
Omavalvontasuunnitelman ja sen toteutuksen arvioinnilla varmistetaan, että
- toimija itse omaan toimintaansa kohdistamalla valvonnalla (omavalvonnalla) hallitsee elintarvikkeista esitettyjen ravitsemus- ja terveysväitteiden vaatimustenmukaisuuden;
- toimijan toteuttamat laadunvarmistusmenettelyt, kuten ohjeet ja dokumentointi, ovat riittäviä.
Pakkausmerkintä-, asiakirja- ja tarvittaessa reseptitarkastuksilla varmistetaan, että toimijan valmistamat tai välittämät elintarvikkeet ovat
- turvallisia ja
- tuotteesta annettu informaatio on todenperäistä
6. Valvottavat asiat
Valvonnassa tulee keskittyä niihin seikkoihin, joihin toimija voi omalla toiminnallaan vaikuttaa. Kohdassa 4 on kuvattu erityyppisten toimijoiden omavalvonnan sisältö. Valvonnan painopiste tulee olla näissä seikoissa. Jos valvontaviranomainen havaitsee tuotteissa sellaisia virheitä tai puutteita, joihin toimija ei voi suoranaisesti vaikuttaa, tulee valvontatoimia jatkaa pakkausmerkinnöistä tai markkinointiväittämistä vastuussa olevan toimijan kanssa.
Seuraavassa on tarkemmin selitetty valvottavia asioita. Lisää esimerkkejä ja soveltamisohjeita löytyy Eviran ohjeesta 17052/1, Ravitsemus- ja terveysväiteopas elintarvikevalvojille ja elintarvikealan toimijoille.
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RAVITSEMUS- JA TERVEYSVÄITTEIDEN VALVONTAOHJE
6.1 Elintarvikkeiden pakkausmerkinnöissä tai markkinoinnissa ei käytetä kiellettyjä väitteitä
o Pakkausmerkinnöissä tai markkinoinnissa ei käytetä lääkkeellisiä väitteitä
Elintarvikelain 9 §:n mukaan elintarvikkeen pakkauksessa, esitteessä, mainoksessa tai muulla tavalla markkinoinnin yhteydessä, elintarvikkeesta on annettava totuudenmukaiset ja riittävät tiedot. Elintarvikkeesta ei saa antaa harhaanjohtavia tietoja. Elintarvikkeella ei saa esittää olevan ihmisen sairauksien ennalta ehkäisemiseen, hoitamiseen tai parantamiseen liittyviä ominaisuuksia eli lääkkeellisiä väitteitä eikä viitata sellaisiin tietoihin.
Evira katsoo, että lääkkeellisiä väitteitä sisältävät viittaukset tieteellisiin tutkimuksiin tai muuhun tietoon sekä lääkkeellisten käyttötarkoituksien esiintuominen elintarvikkeiden myynnin ja markkinoinnin yhteydessä, esim. internetsivuilla, ovat myös elintarvikelain 23/2006 9 §:n vastaista. Niiden kautta annetaan kuluttajan ymmärtää, että yrityksen markkinoimilla elintarvikkeilla tai niiden sisältämillä ainesosilla on sairauksien ennaltaehkäisemiseen, hoitamiseen tai parantamiseen vaikuttavia ominaisuuksia. Vaikka tutkimustuloksia julkaistaisiin erillään varsinaisista tuotteiden markkinointiaineistoista, ovat ne silti säädösten vastaisia, jos kuluttaja pystyy yhdistämään väitetyn ominaisuuden markkinoitaviin tuotteisiin.
Lääkkeellisiksi väitteiksi voidaan katsoa myös viittaukset rohdos- tai kansanlääkintäkäyttöön.
o Pakkausmerkinnöissä tai markkinoinnissa ei käytetä väiteasetuksen artiklan 3 tai 12 mukaisia kiellettyjä väitteitä
Väiteasetuksen artiklan 3 mukaisesti ravitsemus- ja terveysväitteet eivät saa
a) olla totuudenvastaisia, moniselitteisiä tai harhaanjohtavia;
b) saattaa epäilyksenalaiseksi muiden elintarvikkeiden turvallisuutta ja/tai ravitsemuksellista riittävyyttä;
c) rohkaista elintarvikkeen liialliseen kulutukseen tai suvaita sitä;
d) sisältää sellaista toteamusta, esitystä tai viittausta, jonka mukaan tasapainoisesta ja monipuolisesta ruokavaliosta ei yleensä saa riittävästi ravintoaineita;
e) viitata sanallisesti taikka graafisilla tai kuvia tai symboleita sisältävillä esityksillä elintoimintojen muutoksiin, jotka voisivat aiheuttaa tai lisätä pelkoa kuluttajassa;
Eviran katsoo, että kiellettyä on esimerkiksi kertoa D-vitamiinivalmisteita markkinoitaessa, ettei D-vitamiinia saa riittävästi tavallisesta suomalaisesta ruoasta ja aiheuttaa kuluttajissa pelkoa kuvailemalla D-vitamiinin puutoksen aiheuttamia sairauksia.
Väiteasetuksen artiklan 12 mukaisesti seuraavat terveysväitteet ovat kiellettyjä:
a) väitteet, joissa esitetään, että elintarvikkeen nauttimatta jättämisellä voi olla terveysvaikutuksia;
Marjo Misikangas
Annika Nurttila
Tuoteturvallisuusyksikkö
RAVITSEMUS- JA TERVEYSVÄITTEIDEN VALVONTAOHJE
b) väitteet, joissa mainitaan painonpudotuksen nopeus tai määrä;
o Eviran katsoo, että kiellettyä on myös viitata esimerkiksi vyötärönympäryksen tai vaatekoon pienenemiseen
c) väitteet, joissa viitataan yksittäisten lääkäreiden tai terveydenhuollon ammattihenkilöiden ja muiden kuin 11 artiklassa tarkoitettujen lääketieteen ja ravinto- ja ravitsemusalan ammattilaisia edustavien kansallisten järjestöjen tai terveysalan yleishyödyllisten järjestöjen suosituksiin.
Komission väitetyöryhmässä on linjattu, että päätös siitä, kuka katsotaan terveydenhuollon ammattihenkilöksi, on tehtävä tapauskohtaisesti. Päätös perustuu pitkälti annettuun mielikuvaan ja viestin sisältöön.
Eviran tulkinnan mukaan esimerkiksi seuraavat voidaan katsoa kielletyiksi terveysväitteiksi:
- terveydenhuollon ammattihenkilö kertoo elintarvikkeen terveysvaikutuksista tai omista kokemuksistaan
- terveydenhuoltoalan opiskelija kertoo elintarvikkeen terveysvaikutuksista tai omista kokemuksistaan
- terveydenhuoltohenkilökuntaa esittävä näyttelijä kertoo elintarvikkeen terveysvaikutuksista tai omista kokemuksistaan
6.2 Elintarvikkeiden pakkausmerkinnöissä tai markkinoinnissa käytetään vain sallittuja väitteitä
o Käytetyt väitteet ja niiden sanamuodot ovat sallittuja (väite löytyy hyväksyttyjen väitteiden listalta tai odotuslistalta tai väitteeseen sovelletaan siirtymäaikaa)
Ravitsemusväitteet
Hyväksytyt ravitsemusväitteet on kuvattu väiteasetuksen liitteessä ja sen muutoksissa. Euroopan komission ylläpitämä rekisteri hyväksytyistä ravitsemusväitteistä löytyy osoitteesta: http://ec.europa.eu/nuhclaims/.
Terveysväitteet
Terveysväitteiden käytön lähtökohta on, että väitteiden taustalla oleva tieteellinen näyttö tulee hyväksyttää etukäteen ennen kuin väitettä voi käyttää. Näytön arvioi Euroopan elintarviketurvallisuusviranomainen (EFSA), jonka jälkeen Euroopan komissio joko hyväksyy tai hylkää väitteen asetuksella.
Euroopan komissio ylläpitää rekisteriä hyväksytyistä ja ei-hyväksytyistä väitteistä. Rekisteri löytyy komission sivuilta osoitteesta: http://ec.europa.eu/nuhclaims/. Lisäksi tietyt väitteet odottavat komission lopullista päätöstä, jonka vuoksi myös niitä on vielä toistaiseksi mahdollista käyttää elintarvikkeiden markkinoinnissa (ks. artiklan 13(1) terveysväitteet).
Lähtökohtana on, että elintarvikealan toimijan tulee pystyä osoittamaan, että elintarvikkeen markkinoinnissa käytetty väite löytyy hyväksyttyjen terveysväitteiden luettelosta tai että siihen sovelletaan siirtymäaikaa. Valvoja
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voi edellyttää, että valvontatilanteessa toimija osoittaa lainsäädännöstä tai Euroopan komission ja EFSA:n rekistereistä tarvittavat dokumentit.
- Euroopan komission ylläpitämä englanninkielinen rekisteri hyväksytyistä ja ei-hyväksytyistä väitteistä http://ec.europa.eu/nuhclaims/
- EFSAn rekisteri, josta voi tarkistaa vielä arvioitavana olevat artiklan 13(1) mukaiset terveysväitteet
http://registerofquestions.efsa.europa.eu/roqFrontend/questionsListLoader ?panel=NDA&foodsectorarea=26
Artiklan 13(1) terveysväitteet eli ns. toiminnalliset terveysväitteet
Ensimmäinen asetus (EU) N:o 432/20120 hyväksytyistä artiklan 13(1) terveysväitteistä eli ns. toiminnallisista terveysväitteistä tuli voimaan 14.6.2012. Asetusta alettiin soveltaa 14.12.2012. Tämä tarkoittaa sitä, että niitä artiklan 13(1) mukaisia terveysväitteitä, jotka ovat saaneet Euroopan komissiolta päätöksen "eihyväksytty", ei saa enää kyseisen päivämäärän jälkeen käyttää elintarvikkeiden pakkausmerkinnöissä tai markkinoinnissa.
Koska kyseessä on yhteisötason asetus, siihen ei ole mahdollista säätää kansallisia poikkeuksia. Tästä syystä kansallisesti ei myöskään voida myöntää siirtymäaikoja tai lisäaikaa, jonka aikana varastoissa olevat, ei-hyväksyttyjä terveysväitteitä sisältävät elintarvikepakkaukset voisi myydä loppuun.
Eviran näkemyksen mukaan ei-hyväksyttyjä terveysväitteitä sisältävät elintarvikepakkaukset on joissakin tapauksissa mahdollista kunnostaa myyntiin esimerkiksi tarroittamalla.
Lisäksi noin 2000 kasviperäisiin aineisiin liittyvää terveysväitettä odottaa edelleen EFSAn arvioita ja/tai Euroopan komission päätöstä. Näitä väiteasetuksen artiklan 13(1) mukaisia terveysväitteitä voi käyttää toimijan omalla vastuulla siihen asti, että kyseisestä väitteestä on tehty virallinen päätös. Väitteiden tulee kuitenkin olla väiteasetuksen ja niihin sovellettavien kansallisten säädösten mukaisia.
- Väitteistä voi käyttää samaa tai vastaavaa sanamuotoa, jolla väitettä on haettu hyväksyttäväksi.
- Väitteen käytönehtojen tulee toteutua siinä elintarvikkeessa, jossa väitettä käytetään.
- Elintarvikepakkauksessa tulee olla väitelainsäädännön edellyttämät pakkausmerkinnät.
- Pakkausmerkintöjen lisäksi on huomioitava väitteen käyttö markkinoinnissa.
- Jos vielä arvioitavana oleva terveysväite on lääkkeellinen tai väiteasetuksen artiklojen 3 tai 12 mukaan kielletty, silloin se ei Eviran tulkinnan mukaan ole väiteasetuksen mukainen terveysväite, eikä väitettä ei saa käyttää elintarvikkeiden pakkausmerkinnöissä tai markkinoinnissa.
Sen jälkeen kun komissio päättää asetuksellaan terveysväitteiden hyväksymisestä tai hylkäämisestä, ei-hyväksyttyjen väitteiden tulee poistua elintarvikkeiden markkinoinnista 6 kuukauden kuluttua.
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- Hyväksytyt ja ei-hyväksytyt terveysväitteet löytyvät Euroopan komission ylläpitämästä rekisteristä http://ec.europa.eu/nuhclaims/.
- Hyväksytyt artiklan 13(1) mukaiset terveysväitteet löytyvät suomeksi
asetuksesta 432/2012 http://eurlex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2012:136:0001:0040:FI :PDF
- Vielä arvioitavana olevat artiklan 13(1) mukaiset terveysväitteet voi tarkistaa EFSAn ylläpitämästä rekisteristä:
http://registerofquestions.efsa.europa.eu/roqFrontend/questionsListLoader
?panel=NDA&foodsectorarea=26
Artiklan 13(5) ja 14 terveysväitteet
Artiklan 13(5) terveysväitteillä tarkoitetaan terveysväitteitä, jotka ovat sisällöltään samanlaisia kuin artiklan 13(1) terveysväitteet, mutta perustuvat uuteen tieteelliseen näyttöön tai joille on haettu tietosuojaa.
Artiklan 14 terveysväitteet jaetaan
- artiklan 14(1)a, sairauden riskitekijän vähentämistä koskeviin väitteisiin
- artiklan 14(1)b, lasten kehitykseen ja terveyteen viittaaviin väitteisiin.
Sekä artiklan 13(5) että 14 väitteiden käyttö perustuu hakemusmenettelyyn. Näitä terveysväitteitä saa käyttää vasta siinä vaiheessa, kun Euroopan komissio on hyväksynyt väitteen käyttöön asetuksellaan. Väitettä ei voi siis ottaa käyttöön jo siinä vaiheessa kun hakemus väitteestä on jätetty.
Hyväksytyt ja hylätyt artiklan 13(5) ja 14 terveysväitteet löytyvät Euroopan komission internet-sivuilla olevasta rekisteristä http://ec.europa.eu/nuhclaims/.
Eviran näkemyksen mukaan hyväksyttyjä lasten kehitykseen ja terveyteen viittaavia väitteitä voi käyttää elintarvikkeissa, joiden kohderyhmään kuuluvat sekä lapset että aikuiset. Kuluttaja ei kuitenkaan saa tulla harhaanjohdetuksi. Esimerkiksi lapsilla todetun terveysvaikutuksen ei saa antaa ymmärtää toteutuvan myös aikuisilla.
Äidinmaidonkorvikkeissa ei saa käyttää artiklan 14(1)b väitteitä. Äidinmaidonkorvikkeissa sallitut ravitsemus- ja terveysväitteet on lueteltu kauppa- ja teollisuusministeriön antamassa asetuksessa 1216/2007.
Vierotusvalmisteissa on mahdollista käyttää sekä väiteasetuksen liitteen mukaisia hyväksyttyjä ravitsemusväitteitä että artiklan 14(1)b hyväksyttyjä terveysväitteitä.
Hyväksytty väite ei ole tuote- tai hakijakohtainen
Hyväksytyt ravitsemus- ja terveysväitteet eivät ole tuote- tai hakijakohtaisia, vaan ne koskevat elintarvikeryhmää, elintarviketta tai elintarvikkeen sisältämää ainetta. Kuka tahansa elintarvikealan toimija voi käyttää hyväksyttyä väitettä oman tuotteensa markkinoinnissa edellyttäen, että väitteen käytön ehdot toteutuvat tuotteessa ja elintarvikkeen pakkauksessa on väitteen käytön edellyttämät pakkausmerkinnät.
Artiklan 13.5 mukaisesti komissio voi myöntää hyväksyttävälle terveysväitteelle tietosuojan, jolloin terveysväitteen käyttöä voidaan rajoittaa määräajaksi hakijan
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eduksi. Toistaiseksi tietosuojaa ei ole myönnetty yhdellekään hyväksytylle terveysväitteelle
Väitettä ei saa liittää suoraan elintarvikkeen kaupalliseen nimeen
Väite tulee esittää aina elintarvikkeeseen tai elintarvikkeen sisältämään aineeseen liittyen. Koska kyse ei ole tuotekohtaisista väitteistä, väitettä ei tule muotoilla siten, että väite liitetään suoraan tuotteen kaupalliseen nimeen.
Esimerkiksi "Kalsium on tarpeellinen luuston pysymiselle normaalina" on hyväksytty terveysväite.
- Kielletty väitteen muotoilu: Tuote X on tarpeellinen luuston pysymiselle normaalina.
- Sallittu väitteen muotoilu: Tuotteen X sisältämä kalsium on tarpeellinen luuston pysymiselle normaalina.
Vastaavien sanamuotojen käyttö
Väiteasetuksen liitteessä lueteltujen hyväksyttyjen ravitsemusväitteiden lisäksi sallittuja ovat myös ravitsemusväitteet, joilla on kuluttajille oletettavasti sama. Evira on koonnut esimerkkejä vastaaviksi katsomistaan ravitsemusväitteiden sanamuodoista Eviran ohjeeseen 17052/2, Ravitsemus- ja terveysväiteopas elintarvikevalvojille ja elintarvikealan toimijoille.
Väiteasetuksen mukaan terveysväitteistä voi käyttää hyväksytyn sanamuodon lisäksi vastaavia sanamuotoja, jotka merkitsevät kuluttajalle samaa, koska ne kuvaavat samaa suhdetta elintarvikeryhmän, elintarvikkeen tai sen ainesosan ja terveyden välillä.
Evira suosittelee käyttämään kullekin ravitsemus- tai terveysväitteelle asetuksessa annettua sanamuotoa. Jos toimija käyttää muita vastaavia sanamuotoja, tulee toimijan varmistaa, että sanamuodolla on kuluttajalle oletettavasti sama merkitys. Erityisen tärkeää on varmistaa, ettei esitetty sanamuoto ole vahvempi kuin asetuksessa annettu muoto.
Jäsenmaiden yhteinen ohjeistus terveysväitteiden sanamuotojen joustavuudesta http://www.evira.fi/files/attachments/fi/elintarvikkeet/valmistus_ja_myynti/pakkausmer kinnat/health_claims_-_flexibility_of_wording_principles_14_dec_2012.pdf
Kaksiosaiset väitteet
Sairauden riskitekijän vähentämiseen viittaavat artiklan 14(1)a väitteet ovat tyypillisesti kaksiosaisia. Ensiksi mainitaan riskitekijä, jota elintarvikkeen sisältämä aine vähentää, ja tämän jälkeen mainitaan sairaus, jonka riskiä vähennetään. Esimerkiksi: Kasvisterolien ja kasvistanoliesterien on osoitettu alentavan/vähentävän veren kolesterolia. Korkea kolesteroli on sepelvaltimotaudin kehittymisen riskitekijä.
Eviran näkemyksen mukaan väite tulee esittää pakkauksessa tai mainoksessa ainakin kerran kokonaisuudessaan jakamatta sitä osiin. Kaksiosaisen väitteen jakaminen osiin ei kuitenkaan saa johtaa kuluttajaa harhaan.
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Yksittäisen kuluttajan käyttökokemukset
Väiteasetuksen artiklan 6 mukaan elintarvikkeesta esitettävien ravitsemus- ja terveysväitteiden tulee perustua yleisesti hyväksyttyyn tieteelliseen näyttöön. Yksittäisen henkilön omakohtainen kokemus, vaikka olisikin täysin totta kyseisen henkilön kohdalla, ei täytä väiteasetuksen vaatimusta tieteellisestä näytöstä. Tämän vuoksi elintarvikkeiden markkinointi yksittäisen kuluttajan käyttökokemuksen avulla voidaan katsoa harhaanjohtavaksi.
Jos kyseessä on kuitenkin hyväksytty väite, Eviran näkemyksen mukaan yksittäinen kuluttaja, näyttelijä tai julkisuuden henkilö voi kertoa mainoksessa hyväksytystä ravitsemus- tai terveysväitteestä. Samalla voi tuoda esille, että myös henkilö itse on havainnut elintarvikkeella tai sen sisältämällä ainesosalla kyseisiä vaikutuksia. Tämä ei kuitenkaan koske artiklassa 12 mainittuja lääkäreitä tai terveydenhuollon ammattihenkilöitä.
Alkoholijuomiin ei saa liittää terveysväitteitä
Juomiin, jotka sisältävät yli 1,2 tilavuusprosenttia alkoholia, ei saa liittää terveysväitettä. Ravitsemusväitteistä sallitaan ainoastaan viittaukset
- vähäiseen alkoholipitoisuuteen,
- alkoholin määrän vähentämiseen tai
- energian määrän vähentämiseen liittyen.
o Mahdollista yleistä, täsmentämättömään hyötyyn liittyvää ilmaisua täydennetään hyväksytyllä terveysväitteellä (artikla 10(3))
Artiklan 10(3) yleisluontoiset, täsmentämättömät ilmaukset
Väiteasetuksen artikla 10(3) määrittelee, että viittaus ravintoaineesta tai elintarvikkeesta saatavaan yleisluontoiseen, täsmentämättömään hyötyyn yleisen terveyden tai terveyteen liittyvän hyvinvoinnin kannalta on sallittu ainoastaan, jos siihen liittyy 13 tai 14 artiklassa tarkoitettuihin luetteloihin sisältyvä yksittäinen terveysväite.
Evira katsoo, että esimerkiksi "lihaksille", "hyvä sydämelle" ja "luustosi ystävä" ovat yleisluontoisia, täsmentämättömiä ilmauksia. Niiden yhteydessä on esitettävä terveysvaikutuksen täsmentävä hyväksytty terveysväite.
Euroopan komission julkaisema täytäntöönpanosäännös väiteasetuksen artiklan 10 soveltamisesta määrittelee, että terveysvaikutuksen täsmentävä hyväksytty terveysväite tulee sijoittaa yleisluontoisen, täsmentämättömän ilmaisun "viereen" tai "jälkeen".
Hyväksytyn terveysväitteen tulee olla kuluttajan helposti havaittavissa ja nähtävissä ennen ostopäätöksen tekoa. Näin ollen ei ole esimerkiksi mahdollista liittää pakkaukseen yleisluontoista väitettä ja kertoa täsmennetystä terveysvaikutuksesta ainoastaan internetsivuilla.
Terveysväitteiden tieteellisen arvioinnin aikana todettiin, että jotkin ehdotetuista terveysväitteistä olivat liian yleisluontoisia ja yksilöimättömiä, eikä niitä voitu sen vuoksi arvioida. Näitä väitteitä ei voitu hyväksyä, ja ne on sen vuoksi sisällytetty ei-
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Hyväksyjä
Tuoteturvallisuusyksikkö
RAVITSEMUS- JA TERVEYSVÄITTEIDEN VALVONTAOHJE
hyväksyttyjen väitteiden luetteloon. Näiden väitteiden voidaan katsoa kuuluvan artiklan 10(3) mukaisiin yleisluontoisiin, täsmentämättömiin terveysväitteisiin. Näitä väitteitä voi käyttää edellyttäen, että niiden yhteyteen liitetään samaan terveysvaikutukseen liittyvä, terveysvaikutuksen täsmentävä hyväksytty artiklan 13 tai 14 terveysväite.
o Mahdolliset väitteen sisältämät tuotemerkit, kuvat, graafiset esitykset jne. on huomioitu ja ne ovat väiteasetuksen mukaiset (mahdolliset siirtymäajat, väitteen sisältämää tuotemerkkiä/kuvaa /graafista esitystä tms. on täydennetty hyväksytyllä väitteellä)
Väitteiksi katsottavat tavaramerkit ja tuotenimet
Väiteasetuksen artiklan 1(3) mukaisesti elintarvikkeen pakkausmerkinnöissä, esillepanossa tai mainonnassa esiintyvää tavaramerkkiä, tuotenimeä tai kuvitteellista nimeä, jota voidaan pitää ravitsemus- tai terveysväitteenä, voidaan käyttää, jos kyseisen tavaramerkin tai nimen yhteydessä esitetään väiteasetuksen säännöksiä vastaava ravitsemus- tai terveysväite.
Eviran näkemyksen mukaan terveysväitteeksi katsottavan tavaramerkin tai nimen yhteydessä on esitettävä terveysvaikutuksen tarkentava terveysväite. Vastaavasti ravitsemusväitteeksi katsottavan tavaramerkin tai nimen yhteydessä on esitettävä tarkentava ravitsemusväite.
Esimerkiksi:
- Kuitupommi-nimisen tuotteen tulee täyttää ravitsemusväitteeseen runsaskuituinen sovellettavat edellytykset ja tämä tieto on esitettävä nimen yhteydessä.
- Nimen Luustojuoma käyttö antaa ymmärtää, että elintarvikkeen ja luuston terveyden välillä on yhteys. Näin ollen Luustojuoma-nimen yhteydessä on esitettävä esimerkiksi seuraavanlainen täsmennys: Luustojuoman sisältämä kalsium on tarpeellinen luuston pysymiselle normaalina.
Väiteasetuksen artiklan 28(2) mukaisesti tuotteita, joihin liittyy ennen 1.1.2005 olemassa olleita tavaramerkkejä tai tuotenimiä, jotka eivät ole väiteasetuksen mukaisia, voi markkinoida 19.1.2022 saakka. Tämän jälkeen tulee soveltaa väiteasetuksen säännöksiä.
Evira katsoo, että edellä mainittua siirtymäaikaa soveltavien tuotteiden koostumusta ei tule muuttaa niin, että tuotenimi muuttuu harhaanjohtavaksi.
Väitteitä sisältävät kuvat, symbolit ja graafiset esitykset
Väiteasetuksen artiklan 2(2) mukaan "väitteellä" tarkoitetaan esitystä tai kuvausta, joka ei ole yhteisön tai kansallisen lainsäädännön mukaan pakollinen, mukaan luettuina graafiset sekä kuvia tai symboleita kaikissa muodoissa sisältävät esitykset, ja jossa todetaan, esitetään tai annetaan ymmärtää, että elintarvikkeella on erityisominaisuuksia.
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Tuoteturvallisuusyksikkö
Sivu/sivut
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Ohje / versio 17060/1
Käyttöönotto 29.5.2013
Laatija
Marjo Misikangas
Hyväksyjä
Annika Nurttila
RAVITSEMUS- JA TERVEYSVÄITTEIDEN VALVONTAOHJE
Toisaalta väiteasetuksen artikla 10(3) määrittelee, että yleisluontoiseen, täsmentämättömään terveysväitteeseen on liitettävä terveysvaikutuksen täsmentävä hyväksytty artiklan 13 tai 14 terveysväite.
Terveysväitteitä sisältäviin kuviin, symboleihin ja graafisiin esityksiin siis on liitettävä terveysvaikutuksen täsmentävä terveysväite. Jos kuva, symboli tai graafinen esitys kuvaa selkeästi ravitsemusväitettä, Eviran näkemyksen mukaan kuvan yhteyteen tulee liittää ravitsemusväite.
Esimerkiksi:
- Elintarvikkeen pakkauksessa tai mainoksessa on silmän kuva. Tällöin kuvan yhteyteen tulee liittää terveysväite, joka kertoo tarkemmin kuinka elintarvike tai sen sisältämä ainesosa vaikuttaa silmän terveyteen tai näkökykyyn. Vastaavasti pakkauksessa on esitettävä kyseisen terveysväitteen käytön edellyttämät muut pakkausmerkinnät.
- Elintarvikkeen pakkauksessa tai mainoksessa on kuva, joka viittaa omega-3-rasvahappoihin. Tällöin kuvan yhteyteen tulee liittää omega-3rasvahappoihin liittyvä ravitsemusväite. Vastaavasti pakkauksessa on esitettävä kyseisen ravitsemusväitteen käytön edellyttämät muut pakkausmerkinnät.
6.3 Väitteiden käytön ehdot toteutuvat
o Väitteiden käytön ehdot toteutuvat tuotteessa (esim. määrä, onko varmistettu, onko oikeassa tuoteryhmässä)
Jokaiselle hyväksytylle ravitsemus- ja terveysväitteelle on annettu käytön edellytykset ja lisäksi joissakin tapauksissa nauttimisen edellytykset, rajoitukset tai varoitus. Mikäli väitteen haluaa liittää oman tuotteensa pakkausmerkintöihin tai markkinointiin, tulee näiden ehtojen täyttyä omassa tuotteessa ja sen pakkausmerkinnöissä. Käytön ehdot löytyvät siitä asetuksesta, jolla kukin väite on hyväksytty käyttöön sekä komission väiterekisteristä http://ec.europa.eu/nuhclaims/.
Vitamiinit ja kivennäisaineet
Useiden ravitsemus- ja terveysväitteiden käytön edellytyksenä on, että elintarvike sisältää merkittävän määrän kyseistä vitamiinia tai kivennäisainetta eli täyttää lähderavitsemusväitteen ehdot.
Tällöin 100 grammaa tai 100 millilitraa elintarviketta tai yhden annoksen pakkauksen tulee sisältää vitamiinia tai kivennäisainetta vähintään 15 % päivittäisen saannin vertailuarvosta. Juomilla riittää, että 100 millilitraa juomaa sisältää 7,5 % päivittäisen saannin vertailuarvosta.
Vastaavasti 'sisältää runsaasti vitamiinia tai kivennäisainetta' -ravitsemusväitettä voi käyttää, mikäli 100 grammassa tai 100 millilitrassa elintarviketta tai yhden annoksen pakkauksessa on ko. ravintoainetta 30 % päivittäisen saannin vertailuarvosta tai 100 millilitrassa juomaa on 15 % päivittäisen saannin vertailuarvosta.
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17060/1
29.5.2013
RAVITSEMUS- JA TERVEYSVÄITTEIDEN VALVONTAOHJE
Vitamiinien ja kivennäisaineiden päivittäisen saannin vertailuarvot löytyvät ravintoarvomerkintäasetuksesta MMM:n 588/2009 ja elintarviketietoasetuksen 1196/2011 liitteestä XIII:
http://eur- lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2011:304:0018:0063:FI:PDF
Taulukkoon 2 on koottu päivittäisen saannin vertailuarvot sekä 'lähde' ja 'sisältää runsaasti' –ravitsemusväitteiden raja-arvot.
Taulukko 2. Päivittäisen saannin vertailuarvot sekä 'lähde' ja 'sisältää runsaasti' – ravitsemusväitteiden raja-arvot. Vertailuarvon prosenttiosuutta vastaava määrä ravintoainetta tulee saada 100 grammasta, 100 ml tai yhden annoksen pakkauksesta.
Tuoteturvallisuusyksikkö
Laatija
Hyväksyjä
RAVITSEMUS- JA TERVEYSVÄITTEIDEN VALVONTAOHJE
Määrän varmistaminen
Ravintoarvomerkintä- ja elintarviketietoasetusten mukaisesti elintarvikkeiden pakkausmerkinnöissä ilmoitettujen ravintosisältötietojen tulee olla keskiarvoja, jotka perustuvat
- valmistajan tekemään analyysiin elintarvikkeesta;
- laskelmaan, joka on tehty käytettyjen ainesosien tunnettujen tai todellisten keskiarvolukujen perusteella; tai
- laskelmaan, joka perustuu yleisesti tunnettuun ja hyväksyttyyn tietoon.
Kun elintarviketta myydään tietyn ravintoaineen lähteenä tai siitä esitetään terveysväite, Evira suosittelee, että kyseisten ravintoaineiden määrä analysoidaan laboratoriotutkimuksin tai varmistetaan muuten luotettavalla tavalla.
Tuoteryhmät
Jotkut terveysväitteet on hyväksytty käytettäviksi vain tietyissä tuoteryhmissä. Tällöin täytyy varmistaa, että terveysväitettä käytetään vain kyseiseen tuoteryhmään kuuluvissa elintarvikkeissa.
Esimerkiksi "Kasvisterolien ja kasvistanoliesterien on osoitettu alentavan/vähentävän veren kolesterolia. Korkea kolesteroli on sepelvaltimotaudin kehittymisen riskitekijä" on artiklan 14(1)a mukainen hyväksytty terveysväite. Kyseisen väitteen käytön edellytykset on määritelty seuraavasti: "Kuluttajalle ilmoitetaan, että edullinen vaikutus saavutetaan nauttimalla päivittäin 1,5–2,4 g kasvisteroleja/-stanoleja. Vaikutuksen suuruuteen voidaan viitata vain seuraaviin ryhmiin kuuluvien elintarvikkeiden osalta: rasvalevitteet, maitotuotteet, majoneesi ja salaatinkastikkeet. Vaikutuksen suuruuteen viitattaessa kuluttajalle on ilmoitettava koko vaihteluväli "7– 10 %" sekä vaikutuksen saamiseksi tarvittavan käytön kesto "kahdesta kolmeen viikkoa".
6.4 Väitteiden käytön pakkausmerkintävaatimukset täyttyvät
Yleiset pakkausmerkintämääräykset koskevat kaikkia elintarvikkeita, ja ne sisältävät tavallisimmat elintarvikepakkauksiin tehtävät merkinnät. Evira ohje 17005/4, pakkausmerkintäopas löytyy Eviran internet-sivulta http://www.evira.fi/portal/fi/evira/julkaisut/?a=view&productId=114
KTM:n pakkausmerkintäasetuksen (1084/2004) ja elintarviketietoasetuksen mukaisesti pakolliset pakkausmerkinnät on tehtävä suomen ja ruotsin kielellä. Ravitsemus- ja terveysväitteet ovat elintarvikkeen pakkauksessa tai markkinoinnissa esitettäviä vapaaehtoisia merkintöjä. Tämän vuoksi kielimääräykset eivät koske väitteen esittämistä.
Mikäli elintarvikkeen pakkauksessa tai muussa markkinoinnissa kuitenkin esitetään ravitsemus- tai terveysväite, on väitteen käytön edellyttämät pakkausmerkinnät pakollisia pakkausmerkintöjä ja ne tulee ilmoittaa pakkauksessa sekä suomeksi että ruotsiksi. Eviran näkemyksen mukaan väitteiden esittäminen Suomessa yleisesti ymmärrettävällä ilmaisulla tai tavalla edellyttää, että väitteiden käytön vaatimat pakkausmerkinnät esitetään suomeksi ja ruotsiksi.
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Tuoteturvallisuusyksikkö
Sivu/sivut Ohje / versio Käyttöönotto
21 / 27
17060/1
29.5.2013
RAVITSEMUS- JA TERVEYSVÄITTEIDEN VALVONTAOHJE
Kaiken elintarvikkeesta annetun informaation, riippumatta käytetystä kielestä, tulee olla totuudenmukaista ja harhaanjohtamatonta.
o
Pakkauksessa on
vaaditunlainen ravintoarvomerkintä
(ravintoarvomerkintävaatimus ei koske ravintolisiä)
Ravintoarvomerkinnät
Ravintoarvomerkinnöistä on säädetty MMM:n ravintoarvomerkintäasetuksessa 588/2009 ja elintarviketietoasetuksessa. Jos elintarvikkeesta esitetään ravitsemus- tai terveysväite, ravintoarvomerkintä on aina pakollinen. Pakolliset ravintoarvomerkinnät tulee 13.12.2016 alkaen esittää elintarviketietoasetuksen vaatimusten mukaisesti. Sitä ennen ravintoarvomerkinnän voi esittää joko MMM:n ravintoarvomerkintäasetuksen 588/2009 tai elintarviketietoasetuksen mukaisesti.
Evira katsoo, että ravintoarvomerkintä on tehtävä suomeksi ja ruotsiksi aina, kun elintarvikkeesta esitetään ravitsemus- tai terveysväite. Myös silloin, kun ravitsemustai terveysväite on tuotteessa muulla kuin suomenkielellä, on ravintoarvomerkintä pakollinen pakkausmerkintä ja tehtävä suomeksi ja ruotsiksi.
Ravintoarvomerkintäasetuksen mukainen ravintoarvomerkintä
Jos esitetty ravitsemusväite koske energiasisältöä, proteiinia, hiilihydraattia tai rasvaa, riittää ravintoarvomerkintäasetuksen mukainen lyhyt ravintoarvomerkintä. Jos ravitsemusväite koskee ravintoarvomerkintäasetuksen liitteessä lueteltuja vitamiineja tai kivennäisaineita, voi kyseisen ravintoaineen ilmoittaa osana lyhyttä merkintää. Pitkää ravintoarvomerkintää tulee käyttää, jos esitetty ravitsemusväite koskee sokereita, tyydyttyneitä rasvahappoja, ravintokuitua tai natriumia.
Terveysväitteen käytön yhteydessä ravintoarvoa koskevat tiedot tulee aina ilmoittaa käyttäen pitkää merkintää. Pitkässä merkinnässä ilmoitetaan elintarvikkeen sisältämän energian, proteiinin, hiilihydraattien, sokerien, rasvan, tyydyttyneiden rasvahappojen, kuidun ja natriumin määrät.
Jos ravitsemus- tai terveysväite koskee ainetta, jota ei ole mainittu ravintoarvomerkinnässä ravintoarvomerkintäasetuksen mukaisesti, sen määrä on ilmoitettava samassa kentässä ravintosisältöä koskevien tietojen kanssa.
Lisätietoja ravintoarvomerkinnöistä löytyy Eviran julkaisemasta ravintoarvomerkintäoppaasta 17030/1: http://www.evira.fi/portal/fi/evira/julkaisut/?a=view&productId=112
Elintarviketietoasetuksen mukainen ravintoarvoilmoitus
Elintarviketietoasetuksen artiklan 30 mukaisesti pakollisen ravintoarvoilmoituksen on sisällettävä seuraavat tiedot:
a) energiasisältö; ja
b) rasvan, tyydyttyneiden rasvojen, hiilihydraatin, sokereiden, proteiinin ja suolan määrät.
Lisäksi sitä voidaan täydentää ilmoittamalla seuraavista yhden tai useamman määrät:
a) kertatyydyttymättömät rasvat;
b) monityydyttymättömät rasvat;
c) polyolit;
d) tärkkelys;
e) ravintokuitu;
f) mikä tahansa elintarviketietoasetuksen liitteessä XIII olevan A osan 1 kohdassa lueteltu vitamiini tai kivennäisaine, jota esiintyy liitteessä XIII olevan A osan 2 kohdassa määritelty merkitsevä määrä.
Artikla 49 määrittelee, että jos ravitsemus- tai terveysväite koskee ainetta, jota ei ole mainittu ravintoarvomerkinnässä, sen määrä on ilmoitettava samassa nähtävissä olevassa kentässä ravintoarvomerkinnän kanssa. Käytännössä tämä tarkoittaa, näiden aineiden määrät tulee ilmoittaa esimerkiksi heti ravintoarvoilmoituksen alapuolella.
Esimerkiksi yksittäisten rasvahappojen, kuten ALA, EPA ja DHA, määriä ei tule ilmoittaa ravintoarvoilmoituksessa rasvojen kohdalla vaan vaikkapa heti ravintoarvoilmoituksen alapuolella.
Lisätietoa elintarviketietoasetuksessa 1196/2011:
http://eur- lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2011:304:0018:0063:FI:PDF
Pakkaamattomat elintarvikkeet
Väiteasetuksen artiklan 1(2) mukaisesti ravintoarvomerkintävaatimuksia ei sovelleta, kun on kyse pakkaamattomista elintarvikkeista (hedelmät, vihannekset ja leivän kaltaiset tuoretuotteet mukaan lukien), jotka on asetettu myyntiin loppukuluttajalle tai suurtalouksille, tai myyntipisteessä ostajan pyynnöstä pakatuista elintarvikkeista tai välitöntä myyntiä varten ennalta pakatuista elintarvikkeista.
Ravintolisät
Ravintoarvomerkintä- tai elintarviketietoasetuksen mukaisen ravintoarvomerkinnän esittäminen ei koske ravintolisiä. Sen sijaan ravintolisän ominaisten aineiden määrä tulee ilmoittaa ravintolisäasetuksen mukaisesti. Jos ravintolisästä esitetään ravitsemus- tai terveysväite, väitteen perustana olevan aineen määrä on kuitenkin ilmoitettava ominaisten aineiden luettelossa tai sen yhteydessä.
o Pakkauksessa on ilmoitettu väitteen kohteena olevan aineen määrä
Väitteen kohteena olevan aineen määrä
Ravitsemus- tai terveysväitteen kohteena olevan aineen määrä on aina ilmoitettava elintarvikkeen pakkausmerkinnöissä ravintoarvomerkinnässä tai sen välittömässä läheisyydessä.
Ravintolisien kohdalla väitteen kohteena olevan aineen määrä tulee ilmoittaa ominaisten aineiden luettelossa tai sen yhteydessä.
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Tuoteturvallisuusyksikkö
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17060/1
29.5.2013
RAVITSEMUS- JA TERVEYSVÄITTEIDEN VALVONTAOHJE
o Pakkauksessa on artiklan 10(2)a-b mukaiset lisämerkinnät (terveysväitteet)
Terveysväitteiden käytön edellyttämät pakolliset lisämerkinnät
Terveysväitteitä käytettäessä on pakkausmerkintöihin tai niiden puuttuessa esillepanoon tehtävä aina tiettyjä lisämerkintöjä.
Väiteasetuksen artiklan 10(2) mukaisesti terveysväitteet ovat sallittuja vain, mikäli pakkausmerkintöihin tai niiden puuttuessa esillepanoon tai mainostamiseen sisältyy seuraavat tiedot:
a) maininta tasapainoisen ja monipuolisen ruokavalion ja terveiden elämäntapojen tärkeydestä;
b) kuinka paljon ja kuinka usein elintarviketta on nautittava väitetyn hyödyn saamiseksi;
Pakkaamattomat elintarvikkeet
Väiteasetuksen artiklan 1(2) mukaisesti artiklan 10(2) a ja b alakohtien vaatimuksia ei sovelleta, kun on kyse pakkaamattomista elintarvikkeista (hedelmät, vihannekset ja leivän kaltaiset tuoretuotteet mukaan lukien), jotka on asetettu myyntiin loppukuluttajalle tai suurtalouksille, tai myyntipisteessä ostajan pyynnöstä pakatuista elintarvikkeista tai välitöntä myyntiä varten ennalta pakatuista elintarvikkeista.
Esimerkiksi kaupan hedelmä- ja vihannesosastolla irtomyynnissä olevien porkkanoiden myyntiesitteeseen ei tarvitse lisätä porkkanoiden ravintoarvomerkintää tai 10(2)a-b mukaisia merkintöjä, vaikka porkkanoista esitettäisiin ravitsemus- tai terveysväite. Sen sijaan tarvittaessa pakollisia merkintöjä olisivat artiklan 10(2) c-d ja 14(2) mukaiset varoitusmerkinnät (tarvittaessa). Sama koskee esimerkiksi leipä- ja einestiskistä myytäviä tuotteita tai kaupan tai tarjoilupaikan ostajan pyynnöstä tai välitöntä myyntiä varten pakkaamia elintarvikkeita.
Artikla 10(2)a ja ravintolisät
MMM:n ravintolisäasetuksen (78/2010) 5§:n mukaan ravintolisän pakkaukseen on tehtävä maininta siitä, että ravintolisää ei tule käyttää monipuolisen ruokavalion korvikkeena. Väiteasetuksen artiklassa 10(2)a puolestaan edellytetään, että elintarvikkeen pakkausmerkintöihin tai niiden puuttuessa esillepanoon tai mainostamiseen sisältyy maininta tasapainoisen ja monipuolisen ruokavalion ja terveiden elämäntapojen tärkeydestä.
Väiteasetuksen vaatimus koskee myös ravintolisiä, joten Eviran näkemyksen mukaan pelkkä ravintolisäasetuksen mukainen lause ei täytä väiteasetuksen vaatimusta. Ravintolisään tehtävässä merkinnässä tulee olla maininta myös tasapainoisesta ruokavaliosta sekä terveellisistä elintavoista.
Evira katsoo, että esimerkiksi seuraava lause täyttää sekä ravintolisäasetuksen 5§:n että väiteasetuksen artiklan 10(2)a vaatimuksen: "Ravintolisä ei korvaa monipuolista ja tasapainoista ruokavaliota eikä terveitä elämäntapoja." Haluttaessa viestin sisältö voidaan jakaa myös kahteen erilliseen virkkeeseen.
Artikla 10(2)b
Väiteasetus edellyttää, että elintarvikkeen pakkausmerkinnöissä tai niiden puuttuessa esillepanossa tai mainostamisessa kerrotaan, kuinka paljon ja kuinka usein kyseistä elintarviketta on nautittava väitetyn hyödyn saamiseksi.
Esimerkiksi betaglukaanille on hyväksytty seuraava artiklan 13(1) mukainen terveysväite: "Betaglukaanit edistävät veren kolesterolitasojen pysymistä normaalina".
Kyseisen terveysväitteen käytön edellytyksen ovat seuraavat: "Väite voidaan esittää vain elintarvikkeesta, joka sisältää vähintään 1 g:n kaurasta, kauraleseistä, ohrasta, ohraleseistä tai näiden lähteiden seoksesta peräisin olevia betaglukaaneja määriteltyä annosta kohti. Jotta väite voidaan esittää, kuluttajalle on ilmoitettava, että edullinen vaikutus saavutetaan nauttimalla päivittäin 3 g kaurasta, kauraleseistä, ohrasta, ohraleseistä tai näiden betaglukaanien seoksesta peräisin olevia betaglukaaneja." Evira katsoo, että kuluttajalle on lisäksi kerrottava kuinka paljon yhdessä annoksessa tuotetta on betaglukaaneja.
Useiden hyväksyttyjen terveysväitteiden käytön edellytyksenä on, että elintarvike sisältää merkittävän määrän kyseistä vitamiinia tai kivennäisainetta eli täyttää lähderavitsemusväitteen ehdot. Eviran näkemyksen mukaan näiden terveysväitteiden kohdalla voi olla mahdotonta määritellä, kuinka paljon ja kuinka usein kyseistä elintarviketta on nautittava väitetyn hyödyn saamiseksi. Terveysväitettä hyväksyttäessä tätä vaatimusta ei ole määritelty EFSA:ssa tai Euroopan komissiossa, joten elintarvikealan toimijakaan ei välttämättä pysty määrittelyä tekemään. Tämän tyyppisissä tilanteissa Evira ei edellyttäisi artiklan 10(2)b mukaista merkintää.
o Pakkauksessa on tarvittaessa artiklan 10(2)c-d ja 14(2) mukaiset lisämerkinnät (terveysväitteet)
Artikla 10(2)c-d
Väiteasetuksen artiklan 10(2) mukaisesti terveysväitteet ovat sallittuja vain, mikäli pakkausmerkintöihin tai niiden puuttuessa esillepanoon tai mainostamiseen sisältyy seuraavat tiedot:
c) tarvittaessa huomautus henkilöille, joiden olisi vältettävä elintarvikkeen nauttimista; ja
d) asianmukainen varoitus niissä tuotteissa, joiden liiallisesta nauttimisesta todennäköisesti aiheutuu terveysriski.
Osalle hyväksyttyjä terveysväitteitä on käytön edellytyksiin kirjattu vaatimus pakollisesta varoitusmerkinnästä.
Esimerkiksi hyväksytyn terveysväitteen "Glukomannaani vähäenergiaisen ruokavalion yhteydessä edistää painonpudotusta" käytön yhteydessä "On annettava varoitus tukehtumisvaarasta ihmisille, joilla on nielemisvaikeuksia, tai kun tuote nautitaan riittämättömän nesteen kera; on ohjeistettava nauttimaan runsaan veden kera, jotta aine päätyy vatsaan."
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Laatija
Hyväksyjä
Marjo Misikangas
Annika Nurttila
Tuoteturvallisuusyksikkö
RAVITSEMUS- JA TERVEYSVÄITTEIDEN VALVONTAOHJE
Artikla 14(2)
Väiteasetuksen artiklan 14(2) mukaisesti sairauden riskitekijän vähentämistä koskevien väitteiden osalta on pakkausmerkinnöissä tai niiden puuttuessa esillepanossa tai mainonnassa ilmoitettava, että väitteessä tarkoitettuun sairauteen liittyy useita riskitekijöitä eikä yhden tekijän muuttumisesta välttämättä ole hyötyä.
Pakkaamattomat elintarvikkeet
Väiteasetuksen artiklan 1(2) mukaisesti ravintoarvomerkintä ja artiklan 10(2) a ja b alakohtien vaatimuksia ei sovelleta pakkaamattomiin elintarvikkeisiin. Sen sijaan artiklan 10(2) c-d ja 14(2) mukaiset varoitusmerkinnät on esitettävä tarvittaessa, myös pakkaamattomista elintarvikkeista, myyntipisteessä ostajan pyynnöstä pakatuista elintarvikkeista ja välitöntä myyntiä varten ennalta pakatuista elintarvikkeista.
o On huomioitu, että väitteiden käyttö markkinoinnissa (esim. esitteet, mainokset, internetsivut) edellyttää edellä olevia pakkausmerkintöjä, vaikka itse pakkauksessa ei esitettäisikään väitteitä
Ravitsemus- tai terveysväitteiden käyttö markkinoinnissa (esim. kyltit, esitteet, lehtimainonta, internet, radio, TV) edellyttää aina ravintoarvomerkintää ja pakollisia lisämerkintöjä elintarvikkeen pakkausmerkintöihin, vaikka itse pakkauksessa ei esitettäisikään väitteitä.
Pakollisten elintarviketietojen, päiväysmerkintöjä lukuun ottamatta, tulee olla kuluttajan saatavilla ostopäätöstä tehtäessä. Tämä koskee myös väitteiden käytön edellyttämiä pakollisia lisämerkintöjä. Eli esimerkiksi myytäessä nettikaupassa elintarvikkeita, joista esitetään terveysväitteitä, tulee väitteiden käytön edellyttämien pakollisten pakkausmerkintöjen olla ostajan saatavilla tilausta tehtäessä.
Toimija on aina vastuussa itse tuottamassaan markkinointimateriaalissa käytettävistä väitteistä. Tämä koskee kaikkia elintarvikealan toimijoita: valmistaja, valmistuttaja, maahantuoja, pakkaaja, myyjä, kauppias, jne. Väitteiden käyttö toimijan itse tuottamassa markkinointimateriaalissa (esim. kyltit, esitteet, lehtimainonta, internet, radio, TV) ei saa olla ristiriidassa pakkausmerkinnöissä esitettyjen tietojen kanssa.
6.5 Takaisinvetoihin on tarvittaessa ryhdytty
Takaisinvetoon johtavia syitä ovat esimerkiksi:
- elintarvikkeen markkinoinnissa käytetään sellaisia lääkkeellisiä väitteitä, joista voi olla vaaraa kuluttajan terveydelle esimerkiksi sen vuoksi, että
o elintarviketta markkinoidaan tietyn sairauden hoitoon tai
o on epäilys, että markkinoinnin vuoksi asianmukainen lääkkeellinen hoito korvataan elintarvikkeen nauttimisella.
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7. Toimenpiteet
Jos valvontaviranomainen havaitsee, että elintarvikealan toimija rikkoo voimassaolevia elintarvikemääräyksiä, hänen tulee ryhtyä tarvittaviin toimenpiteisiin niiden noudattamisen varmistamiseksi. Tarvittaessa tulee käyttää elintarvikelain mukaisia hallinnollisia pakkokeinoja. Jos valvontaviranomainen havaitsee tuotteissa sellaisia virheitä tai puutteita, joihin toimija ei voi suoranaisesti vaikuttaa, tulee valvontatoimia jatkaa pakkausmerkinnöistä tai markkinointiväittämistä vastuussa olevan toimijan kanssa.
OIVA tarkastusohjeessa 12.3 Markkinointi on määritelty toimenpiteet, joita elintarvikkeista esitettyjen ravitsemus- ja terveysväitteiden valvonnassa havaitut virheet edellyttävät.
Jos virheet ovat vähäisiä eivätkä heikennä elintarviketurvallisuutta tai johda kuluttajaa harhaan, Eviran näkemyksen mukaan korjauksille voidaan antaa riittävän pitkä määräaika ottaen huomioon varastossa olevan pakkausmateriaalin määrän.
Esimerkkejä tällaisista vähäisistä virheistä:
- Esitetyt ravitsemus- ja terveysväitteet ovat pääasiallisesti väitelainsäädännön mukaiset, mutta osa käytetyistä sanamuodoista ei vastaa alkuperäistä hyväksyttyä väitettä.
- Väitteiden käytön yhteydessä esitetyt lisämerkinnät ovat puutteelliset.
Oiva-arviointiasteikon mukainen arvosana HYVÄ
Jos merkinnöissä on virheitä, jotka heikentävät elintarviketurvallisuutta tai johtavat kuluttajaa harhaan, on valvojan tilanteesta riippuen joko kehotettava tai määrättävä virheet korjattavaksi määräajan kuluessa.
Esimerkkejä virheistä, joiden korjaamiselle voidaan Eviran näkemyksen mukaan antaa enintään muutaman kuukauden määräaika:
- yleinen harhaanjohtavuus
- elintarvikkeesta esitetään kiellettyjä (ei-hyväksyttyjä) ravitsemus- tai terveysväitteitä
- väitteiden käytön ehdot eivät toteudu
- väitteiden kohteena olevien aineiden määriä ei ole ilmoitettu
- terveysväitteiden käytön yhteydessä ei ole esitetty vaadittuja lisämerkintöjä (väiteasetuksen artiklat 10(2)a, 10(2)b ja tarvittaessa 14(2)).
- ravintoarvomerkintää ei ole tehty
Oiva-arviointiasteikon mukainen arvosana KORJATTAVAA
Jos merkinnöissä on epäkohtia, jotka vaarantavat elintarviketurvallisuutta tai johtavat kuluttajaa oleellisesti harhaan, on valvojan varmistettava, että tilanteesta
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riippuen virheet joko korjataan välittömästi tai ryhdytään tuotteen takaisinvetoon.
Välitöntä korjausta vaativia virheitä ovat esimerkiksi:
- tarvittava varoitusmerkintä puuttuu (väiteasetuksen artiklat 10(2)c ja d)
- elintarvikkeesta esitetään lääkkeellisiä väitteitä
- elintarvikkeesta esitetään toistuvasti kiellettyjä (ei-hyväksyttyjä) ravitsemus- tai terveysväitteitä
Takaisinvetoon johtavia syitä ovat esimerkiksi:
- elintarvikkeen markkinoinnissa käytetään sellaisia lääkkeellisiä väitteitä, joista voi olla vaaraa kuluttajan terveydelle esimerkiksi sen vuoksi, että
o elintarviketta markkinoidaan tietyn sairauden hoitoon tai o on epäilys, että markkinoinnin vuoksi asianmukainen
lääkkeellinen hoito korvataan elintarvikkeen nauttimisella.
Oiva-arviointiasteikon mukainen arvosana HUONO
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Käyttöönotto 29.5.2013 | <urn:uuid:bba1247a-ec12-4c87-a927-34c2c177632a> | HuggingFaceFW/finepdfs/tree/main/data/fin_Latn/train | finepdfs | fin_Latn | 63,312 |
Die Oberbürgermeisterin
Dezernat, Dienststelle 01/01-02
Beschlussvorlage
Betreff
Öffentliches Silvesterfeuerwerk
Beschlussorgan
Rat
Beschluss:
1. Der Rat beauftragt die Verwaltung, zu Silvester 2021 auf dem Roncalliplatz ein kulturelles Rahmenprogramm analog der Vorjahre - mit einem partizipatorischen und integrativen Bühnenprogramm, ergänzt durch Fassadenprojektionen der unmittelbaren Domumgebung zu realisieren. Voraussetzung dafür ist, dass die Pandemielage eine solche Veranstaltung zulässt.
2. Der Rat beauftragt die Verwaltung, für das Jahr 2022 und folgende die konzeptionellen Überlegungen für die Realisierung eines zentralen Feuerwerks weiter zu konkretisieren und ein entsprechendes Konzept einschließlich einer Kostenkalkulation vorzulegen. Da in den Entwurf des Haushaltes 2022 nur Mittel in der Höhe eingestellt wurden, die sich an den Kosten für die Umsetzung des zentralen Konzert- und Illuminationsprogramm in den Jahren 2018 und 2019 orientieren, ist die Kostenkalkulation für ein zentrales Feuerwerk hinsichtlich möglicher Mehrkosten zudem um einen entsprechenden Deckungsvorschlag zu ergänzen.
Vorlagen-Nummer
3047/2021
Freigabedatum 30.08.2021
zur Behandlung in öffentlicher Sitzung
Haushaltsmäßige Auswirkungen
Nein
Ja, investiv
Investitionsauszahlungen
€
Zuwendungen/Zuschüsse
Nein Ja
%
Ja, ergebniswirksam
Aufwendungen für die Maßnahme
110.000 €
Zuwendungen/Zuschüsse
Nein
Ja
%
Jährliche Folgeaufwendungen (ergebniswirksam): ab Haushaltsjahr:
a) Personalaufwendungen
€
b) Sachaufwendungen etc.
€
c) bilanzielle Abschreibungen
€
Jährliche Folgeerträge (ergebniswirksam):
ab Haushaltsjahr:
a) Erträge
€
b) Erträge aus der Auflösung Sonderposten
€
Einsparungen:
ab Haushaltsjahr:
a) Personalaufwendungen
€
b) Sachaufwendungen etc.
€
Beginn, Dauer
Auswirkungen auf den Klimaschutz
Nein
Ja, positiv (Erläuterung siehe Begründung)
Ja, negativ (Erläuterung siehe Begründung)
Begründung
Die Verwaltung wurde gemäß Beschluss des Rates zu AN/0542/2021 vom 23.03.2021 beauftragt, eine Beschlussvorlage für die Durchführung eines öffentlich zugänglichen Feuerwerks ggf. in Kooperation mit einem externen Veranstalter für den diesjährigen oder den darauf folgenden Jahreswechsel zu erstellen und den zuständigen Gremien zeitnah vorzulegen.
In der Vorlage soll neben der möglichen Größe und Verortung des Feuerwerks ein Konzept enthalten sein, welches für die Innenstadt, soweit rechtlich möglich, Verbotszonen für privates Feuerwerk vorsieht. Darüber hinaus sollen ein Sicherheitskonzept sowie die finanziellen Auswirkungen dargestellt werden.
Die Verwaltung hat die Realisierung eines zentralen Feuerwerks für die Jahre 2021 und 2022 geprüft und ist zu folgendem Ergebnis gekommen:
Angesichts der Erfahrungen, die zum einem mit einem zentralen Silvesterfeuerwerk im Jahr 1999/2000 sowie den seit 2001 jährlich stattfindenden „Kölner Lichter" gesammelt wurden, würde sich für ein Silvesterfeuerwerk nur ein Standort nördlich der Hohenzollernbrücke anbieten.
Sowohl bei dem damaligen Silvesterfeuerwerk als auch bei den „Kölner Lichtern" wurde das Feuerwerk von einem mittig auf dem Rhein zwischen der Hohenzollern- und Deutzer Brücke gelegenem Schiff abgefeuert. Infolgedessen sammelten sich die meisten Zuschauer*innen an dem links- und rechtsrheinischen Ufer in diesem Abschnitt. Mit steigender Beliebtheit und damit zunehmender Besuchermenge bei den Kölner Lichtern brachte diese Situation jedoch ein steigendes Risikopotential insbesondere in den engen Gassen der Altstadt zum Ende des Feuerwerks mit sich. Daraufhin beschloss der Veranstalter 2009 den Abschussort und damit auch die Besuchermengen in den Bereich nördlich der Hohenzollernbrücke zu verlagern. Dieses Konzept wurde stetig mit allen beteiligten Behörden und Organisationen verbessert.
Daher könnte bei einem zwischen der Hohenzollern- und Zoobrücke positionierten Feuerwerk auf sicherheitskonzeptionelle Planungen und Erfahrungen zurückgegriffen werden, die sich in den vergangenen Jahren für die Durchführung des Feuerwerksevents „Kölner Lichter" bestens bewährt haben. Allerdings ist davon auszugehen, dass die Besucherzahlen, die in den vergangenen Jahren bei den „Kölner Lichtern" registriert wurden, weit über denen liegen, die bei einem Silvesterfeuerwerk zu erwarten wären. Hierfür spricht zum einen die winterliche Wetterlage. Zum anderen soll im Gegensatz zu den „Kölner Lichtern" auf ein mehrstündiges Rahmenprogramm verzichtet werden.
Für den dargestellten Veranstaltungsraum ließen sich bezüglich der konkreten Positionierung zwei Varianten realisieren: So könnte das Feuerwerk entweder analog zu den „Kölner Lichtern" unter Nutzung eines mittig auf dem Rhein liegenden Schiffes oder als ein „Uferfeuerwerk" inszeniert werden. Beim Letztgenannten würde der Abschussbereich beispielsweise entlang des Uferbereichs in Höhe des Rheinparks positioniert. Diese Variante wäre einerseits kostengünstiger, schränkt aber die Besucherflächen erheblich ein, da der Rheinpark sowie das zugehörige Ufer als Besucherfläche ausscheiden. Als Publikumsflächen käme stattdessen vornehmlich die linke Rheinseite unter Nutzung des Rheinuferweges und der Rheinuferstraße in Betracht. Zur Veranschaulichung sind in der beigefügten Anlage 1 für beide Varianten die entsprechenden Besucherflächen und deren Kapazitäten dargestellt (rote Markierung).
Ausweisung von „Feuerwerksverbotszonen"
Die Darstellung der Besucherflächen zeigt zugleich auch die Bereiche, für die im Zusammenhang mit dem zentralen Feuerwerk Verbotszonen für das Abbrennen von Feuerwerkskörpern eingerichtet werden können. So erstrecken sich die Verbotszonen lediglich auf die im Rahmen der Veranstaltung genutzten Bereiche entlang des Konrad-Adenauer-Ufers und des Rheinparks/Kennedy-Ufers (siehe Anlage 1, rote Markierung) sowie auf das bestehende städtische Verbot innerhalb der Domumgebung inkl. temporärer Erweiterungen (siehe Anlage 1, blaue Markierung). Hier kann aufgrund der dicht gedrängten Menschenmengen während eines zentralen Feuerwerks davon ausgegangen werden, dass eine konkrete Gefahr für die Gesundheit der Besucher*innen besteht, wenn in den Menschenmengen Feuerwerkskörper gezündet werden.
Ein darüber hinausgehendes Feuerwerksverbot für den weiteren öffentlichen Raum kann nach rechtlicher Prüfung durch das Rechtsamt sowie Ordnungsamt weder auf der Grundlage des § 14 OBG NRW noch aufgrund sonstiger Rechtsnormen ausgesprochen werden. Für ein auf § 14 OBG NRW gestütztes Verbot bedarf es einer konkreten Gefahr für die öffentliche Sicherheit (insbesondere Gefahr für die Individualrechtsgüter Leben und Gesundheit). Eine Prognose hinsichtlich des Vorliegens einer konkreten Gefahr kann nur anhand der Rechtsverletzungen der vergangenen Jahre getroffen werden. Von dieser Auffassung ausgehend, verbietet es sich nach derzeitiger Rechtsprechung, auch jene Bereiche im Umfeld des Veranstaltungsareals als Verbotszone auszuweisen, für die höhere Frequenzen von Besucherströmen zu erwarten sind, sei es, dass diese Bereiche als Zugänge zum Veranstaltungsareal genutzt werden, sei es, dass es sich um die Bereiche im Umfeld von Haltepunkten des ÖPNV handelt (z.B. Ebertplatz oder Deutzer Bahnhof).
Somit verbleiben für die Ausweisung von Verbotszonen lediglich die in der Anlage 1 rot bzw. blau markierten Flächen. Neben den Veranstaltungsflächen entlang des Rheinufers nördlich der Hohenzollernbrücke zählen dazu die im Rahmen des erhöhten Risikomanagements von der Stadt abgesperrte Treppe des Rheinboulevards sowie die Bereiche, die zum Schutz von Krankenhäusern, Kirchen, Kinder- und Altenheimen sowie besonders brandempfindlichen Gebäuden (gemäß § 23 Absatz 1 der 1.
Organisatorische Umsetzung eines zentralen Silvesterfeuerwerks
Es bestünden grundsätzlich folgende organisatorische Möglichkeiten für die Umsetzung eines zentralen Silvesterfeuerwerks:
Alternative 1 – Stadt Köln übernähme die Veranstalterrolle und die Gesamtorganisation Die Verwaltung übernähme die Veranstalterrolle für das zentrale Feuerwerk und wäre zugleich für dessen Gesamtorganisation zuständig. Hierbei käme der Verwaltung - etwa analog zu der von 2016 bis 2019 erfolgten Organisation des Silvesterprogramms auf dem Roncalliplatz - die Zuständigkeiten für die Planung und Konzeption des Feuerwerks, die entsprechende Angebotseinholung bzgl. externer Dienstleister (für Feuerwerk, Sperrmaßnahmen, Security, Sanitätsdienste etc.), deren Beauftragung sowie die Koordinierung und fachliche Begleitung des Feuerwerks zu. Dabei hätte man die Wahl, die entsprechenden Gewerke entweder einzeln oder als Gesamtpaket auszuschreiben bzw. ein Interessensbekundungsverfahren durchzuführen.
Alternative 2 – Stadt Köln würde nach Durchführung eines Vergabe- oder eines Interessensbekundungsverfahrens einen externen Dritten mit der Realisierung eines zentralen Feuerwerks beauftragen inklusive der Übernahme der Veranstalterrolle und aller damit verbundenen Rechten und Pflichten
Die Verwaltung könnte die Realisierung eines zentralen Feuerwerks als Gesamtleistung inklusive der Veranstalterrolle im Rahmen einer öffentlichen Ausschreibung oder eines Interessensbekundungsverfahrens ermitteln und übertrüge sie somit einem Dritten. Dem/der Veranstalter*in würden sämtliche Rechte und Pflichten, welche im Zusammenhang mit der Realisierung des Feuerwerks sowie mit der Erstellung und Umsetzung eines Sicherheitskonzeptes stehen, zugestanden bzw. auferlegt. Dabei wären die Zusammenarbeit mit der Stadt Köln und das Verzahnen der seitens der Stadt Köln an Silvester zu treffenden Sicherheitsvorkehrungen obligatorisch. Die Verwaltung wäre in diesem Fall hinsichtlich der ordnungsbehördlichen Kontroll- und Steuerungsmaßnahmen sowie mit Blick auf die Abstimmung mit dem/der Veranstalter*in gefordert.
Legt man ein bereits vorliegendes Angebot des Veranstalters der „Kölner Lichter" für die Durchführung eines Silvesterfeuerwerks für die Bewertung der relevanten Wertgrenzen zugrunde, so würde die Ausschreibung einer solchen umfänglichen Leistung europaweit erfolgen müssen. So teilte die Werner Nolden GmbH der Verwaltung bereits mit, dass sie für die Durchführung eines Silvesterfeuerwerks im Jahre 2021 einen Zuschuss in Höhe von ca. 550.000 € benötige. Dieser Zuschuss sei erforderlich, da die Kosten aufgrund von silvesterbedingten Personalkostenzuschlägen und mangelnden Vermarktungsmöglichkeiten hinsichtlich Sponsoring und Gastronomie ansonsten nicht zu finanzieren seien. Hierbei ist noch gesondert anzumerken, dass das Feuerwerk gegenüber den „Kölner Lichtern" weitaus weniger aufwändig gestaltet werden soll. So sehen die Planungen ein Uferfeuerwerk und eine erhebliche Reduzierung der Beschallungseinrichtungen für eine musikbegleitende Inszenierung vor.
Bewertung und Schlussfolgerung
Betrachtet man die Grundintention des Ratsantrags zur Erstellung eines Konzeptes für ein zentrales Silvesterfeuerwerk - die Einrichtung von großräumigeren Verbotszonen im zentralen Innenstadtbereich - so ist festzustellen, dass diese durch diesen Ansatz nur sehr bedingt erfüllt werden kann. Die allein auf den Veranstaltungsbereich beschränkte Einrichtung von weiteren „Feuerwerksverbotszonen", die über die in den letzten Jahren bereits eingerichteten Zonen im Domumfeld hinausgehen, erweisen sich in Relation zu den Kosten, die mit der Durchführung eines zentralen Silvesterfeuerwerks verbunden sind, als unangemessen hoch. Diese negative Kosten-Nutzung-Relation gilt dabei sowohl für eine Inszenierung analog der „Kölner Lichter" als auch für die kostengünstigere Alternative eines „Rheinuferfeuerwerks".
Sollte allerdings die Durchführung eines zentralen Feuerwerks politisch weiterhin gewollt sein, um
dadurch die Verbotszonen trotz ihrer begrenzten innerstädtischen Ausdehnung zu ermöglichen, wird seitens der Verwaltung empfohlen, eine Umsetzung frühestens für das Jahr 2022 vorzunehmen. Als Gründe für diese Terminierung spricht nicht allein die derzeit noch nicht absehbare Entwicklung der Pandemie. Vielmehr gewährleistet nur eine Projektplanung für 2022 einen ausreichenden Zeitraum sowohl für das erforderliche, ggfs. auch europaweite Ausschreibungsverfahren als auch für die Akquise von Kooperationspartnern und Sponsoren, um dadurch den städtischen Mittelbedarf reduzieren zu können.
Das Konzept für ein solches Projekt, welches ggfs. auch Elemente einer Illuminations-, Projektionsund Lasershow enthalten könnte, würde von der Verwaltung noch erstellt und würde verschiedene Varianten aufzeigen. So sind zum einen die unterschiedlichen örtlichen/technischen Möglichkeiten für die Inszenierung eines Silvesterfeuerwerks (z. B. Schiffsfeuerwerk analog der „Kölner Lichter" oder ein Bodenfeuerwerk vom Ufer des Rheinparks) sowohl hinsichtlich ihrer Konsequenzen für das silvesterbezogene Sicherheitskonzept im zentralen Innenstadtbereich aus auch für die Ausweisung von feuerwerksbezogenen und sonstigen pyrotechnischen Verbotszonen zu beleuchten.
Zum anderen sind in dem Konzept die unterschiedlichen Organisationsvarianten (Übernahme der Veranstalterrolle durch die Stadt oder alternativ dazu durch einen Dritten) hinsichtlich ihrer Auswirkungen auf die Erfordernisse der finanziellen Mittelbereitstellung dazustellen.
Darüber hinaus soll eine weitere Inszenierungsvariante in die konzeptionelle Darstellung einbezogen werden, die sich anstelle eines „klassischen" Silvesterfeuerwerks auf den Einsatz von Illuminations-, Projektions- und/oder Lasereffekten konzentriert.
Für das bevorstehende Silvester wird dagegen vorgeschlagen, analog der Silvesternacht von 2019 zu verfahren und dementsprechend wieder ein Kulturprogramm auf dem Roncalliplatz zu realisieren.
Voraussetzung dafür ist, dass die pandemiebedingten Beschränkungen und die Einschränkungen für Großveranstaltungen ein solches zulassen. Sollte das der Fall sein, wird das Sicherheitskonzept für den zentralen Innenstadtbereich der Vorjahre wieder zum Tragen kommen, in dessen Kontext auch das Kulturprogramm auf dem Roncalliplatz einen wichtigen Baustein darstellt.
Veränderte Rahmenbedingungen für die Bespielung des Roncalliplatzes
Voraussetzung für die Realisierung des kulturellen Rahmenprogramms auf dem Roncalliplatz und der Domumgebung ist, dass der Abbau des Weihnachtsmarktes und die Übergabe des Platzes termingerecht an die Stadt erfolgen kann und infolge der gegenüber den Vorjahren zugenommenen baustellenbedingten Einschränkungen eine ausreichende Kapazität für die zu erwartende Zahl an Besucherinnen und Besucher gegeben ist. Sollte dieses nicht der Fall sein, ist zu prüfen, ob Ergänzungsflächen für die Besucherinnen und Besucher im Umfeld des Doms geschaffen werden können oder ggf. aus Sicherheitsgründen auf das Programm verzichtet werden muss.
2021 stellt sich für die Planungen eines Kulturprogrammes zudem die Herausforderung, dass zum einen die zur Verfügung stehende Platzfläche infolge der Baustelle des Domhotels im Vergleich zu den Vorjahren bzgl. des Publikumsbereichs um ca. 20 Prozent verkleinern wird (von ca. 2.300 qm auf 1.850 qm).
Hinsichtlich der Flächenkapazitäten sollte zudem nicht außer Acht gelassen werden, dass derzeit keine gesicherte Prognose über das Publikumsaufkommen getroffen werden kann. So zeigte sich in den letzten Jahren ein unterschiedlich großes Publikumsaufkommen, vornehmlich bedingt durch die jeweiligen Witterungsverhältnisse. Während im letzten Jahr der Durchführung (2019/20) die Publikumsfläche noch ausreichend Reserven aufwies, war das Aufkommen im Jahr zuvor weitaus höher, so dass es vor allem in der letzten Stunde vor dem Jahreswechsel zu einer deutlich höheren Befüllung des Roncalliplatzes kam.
Neben dieser Prognoseunsicherheit lässt sich darüber hinaus zum gegenwärtigen Zeitpunkt auch noch nicht abschätzen, wie sich das Publikumsaufkommen in diesem Jahr vor dem Hintergrund der Pandemie darstellen wird. Sollten keine Beschränkungen mehr bestehen, gibt es durchaus gute Gründe für die Annahme, dass nach den Ausgangsbeschränkungen in 2020/21 infolge eines Nachholeffektes das Interesse nach einer gemeinsamen Silvesterfeier so groß sein wird, dass die verfügbaren Platzkapazitäten nicht ausreichen, ungeachtet der bereits problematisierten Flächenreduzierung. Wenn ein solcher Effekt zu erwarten ist, müssten verwaltungsseitig weitere ergänzende Maßnahmen zur Befriedigung des erhöhten Publikumsinteresses geprüft werden (z.B. Ausweisung einer Ergänzungsfläche im Domumfeld, auf der das Konzertprogramm auf einer Videowall übertragen wird; Steuerung des abgewiesenen Publikums in Bereiche der Altstadt mit ausreichend Restkapazität). In Abhängigkeit einer möglichst realistischen Lagebeurteilung des zu erwartenden Publikumsaufkommens, die frühestens im letzten Quartal des Jahres erfolgen kann, wären aber auch die Alternativen einer räumlichen Verlegung des Konzertes an einen anderen Standort (z.B. Rheinuferstraße, ggf. mit der Konsequenz einer mehrtägigen Sperrung von Fahrbeziehungen) oder eine vollständige Konzertabsage in Erwägung zu ziehen.
Finanzierung des kulturellen Rahmenprogramms Roncalliplatz
Die Gesamtaufwendungen für ein kulturelles Rahmenprogramm analog der Vorjahre mit einem partizipatorischen und integrativen Bühnenprogramm, ergänzt durch Fassadenprojektionen der unmittelbaren Domumgebung belaufen sich voraussichtlich insgesamt auf ca. 92.500 Euro netto bzw. 110.000 Euro brutto. Die Mittel stehen bei der Stabsstelle Events (01-02) auf der Teilplanzeile 13 – Dienstleistungen, Finanzposition: 0100.572.9900.9, Sachkonto: 529900, Kostenstelle / Auftrag: S 000 100 220 / P 000 10000 108 zur Verfügung.
Finanzierung des zentralen Silvesterfeuerwerks ab 2022
Ungeachtet der vorzunehmenden Akquise von Sponsoren und Kooperationspartnern ist davon auszugehen, dass die Kosten für ein zentrales Feuerwerk die bisherigen Ausgaben für das kulturelle Rahmenprogramm auf dem Roncalliplatz überschreiten werden. Da in den Entwurf des Haushaltes 2022 nur Mittel in der Höhe eingestellt wurden, die sich an den Kosten für die Umsetzung des zentralen Konzert- und Illuminationsprogramm in den Jahren 2018 und 2019 orientieren (125.000 €), wäre mit einer Entscheidung zugunsten eines zentralen Silvesterfeuerwerks die Notwendigkeit verbunden, für die Mehrkosten eine entsprechende Deckungsmöglichkeit zu finden.
Begründung der Dringlichkeit
Erst mit der aktuellen Corona-Schutzverordnung von Freitag dem 20.08. und mit den dort geregelten Erleichterungen für Großveranstaltungen ab einer Besucher*innenzahl von 2.500 („3 G-Regeln") rückt die Durchführung einer Veranstaltung auf dem Roncalliplatz an Silvester in greifbare Nähe. Bis zum Ablauf der Frist für die Session-Vorlage am 23.08.2021 konnten daher nicht alle erforderlichen Mitzeichnungen rechtzeitig eingeholt werden, auch die Vorbereitungen zur inhaltlichen Ausgestaltung der Vorlage nahmen noch Zeit in Anspruch. Die Einbringung der Vorlage in den Rat in die darauf folgende Sitzung - am 09.11.2021 - wäre für die Vorbereitung der Veranstaltung am 31.12. zu spät und würde die Umsetzung gefährden.
Anlagen
Anlage 1: Übersichtskarten Verbotszonen
Anlage 2: Stellungnahme Rechtsamt zu Feuerwerksverbotszonen | <urn:uuid:8b0e2ab6-7017-46dd-a200-fdfda516dcc2> | HuggingFaceFW/finepdfs/tree/main/data/deu_Latn/train | finepdfs | deu_Latn | 19,144 |
digitala
steget
Marknadsföringstips i oroliga tider
I rådande tider är det extra viktigt för företag och organisationer att se över sin kommunikation. Vi på Digitala steget har därför samlat fyra tips med fokus på att stärka varumärken och kundrelationer under krisen. Men också för att förbereda företaget inför framtiden, för det kommer en sådan också.
som kanske inte gjorts förut? Exempel på detta är tex Gårdsbutiken Gårdshem som erbjuder ostprovning online, Norrlandsoperan som ordnade operaföre ställning från en balkong och Elite hotel Mimer som erbjuder människor att flytt in och bo på hotellet. Innehåll som detta ger generellt extra bra med enga gemang i sociala medier och kan också generera po sitiv PR.
Tystna inte – I en tid när många tillbringar mer tid hemma och har mer tid att spende ra online finns all anledning till att se över sin närvaro i digitala kanaler. Tystna inte utan fundera is tället fundera på hur ditt företag kan nå ut med bud skap som har värde för kunderna i deras situation just nu. 2
Var tydlig – Det är viktigt att vara tydlig i er kommunikation om hur ni hanterar läget just nu, vad ni gör för att anpassa era produkter och vilka förändringar som besökaren/er kund bör känna till om er verksamhet. Informationen skall vara tydlig på webbplatsen men också kommuni ceras på andra ställen som tex era sociala kanaler. Glöm inte att tydliggöra generösa avbokningsvillkor och erbjuda ombokningar. 1
Fundera på om ditt företag kan…
* lösa ett problem? Många goda exempel finns redan som förstklassig mat genom Take away på restaurang erna, gratis utkörning från butiker, speciella öppetti der för riskgrupper mm.
* skapa nya upplevelser/produkter/tjänster? Kan ni i rådande tider erbjuda något annorlunda eller något
Rätt målgrupp istället för stor målgrupp – Försök inte nå alla med dina budskap. Foku sera istället på den eller de målgrupper som du tror är intresserade av ditt innehåll och därmed mer benägna att engagera sig och i slutändan intres serade av att köpa dina upplevelser/produkter/tjäns ter. Använd Facebook för att annonsera och sponsra inlägg och Google ads för att vara synlig på Google när användare söker efter det som du erbjuder. 3
* bidra med inspiration och glädje i tider med oro och stress? Kan ditt företag skapa innehåll som under håller och inspirerar fast att människor sitter hemma och inte kan vara på plats fysiskt på ditt företag? Ex empel på detta kan vara "how-to-videos", guider och gör det själv projekt.
Läs mer på nästa sida
Planera för framtiden – Det kommer en tid efter Corona också. Påbörja därför redan nu din planering för marknadsföringen under kommande månader, halvår och år framöver. Fun dera kring vad, hur och när du behöver kommunice ra och för vilken målgrupp. Säkerställ också att ditt företag har en stadig digital grund att stå på genom att se över viktiga digitala plattformar. 4
Digitala steget kommer inom kort erbjuda digitala seminarier i Google My Business & Google Maps samt Tripadvisor. Här hjälper vi dig till ökad synlig het för kunder lokalt, regionalt, nationellt och in ternationellt. Inbjudningar kommer inom kort men redan nu kan du säkerställa att du har tillgång till ditt företags konton.
Tripadvisor
Tripadvisor är världens största resesida där resenärer använder plattformen för att söka efter och planera sin resa. Här kan resenären lämna eller läsa omdömen om företag. Precis som för Google kan ditt företag redan ha en profil på Tripadvisor.
Ta kontroll över din sida på Tripadvisor i några enkla steg:
2. Sök på ort och välj i rullistan. Upprepa för företagsnamnet och hitta ditt företag.
1. Gå till tripadvisor.se/owners
3. Tryck på: "Hantera ditt kostnadsfria ob jekt" och följ instruktionerna.
4. Registrera ett konto på Tripadvisor med din företagsmail.
5. Verifiera ditt konto genom telefon eller ett kreditkort.
När ditt konto är verifierat kan du fylla i profi len, lägga till bilder och svara på recensioner.
Fler tips för att förbättra din synlighet:
https://bit.ly/2UVYWzF
Google My business
De flesta sökningar börjar på Google - därför är det viktigt att synas här. Ta kontroll över din företagsprofil på Google för att nå framtida gäster. Även om du inte aktivt har skapat ett konto finns troligen en profil för ditt företag ändå.
Genom att verifiera dig som ägare av företa get kan du gratis ta kontroll över profilen och uppdatera med bilder, öppettider, kontakt uppgifter, svara på recensioner med mera.
Gör så här för att hantera ditt företags profil på Google My Business:
1. Gå till Google.com/business och tryck på knappen "hantera nu". Logga in eller skapa ett Googlekonto.
2. Om du använder tilläggstjänster Google Search console på ditt företags hemsida ska du vara inloggad med det Google-kontot innan du startat verifieringsprocessen. Det gör att du kan bli verifierad direkt som ägare av företagsprofilen.
3. Sök på ditt företag i sökrutan och välj korrekt resultat i rullistan som kommer fram. Om ditt företag inte kommer upp kommer du få skapa det.
4. Gå igenom kommande instruktioner.
5. Om du inte har kopplingen till Search console kommer du få alternativ för hur du kan verifiera att du är den verkliga ägaren av företaget. T.ex. genom mail, telefon eller post.
6. Om någon annan, t.ex. en tidigare ägare, redan har verifierat profilen kan du skicka en begäran till denne om att få ta över profilen. När verifieringen är klar kan du börja fylla i och optimera din profil. Steg ett är att kom plettera den grundläggande informationen med t.ex. öppettider, beskrivning och logga. | <urn:uuid:0047c94c-ba56-4224-ab84-79aa5c434e4c> | HuggingFaceFW/finepdfs/tree/main/data/swe_Latn/train | finepdfs | swe_Latn | 5,572 |
Privacy Notice
Our promise to you
At Hospiscare, we want you to feel that supporting us is a positive, worthwhile and rewarding experience. Many thousands of people throughout Exeter, Mid and East Devon depend on our care and support, and quite simply, we couldn't be there for them without the generosity of people like you.
We promise to respect any personal data that you are happy to share with us or allow other organisations to give to us. We ask for this data in order to communicate with you in the manner in which you have requested contact, to process your donations and ultimately, to raise funds as responsibly and effectively as possible. In this privacy notice we will tell you:
- Our contact details, should you have any questions about your personal data
- How we collect your personal data and why
- What data we collect and why
- Who we share your data with
- How long we will keep your details
- Your rights regarding your data.
Our contact details
Hospiscare is registered with the Fundraising Regulator and is a registered data controller with the Information Commissioner's Office. If you have any questions about your personal data, please contact us via:
The Data Protection Officer Hospiscare Searle House Dryden Road Exeter EX2 5JJ
How we collect your personal data and why
We may process your personal information for our legitimate business interests. Legitimate interests enables us to run our charity effectively, process and manage your support for us, understand you better and to send you news and information about our work, fundraising activities and events. It can also apply to processing that is in your interests as well.
When we process your personal information for our legitimate interests we make sure to consider and balance any potential impact on you (both positive and negative) and your rights under data protection laws. Our legitimate business interests do not automatically override yours and we will not use your information for activities where our interests are overridden by the impact on you, unless we have your consent or are otherwise required or permitted by law.
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We collect information in different ways:
1. You give us your data directly:
When you make a donation, register for an event, join our lottery, sign up to Gift Aide when goods to one of our shops, volunteer, or share your story with us we will collect details that enable us to process or administer our relationship with you.
2. You give us your data indirectly:
When you use online fundraising sites such as Justgiving or Virgin Money Giving, you may agree to them sending us your details so we can contact you to say thank you. If you register for an event or sign up for a newsletter via our website, the details you submit are collected on our behalf by our website provider. If you set up a standing order or direct debit, your bank will send us enough details to be able to process or administer your donations. You may agree to let a friend or colleague give us your details when registering for an event.
We may also collect some details about you via cookies on our website. The cookies we use directly are as follows:
Cookie Name: _ga
Use: This cookie is used by Google Analytics, a third party application (provided by Google) that we use to understand how visitors use our site. You can learn more about this cookie and what Google has to say about it, and others, by logging on to: https://developers.google.com/analytics/devguides/collection/gajs/cookie-usage
Cookie Name: notice
Use: This cookie is used to remember whether or not you have closed the notice which appears at the top of your browser to inform you of the use of cookies on this site. Once set, it is saved on your computer for 45 days or until you delete your cookies.
Name: PHPSESSID
Use: This cookie is used to distinguish you from other users of the site. It is deleted as soon as you leave our website.
We also use social media platforms such as Facebook and Twitter. Companies like these use cookies within their systems which may, depending on your privacy settings, allow us to access some information from your accounts.
What data we collect and why
When you make a donation to us, register for an event, join our lottery, offer to volunteer or support us in any other way we will always ask for your full name and full address details so that we can process the interaction with you. We will also ask you how you would prefer us to contact you.
On occasion, when it is appropriate, we may also ask you for further information such as:
- Your phone number
- Your email address
- Your date of birth
- Why you are making a donation to us; in particular whether you are donating in memory of someone and your relationship with that person
- Your interests and activities
We do not need these details in order to fulfil a transaction, but we would like to understand more about you so we can provide you with any products or services that you ask for as well as to improve our service to you. If you register for an event we may also ask you for additional information so that we can make sure we deliver an event that is safe and which can be fully enjoyed by the people taking part.
Who we share your data with
Hospiscare promises never to sell or rent your data to any third party or share it with any third party for marketing purposes.
We do share your data with organisations that work on our behalf or supply us with services that require your data in order to deliver these services.
Companies that we work with include:
Fundraising and Retail:
Blackbaud Hosting Services
The fundraising department uses a database system called Raiser's Edge which is supplied to us by Blackbaud, Inc. Your data is stored in Boston, Massachusetts, USA. Blackbaud complies with the EU-U.S. Privacy Shield Framework as set by the U.S. Department of Commerce regarding the collection, use, and retention of personal information transferred from the European Union to the United States. Blackbaud Merchant Services (BBMS) is a subsidiary of Blackbaud, Inc which processes online donations and event registration fees on our behalf. Your bank account and payment card details are not stored in our database.
Nisyst
The Retail department uses a system called Nisyst to store all data from customers who have signed up to the retail Gift Aid scheme. This data is stored in Liverpool with Nirvana Intelligent Systems Ltd.
Secure Collections
This company processes direct debits on our behalf.
HMRC
HMRC reserves the right to inspect our gift aid files and claim procedures at any time.
Other types of company:
Printers and mailing companies that send out mailings on behalf of the fundraising or retail departments.
Data profiling companies - on occasion we compare our database or sections of our database to geodemographic data. We may use this information to make decisions about the communications that we send you, or the events to which we invite you.
Automated decision making
We use data screening companies to make sure that we do not contact people inappropriately. These companies may use information from publicly available sources to fulfil their services (such as death records) as well as checking against opt out services such as TPS (Telephone Preference Service) and FPS (Fundraising Preference Service). We also make automated decisions within Hospiscare because we give you the opportunity to tell us what you would like to hear about. If you have told us you only wish to hear about certain aspects of our work and activities, we will automatically deselect you from hearing about the aspects you have not selected.
Hospiscare Website
The Exeter-based firm Optix hosts the Hospiscare website. If you submit your personal details to us via our website your data will be stored on secure servers based in the UK. If you donate via our website, your bank account and payment card details are not stored on our websites, but are processed and stored by the payment providers:
- Secure Collections (Direct Debits)
- Sagepay (debit/credit cards)
Hospiscare will store your name, address, and other details that you submitted, for identification and administrative purposes.
Lottery
Lottery data collection
Lottery players' data is stored securely on Hospiscare's own server using a password protected lottery application (Combase) and is only accessible by Lottery administration personnel for the purpose of running the draws. Your name address and contact details will also be stored on Hospiscare's main database; Raiser's Edge (Blackbaud Hosting Services).
Lotteries are age restricted, therefore, to comply with the Gambling Commission's licence conditions, we require your date of birth to verify your age.
Lottery canvassers
Lottery canvassers are employed by carefully selected third party companies and utilise password protected iPads to capture your data which is encrypted before being transmitted to the hosting providers:
- Burden & Burden Marketing Ltd
- Local Fundraising Ltd
Your data is then auto-deleted from the iPad, preventing unauthorised access to your data by the canvasser or in the event of the iPad being lost.
Only Hospiscare can access your encrypted data from the hosting companies.
September 2018
Lottery Websites
When you join the lottery or buy tickets via the lottery websites your name, address and contact information is stored securely using SSL encryption on the host (One.com).
Your bank account and payment card details are not stored on our websites, but are processed and stored by the payment providers:
- Secure Collections (Direct Debits)
- Stripe (debit/credit cards)
How long we will keep your data
Your consent to receive marketing and/or information materials from us via digital communications will expire four years after your last donation or communication to Hospiscare. Towards the end of four years we may contact you again to ask you if you would be happy to continue to hear from us and we will ask you to tell us again in writing or electronically what you would like to hear about and how you would like to hear about it. If you do not respond to this invitation, even to decline, we will move your details to a 'suppression list' so we do not accidentally contact you again in the future.
Your rights
You have the right to know what data we hold about you and you have the right to ask to see a copy of this at any time. If any part of this data is inaccurate or missing, please let us know so that we can amend it. Any amendments you tell us about will be corrected within five working days.
If you wish to see a copy of your information please write, with details of the data you wish to see and proof of your identity, to The Data Protection Officer, Hospiscare, Searle House, Dryden Road, Exeter, EX2 5JJ. We will accept requests by mail, email or telephone.
You have the right to withdraw your consent to receive marketing and/or information materials from us at any time. Withdrawing your consent to marketing communications does not mean that we will never contact you. We may need to talk to you about administrative matters in order to process a transaction or for another business reason.
You have the right to request that we delete your data in full. If you have made a donation we need to keep your data for six years, but so far as possible, we will anonymise your record for the remainder of this period. However, we recommend that if you wish to stop any further marketing contact from us, you withdraw your consent to contact. We will then move your details to a 'suppression list' which we will check against to make sure that we do not accidentally contact you again in the future.
Changes to this policy
We may make changes to, or update this policy from time to time. If we make significant changes to how we use your data we will make this clear on our website and we may also write to you directly to tell you about it.
For further information about privacy and data consent, please visit the Information Commissioner's Office website at www.ico.org.uk
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ENVIRONMENTAL PROTECTION AGENCY
[FRL–7530–1]
Notice of Proposed Prospective Purchaser Agreement Pursuant to the Comprehensive Environmental Response, Compensation and Liability Act of 1980, as Amended by the Superfund Amendments and Reauthorization Act, Sand Creek Superfund Site:
AGENCY Environmental Protection
Agency (EPA).
ACTION: Notice; request for public
comment.
Notification is hereby given that a Proposed Prospective Purchaser Agreement (PPA) associated with the Sand Creek Superfund Site located in Commerce City, Colorado was executed by the United States Department of Justice on June 3, 2003. This Agreement is subject to final approval after the comment period. The Prospective Purchaser Agreement would resolve certain potential EPA claims under the Comprehensive Environmental Response, Compensation and Liability Act of 1980, as amended by the Superfund Amendments and Reauthorization Act of 1986 (CERCLA), against NDSC, LLC., the prospective purchaser (the purchaser). The settlement would require the purchaser to provide EPA and the State of Colorado an irrevocable right of access, cash payments to EPA (90%) and the State of Colorado (10%) in the total amount of $290,000.00, and the grant of an environmental covenant, under Colorado law, that will place land use controls on the purchased properties consistent with the response actions conducted by EPA and the State of Colorado on these properties. The purchasers will use the Site property in conjunction with their landscaping business operations.
For thirty (30) days following the date of publication of this document, the Agency will receive written comments relating to the proposed settlement. The Agency's response to any comments received will be available for public inspection at the Superfund Records Center at the U.S. Environmental Protection Agency, Region VIII, 999 18th Street, Denver, Colorado, 80202.
Availability: The proposed agreement is available for public inspection at the U.S. Environmental Protection Agency, Region VIII, 999 18th Street, Denver, Colorado, 80202. A copy of the proposed Agreement may be obtained from Maureen O'Reilly, Enforcement Specialist, U.S. Environmental
Protection Agency, Region VIII, 999 18th Street, Suite 300, ENF–T, Denver, Colorado, 80202. Comments should be sent to Maureen O'Reilly at the address above and should reference the ''Sand Creek Superfund Site Prospective Purchaser Agreement, EPA Docket No. CERCLA–08–2003–0008''.
FOR FURTHER INFORMATION CONTACT:
Richard Sisk, Enforcement Attorney, U.S. Environmental Protection Agency, Region VIII, 999 18th Street, Suite 300, ENF–L, Denver, Colorado, 80202, (303) 312–6638.
Dated: June 27, 2003. It is so agreed:
Robert E. Roberts,
Regional Administrator, U.S. Environmental Protection Agency Region 8.
[FR Doc. 03–18159 Filed 7–17–03; 8:45 am]
BILLING CODE 6560–50–M
ENVIRONMENTAL PROTECTION AGENCY
[FRL–7529–8]
Proposed CERCLA Section 122(h)(1) Administrative Agreement for Recovery of Response Costs for the Radiation Technology, Inc. Superfund Site, Rockaway Township, Morris County, NJ
AGENCY: Environmental Protection
Agency.
ACTION: Notice; request for public
comment.
SUMMARY: In accordance with section 122(i) of the Comprehensive Environmental Response, Compensation, and Liability Act of 1980, as amended (''CERCLA''), 42 U.S.C. 9622(i), notice is hereby given by the U.S. Environmental Protection Agency (''EPA''), Region II, of a proposed administrative agreement pursuant to section 122(h) of CERCLA, 42 U.S.C. 9622(h), for recovery of response costs concerning the Radiation Technology, Inc. Superfund Site (''Site'') located in Rockaway Township, Morris County, New Jersey. The settlement requires the settling parties, Sterigenics East Corporation and Ion Beam Applications, Inc., the current lessees of a 15-acre parcel of property located on the approximately 280-acre Site, to pay $200,000 in reimbursement of EPA's response costs at the Site. The settlement includes a covenant not to sue the settling parties pursuant to sections 106 and 107(a) of CERCLA, 42 U.S.C. 9606 and 9607(a), in exchange for settling parties' payment of monies. For thirty (30) days following the date of publication of this notice, EPA will
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19:43 Jul 17, 2003
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receive written comments relating to the settlement.
EPA will consider all comments received and may modify or withdraw its consent to the settlement if comments received disclose facts or considerations that indicate that the proposed settlement is inappropriate, improper or inadequate. EPA's response to any comments received will be available for public inspection at EPA Region II, 290 Broadway, New York, New York 10007–1866.
DATES: Comments must be submitted on or before August 18, 2003.
ADDRESSES: The proposed settlement is available for public inspection at EPA Region II offices at 290 Broadway, New York, New York 10007–1866.
Comments should reference the Radiation Technology, Inc. Superfund Site located in Rockaway Township, Morris County, New Jersey, Index No. CERCLA 02–2003–2006. To request a copy of the proposed settlement agreement, please contact the individual identified below.
FOR FURTHER INFORMATION CONTACT:
Frances M. Zizila, Assistant Regional Counsel, New Jersey Superfund Branch, Office of Regional Counsel, U.S. Environmental Protection Agency, 17th Floor, 290 Broadway, New York, New York 10007–1866. Telephone: (212) 637–3135.
Dated: July 9, 2003.
William McCabe,
Acting Director, Emergency & Remedial Response Division.
[FR Doc. 03–18158 Filed 7–17–03; 8:45 am]
BILLING CODE 6560–50–P
ENVIRONMENTAL PROTECTION AGENCY
[OPPT–2003–0035; FRL–7319–1]
Approval of Test Marketing Exemption for a Certain New Chemical
AGENCY
: Environmental Protection
Agency (EPA).
ACTION:
Notice.
SUMMARY: This notice announces EPA's approval of an application for test marketing exemption (TME) under section 5(h)(1) of the Toxic Substances Control Act (TSCA) and 40 CFR 720.38. EPA has designated this application as TME–03–0004. The test marketing conditions are described in the TME application and in this notice.
DATES: Approval of this TME is effective July 9, 2003.
FOR FURTHER INFORMATION CONTACT: For general information contact: Barbara
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Cunningham, Acting Director, Environmental Assistance Division (7408M), Office of Pollution Prevention and Toxics, Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460–0001; telephone number: (202) 554–1404; e-mail address: firstname.lastname@example.org.
For technical information contact: Virginia Lee, Chemical Control Division (7405M), Office of Pollution Prevention and Toxics, Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460–0001; telephone number: (202) 564–0883; e-mail address: email@example.com.
SUPPLEMENTARY INFORMATION:
I. General Information
A. Does this Action Apply to Me?
This action is directed in particular to the chemical manufacturer and/or importer who submitted the TME to EPA. This action may, however, be of interest to the public in general. Since other entities may also be interested, the Agency has not attempted to describe all the specific entities that may be affected by this action. If you have any questions regarding the applicability of this action to a particular entity, consult the technical person listed under FOR FURTHER INFORMATION CONTACT.
B. How Can I Get Copies of this Document and Other Related Information?
1. Docket. EPA has established an official public docket for this action under docket identification (ID) number OPPT–2003–0035. The official public docket consists of the documents specifically referenced in this action, any public comments received, and other information related to this action. Although a part of the official docket, the public docket does not include Confidential Business Information (CBI) or other information whose disclosure is restricted by statute. The official public docket is the collection of materials that is available for public viewing at the EPA Docket Center, Rm. B102-Reading Room, EPA West, 1301 Constitution Ave., NW., Washington, DC. The EPA Docket Center is open from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays. The EPA Docket Center Reading Room telephone number is (202) 566–1744 and the telephone number for the OPPT Docket, which is located in EPA Docket Center, is (202) 566–0280.
2. Electronic access. You may access this Federal Register document electronically through the EPA Internet under the ''Federal Register'' listings at http://www.epa.gov/fedrgstr/.
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An electronic version of the public docket is available through EPA's electronic public docket and comment system, EPA Dockets. You may use EPA Dockets at http://www.epa.gov/edocket/ to submit or view public comments, access the index listing of the contents of the official public docket, and to access those documents in the public docket that are available electronically. Although not all docket materials may be available electronically, you may still access any of the publicly available docket materials through the docket facility identified in Unit I.B.1. Once in the system, select ''search,'' then key in the appropriate docket ID number.
II. What is the Agency's Authority for Taking this Action?
Section 5(h)(1) of TSCA and 40 CFR 720.38 authorizes EPA to exempt persons from premanufacture notification (PMN) requirements and permit them to manufacture or import new chemical substances for test marketing purposes, if the Agency finds that the manufacture, processing, distribution in commerce, use, and disposal of the substances for test marketing purposes will not present an unreasonable risk of injury to health or the environment. EPA may impose restrictions on test marketing activities and may modify or revoke a test marketing exemption upon receipt of new information which casts significant doubt on its finding that the test marketing activity will not present an unreasonable risk of injury.
III. What Action is the Agency Taking?
EPA approves the above-referenced TME. EPA has determined that test marketing the new chemical substance, under the conditions set out in the TME application and in this notice, will not present any unreasonable risk of injury to health or the environment.
IV. What Restrictions Apply to this TME?
The test market time period, production volume, number of customers, and use must not exceed specifications in the application and this notice. All other conditions and restrictions described in the application and in this notice must also be met.
TME–03–0004.
Date of Receipt
: June 2, 2003.
Notice of Receipt
: June 25, 2003
(Volume 68 FR 37820) (FRL–7315–1).
Applicant
: PPG Industries, Inc.
Chemical
: Urethane acrylate.
Use
: Component of photoresist coating.
Production Volume: 40,104 kg/yr. Number of Customers: One.
PO 00000
Test Marketing Period: 365 days, commencing on first day of commercial manufacture.
The following additional restrictions apply to this TME. A bill of lading accompanying each shipment must state that the use of the substance is restricted to that approved in the TME. In addition, the applicant shall maintain the following records until 5 years after the date they are created, and shall make them available for inspection or copying in accordance with section 11 of TSCA:
1. Records of the quantity of the TME substance produced and the date of manufacture.
2. Records of dates of the shipments to each customer and the quantities supplied in each shipment.
3. Copies of the bill of lading that accompanies each shipment of the TME substance.
V. What was EPA's Risk Assessment for this TME?
EPA identified no significant health or environmental concerns for the test market substance. Therefore, the test market activities will not present any unreasonable risk of injury to human health or the environment.
VI. Can EPA Change Its Decision on this TME in the Future?
Yes. The Agency reserves the right to rescind approval or modify the conditions and restrictions of an exemption should any new information that comes to its attention cast significant doubt on its finding that the test marketing activities will not present any unreasonable risk of injury to human health or the environment.
List of Subjects
Environmental protection, Test marketing exemptions.
Dated: July 9, 2003.
Linda Gerber,
Chief, New Chemicals Prenotice Management Branch, Office of Pollution Prevention and Toxics.
[FR Doc. 03–18305 Filed 7–17–03; 8:45 am] BILLING CODE 6560–50–S
FEDERAL RESERVE SYSTEM
Change in Bank Control Notices; Acquisition of Shares of Bank or Bank Holding Companies
The notificants listed below have applied under the Change in Bank Control Act (12 U.S.C. 1817(j)) and § 225.41 of the Board's Regulation Y (12 CFR 225.41) to acquire a bank or bank holding company. The factors that are
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18JYN1 | <urn:uuid:c31c0067-afdb-4335-b892-ae5c5869c6b2> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 13,161 |
Violenza di gruppo: due arrestati
E' accaduto fuori da un locale in Valdelsa. La misura cautelare sabato, ieri l'interrogatorio degli indagati
La città e il Monte dei Paschi
Nessun palazzo sarà svuotato dopo gli esodi
Pino Di Blasio
I responsabili delle Risorse Umane del gruppo Mps, a partire da Roberto Coita, assicurano che non ci sarà nessuno scossone e che la riorganizzazione delle 1.360 posti della Banca avvorrà da lunedì senza problemi. Le 625 uscite in più, i 4.125 dipendenti preensionati dal 1° dicembre, non provocheranno necessità di aggiustamenti numerici di chi lavora nelle filiali. E non ci saranno neanche palazzi svuotati nel centro di Siena, nonostante i 350 dipendenti in meno in provincia, tra filiali e direzione generale. I 17mila che controllano le operazioni e le strutture del Monte staranno solo più 'larghi', avranno più spazio a disposizione. La priorità è ora quella di assicurare un futuro a chi resta.
Servizio a pagina 3
JOINT VENTURE TRA SPECHT E GUILD, 83 RESIDENZE DI LUSSO NEL CANTIERE DELL'EX HOTEL. UNA 'BLUE ZONE' PER OVER65
LA COLLINA DI MALIZIA PER I 'SENIOR' RICCHI
Di Blasio a pagina 3
Cultura e Turismo
Riaprono i Bottini, visite nella città sotterranea
Talanti a pagina 5
Festival della Salute
Tra scienza e politica «Obiettivo prevenzione»
Gorellini a pagina 9
CONTRADE
Rugani capitano della Tartuca «Grande onore»
Valdesi a pagina 11
L'incidente
Cacciatore ferito da un cinghiale E' ricoverato in ospedale
A pagina 18
SERVIZIO RIVENDITORI
PER SEGNALARE RITARDI E/O ESACURITI
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UOVO DEL CASENTINO
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#492 INTAKE CLEANER är för effektiv rengöring av föroreningar och avlägringar som uppkommit i luftinsuget, EGR-systemet, på insugsventiler och turbovingar. Olja, hartser, lack och kolavlagringar avlägsnas, dock krävs kunskaper för bruk.
EGR OCH ÅTERCIRKULERING
Avgasåterföringssystem är ett effektivt sätt att minska kväveutsläpp och sänka förbrännningstemperaturen. En liten mängd avgaser återcirkuleras och reducerar förbrännningstemperaturen vilket reducerar det farliga utsläppet av kväveoxid (NOx).
AVLAGRINGAR UPPSTÅR
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SÄNKT EFFEKT OCH KOSTNADER
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PERIODISKT UNDERHÅLL
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Journal of
Dental Research, Dental Clinics, Dental Prospects
Original Article
Fracture Resistance of Endodontically-treated Maxillary Premolars Restored with Composite Resin along with Glass Fiber Insertion in Different Positions
Elmira Jafari Navimipour 1 • Mohammad Esmaeel Ebrahimi Chaharom 2 • Parnian Alizadeh Oskoee 1 * • Narmin Mohammadi 1 • Mahmoud Bahari 2 • Maryam Firouzmandi 3
1Associate Professor, Department of Operative Dentistry, Faculty of Dentistry, Tabriz University of Medical Sciences, Tabriz, Iran
Assistant Professor, Department of Operative Dentistry, Faculty of Dentistry, Tabriz University of Medical Sciences, Tabriz, Iran
2
3Post-graduate Student, Department of Operative Dentistry, Faculty of Dentistry, Tabriz University of Medical Sciences, Tabriz, Iran *Corresponding Author; E-mail: firstname.lastname@example.org
Received: 26 May 2012; Accepted: 3 September 2012
J Dent Res Dent Clin Dent Prospect 2012; 6(4) :125-130 | doi: 10.5681/joddd.2012.026
This article is available from: http://dentistry.tbzmed.ac.ir/joddd © 2012 The Authors; Tabriz University of Medical Sciences
This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.
Abstract
Background and aims. The aim was to evaluate the effect of three methods of fiber insertion on fracture resistance of root-filled maxillary premolars in vitro.
Materials and methods. Sixty extracted human maxillary premolars received endodontic treatment followed by preparation of mesioocclusodistal (MOD) cavities, with gingival cavosurface margin 1.5 mm coronal to the cementoenamel junction (CEJ). Subsequently, the samples were randomly divided into four groups: no-fiber group; occlusal fiber group (fiber was placed in the occlusal third); circumferential fiber group (fiber was placed circumferentially in the cervical third); and dual-fiber group (occlusal and circumferential fibers). Subsequent to restoring with composite resin and thermocycling, a compressive force was applied until fracture. Data was analyzed using one-way ANOVA and Tukey test at significance levels of P < 0.05 and P < 0.02, respectively.
Results. Fiber placement significantly increased fracture resistance. Fracture resistance in the dual-fiber group was significantly higher than that in the circumferential fiber group (P < 0.007); however, there were no significant differences between the dual-fiber and occlusal fiber groups (P = 0.706). The highest favorable fracture rate was observed in the circumferential fiber group (60%).
Conclusion. Composite resin restoration along with glass fiber in the occlusal and gingival thirds can be an acceptable treatment option for restoring root-filled upper premolars.
Key words: Endodontically treated teeth, fiber-reinforced composite resin, fracture resistance.
Introduction
ndodontically treated teeth are more susceptible to fracture than teeth with vital pulps. This susceptibility has been attributed primarily to the structural defects due to caries and tooth preparation. 1 The loss of anatomic structures, such as pulp chamber roof and one or both marginal ridges, leads to a greater risk of fracture. 2 Considering the results of previous studies, the amount of residual coronal dentin appears to be the most important factor in the prognosis of an endodontically treated tooth. 3-6 Fracture resistance and the amount of remaining tooth structure after endodontic treatment are influenced by restorative procedures. 5 In spite of extensive studies on root-filled teeth, the optimal treatment planning for final restoration in endodontically-treated posterior teeth remains contentious. 1 E
Root-filled upper premolars present specific challenges for the restorative dentist because in addition to esthetic considerations, cusp fracture is found to be more concentrated in these teeth. 7, 8 Furthermore, longitudinal root fractures are more common in upper premolars with narrow roots in the mesiodistal dimension, 9 and post space preparation may expose the teeth to an increased risk of root perforation and root fracture; therefore, controversy over the use of posts is increasing. 5,10 In an attempt to avoid post placement horizontal pins were evaluated in a study; however, they failed to reinforce endodontically treated maxillary premolars. 11
Restoration of a tooth with adhesive procedures and direct resin-bonded composites (RBC) eliminates the need for sacrificing any tooth structure and over-preparation. Following endodontic treatment and caries removal all the residual tooth structure would be a substrate for adhesion. 12 RBC restorations are also more economic and cheaper than indirect restorations that have additional laboratory costs. Furthermore, these procedures are less timeconsuming. Fiber reinforcement systems are the most recent innovative techniques used to increase durability and damage tolerance of RBC materials. 13,14 Although some studies have investigated performance of fiber-reinforced composites (FRC) in diverse fields of dentistry, there is a limited amount of scientific literature on the use of FRC materials as single tooth restorations. According to the results of previous studies, insertion of a piece of polyethylene fiber into the cavity in the gingival and occlusal third increases fracture resistance in molars. 15-17 However, two layers of glass fiber placed at the bottom and at the former roof of the pulp chamber has no positive effect on fracture resistance. 18 In another study a ribbon of glass fiber in the occlusal third of the restoration was advantageous in relation to fracture resistance and fracture mode. 19 Considering the importance of fiber location in reinforcement of composite resin restorations in endodontically-treated upper premolars the present study was designed to evaluate this effect. The null hypotheses tested were the following: 1. There is no difference in fracture resistance of teeth restored with FRC with different fiber locations. 2. Fiber location does not affect the fracture pattern.
Materials and Methods
Sixty human maxillary premolars with approximately the same size (measured mesiodistally and faciolingually by means of a digital caliper) which were free of any caries, previous restorations, fractures and cracks were used for the purpose of this in vitro study. They were surveyed under a stereomicroscope (Nikon, Tokyo, Japan) at magnification of ×2. The teeth had been extracted for orthodontic reasons. The teeth were stored in 0.5% chloramine T trihydrate at 4ºC for no more than three month after debridement with a scalpel to remove remaining tissue tags. Subsequent to preparation of an endodontic access cavity, the root canals were instrumented 1 mm short of the apical foramen with K-files (Dentsply Maillefer, Simfra, Switzerland) to an apical size 35 using step-back technique. Coronal thirds of the root canals were flared using #1 through #3 GatesGlidden drills (MANI, Nakaakusu, Japan) and obturated with gutta-percha (Diadent Group, Chongju, Korea) and AH26 root canal sealer (Dentsply, Konstanz, Germany) using lateral condensation technique. Each tooth was embedded in an acrylic resin cylinder up to 1.5 mm below the CEJ. Then MOD cavities were prepared in such a manner that the remaining lingual and buccal wall thicknesses measured 2.5±0.2 mm in the height of contour of each surface and the gingival cavosurface margin was 1.5 mm coronal to the CEJ. Subsequently, the teeth were randomly assigned to four groups of 15 teeth each.
In the no-fiber group, the teeth were etched with 35% phosphoric acid (Scotch Bond Etchant; 3M ESPE, St Paul, MN, USA) for 15 seconds. Then, the tooth surfaces were rinsed for 10 seconds and gently dried for 1-2 seconds in a way that the moist condition of the dentin was preserved. Subsequently, an adhesive resin (Single Bond; 3M ESPE) was used according to manufacturer's instructions and cured by a light-curing unit (Astralis 7; Ivoclar Vivadent, Liechtenstein, Austria) for 10 seconds at a light intensity of 400 mW/cm 2 . A metal matrix held by a retainer was placed around each tooth and the cavity was restored with composite resin (Filtek Z250; 3M ESPE) using the incremental technique. The layers were placed at thicknesses of 1.5 mm, and each layer was cured for 40 seconds with the pulse program of the light-curing unit from the occlusal aspect. In this curing program the initial intensity of 150 mW/cm 2 increases incrementally within 15 seconds up to 400 mW/cm 2 and then during the remaining time it oscillates between 400 mW/cm 2 and 750 mW/cm 2 .
In the occlusal fiber group, after finishing restoration of the cavities as described for the no-fiber group, a groove measuring 2 mm in width and 1 mm in depth was prepared buccolingually on the cusp tips. The ends of the groove were on the occlusal third of the buccal and lingual surfaces. After etching and bonding, a piece of glass fiber (Interlig; Angelus, Londrina PR, Brazil) was adapted to the floor of the groove using flowable composite (Filtek Flow; 3M ESPE), and the combination was cured for 40 seconds using the pulse program. The exposed fiber surface was also filled with composite resin (Figure 1A). The glass fiber used in this study was a preimpregnated intertwined tape measuring 2 mm in width and 0.2 mm in thickness.
In the circumferential fiber group, after etching and bonding as described in the no-fiber group, tooth restoration began by placing 1±0.5-mm-thick composite resin in the mesial and distal aspects to reconstruct proximal surfaces. Then the glass fiber was adapted inside the cavity walls in a circumferential manner using flowable composite resin; the rest of the cavity was incrementally restored with composite resin similar to the no-fiber group (Figure 1B). In the dual-fiber group, after placing the circumferential fiber, the rest of the cavity was restored in a manner similar to the occlusal fiber group.
After the matrix was removed, all the restorations were light-cured from the mesial and distal directions for 40 seconds using the pulse program, finished using flame-shaped fine diamond burs (MANI, Nakaakusu, Japan) and polished using Sof-Lex discs (3M ESPE). Subsequent to thermocycling (500 cycles at 5±2ºC/55±2ºC, a 30-second dwell time, and a 5-second transfer time), all the specimens were
stored in an incubator at 37ºC and 100% relative humidity for 24 hours.
Finally, a compressive force was applied at a strain rate of 0.5 mm/min using a universal testing machine (Hounsfield Test Equipment, H5K-S Model; Surrey, England). A 5-mm-diameter round bar was positioned parallel to the long axis of the teeth and centered over the teeth until the bar just contacted the occlusal surface of the restoration on the buccal and lingual cusp inclines. Then, the force necessary to fracture each tooth was measured in Newton (N).
According to failure modes, the fractures were divided into two groups: favorable fractures in which the fractures stopped higher than 1 mm below the CEJ; unfavorable fractures in which the fractures stopped lower than 1 mm below the CEJ. 20 From another aspect, the failure mode classification was based on cusp detachment. 17
Statistical analysis was performed using descriptive statistical methods (mean ± standard deviation, frequency [%]) and one-way ANOVA followed by a post hoc Tukey test. Statistical significance levels of ANOVA and post hoc test were defined as P<0.05 and P<0.02, respectively.
Results
The maximum, minimum and mean values of fracture resistance in each of the four experimental groups are presented in Table 1.
One-way ANOVA indicated statistically significant differences among the groups (P<0.0001). A post hoc Tukey test revealed significantly lower fracture resistance in the no-fiber group when compared to the other groups (P<0.02). Inserting a piece of
Table 1. Mean fracture resistance in the study groups
SD: Standard Deviation.
a Occlusal and circumferential fiber
Table 2. The frequency (%) of different failure modes among the study groups
| No fiber | 5 (33.3) | 10 (66.7) | 14 (93.3) |
|---|---|---|---|
| Occlusal fiber | 2 (13.3) | 13 (86.7) | 13 (86.7) |
| Circumferential fiber | 9 (60.0) | 6 (40.0) | 13 (86.7) |
glass fiber from the buccal to the lingual aspect in the occlusal portion of the restoration or a circumferential fiber in the base of the restoration significantly increased fracture resistance when compared to the no-fiber group (P<0.02), but there were no significant differences between these two groups (P=0.127). When occlusal and circumferential fibers were used simultaneously, fracture resistance was significantly higher than that in the circumferential fiber group (P=0.007), but this did not mean significantly higher fracture resistance compared to the occlusal fiber group (P=0.706).
Regarding failure mode, the highest and the lowest rates of favorable fractures were observed in the circumferential and occlusal fiber groups, respectively, and most of the fractured cusps had been detached from the teeth (Table 2).
Discussion
Premolars are more likely than molars to be subjected to lateral forces with more detrimental nature. 21 Bearing in mind their position in the esthetic zone, esthetic requirements should be fully achieved when restoring upper premolars. Cusp elongation in maxillary premolars due to pulp chamber roof removal in the process of endodontic access cavity preparation tends to separate the buccal and palatal cusps under occlusal load, 22 and post placement in restoration of these teeth should better be avoided because of their anatomic root form. 9 In addition, the width of tooth preparation influences cusp fracture of these teeth in such a way that MOD cavity is considered the worst case in terms of fracture resistance. 23,24 Therefore, in the current study preparation of MOD cavity was considered for simulation of the worst clinical situation. Clinically, the normal biting force is 222–445 N (average 322.5 N) for the maxillary premolar area and during clenching, the occlusal force is as high as 520–800 N (average 660 N). 25,26 Therefore, it seems that all the experimental groups in the present study could withstand the functional and parafunctional loads generated in the mouth; however, it should be taken into account that some clinical situations such as thermal changes, chemical agents, and fatigue phenomena as a result of repeated stresses may lead to the failure of restorations far below the ultimate fracture resistance;
therefore, this kind of in vitro static loading, may overestimate the fracture resistance of the tested specimens. Further clinical trials should be conducted to validate the results of this in vitro study.
Polymerization shrinkage and consequent stresses generated in the tooth-tissue and the toothrestoration interfaces are the main drawbacks of composite resin restorations. Incremental placement of composite resins, which is supposed to reduce this effect, 27 was used in this study to achieve maximum curing and minimum polymerization shrinkage.
Based on the results of this study, incorporation of pre-impregnated glass fiber into composite restorations increases fracture resistance of teeth. Some studies have reached the same conclusion that FRC restorations can significantly increase fracture resistance through an increase in the flexural strength of the whole structure. 19,28 The special orientation of the fiber network efficiently transfers stresses. It is practically supple and thus can be easily formed to the arbitrary configuration. Its optical properties make it an excellent esthetic material. The reinforcing capacity of fibers depends on their adhesion properties, orientation of the fibers, and impregnation with the resin. 29,30 Other desirable physical properties of the fiber are good flexural strength and no need for mechanical retention within the restoration. 31
In the present study placing fibers in the occlusal third of the cavities significantly increased fracture resistance, which is consistent with the results of some previous studies. 17,19 The anchorage promoted by occlusal fiber in the most approximate position to the applied load leads to a shorter working arm according to levers principle in addition to keeping the buccal and lingual cusps together through splinting mechanism, recovering the fracture resistance. Orientation of occlusal fibers following cusp inclines allows a greater fiber volume fraction and it has been shown that use of a higher volume of fibers results in a higher fracture resistance. 32 In a previous study there was no significant difference between FRC restoration and conventional composite restoration of maxillary premolars in relation to fracture strength. Although location and orientation of fibers was similar to the occlusal fiber group in the present study, the simulated load was at an angle of 45º to the long axis of the tooth in that study. 33 Direction of load
would affect reinforcing capacity of fibers since it has been shown that directional orientation of the fiber's long axis perpendicular to an applied force will result in strength reinforcement. 34
In the present study circumferential fibers in the gingival portion also increased fracture resistance. As with previous studies, the increase in fracture resistance might be explained by elastic properties of fiber assemblies and their stress-modifying ability. 15, , 16 35 Elastic modulus of fiber is similar to that of dentin 36 and is supposed to create a monoblock dentin-restoration system through intimate and simultaneous contact with the four walls of the cavity; therefore, it can better distribute forces. This method of fiber placement might have protected the cusps by shortening their heights, avoiding the separation of cusps as a result of the wedging effect. In the present study reconstruction of proximal walls with 2 mm of occlusogingival layers of composite resin might have increased C-factor and consequently the negative effect of polymerization shrinkage stress; the use of a low-viscosity flowable composite resin in combination with a bonding agent can counteract this effect. 37
In this study application of circumferential and occlusal fibers led to fracture resistance higher than that of circumferential fiber alone, but it was not significantly higher than that in the occlusal fiber group, which can be explained from two aspects. First, according to levers principle the anchorage created by occlusal fibers leads to a shorter working arm than circumferential fibers in the gingival portion. Second, in these biaxially braided fibers, the fiber orientation can change after cutting during adaptation to tooth contours. The fibers in the ribbon spread out and separate from each other. Not being perpendicular to the applied force results in little actual reinforcement as with the circumferential fibers. 34
In the present study the failure modes were classified as favorable and unfavorable according to the position of fracture line in relation to the cementoenamel junction, which is useful in predicting the prognosis of a restored tooth in case of failure. In fact, fractures that extend not more than 1 mm below the CEJ can be restored successfully. 20 According to the results, restoration of teeth only with composite resin results in relatively low fracture resistance and the majority of failures (66.7%) were unfavorable. Application of occlusal fibers was advantageous in relation to fracture resistance but most of the failures (86.7%) were catastrophic in nature. This kind of fracture pattern was attributed to the morphology of the MOD preparations, leaving limited amounts of residual tooth structure in the cervical region. Although circumferential fiber at the base of the cavity restored fracture resistance less than the occlusal fibers, it resulted in more favorable fracture patterns (60%). This might have been achieved through production of a restoration-dentin mono-block in the cervical region and favorable stress distribution pattern or interconnecting the cavity walls and creating a more strong and resistant region in the cervical third of the tooth.
Considering the conditions of the oral cavity, including the moisture and accessibility, placing such laborious and technique-sensitive restorations may be a difficult and demanding procedure. Since visualization of stress distribution within restored teeth provides an insight into the optimum treatment planning for endodontically-treated teeth, stress distribution analysis using finite element method is suggested for future studies.
Within the limitations of this in vitro study, incorporation of occlusal and circumferential glass fibers simultaneously in direct composite resin restorations might be an acceptable conservative treatment option for post-endodontic MOD cavities in maxillary premolars.
Acknowledgements
This project was carried out by the financial support from the Deputy Dean of Research at Tabriz University of Medical Sciences. The authors thank Dr. Morteza Ghojazadeh for statistical analysis of the data and Dr. Majid Abdolrahimi for editing the English manuscript.
References
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7. Cavel WT, Kelsey WP, Blankenau RJ. An in vivo study of cuspal fracture. J Prosthet Dent 1985;53:38-42.
8. Lagouvardos P, Sourai P, Douvitsas G. Coronal fractures in posterior teeth. Oper Dent 1989;14:28-32.
9. Tamse A, Zilburg I, Halpern J. Vertical root fractures in adjacent maxillary premolars: an endodontic-prosthetic perplexity. Int Endod J 1998;31:127-32.
10. Youngson C. Posts and the root-filled tooth. Br Dent J 2005;198:379.
11. Oskoee SS, Oskoee PA, Navimipour EJ, Shahi S. In vitro fracture resistance of endodontically-treated maxillary premolars. Oper Dent 2007;32:510-4.
12. Grandini S, Goracci C, Tay FR, Grandini R, Ferrari M. Clinical evaluation of the use of fiber posts and direct resin restorations for endodontically treated teeth. Int J Prosthodont 2005;18:399-404.
13. Abdulmajeed AA, Narhi TO, Vallittu PK, Lassila LV. The effect of high fiber fraction on some mechanical properties of unidirectional glass fiber-reinforced composite. Dent Mater 2011;27:313-21.
14. van Heumen CC, Kreulen CM, Bronkhorst EM, Lesaffre E, Creugers NH. Fiber-reinforced dental composites in beam testing. Dent Mater 2008;24:1435-43.
15. Belli S, Cobankara FK, Eraslan O, Eskitascioglu G, Karbhari V. The effect of fiber insertion on fracture resistance of endodontically treated molars with MOD cavity and reattached fractured lingual cusps. J Biomed Mater Res B Appl Biomater 2006;79:35-41.
16. Belli S, Erdemir A, Ozcopur M, Eskitascioglu G. The effect of fibre insertion on fracture resistance of root filled molar teeth with MOD preparations restored with composite. Int Endod J 2005;38:73-80.
17. Belli S, Erdemir A, Yildirim C. Reinforcement effect of polyethylene fibre in root-filled teeth: comparison of two restoration techniques. Int Endod J 2006;39:136-42.
18. Hitz T, Ozcan M, Gohring TN. Marginal adaptation and fracture resistance of root-canal treated mandibular molars with intracoronal restorations: effect of thermocycling and mechanical loading. J Adhes Dent 2010;12:279-86.
19. Oskoee PA, Ajami AA, Navimipour EJ, Oskoee SS, Sadjadi J. The effect of three composite fiber insertion techniques on fracture resistance of root-filled teeth. J Endod 2009;35:4136.
20. Uyehara MY, Davis RD, Overton JD. Cuspal reinforcement in endodontically treated molars. Oper Dent 1999;24:36470.
21. Schwartz RS, Robbins JW. Post placement and restoration of endodontically treated teeth: a literature review. J Endod 2004;30:289-301.
22. Mondelli RF, Ishikiriama SK, de Oliveira Filho O, Mondelli J. Fracture resistance of weakened teeth restored with condensable resin with and without cusp coverage. J Appl Oral Sci 2009;17:161-5.
23. Panitvisai P, Messer HH. Cuspal deflection in molars in relation to endodontic and restorative procedures. J Endod 1995;21:57-61.
24. Steele A, Johnson BR. In vitro fracture strength of endodontically treated premolars. J Endod 1999;25:6-8.
25. Hidaka O, Iwasaki M, Saito M, Morimoto T. Influence of clenching intensity on bite force balance, occlusal contact
area, and average bite pressure. J Dent Res 1999;78:1336-44.
26. Widmalm SE, Ericsson SG. Maximal bite force with centric
and eccentric load. J Oral Rehabil 1982;9:445-50.
27. Wilson EG, Mandradjieff M, Brindock T. Controversies in posterior composite resin restorations. Dent Clin North Am 1990;34:27-44.
28. Garoushi S, Lassila LV, Tezvergil A, Vallittu PK. Load bearing capacity of fibre-reinforced and particulate filler composite resin combination. J Dent 2006;34:179-84.
29. Karbhari VM, Strassler H. Effect of fiber architecture on flexural characteristics and fracture of fiber-reinforced dental composites. Dent Mater 2007;23:960-8.
30. 30.Miettinen VM, Vallittu PK, Docent DT. Water sorption and solubility of glass fiber-reinforced denture polymethyl methacrylate resin. J Prosthet Dent 1997;77:531-4.
31. 31.Feinman RA, Smidt A. A combination porcelain/fiberreinforced composite bridge: a case report. Pract Periodontics Aesthet Dent 1997;9:925-9; quiz 30.
32. Rashidan N, Esmaeili V, Alikhasi M, Yasini S. Model system for measuring the effects of position and curvature of fiber reinforcement within a dental composite. J Prosthodont 2010;19:274-8.
33. Sengun A, Cobankara FK, Orucoglu H. Effect of a new restoration technique on fracture resistance of endodontically treated teeth. Dent Traumatol 2008;24:214-9.
34. DeBoer J, Vermilyea SG, Brady RE. The effect of carbon fiber orientation on the fatigue resistance and bending properties of two denture resins. J Prosthet Dent 1984;51:119-21.
35. 35.Eraslan O, Eskitascioglu G, Belli S. Conservative restoration of severely damaged endodontically treated premolar teeth: a FEM study. Clin Oral Investig 2011;15:403-8.
36. Vitale MC, Caprioglio C, Martignone A, Marchesi U, Botticelli AR. Combined technique with polyethylene fibers and composite resins in restoration of traumatized anterior teeth. Dent Traumatol 2004;20:172-7.
37. Kemp-Scholte CM, Davidson CL. Marginal integrity related to bond strength and strain capacity of composite resin restorative systems. J Prosthet Dent 1990;64:658-64. | <urn:uuid:9c63bae0-caf9-48e0-937c-5c497bdc290f> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 27,528 |
Hi Natasha (and Co),
Remember fakinghell.
Cheers
Kerry
Topic: What's there to fear aboot the Green Beer?
By: Kerry Cue
For: 13/3/13
Rights Offered: Print: First ACT& district Newspaper & Mag. Canberra Times
Webpage
Public e-mail: email@example.com
Blog: http://fakinghell.wordpress.com/
Oiland Oi'll be havin' some o'that
Oi'll be done tellin' ya tha green beer
St Paddy's Day, the Oirish, the Green Beer and Me by Kerry Cue
Edited extract article in The Canberra Times, March 2013
It'd be St Paddy's Day soon and not just in Oiland. All over, like. Oi'll be turnin' meself into a cliché to get in ehead of the rest of yiz. You can drop the accent now. Keep it for Thursday 17th March, 2022. But why do the Irish celebrate St Patrick's Day globally by channelling Leprechauns, talking blarney, swilling green beer and slurring 'When Irish eyes are smiling ... da da dada' because no-one can remember the lyrics. So Happy St Clichés Day.
I have the Irish in me. What with the Meehans, the O'Donnells and the O'Mearas, Irishness has been layered in my soul like lines of sediment in a fossilised rock. I've inherited the [ist [ighting fury, the lilting poetry, the blarney and, Holy Mother of Sweet Jesus, bog Irish Catholicism. I'd have pure Irishness throbbing in my veins except for one grandmother, a Beardsell of English stock, sent among us, I suspect, to make the rest of us eat with the proper fork.
I'm [ifth-generation Irish brought up as the family was losing its Irish heritage. I did Irish dancing in the [ifties. This was long before River Dance sexed up the beat. I hated it. It was strict and boring. I wanted to be Scottish and do a highland [ling, dancing over swords with one hand in the air. And we had to march, properly with thumbs straight, to St Patrick's Cathedral in Melbourne on St Paddy's day wearing green, white and gold ribbons on our school uniforms. But no one explained why.
Every year into his 70s, my grandfather, Joseph Patrick O'Donnell, ran a St Patrick's Day concert at St Paul's, Bentleigh. Cardboard shamrocks and harps festooned the hall curtains. A be-suited Irish tenor called McCormick sang The Wild Colonial Boy and the big-bosomed soprano Mrs Garrity wobbled out Mammy's Little Baby Loves Shortnin' Bread for some inexplicable reason. The St Paul's Parish school choir sang She's the daughter of Rosie O'Grady and a local Irish dancing troop, paraded on stage, heads held high, in green plaid kilts and sporting tan berets with feathers atop. My grandfather always recited The Cremation of Sam MacGee. This tale terri[ied me. MacGee freezes to death but, during his cremation, he springs back to life. My grandfather recited it with a relish.
There are strange things done in the midnight sun/ By the men who moil for gold; The Arctic trails have their secret tales/ That would make your blood run cold; The Northern Lights have seen queer sights,/ But the queerest they ever did see Was that night on the marge of Lake Lebarge/ I cremated Sam McGee.
On St Patrick's Day in Aussie suburbia, my grandfather, who never had and never would set foot in Ireland, recited a poem about the Gold Rush in the Canadian Yukon in an Irish accent adopted for the day. No wonder we kids were more than a little confused. Then someone always sang Danny Boy. That bought a tear to many an eye. But my grandfather had a budgie call Danny Boy. And I couldn't quite work out why the pipes, the pipes were a callin' to a budgie.
But Sweet Jesus Above in Heaven I knew the Irishness of my family had all but drained out of us following the incident with the Infant Jesus. It happened in 1973. We inherited bog Irish Catholicism. It was a grim and harsh Catholicism run by stern priests and favoured by poor, large and uneducated families. It had little of the joy and none of the [lexibility of the European Catholicism practised in Spain, Italy and France. We spent many hours with our bony knees on wooden kneelers at mass or confession or saying the Rosary. Then, in 1973 my Grandfather died.
I helped my mother clear out his house. I was 21 years old by then and I couldn't stop laughing. He had souvenir tea towels, paperweights and calendars of Ireland, the place he'd never been. He also kept all my mother's school rulers, 30 plus years of his St Kilda football club membership cards and all of his false teeth and thrown out the oak furniture of his parents. During the clean up my sister, who was 7 at the time, came skidding through the kitchen on one roller skate holding the 1 m high plaster statue of the Infant - child, really - Jesus with the scared heart and one hand raised in blessing. My sister, holding theInfant Jesus around the waste chortled 'Can I take it out the back and knock it's block off'. My mother gasped 'No'. This Jesus had stood on a pedestal in my grandparents bedroom looking down on their two single beds all of my childhood. He couldn't be beheaded. My mother wrapped him in a rug and took him home. He stood, with a broken [inger (My sister dropped him) in my mother's hall cupboard for 5 years and ended up on the local tip. Our bog Irishness was at an end.
When immigrants think of their heritage it often connects to home and hearth and, therefore, their mothers' cooking. The Irish missed out on that score. Their traditional food - now going through a renaissance- was God-awful. They cooked the beJesus out of everything including the potatoes. So an Irish heritage has nothing to do with food and everything to do with Guinness marketing, Broadway musicals, fake Irish pubs and other blarney. But they laugh alot. So go easy on the green beer this St Patricks Day or, as they say, you'll be shiteing rings around ya-self. | <urn:uuid:759b9f70-cce9-43c7-8e3f-3a7eeadc4c37> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 5,722 |
FAST LEJA POINTS*
J. BAGLAMA†, D. CALVETTI‡, AND L. REICHEL§
Abstract. Leja points are used in several areas of scientific computing, including polynomial approximation and eigenvalue computation. Their determination requires the maximization of a sequence of polynomials over a compact set in the complex plane. These computations can be quite time consuming when the number of Leja points to be determined is large. This paper introduces a new set of points, referred to as fast Leja points, that are simpler and faster to compute. An interactive example that illustrates the computation and distribution of fast Leja points is available at web site http://etna.mcs.kent.edu/vol.7.1998/pp124-140.html.
Key words. Leja points, polynomial interpolation, iterative methods, eigenvalue computation.
AMS subject classifications. 65D05, 65E05, 65F15, 65N25.
1. Introduction. Let $K$ be a compact set in the complex plane $\mathbb{C}$ with a connected complement, and assume that the boundary of $K$ satisfies some mild regularity conditions to be specified below. Edrei [7] and Leja [12] studied the following recursively defined sequence $\{z_j\}_{j=0}^{\infty}$ of points in $K$. Let $z_0$ be a point such that
$$w(z_0)|z_0| = \max_{z \in K} w(z)|z|, \quad z_0 \in K,$$
and let for $j = 1, 2, \ldots$, the points $z_j$ satisfy
$$w(z_j)\prod_{k=0}^{j-1}|z_j - z_k| = \max_{z \in K} w(z)\prod_{k=0}^{j-1}|z - z_k|, \quad z_j \in K,$$
where $w(z)$ is a given real-valued positive function on $K$. We refer to $w(z)$ as the weight function. The points $z_j$ determined by (1.1)-(1.2) might not be unique. We will call any sequence of points $\{z_j\}_{j=0}^{\infty}$ that satisfies (1.1)-(1.2) a sequence of Leja points for $K$. Edrei [7] and Leja [12] studied these points for $w(z) := 1$ on $K$.
Leja points are used in several areas of scientific computing, e.g., for polynomial interpolation [14], in iterative methods for the solution of large linear systems of equations [4, 5] and in eigenvalue computations [1, 2, 6].
The computation of Leja points requires the maximization of a sequence of products over a compact set $K$, see (1.2), and these computations can be quite cumbersome when the number of Leja points generated is large. It is the purpose of the present paper to introduce a new set of points, referred to as *fast Leja points*, which are simpler and faster to compute than Leja points.
The interest in Leja points stems from the fact that when $z_0, z_1, z_2, \ldots$, are Leja points for the set $K$, the polynomials
$$p_j(z) := \prod_{k=0}^{j-1}(z - z_k), \quad j = 1, 2, \ldots,$$
* Received March 2, 1998. Accepted June 30, 1998. Recommended by R. Lehoucq.
† Department of Mathematics, Texas Tech University, Lubbock, TX 79409. (email@example.com). Research supported in part by NSF grant F377 DMR-8920147 ALCOM.
‡ Department of Mathematics, Case Western Reserve University, Cleveland, OH 44106. (firstname.lastname@example.org). Research supported in part by NSF grant DMS-9896073.
§ Department of Mathematics and Computer Science, Kent State University, Kent, OH 44242. (email@example.com). Research supported in part by NSF grants DMS-9404706 and ASC-9720221.
can be evaluated fairly accurately for $z \in \mathbb{K}$ also when their degree $j$ is large; see [14] for illustrations. Products of the form (1.3) arise, e.g., in the Newton formula for polynomial interpolation [3, 14], in the Implicitly Restarted Lanczos and Arnoldi methods for the computation of a few eigenvalues of a large matrix [1, 2, 6, 9, 10, 17], and in Richardson iteration for the solution of linear systems of equations [4, 5]. In the applications to eigenvalue computation and the solution of linear systems, each iteration increases the degree of polynomials of the form (1.3) by one, and, in general, it is not known a priori how many iterations are required until the desired eigenvalues, or the approximate solution, have been determined to sufficient accuracy. Leja points are convenient to use in these applications, because the Leja points $z_j$ are independent of the Leja points $z_k$ for $j < k$. Thus, the polynomial $p_k(z)$ is divisible by $p_j(z)$ for $1 \leq j \leq k$.
It is illuminating to compare polynomial interpolation at Leja points for an interval $[a, b]$ and at zeros of Chebyshev polynomials for the same interval. Assume that the Newton form of the interpolation polynomial is used. Polynomial interpolation of a smooth function $f$ at the zeros of the Chebyshev polynomial of the first kind of degree $k$ is known to yield a near-best polynomial approximant of degree at most $k - 1$ of $f$ on $[a, b]$; see, e.g., de Boor [3, Chapter 2] for a discussion and illustrative numerical examples. However, if we find that the achieved accuracy is insufficient and therefore we would like to interpolate $f$ at the zeros of the Chebyshev polynomial of degree $k + 1$ instead, it would be difficult to take advantage of the computations already carried out when determining the new interpolating polynomial. The difficulty stems from the fact that the Chebyshev polynomials of degree $k$ and $k + 1$ do not have common zeros. On the other hand, given the interpolating polynomial in Newton form of degree at most $k - 1$ that interpolates $f$ at the first $k$ Leja points for $[a, b]$, it is simple and fast to update this polynomial to obtain the polynomial of degree at most $k$ that interpolates $f$ at the first $k + 1$ Leja points for $\mathbb{K}$.
When the weight function is given by $w(z) := 1$, the maximum principle for analytic functions yields that the maxima in (1.1) and (1.2) are achieved for $z$ on the boundary of $\mathbb{K}$. This also holds for other weight functions of interest to us. It therefore suffices to only maximize over the boundary of $\mathbb{K}$ in (1.1) and (1.2). We seek to reduce the computational work further by replacing the boundary of $\mathbb{K}$ by a discrete point set. Throughout this paper $i := \sqrt{-1}$.
**Example 1.1.** Let $\mathbb{K} := \{ z : |z| \leq r \}$ for some constant $r > 0$, and let $w(z) := 1$. Then a sequence of Leja points can be constructed as follows. Let $z_0$ be an arbitrary point on the boundary of $\mathbb{K}$. The next Leja point $z_1$ is a point in $\mathbb{K}$ of largest distance to $z_0$. Thus, $z_1 := z_0 \exp(i\pi)$. Note that the point $z_1$ is uniquely determined. The Leja point $z_2$ maximizes the product of the distances $|z - z_1||z - z_0|$ for all $z \in \mathbb{K}$. This yields $z_2 = z_0 \exp(i\pi/2)$ or $z_2 = z_0 \exp(i3\pi/2)$. Note that either one of the two possible values of $z_2$ is acceptable. Having determined $z_2$, we have $z_3 := -z_2$. There are four possible choices for $z_4$.
Consider the binary representation of the nonnegative integers
$$j = \sum_{k=0}^{\infty} j_k 2^k, \quad j_k \in \{0, 1\},$$
and define the points
$$(1.4) \quad z_j := z_0 \exp(i\pi \sum_{k=0}^{\infty} j_k 2^{-k}), \quad j = 1, 2, \ldots .$$
It can be shown that the points (1.4) are Leja points for $\mathbb{K}$. Table 1.1 shows the arguments for $z_j/z_0$ for a few values of $j$.
Table 1.1
Example 1.1: Arguments of $z_j/z_0$ for points $z_j$ defined by (1.4)
| $j$ | $\arg(z_j/z_0)$ |
|-----|-----------------|
| 0 | 0 |
| 1 | $\pi$ |
| 2 | $\pi/2$ |
| 3 | $3\pi/2$ |
| 4 | $\pi/4$ |
| 5 | $5\pi/4$ |
| 6 | $3\pi/4$ |
| 7 | $7\pi/4$ |
It follows from symmetry considerations that the maximum of each product in (1.2) is achieved at the midpoint of a boundary curve between two adjacent points (1.4). Moreover, the points in every set of $2^k$ Leja points $\{z_j\}_{j=0}^{2^k-1}$, $k = 1, 2, \ldots$, are equidistant on the boundary of $\mathbb{K}$. □
Example 1.2. Let $\mathbb{K}$ and $w(z)$ be the same as in Example 1.1. In order to generate the Leja points $\{z_j\}_{j=0}^{2^k-1}$, the set $\mathbb{K}$ can be replaced by the point set $\mathbb{K}_{2^\ell} := \{z_0 \exp(2\pi i k / 2^\ell), k = 0, 1, \ldots, 2^\ell - 1\}$ for any integer $\ell \geq k$. □
In recent applications to eigenvalue computations and the solution of linear systems of equations discussed in [1, 2, 4], the set $\mathbb{K}$ is an interval $[a, b]$.
Example 1.3. Let $\mathbb{K} := [a, b]$, $0 \leq a < b < \infty$, $w(z) := 1$ and $z_0 := b$. Then $z_1 := a$ and $z_2 := \frac{1}{2}(a + b)$. Formulas for Leja points $z_j$ for $j > 2$ are more complicated. However, we will see in Section 2 that Leja points for $\mathbb{K}$ have the same limit distributed as zeros of Chebyshev polynomials for $\mathbb{K}$. □
Example 1.4. Let $\mathbb{K}$ and $w(z)$ be the same as in Example 1.3, and let $\mathbb{K}'_m(a, b)$ consist of $m$ points in $\mathbb{K}$. Introduce
$$\epsilon_m := \max_{z \in \mathbb{K}} \min_{z' \in \mathbb{K}'_m(a, b)} |z - z'|,$$
and assume that $m$ increases rapidly enough in relation to the number of Leja points, $n$, so that
$$\epsilon_m = o(n^{-2}), \quad n \to \infty.$$
This condition is satisfied for instance, when
$$\mathbb{K}'_m(a, b) := \left\{a + (b - a) \frac{j - 1}{m - 1}, j = 1, 2, \ldots, m\right\}$$
and $n = o(m^{1/2})$. Saff and Totik [16, Section V.1] show that if (1.5) holds, then the Leja points $\{z_j\}_{j=0}^{n-1}$ for $\mathbb{K}'_m(a, b)$ have the same limit distribution as $n \to \infty$ (and $m \to \infty$) as Leja points for $\mathbb{K}$. □
In order to reduce the computational work required for the generation of Leja points for an interval $[a, b]$, we proposed in [1, 2, 4] to instead compute Leja points for discrete sets
$$\mathbb{K}_m(a, b) := \left\{\frac{a + b}{2} + \frac{a - b}{2} \cos\left(\frac{2j - 1}{2m} \pi\right), j = 1, 2, \ldots, m\right\}$$
consisting of zeros of the $m$th degree Chebyshev polynomial of the first kind for $\mathbb{K}$.
**Proposition 1.1.** Let $\mathbb{K} := [a, b]$, $0 \leq a < b < \infty$ and $w(z) := 1$. Let $\mathbb{K}_m(a, b)$ be defined by (1.7). Let $n = n(m)$ be a nondecreasing function of $m$, such that for all $m > 0$, $1 \leq n(m) \leq cm$ for some constant $c$ in the open interval $(0, 1)$. Then the Leja points $\{z_j\}_{j=0}^{n-1}$ for $\mathbb{K}_m(a, b)$ have the same limit distribution as $n \to \infty$ as Leja points for $\mathbb{K}$.
*Proof.* The proposition follows from bounds by Ehlich and Zeller [8] for polynomials on an interval bounded at Chebyshev points for this interval. These bounds show that the inequality (1.14) in [16, p. 266] holds and the proposition can be shown by techniques discussed by Saff and Totik [16, Section V.1]. □
In some eigenvalue computations reported in [1], as well as in the iterative method for linear systems of equations with a symmetric indefinite matrix described in [5], the set $\mathbb{K}$ consists of two intervals $[a, b] \cup [a', b']$ with $a < b < 0 < a' < b'$. We conjecture that an analogue of Proposition 1.1 holds for this case. Here each interval is replaced by a discrete subset consisting of zeros of Chebyshev polynomials of degree $m$ for the interval.
We note that use of the point sets (1.6) and (1.7) instead of the set $\mathbb{K} = [a, b]$ in (1.1)-(1.2) simplifies the computations, because maximization problems over a continuum are replaced by maximization problems over a finite point set. For fixed sets (1.6) or (1.7) with points $\{w_k\}_{k=1}^m$, the first $n$ Leja points for $\mathbb{K}'_m(a, b)$ or $\mathbb{K}_m(a, b)$ can be computed in roughly $2mn$ arithmetic floating point operations by storing the products
$$\prod_{j=0}^{j-1} |w_k - z_j|, \quad 1 \leq k \leq m,$$
for every $j = 1, 2, \ldots, n - 1$. More details on operation counts are given in Section 3. Here, we only note that this operation count may increase significantly each time $m$ is increased, because an increase in $m$ yields a new point set $\{w_k\}_{k=1}^m$ and therefore new products (1.8) have to be evaluated.
This paper presents a progressive adaptive discretization of the boundary of $\mathbb{K}$ and replaces the maximization over $\mathbb{K}$ in (1.1)-(1.2) by maximization over discrete sets. Fast Leja points are obtained by maximization over these discrete sets. The discretization is carried out so that parts of the boundary with many fast Leja points are discretized by a fine mesh, while those parts of the boundary with few fast Leja points are discretized by a coarse mesh. The discretization is updated as new fast Leja points are computed. Advantages of this approach include:
(i) Computer codes for the generation of fast Leja points are simple and the computation of fast Leja points is rapid. The computation of $n$ fast Leja points for $\mathbb{K}$ requires only roughly $\frac{1}{2}n^2$ arithmetic floating point operations.
(ii) The set $\mathbb{K}$ may be modified during the computation of fast Leja points without increasing the operation count. This is important in applications to eigenvalue computations and the solution of linear systems of equations; see below.
In eigenvalue computations, the set $\mathbb{K}$ should contain all or most of the undesired eigenvalues of the matrix; see Section 4. However, often such a set is not explicitly known a priori. In the algorithms described in [1, 2] sets $\mathbb{K}$ with this property are determined and updated during the computation. Analogously, when solving systems of linear equations, the set $\mathbb{K}$ should contain all or almost all eigenvalues of the matrix. The algorithms presented in [4, 5] determine such sets during the computation, and the sets $\mathbb{K}$ used during the iterations are generally updated several times as new spectral information about the matrix becomes available.
This paper is organized as follows. Section 2 reviews properties of Leja points. Fast Leja points are introduced in Section 3, and computed examples that illustrate properties of fast Leja points are presented in Section 4. Section 4 also displays timings that show that
fast Leja points indeed can be generated much faster than Leja points. An appendix contains MATLAB code for the generation of fast Leja points.
2. Some properties of Leja points. We review some properties of Leja points. These properties can be conveniently described in terms of a Green function for the complement of $\mathbb{K}$. In particular, Example 2.2 shows that the limit distribution of Leja points on an interval is the same as the limit distribution for zeros of Chebyshev polynomials for the interval.
Identify $\mathbb{C}$ with the real plane $\mathbb{R}^2$. Throughout this paper $x, y \in \mathbb{R}$ and $z \in \mathbb{C}$. If $z = x + iy$, $i := \sqrt{-1}$, then $z$ and $(x, y)$ denote the same point. Let $\mathbb{K} \subset \mathbb{C}$ be a compact set, whose complement $\Omega := (\mathbb{C} \cup \{\infty\}) \setminus \mathbb{K}$ is connected and possesses a Green function $G(x, y)$ with a logarithmic singularity at infinity. In particular, we assume that $\mathbb{K}$ is such that the boundary of $\mathbb{K}$, denoted by $\partial \mathbb{K}$ also is the boundary of $\Omega$, denoted by $\partial \Omega$. This Green function is uniquely determined by the requirements i) $\Delta G(x, y) = 0$ in $\Omega \setminus \{\infty\}$, ii) $G(x, y) = 0$ on $\partial \Omega$, and iii)
$$\frac{1}{2\pi} \int_{\partial \Omega} \frac{\partial}{\partial n} G(x, y) d\sigma = 1,$$
where $\frac{\partial}{\partial n}$ denotes the normal derivative directed into $\Omega$ and $d\sigma$ stands for the element of arc length; see, e.g., [19, Chapter 4.1]. The non-negative constant $\kappa$ defined by
$$\kappa := \lim_{|z| \to \infty} |z| \exp(-G(x, y)), \quad z = x + iy,$$
is called the capacity of $\mathbb{K}$. The capacity depends on the size of $\mathbb{K}$. If $\mathbb{K}$ has capacity $\kappa$ and $\alpha$ is a positive constant, then the set $\alpha \mathbb{K} := \{\alpha z : z \in \mathbb{K}\}$ has capacity $\alpha \kappa$.
Leja [12] showed that Leja points for $\mathbb{K}$ are uniformly distributed with respect to the density function
$$\frac{1}{2\pi} \frac{\partial}{\partial n} G(x, y), \quad z = x + iy \in \partial \Omega$$
on the boundary of $\mathbb{K}$. Thus, each subarc $\gamma$ of the boundary of $\mathbb{K}$ contains the fraction $\frac{1}{2\pi} \int_{\gamma} \frac{\partial}{\partial n} G(x, y) d\sigma$ of the Leja points $\{z_j\}_{j=0}^{n}$ for $\mathbb{K}$ as $n \to \infty$.
Example 2.1. Let $\mathbb{K}$ be the set in Example 1.1. Then the Green function is given by
$$G(x, y) := \ln \left| \frac{z}{r} \right|, \quad z = x + iy,$$
and therefore $\mathbb{K}$ has capacity $r$. Since $\frac{\partial}{\partial n} G(x, y) = 1/r$ on $\partial \mathbb{K}$, Leja points are uniformly distributed on $\partial \mathbb{K}$. □
Example 2.2. Let $\mathbb{K} = [a, b]$ be a real interval, c.f. Example 1.3. Then the Green function is given by
$$G(x, y) := \ln \left| \frac{2}{b-a}(z - \frac{b+a}{2} + (z^2 - z(b+a) + ba)^{1/2}) \right|, \quad z := x + iy,$$
where the branch of the square root is chosen so that $|\frac{2}{b-a}(z - \frac{b+a}{2} + (z^2 - z(b+a) + ba)^{1/2})| > 1$ for $z \in \Omega$. The capacity of $\mathbb{K}$ is $\frac{1}{4}(b-a)$. Leja points for $\mathbb{K}$ are uniformly distributed with respect to the density function
$$\frac{1}{2\pi} \frac{\partial}{\partial n} G(x, 0) = \frac{2}{\pi}(b-a)^{-1}(b-x)^{-1/2}(x-a)^{-1/2}, \quad a < x < b.$$
It is well known that zeros of Chebyshev polynomials for \([a, b]\) are uniformly distributed with respect to this density function, too. Thus, Leja points and zeros of Chebyshev polynomials have the same limit distribution.
The following theorem shows some properties of Leja points that are easy to verify numerically. Numerical examples in Section 4 indicate that fast Leja points share these properties.
**Theorem 2.1.** Let \(\{z_j\}_{j=0}^{\infty}\) be a sequence of Leja points for the set \(\mathbb{K}\), i.e., the \(z_j\) satisfy (1.1)-(1.2). Assume that the weight function satisfies \(b_1 \leq w(z) \leq b_2\) for all \(z \in \mathbb{K}\) for some constants \(0 < b_1 \leq b_2 < \infty\). Let \(\kappa\) denote the capacity for \(\mathbb{K}\). Then
\[
\prod_{j=0}^{n-1} |z_n - z_j|^{1/n} \geq \kappa \left( \frac{b_1}{b_2} \right)^{1/n}
\]
and
\[
\lim_{n \to \infty} \prod_{j=0}^{n-1} |z_n - z_j|^{1/n} = \kappa.
\]
**Proof.** The proof by Leja [12] for the case when \(w(z) := 1\) extends in a straightforward manner to positive weight functions \(w(z)\).
It follows from results of Leja [12] that when the points \(\{z_k\}_{k=0}^{j-1}\) in (1.3) are Leja points for a set \(\mathbb{K}\) with capacity \(\kappa\), the \(j\)th root of the magnitude of the products (1.3) converges to \(\kappa\) as \(j \to \infty\) for any \(z\) in the interior of \(\mathbb{K}\). This property is helpful for the accurate evaluation of products (1.3) of large degree for \(z \in \mathbb{K}\).
**3. Fast Leja points.** Examples 1.1 and 1.2 are suggestive for the definition of fast Leja points. Assume for the moment that the boundary of \(\mathbb{K}\) is a Jordan curve or a Jordan arc, and let \(z(t)\), \(0 \leq t \leq L\), be a continuous parametric representation of the boundary, such that \(z(t) \neq z(s)\) for \(0 \leq t < s < L\). Fast Leja points can now be defined recursively. Let \(\{z(t_j)\}_{j=0}^{k-1}\) be a set of fast Leja points on the boundary of \(\mathbb{K}\). If \(\mathbb{K}\) is a Jordan arc, then we require that \(t_0 = 0\) and \(t_1 = L\). Let \(\{z(s_j)\}_{j=0}^{l-1}\) be a set of candidate points that interlace the set of fast Leja points; between each pair of adjacent fast Leja points there is a candidate point. Thus, \(l = k - 1\) when \(\mathbb{K}\) is a Jordan arc, and \(l = k\) when \(\mathbb{K}\) is a Jordan curve. The next fast Leja point \(z(t_k)\) is chosen among the candidate points, i.e., \(t_k \in \{s_j\}_{j=0}^{l-1}\) satisfies
\[
w(z(t_k)) \prod_{l=0}^{k-1} |z(t_k) - z(t_l)| = \max_{0 \leq j < l} w(z(s_j)) \prod_{l=0}^{k-1} |z(s_j) - z(t_l)|.
\]
Having determined \(z(t_k)\), we remove this point from the set of candidate points and new candidate points (in general two) are introduced between \(z(t_k)\) and the closest fast Leja points, so that the new set of fast Leja points \(\{z(t_j)\}_{j=0}^{k}\) and the new set of candidate points interlace. The next fast Leja point, \(z(t_{k+1})\), is now determined analogously.
**Example 3.1.** Let \(\mathbb{K} := \{z : |z| \leq 1\}\) and consider the parametric representation \(z(t) := \exp(it)\), \(i = \sqrt{-1}\), \(0 \leq t \leq 2\pi\), of the boundary curve. Let \(w(z) := 1\) and introduce
\[
t_j := j\pi, \quad s_j := t_j + \frac{\pi}{2}, \quad j = 0, 1.
\]
Then the fast Leja points \(z(t_0)\) and \(z(t_1)\) interlace the candidate points \(z(s_0)\) and \(z(s_1)\). Both candidate points yield the same value of the product on the right-hand side of (3.1). Therefore,
the next fast Leja point, $z(t_2)$, can be chosen to be either $z(s_0)$ or $z(s_1)$, say, $t_2 = s_0$. We choose the two new candidate points, $z(s_2)$ and $z(s_3)$, to be on the unit circle, equidistantly between $z(t_2)$ and adjacent fast Leja points. Continuing to allocate fast Leja points and candidate points in this manner, with new candidate points allocated at the midpoints between adjacent fast Leja points, yields a sequence of fast Leja points $\{z(t_j)\}_{j=0}^{\infty}$. This sequence is equivalent with the sequence of Leja points $\{z_j\}_{j=0}^{\infty}$ of Example 1.1 in the sense that
$$\max_{z \in \mathbb{K}} \prod_{j=0}^{n} |z - z(t_j)| = \max_{z \in \mathbb{K}} \prod_{j=0}^{n} |z - z_j|, \quad n = 0, 1, \ldots.$$
Example 3.2. Let $\mathbb{K} := [a, b]$, $0 \leq a < b < \infty$, and consider the parametric representation $z(t) := t$, $a \leq t \leq b$. Let $w(z) := 1$. Allocate candidate points equidistantly between adjacent fast Leja points. Define
$$t_0 := b, \quad t_1 := a, \quad s_0 := \frac{a + b}{2}.$$
This corresponds to the fast Leja points $z(t_0) := a$ and $z(t_1) := b$, and candidate point $z(s_0) := \frac{a + b}{2}$. The next fast Leja point clearly is $z(t_2)$ with $t_2 := s_0$. We reuse $s_0$ to store a parameter value for a new candidate point. Thus, the new candidate points $z(s_0)$ and $z(s_1)$ correspond to the parameter values $s_0 = \frac{3a + b}{2}$ and $s_1 = \frac{a + 3b}{2}$. We can choose $t_3$ to be either $s_0$ or $s_1$. This defines the fast Leja point $z(t_3)$. MATLAB code for generating fast Leja points for an interval in this manner is displayed in the Appendix.
Example 3.3. We illustrate the use of a parametric representation that is not arc length. Let $\mathbb{K} := [-2, 2]$ and consider the parametric representation $z(t) := 2 \cos(t)$, $0 \leq t \leq \pi$. We remark that zeros of Chebyshev polynomials of the first kind for $\mathbb{K}$ correspond to equidistant parameter values. Let $w(z) := 1$. Allocate candidate points equidistantly with respect to the parameter $t$ between adjacent fast Leja points. Thus, define
$$t_0 := 0, \quad t_1 := \pi, \quad s_0 := \frac{\pi}{2}.$$
This corresponds to the fast Leja points $z(t_0) := 2$ and $z(t_1) := -2$, and candidate point $z(s_0) := 0$. The next fast Leja point clearly is $z(t_2)$ with $t_2 := s_0$, and the new candidate points $z(s_0)$ and $z(s_1)$ correspond to the parameter values $s_0 = \frac{\pi}{4}$ and $s_1 = \frac{3\pi}{4}$. Then we can choose $t_3$ to be either $s_0$ or $s_1$. This defines the fast Leja point $z(t_3)$. This point is different from the fast Leja point $z(t_3)$ in Example 3.2.
We will see in Example 4.2 below, that the fast Leja points of the present example are inferior to the fast Leja points of Example 3.2. This may depend on that $|z'(t)|$ is not bounded away from zero for $0 \leq t \leq \pi$.
This method of generating fast Leja points generalizes in a straightforward manner to sets $\mathbb{K}$ with a boundary that consists of several components: allocate fast Leja points and candidate points on every boundary curve and boundary arc using a parametric representation for each curve or arc.
We turn to the operation count for generating fast Leja points on a real interval as described in Example 3.2. Assume that the fast Leja points $\{z(t_j)\}_{j=0}^{k}$, the interlacing candidate points $\{z(s_j)\}_{j=0}^{k-1}$, and the products
$$(3.2) \quad \pi_{j,k-1} := w(z(s_j)) \prod_{q=0}^{k-1} |z(s_j) - z(t_q)|, \quad 0 \leq j \leq k - 3,$$
are known. We evaluate the products
\[
\pi_{j,k} := \pi_{j,k-1} |z(s_j) - z(t_k)|, \quad 0 \leq j \leq k - 3,
\]
as well as
\[
\pi_{j,k} := w(z(s_j)) \prod_{q=0}^{k} |z(s_j) - z(t_q)|, \quad j = k - 2, k - 1.
\]
The next fast Leja point is given by \(z(t_{k+1}) := z(s_q)\), where the index \(q\) is determined by the condition
\[
(3.3) \quad \pi_{q,k} = \max_{0 \leq j < k} \pi_{j,k}.
\]
The point \(z(s_q)\) is removed from the set of candidate points, and we let \(s_j := s_{j-1}\) for \(j = q, q + 1, \ldots, k - 1\). This yields the candidate points \(\{z(s_j)\}_{j=0}^{k-1}\). To this set we add two new candidate points, \(z(s_k)\) and \(z(s_{k+1})\), adjacent to \(z(t_{k+1})\). We are now in a position to determine the next point \(z(t_{k+2})\) in the sequence of fast Leja points. The computations can be simplified by working with linked lists of fast Leja points and candidate points. In the MATLAB code in the Appendix such linked lists are simulated by using index arrays.
The count of arithmetic floating point operations (+, -, *, /) for the computation of the fast Leja point \(z(t_{k+1})\) as outlined above is \(4k + O(1)\). Thus, the set of fast Leja points \(\{z(t_j)\}_{j=0}^{k}\) can be computed in \(2k^2 + O(k)\) arithmetic operations when the products (3.2) are stored. This operation count ignores the evaluation of the absolute values.
**4. Numerical examples.** Computed examples of this section indicate that fast Leja points can be valuable for polynomial approximation by interpolation and for eigenvalue computation. All numerical experiments were carried out on an HP 9000/735 work station using double precision arithmetic, i.e., with approximately 16 significant digits.
**Fig. 4.1. Example 4.1:** Graphs for \(\prod_{j=0}^{n-1} |z_n - z_j|^{1/n}\) as \(n\) increases.
4.1. Polynomial interpolation. We present examples that illustrate the behavior of the products in (2.2) and (2.3) in Theorem 2.1 and display approximation errors obtained by polynomial interpolation at Chebyshev points, Leja points and fast Leja points. Polynomial interpolation is an important application of fast Leja points. This application, moreover, reveals how similar the distribution of fast Leja points is to the distribution of Chebyshev points already for a fairly small number of points.
Example 4.1. Let $\mathbb{K} := [-2, 2]$ and $w(z) := 1$. According to Example 2.2, $\mathbb{K}$ has capacity $\kappa = 1$. Let $\{z_j\}_{j=0}^{\infty}$ be a sequence of Leja points for $\mathbb{K}$ and define the mapping
$$h(n) := \prod_{j=0}^{n-1} |z_n - z_j|^{1/n}, \quad n = 1, 2, \ldots.$$
By Theorem 2.1, $h(n) \geq 1$ and $\lim_{n \to \infty} h(n) = 1$. The graph on the left-hand side of Figure 4.1 displays $h(n)$. We remark that in computations for generating the graph, we replaced the set $\mathbb{K}$ by the discrete set $\mathbb{K}_m(-2, 2)$ defined by (1.7) with $m = 6000$, and generated Leja points for this set. An increase of the number of points $m$ in the set $\mathbb{K}_m(-2, 2)$ did not result in a significantly different graph.
The graph on the right-hand side of Figure 4.1 displays the mapping $h(n)$ when the points $z_j := z(t_j)$ are fast Leja points generated as described in Example 3.2. Comparing the graphs of Figure 4.1 indicates that the mapping $h(n)$ behaves in a similar way for Leja points and fast Leja points. □
**Fig. 4.2. Example 4.2:** Graph of $\max_{z \in \mathbb{K}} \prod_{j=0}^{n-1} |z - z_j|$ for $1 \leq n \leq 500$, $z_j$ fast Leja points generated as described in Example 3.3.
Example 4.2. We examine the products $\prod_{j=0}^{n-1} |z - z_j|$, $n = 1, 2, \ldots$, for $z \in \mathbb{K} := [-2, 2]$ and $w(z) := 1$. Figures 4.2–4.4 display the maximum value of these products on $\mathbb{K}$ when the points $z_j$ are determined in three different ways. In Figure 4.2 the points $z_j$ are generated as described in Example 3.3. During the computation of the $z_j$ the interval $[0, \pi]$ for the parameter $t$ is replaced by a set of 5000 equidistant points. We obtain $\max_{1 \leq n \leq 500} \{\max_{z \in \mathbb{K}} \prod_{j=0}^{n-1} |z - z_j|\} = 528$.
The points $z_j$ for Figure 4.3 are Leja points for $\mathbb{K}_m(-2, 2)$ with $m = 5000$. The value of $m$ is chosen large enough so that the behavior of the products does not change when $m$ is increased. We therefore refer to the computed points $z_j$ as Leja points for $\mathbb{K}$. We note that
the expression $\max_{0 \leq k < n} \{ \max_{z \in \mathbb{K}} \prod_{j=0}^{k-1} |z - z_j| \}$ grows less rapidly with $n$ for the Leja points for $\mathbb{K}$ than for the points $z_j$ used for Figure 4.2.
The points for Figure 4.4 are fast Leja points for $\mathbb{K}$ generated as described in Example 3.2. The expression $\max_{0 \leq k < n} \{ \max_{z \in \mathbb{K}} \prod_{j=0}^{k-1} |z - z_j| \}$ grows slower with $n$ than for any of the other sets of points $z_j$ in this example. Slow growth is advantageous when approximating functions $f$ on $[-2, 2]$ by polynomials that interpolate $f$ at the points $z_j$; see Walsh [19, Chapter 4], de Boor [3, Chapter 2] or [14] for discussions. □
The following two examples compute polynomials in Newton form that interpolate given functions at Chebyshev, Leja and fast Leja points. The stability of the Newton form of the interpolation polynomial when interpolating at Leja points has previously been demonstrated in [14]. The examples below suggest that the stability properties and rate of convergence are the same when interpolating at fast Leja points.
Example 4.3. Let $\mathbb{K} := [-2, 2]$ and $w(z) := 1$. We consider polynomial approximation of the function $f(z) := (1 + \frac{z}{2})^{1/2}$ on $\mathbb{K}$ by interpolating polynomials $p_n$ in Newton form
$$p_n(z) := f[z_0] + \sum_{j=1}^{n} f[z_0, z_1, z_2, ..., z_j] \prod_{k=0}^{j-1} (z - z_k),$$
where the divided differences are defined recursively by
$$f[z_j, z_{j+1}, ..., z_k] := \frac{f[z_{j+1}, z_{j+2}, ..., z_k] - f[z_j, z_{j+1}, ..., z_{k-1}]}{z_k - z_j}$$
and $f[z_j] := f(z_j)$. It is convenient to use the Newton form of the interpolation polynomial, because it easily can be updated when interpolation at additional points is required, e.g., when new fast Leja points have been generated.
This example compares the approximation error for sequences of interpolation polynomials generated in three different ways. We first determine polynomials $p_n$ that interpolate $f$ at the scaled zeros of the $(n+1)$st degree Chebyshev polynomial for $\mathbb{K}$. The zeros are scaled to make the endpoints of $\mathbb{K}$ interpolation points, i.e., we interpolate at the points
$$\mathbb{K}_{n+1} := \left\{ \frac{2 \cos(\frac{2j+1}{2(n+1)} \pi)}{\cos(\frac{\pi}{2(n+1)})} : 0 \leq j \leq n \right\}.$$
We refer to the points in (4.3) as Chebyshev points. Thus, for each value of $n$, the polynomial $p_n$ interpolates $f$ at Chebyshev points. The approximation error
$$\max_{z \in \mathbb{K}} |f(z) - p_n(z)|$$
is close to the error achieved with the best polynomial approximant of degree at most $n$; see, e.g., de Boor [3, Chapter 2]. The smooth curves in Figure 4.5 display the 10-logarithm of the
error (4.4) for polynomials of degree between zero and 300. The rate of convergence is quite slow due to the branch point of $f$ at $z = -2$.
In order to be able to evaluate polynomials of high degree, we ordered the points in each set $\tilde{K}_{n+1}$ like Leja points before using them in (4.1) and (4.2). This ordering is determined by replacing the set $K$ in (1.1) and (1.2) by the set (4.3), and it reduces the propagation of round-off errors; see [14]. We remark that the interpolation polynomial has to be recomputed for each point set $\tilde{K}_{n+1}$, because the intersection $\tilde{K}_n \cap \tilde{K}_{n+1}$ only contains few points.
The second sequence of interpolation polynomials $p_n$ is obtained by using Leja points for the discrete set $\tilde{K}_{3000}(-2, 2)$ defined by (1.7) as interpolation points. The computed interpolation points approximate Leja points for $K$, and we refer to the interpolation points as Leja points. The staircase curve on the left-hand side of Figure 4.5 shows the approximation error (4.4) obtained with these interpolation polynomials. The error is fairly close to the error achieved when interpolating at Chebyshev points. Note that interpolation in Leja points can give a smaller error than interpolation at Chebyshev points.
Finally, we interpolate $f$ at fast Leja points for $K$ generated as described in Example 3.2. The staircase curve on the right-hand side of Figure 4.5 displays the approximation error (4.4). The approximation error achieved is close to the error obtained when interpolating at Chebyshev points, however, the arithmetic work required for generating the sequence of polynomials that interpolate at fast Leja points is much smaller. □
**Fig. 4.6.** *Example 4.4: $\log_{10}(\max_{z \in K}|f(z) - p_n(z)|)$ for $1 \leq n \leq 300$, where the polynomial $p_n$ of the form (4.1) interpolates $f(z) := (1 + \frac{25}{4}z^2)^{-1}$ at Chebyshev points (4.3) (jagged curve in both graphs), at Leja points for $\tilde{K}_{3000}(-2, 2)$ (top curve on the left), and at fast Leja points (top curve on the right).*
**Example 4.4.** Consider the approximation of the Runge function $f(z) := (1 + \frac{25}{4}z^2)^{-1}$ on the interval $K := [-2, 2]$ by interpolating polynomials $p_n$ given by (4.1). We interpolate $f$ at the same sequences of interpolation points as in Example 4.3. Figure 4.6 displays the computed errors $\max_{z \in K}|f(z) - p_n(z)|$ and is analogous to Figure 4.5. In particular, the figure shows that interpolation at fast Leja points gives the same rate of convergence as interpolation at Chebyshev points as the degree of the polynomial increases. The convergence is geometric, because $f$ is analytic in an open set containing $K$. □
The fact that polynomial interpolation at fast Leja points in the Examples 4.3 and 4.4 gives about the same error as interpolation in Chebyshev points, suggests that fast Leja points and Chebyshev points are distributed similarly already for a fairly small number of points.
The distribution of fast Leja points is presently being investigated.
4.2. Eigenvalue computation. The determination of a few, say $k$, eigenvalues and associated eigenvectors of a large sparse symmetric matrix $A \in \mathbb{R}^{n \times n}$, $n \gg k$, is an important computational problem that arises in many applications. The difficulties associated with determining eigenvalues has spurred considerable research; see, e.g., Saad [15] for a survey and references. Recently, Sorensen [17] proposed the Implicitly Restarted Arnoldi (IRA) method for the computation of a few eigenvalues of a large sparse nonsymmetric matrix, and the closely related Implicitly Restarted Lanczos (IRL) method for the computation of a few eigenvalues of a large sparse symmetric matrix. Improvements and analyses of these methods have been presented by Lehoucq and Sorensen [9, 10]. ARPACK by Lehoucq et al. [11] implements these methods.
The IRA and IRL methods can be regarded as curtailed QR algorithms for the nonsymmetric and symmetric eigenvalue problems, respectively. Similarly as in the QR algorithms, the choice of shifts is important for the performance of the IRA and IRL methods. The IRA method generates a sequence of small Hessenberg matrices, whose spectral factorizations are computed. In the IRL method, the Hessenberg matrices generated are real and symmetric. Lehoucq and Sorensen [9, 10, 17] propose to use some of the computed eigenvalues as shifts. This approach has recently been analyzed by Morgan [13]; see also Calvetti et al. [6] and Stathopoulos et al. [18] for related discussions.
The convergence of the IRA and IRL methods can be studied by considering certain polynomial approximation problems. Specifically, one would like to determine an accelerating polynomial that is of large magnitude in areas of the complex plane that contain the $k$ eigenvalues of interest and small elsewhere. For instance, when computing the $k$ smallest eigenvalues of a large symmetric matrix, we would like the polynomial to be large in an interval that contains these $k$ eigenvalues, and small on an interval that contains the remaining eigenvalues. The eigenvalues of the sequence of the small symmetric tridiagonal matrices generated by the IRL method help us determine a sequence of intervals $[a_j, b_j]$, $j = 1, 2, \ldots$, that do not contain any of the desired $k$ smallest eigenvalues of the matrix, but many of the undesired ones. We describe in [1, 2] how a polynomial $p_q^{(j)}$ that is small on the interval $[a_j, b_j]$ can be determined by letting it have Leja points $\{z_k^{(j)}\}_{k=0}^{q-1}$ for a set $\mathbb{K}_m(a_j, b_j)$ as zeros. Thus,
$$p_q^{(j)}(z) := c_j \prod_{k=0}^{q-1} (z - z_k^{(j)}),$$
where $c_j$ is a scaling factor of no significance for the convergence. When allocating the Leja points $\{z_k^{(j)}\}_{k=0}^{q-1}$, the presence of the points $\bigcup_{r=1}^{j-1} \{z_k^{(r)}\}_{k=0}^{q-1}$ for previous intervals $[a_r, b_r]$, $1 \leq r < j$, is taken into account; see [1, 2] for details. The accelerating effect of all the polynomials is described by the product polynomial
$$p_{jq}(z) := \prod_{r=1}^{j} p_q^{(r)}(z).$$
Details on how Leja points can be applied to compute a few extreme or nonextreme eigenvalues can be found in [1, 2]. The points $z_k^{(j)}$ are analogous to the shifts in the QR algorithm. We therefore refer to the $z_k^{(j)}$ as Leja shifts in the context of eigenvalue computations.
Leja shifts are compared to Chebyshev shifts in [2, Example 5.2]. The latter are defined as follows. For each $r = 1, 2, \ldots$ the Chebyshev shifts $\{z_k^{(r)}\}_{j=0}^{q-1}$ are the zeros of the Chebyshev polynomial of the first kind of degree $q$ for the interval $[a_r, b_r]$. Chebyshev shifts are
found to yield slower convergence than Leja shifts. This depends on that Chebyshev shifts for the interval \([a_r, b_r]\) are distributed independently of already allocated Chebyshev shifts for the intervals \([a_s, b_s]\) for \(s < r\). The allocation of fast Leja points for \([a_r, b_r]\), on the other hand, takes the distribution of previously allocated fast Leja points into account; see [2] for further discussion. An interactive example that demonstrates this is available at web site http://etna.mcs.kent.edu/xxx.
We propose the use of fast Leja points for the sequence of intervals \([a_j, b_j], j = 1, 2, \ldots,\) to define the accelerating polynomials (4.5) and (4.6). The examples below compare Leja points for the sets \(\mathbb{K}_m(a_j, b_j)\) with \(m = 1000\) or \(m = 3000\) with fast Leja points for the intervals \([a_j, b_j]\). The number of matrix-vector product evaluations with the matrices \(A\) are compared. We also tabulate the CPU time required for computing Leja points for \(\mathbb{K}_{1000}(a_j, b_j)\) and \(\mathbb{K}_{3000}(a_j, b_j)\), and fast Leja points for \([a_j, b_j]\). We remark that when computing Leja points for sets \(\mathbb{K}_m(a_j, b_j)\), the polynomial has to be evaluated at each one of the \(m\) points of \(\mathbb{K}_m(a_j, b_j)\) for every change of interval \([a_j, b_j]\). This evaluation can be expensive when the polynomial is of high degree. The degree equals the number of evaluations of matrix-vector products with the matrix \(A\). Fast Leja points makes these evaluations unnecessary, and this contributes to making fast Leja points faster to determine than Leja points for the sets \(\mathbb{K}_m(a_j, b_j)\).
**Table 4.1**
*Example 4.5: \(A = \text{diag}(1, 2, 3, \ldots, 2500)\)*
| Shifts | CPU time for shifts | # matrix-vector products |
|---------------------------------------------|---------------------|--------------------------|
| | | |
| \# Lanczos vectors = 5 | | |
| fast Leja points | 0.20 sec. | 510 |
| Leja points for sets \(\mathbb{K}_{1000}(a, b)\) | 12.29 sec. | 551 |
| Leja points for sets \(\mathbb{K}_{3000}(a, b)\) | 37.23 sec. | 553 |
| | | |
| \# Lanczos vectors = 10 | | |
| fast Leja points | 0.27 sec. | 540 |
| Leja points for sets \(\mathbb{K}_{1000}(a, b)\) | 5.07 sec. | 526 |
| Leja points for sets \(\mathbb{K}_{3000}(a, b)\) | 13.7 sec. | 507 |
| | | |
| \# Lanczos vectors = 15 | | |
| fast Leja points | 0.17 sec. | 508 |
| Leja points for sets \(\mathbb{K}_{1000}(a, b)\) | 3.05 sec. | 510 |
| Leja points for sets \(\mathbb{K}_{3000}(a, b)\) | 8.58 sec. | 497 |
**Example 4.5.** We wish to compute the three smallest eigenvalues of the matrix
\[(4.7) \quad A = \text{diag}(1, 2, 3, \ldots, 2500),\]
by Algorithm 4.1 in [1] with fast Leja points as shifts. We set the tolerance of the algorithm to \(1 \cdot 10^{-4}\). Table 4.1 reports the number of matrix-vector products required and the CPU time necessary to compute the fast Leja points. For comparison, we also used Leja points for sets \(\mathbb{K}_m(a_j, b_j)\) as shifts, for \(m = 1000\) and \(m = 3000\). Table 4.1 shows the number of matrix-vector product evaluations to be about the same for the different choices of shifts, however, the computation of fast Leja points is much faster than the determination of Leja points for the sets \(\mathbb{K}_m(a_j, b_j)\). \(\square\)
**Example 4.6.** This example differs from Example 4.5 only in the choice of matrix \(A\). Thus, we let \(A = \text{diag}(a_1, a_2, \ldots, a_{100})\) have entries \(a_j := \frac{j^2}{100}\) and compute the three
Example 4.6: $A = \text{diag}(a_1, a_2, \ldots, a_{100})$ with entries $a_i = \frac{i^2}{100}$. $1 \leq i \leq 100$
| Shifts | CPU time for shifts | # matrix-vector products |
|---------------------------------------------|---------------------|--------------------------|
| | | |
| # Lanczos vectors = 5 | | |
| fast Leja points | 0.09 sec. | 369 |
| Leja points for sets $\mathbb{K}_{1000}(a, b)$ | 5.74 sec. | 340 |
| Leja points for sets $\mathbb{K}_{3000}(a, b)$ | 21.25 sec. | 374 |
| | | |
| # Lanczos vectors = 10 | | |
| fast Leja points | 0.15 sec. | 378 |
| Leja points for sets $\mathbb{K}_{1000}(a, b)$ | 2.69 sec. | 368 |
| Leja points for sets $\mathbb{K}_{3000}(a, b)$ | 6.93 sec. | 344 |
smallest eigenvalues by Algorithm 4.1 of [1] with the tolerance set to $1 \cdot 10^{-3}$. Table 4.2 reports the number of matrix-vector products required and the CPU time for the computation of the shifts. □
Example 4.7. Let $A = \text{diag}(a_1, a_2, \ldots, a_{500})$ with $a_{2j} := \sqrt{j}$ and $a_{2j-1} := -\sqrt{j}$, $1 \leq j \leq 250$. We want to compute the smallest positive and largest negative eigenvalues of $A$, as well as corresponding eigenvectors, by Algorithm 4.2 described in [1]. Since the desired eigenvalues are in the middle of the spectrum, the accelerating polynomials have to be small on a sequence of pairs of intervals $[a_j, b_j] \cup [a'_j, b'_j]$, such that $b_j < 0 < a'_j$. We store eight Lanczos vectors and set the tolerance in the algorithm to $1 \cdot 10^{-3}$. The computation of the desired eigenpairs with fast Leja points as shifts required 190 matrix-vector products with the matrix $A$. When, instead, we used Leja points for sequences of sets $\mathbb{K}_{4000}(a_j, b_j) \cup \mathbb{K}_{4000}(a'_j, b'_j)$ as shifts, 218 matrix-vector product evaluations are required.
5. Conclusion. Fast Leja points are introduced, and shown to have desirable properties for polynomial approximation and eigenvalue computation. The ease of their computation makes them attractive to use in these applications.
Acknowledgment. We would like to thank Norm Levenberg for discussions.
REFERENCES
[1] J. Baglama, D. Calvetti and L. Reichel, *Iterative methods for the computation of a few eigenvalues of a large symmetric matrix*, BIT, 36 (1996), pp. 400–421.
[2] J. Baglama, D. Calvetti, L. Reichel and A. Ruttan, *Computation of a few small eigenvalues of a large matrix with application to liquid crystal modeling*, J. Comput. Phys., 146 (1998), pp. 203–226.
[3] C. de Boor, *A Practical Guide to Splines*, Springer, New York, 1978.
[4] D. Calvetti and L. Reichel, *Adaptive Richardson iteration based on Leja points*, J. Comput. Appl. Math., 71 (1996), pp. 267–286.
[5] D. Calvetti and L. Reichel, *An adaptive Richardson iteration method for indefinite linear systems*, Numer. Algorithms, 12 (1996), pp. 125–149.
[6] D. Calvetti, L. Reichel and D. C. Sorensen, *An implicitly restarted Lanczos method for large symmetric eigenvalue problems*, Electron. Trans. Numer. Anal., 2 (1994), pp. 1–21.
[7] A. Edrei, *Sur les déterminants récurrents et les singularités d'une fonction donnée par son developpement de Taylor*, Compositio Math., 7 (1939), pp. 20–88.
[8] H. Ehlich and K. Zeller, *Schwankung von polynomen zwischen gitterpunkten*, Math. Z., 86 (1964), pp. 41–44.
[9] R. B. Lehoucq, *Analysis and implementation of an implicitly restarted Arnoldi iteration*, Ph.D. Thesis, Rice University, Houston, 1995.
[10] R. B. Lehoucq and D. C. Sorensen, *Deflation techniques for an implicitly restarted Arnoldi iteration*, SIAM J. Matrix Anal. Appl., 17 (1996), pp. 789–821.
[11] R. B. Lehoucq, D. C. Sorensen and C. Yang, *ARPACK Users’ Guide: Solution of Large Scale Eigenvalue Problems with Implicitly Restarted Arnoldi Methods*, SIAM, Philadelphia, 1998.
[12] F. Leja, *Sur certaines suits liées aux ensemble plan et leur application à la representation conforme*, Ann. Polon. Math., 4 (1957), pp. 8–13.
[13] R. B. Morgan, *On restarting the Arnoldi method for large nonsymmetric eigenvalue problems*, Math. Comp., 65 (1996), pp. 1213–1230.
[14] L. Reichel, *Newton interpolation at Leja points*, BIT, 30 (1990), pp. 332–346.
[15] Y. Saad, *Numerical Methods for Large Eigenvalue Problems*, Halstead Press, New York, 1992.
[16] E. B. Saff and V. Totik, *Logarithmic Potentials with Extremal Fields*, Springer, Berlin, 1997.
[17] D. C. Sorensen, *Implicit application of polynomial filters in a k-step Arnoldi method*, SIAM J. Matrix Anal. Appl., 13 (1992), pp. 357–385.
[18] A. Stathopoulos, Y. Saad and K. Wu, *Dynamic thick restarting of the Davidson and the implicitly restarted Arnoldi methods*, SIAM J. Sci. Comput., 19 (1998), pp. 246–265.
[19] J. L. Walsh, *Interpolation and Approximation by Rational Functions in the Complex Domain*, 5th ed., Amer. Math. Soc., Providence, RI, 1969.
6. Appendix. We present a MATLAB code for the generation of fast Leja points for an interval \([a, b]\) as described in Example 3.2. The notation used in the MATLAB code is similar to that of Example 3.2.
```matlab
% Variables:
% a right endpoint of the interval [a,b], presently set to -2
% b left endpoint of the interval [a,b], presently set to 2
% nflp number of fast Leja points to be computed, presently set to 500
% zt(j) fast Leja point
% zs(j) candidate points
% index pointers for candidate points
% index(k,1) -> pointer to the fast Leja point to the left of zs(k)
% index(k,2) -> pointer to the fast Leja point to the right of zs(k)
% zprod product |z-zt(k)| over k. The product is evaluated for all candidate points z=zs(j) in the array zs.
a = -2; b = 2; nflp = 500;
if abs(a) > abs(b), zt = [a,b]; else zt = [b,a]; end
zt(3) = (a+b)/2;
zs(1) = (zt(2)+zt(3))/2; zs(2) = (zt(3)+zt(1))/2;
zprod(1) = prod(zs(1)-zt); zprod(2) = prod(zs(2)-zt);
index(1,1) = 2; index(1,2) = 3; index(2,1) = 3; index(2,2) = 1;
for i = 4:nflp
[maxval,maxi] = max(abs(zprod));
zt(i) = zs(maxi);
index(i-1,1) = i; index(i-1,2) = index(maxi,2); index(maxi,2) = i;
zs(maxi) = (zt(index(maxi,1))+zt(index(maxi,2)))/2;
zs(i-1) = (zt(index(i-1,1))+zt(index(i-1,2)))/2;
zprod(maxi) = prod(zs(maxi)-zt(1:i-1));
zprod(i-1) = prod(zs(i-1)-zt(1:i-1));
zprod = zprod.*(zs-zt(i));
end
The determination of the candidate points \(zs(j)\) is accomplished by using an array \(index\), where \(index(k,1)\) points to the fast Leja point after the candidate point \(zs(k)\), and \(index(k,2)\) points to the fast Leja point before the candidate point \(zs(k)\). The use of the array \(index\) makes it possible to determine new candidate points without explicitly ordering the fast Leja points. | <urn:uuid:7a05e05b-108e-4afa-9822-867e56555993> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 50,170 |
Excellentie, geachte veteranen, collega's, dames en heren,
Een warm welkom op deze 18 e veteranendag van de koninklijke marechaussee en bij deze traditionele herdenking. En in het bijzonder heet ik luitenantgeneraal van Griensven, Inspecteur-generaal der Krijgsmacht welkom, fijn dat u met ons deze dag kan ervaren.
De herdenking waarbij wij stil staan bij onze gevallen kameraden, Kameraden van de Koninklijke Marechaussee, het Korps Politie Troepen en het Korps Militaire Politie.
Wij herdenken hen die we hebben verloren in de Tweede Wereldoorlog, in Nederlands-Indië, Nieuw-Guinea en Korea.
En de collega's die om het leven zijn gekomen in voormalig Joegoslavië, de Sinaï, Angola en Irak.
Een herdenking zoals vandaag laat ons stil staan bij wat er gebeurd is en bij wie wij verloren zijn.
Het roept herinneringen en verhalen op.
Stilte
Herinneringen en verhalen die we moeten koesteren,
Herinneringen en verhalen die vragen om erkenning en waardering.
Èn om zorg.
Zorg die u als veteraan, jong en oud, zo verdiend heeft.
Door te herinneren geven wij erkenning en waardering aan wat iedereen heeft gedaan en betekend.
Door het delen van verhalen geven we elkaar zorg,
Door het luisteren naar de verhalen hebben we aandacht voor elkaar, voor elkaars verhaal,
en voor elkaars herinnering.
Dat brengt mij bij de herinnering aan een groot man, een boegbeeld.
Hij was mede-oprichter en voorzitter van de Stichting Veteranen Platform, luitenant-generaal Ted Meines.
Door velen werd hij ook wel 'de vader van de veteranen' genoemd.
Vorig jaar sprak hij nog tijdens deze herdenking. Op 95-jarige leeftijd kwam hij eind vorig jaar helaas te overlijden. Vandaag missen wij hem.
Zijn gepassioneerde speeches staan velen van ons nog vers in het geheugen. Dikwijls citeerde hij daarin het 6 e couplet van het Wilhelmus en declameerde hij zijn 3 pijlers, pijlers waar wij, zo zei hij, op konden bouwen;
zelfvertrouwen, vertrouwen in het team en vertrouwen in God. Want zei de generaal; dan pas was je een goed militair.
Wij missen hem.
Zijn inzet voor een actief veteranenbeleid zorgde dat er ook erkenning en waardering vanuit de samenleving kwam.
Stilte
Erkenning en waardering voor de inzet van veteranen is belangrijk
Erkenning van ons zelf en anderen geeft zelfvertrouwen,
Waardering voor een ander geeft teamspirit
En behalve de fysieke zorg vinden wij ook mentale steun in de zorg van familie en collega's.
Ik denk dat generaal Meines het mij eens zou zijn dat we kracht kunnen putten uit deze pijlers, kracht kunnen halen uit de verhalen en herinneringen uit vervlogen tijden. Door ze te blijven delen met elkaar geven we het stokje steeds weer door. En kunnen we deze kracht vasthouden en inzetten voor de toekomst, aangepast naar de tijd.
Naast erkenning, waardering en zorg in het verleden is het goed om ook naar het hier en nu te kijken.
Want hoewel de omgeving waarin we werken continu verandert , blijven we de veiligheid van Nederland en zijn inwoners bewaken.
Dat deden zij, en dat blijven wij doen
Nu, maar ook tijdens toekomstige operaties en missies.
Niet altijd op dezelfde plek of op dezelfde manier, maar aangepast naar de plek, de omstandigheden en de middelen
maar altijd vanuit hetzelfde fundament.
En ook dan blijft erkenning en waardering van de inzet en de zorg voor onze mensen en elkaar belangrijk.
Als politieorganisatie moeten we niet strak blijven zitten in een regime maar flexibel omgaan met dat wat er van ons gevraagd wordt.
De terreurdreiging maakt dat wij de inzet in Nederland als intensiever ervaren, er wordt steeds vaker een beroep op ons gedaan. Zo ook in de rest van de wereld, neem Mali, Irak en Afghanistan. Steeds vaker worden onze mensen gevraagd om in deze landen te helpen het lokale politieapparaat op te bouwen.
Daar hoort erkenning, waardering en zorg bij, voor onze mensen, onze veteranen.
Het is belangrijk dat Nederland en wij dit blijven zien, hier aandacht aan schenken en dit blijven uitdragen.
Vandaag geven we ook erkenning en waardering aan onze gevallen collega's door met elkaar tijdens deze herdenking bij hen stil te staan.
En vandaag luister ik graag naar uw verhalen en geef ook ik u de erkenning en waardering die u verdient.
Laten we straks verhalen met elkaar delen, er voor elkaar zijn en spreekwoordelijk 'het stokje doorgeven' aan de jongere generatie zodat zij inspiratie putten uit uw ervaringen.
Laat het thema van vandaag een thema zijn voor de toekomst, zodat wij blijven delen, blijven doorgeven en vooral: blijven waarderen.
stilte
Ik wens u een mooie dag toe, met veel verhalen en herinneringen.
Dank u wel | <urn:uuid:427cc97b-b93d-4391-9c0e-104ddc5afec0> | HuggingFaceFW/finepdfs/tree/main/data/nld_Latn/train | finepdfs | nld_Latn | 4,628 |
Investor Presentation
December/2022
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First regional infrastructure hub focused on gathering opportunities in the infrastructure and energy sectors that are most relevant and open to private investment.
Learn more at: [https://latamprojectshub.org/](https://latamprojectshub.org/)
BNDES' Projects Factory\(^1\) was accredited as the largest developer of concession/privatization projects in the world
| Auctions already held (since 2019) | 35 auctioned projects\(^1\) | BRL 251 bn mobilized capital\(^2\) |
|-----------------------------------|-----------------------------|----------------------------------|
| Active portfolio | 153 mandated projects\(^1\) | BRL 215 bn capital to be mobilized\(^2\) |
| Category | Projects | Subcategories | Number |
|---------------------------------|----------|---------------|--------|
| Environmental Assets (71) | | Parks | 46 |
| | | Forests | 25 |
| Social Infrastructure (12) | | Health | 5 |
| | | Education | 4 |
| | | Safety | 3 |
| Energy Infrastructure (9) | | Electricity | 7 |
| | | Natural Gas | 2 |
| Logistics Infrastructure (35) | | Highways | 31 |
| | | Ports | 4 |
| Urban Infrastructure (40) | | Sanitation | 20 |
| | | Mobility | 6 |
| | | Public lighting | 11 |
| | | Solid Waste | 3 |
| Real Estate (16) | | Housing | 16 |
| Others (5) | | Communications| 2 |
| | | Supply | 1 |
| | | Industry | 1 |
| | | Non-financial services | 1 |
1/ Position on September 30, 2022
2/ Total project number does not include sale of equity interests
2/ Concessions and PPPs: CAPEX for the entire concession period and concessions already committed or estimated; Privatizations: Disposals, private debt assumption, and investment commitments from completed or planned operations
Who we are
We are the Federal Government's main provider of investments and long-term funding in various sectors of the Brazilian economy.
100% federal government-owned company, not subject to intervention, extrajudicial liquidation or bankruptcy.
BNDESPAR: BNDES subsidiary dedicated to operating in the capital market.
FINAME: BNDES subsidiary dedicated to financing the production and acquisition of Brazilian machinery and equipment.
Our work has changed along with Brazilian society, but our priority has always been development.
1952 - Foundation of BNDE
Focus on Infrastructure
1966 - Creation of FINAME
Focus on Brazilian industry and import substitution policy
1971 - BNDE is converted into a state-owned company
Launch of the I National Development Plan (PND)
1974 - BNDE starts managing PIS-Pasep resources
1982 - Addition of "S" to BNDES, with the establishment of Finsocial Foundation of BNDESPAR
1983 - Launch of the Export Growth Support Program (PROEX)
1990 - National Privatization Program (PND)
BNDES operates in privatizations
1994 - Creation of the Long-Term Interest Rate (TJLP)
1996 - Support for preservation of cultural and historical heritage
1997 - Creation of BNDES-Exim
2002 - Launch of the BNDES Credit Card
Support for MSMEs
2006 - Innovation support
2008 - Creation of the Amazon Fund
2011 - Wind power support
2014-16 - Support for urban mobility
2014 World Cup and 2016 Olympic Games
2016 - Establishment of PPI
Focus on supporting privatization
2019 - Implementation of the 2020-2022 Three-year Plan
2020 - Implementation of measures against the economic impacts arising from COVID-19
## Comparison between BNDES and International DBs (2021 data)¹
| | BNDES | CDB | DBJ | KDB | KFW | EIB | COFIDE |
|----------------------|--------|--------|---------|-------|-------|--------|--------|
| **Location** | Brazil | China | Japan | South Korea | Germany | Luxembourg | Peru |
| **Rating (Moodys/S&P)** | Ba2 / BB- | Aa3 / AA- | A1 / A | Aa2 / AA | Aaa / AAA | Aaa / AAA | Baa3 / BBB |
| **Assets (BRL bn)** | 737 | 15,084 | 1,070² | 1,567 | 3,553 | 3,589 | 18.1 |
| **BIS ratio (%)** | 40.2 | 11.7 | 16.8 | 14.9 | 23.9 | 32.3 | 30.1 |
| **NPL (%)** | 0.2 | 0.8 | 0.5 | 1.7 | n/a | 0.4 | 6.6 |
| **ROA³ (%)** | 4.5 | 0.5 | 0.2 | 0.4 | 0.3 | 0.5 | n/a |
| **ROE⁴ (%)** | 28.4 | 5.4 | 1.3 | 2.9 | 6.0 | 3.4 | 1.9 |
¹ Source: Annual 2021 reports of the banks available on their websites
² Amount disclosed for fiscal year 2021 converted to BRL with base date of 12.31.2021
³ ROA (return on assets)
⁴ ROE (return on equity)
How do we generate value?
**WE ACQUIRE**
- **INPUTS**
- FINANCIAL
- HUMAN
- INTELLECTUAL
- SOCIAL AND RELATIONAL
**HAVING AS**
- **INSTITUTIONAL IDENTITY**
- PURPOSE
Transforming the lives of generations, promoting sustainable development
- VALUES
Ethics, public spirit, commitment to development and excellence
- PRINCIPLES
Commitment, agility, cooperation, innovation, transparency and effectiveness
- MISSION
Propose and enable solutions that transform the productive sector and promote sustainable development
- VISION
To be the Brazilian sustainable development bank
- BEHAVIORS
Decisions based on purpose, excellence in customer service, innovative perspective, engaging leadership, collaboration and integration, and continuous development
- **STRATEGIC MISSIONS**
- INFRASTRUCTURE
- PRODUCTION STRUCTURE
- SOCIAL
- ENVIRONMENTAL
- MSME
- MODERNIZATION OF THE STATE
- EMERGENCY
**STAKEHOLDERS**
- SOCIETY
- GOVERNMENT
- CONTROL AND SUPERVISORY BODIES
- INVESTORS
- INTERNAL PUBLIC
- CLIENTS
- FINANCIAL AGENTS
- ACADEMIA
**GENERATING**
- **OUTCOMES**
- FINANCIAL
- MANUFACTURED
- INTELLECTUAL
- SOCIAL AND RELATIONAL
- NATURAL
**PRODUCTS AND SERVICES**
- FINANCING
- SERVICES
- SHAREHOLDINGS
- GUARANTEES
- NON-REFUNDABLE SUPPORT
- KNOWLEDGE PRODUCTION
Financial support: multiple forms to meet the various agendas
**Credit**
Direct or indirect support (through accredited financial institutions) to companies of all sizes, for machinery acquisition, business and infrastructure modernization and expansion projects.
**Services**
Strategic role in coordinating efforts and resources (public and private) to enable projects from different segments, reduce bottlenecks and generate investment opportunities in privatization.
**Guarantees**
Guarantees offered through BNDES FGI, which aims to contribute to the expansion of access to credit for micro, small and medium-sized enterprises.
Financial support: multiple forms to meet the various agendas
**Equity/Funds**
Complementary role to the market and to the financing products of BNDES, in order to contribute to business plans and strengthen the capital structure of companies, besides developing the capital market in general, through incentives to best corporate governance practices and social and environmental initiatives.
**Grants**
We grant financial support to social, cultural, environmental, scientific and technological projects, complementing refundable financial support for investment projects. Resources may originate in part from our profit or from donations.
Results to society: credit
BNDES has committed to 15 outcomes to society by 2022\(^1\), aligned with the UN Sustainable Development Goals.
**Energy**
- 7 GW - installed capacity of renewable energy
- 9 2.2k Km - natural gas distribution network
**Logistics**
- Construction, duplication or modernization:
- 2.5k km - railways
- 5.0k km - highways
**Sanitation**
- 3 5.5 MM people – sewage collection connections
- 6 1 MM people - drinking water distribution networks connections
**Urban mobility**
- 11 Up to 1 MM passengers/day - serviced by new urban mobility systems
**Technology**
- 9 4 MM households - served by fixed broadband internet services
**Education**
- 4 1 MM students - attended through financial support to basic and/or vocational education
**Healthcare**
- 3 1k of public healthcare system (SUS) units - construction or modernization
**Public Security**
- 16 20 projects – public security intelligence services in the country’s most violent municipalities
**Employment**
- 8 6.57 million generated or maintained direct and indirect jobs
**SME**
- 8 625k SMEs and individuals supported in automatic operations
---
\(^1\) Outcomes revised and expanded on Dec 2020
Results to society: services
Five of the 15 outcomes refer to the project structuring service in the following sectors:
Sanitation 6
20 MM people with sewage system access
Parks and Forests 13 | 15
Concession of 20 Conservation Units:
National Parks and National Forests
Privatization of state-owned enterprises and structuring of Real Estate Investment Funds 16
30 Privatization processes: sale of companies or structuring of real estate funds
Logistics 9
Private management of public ports - 30% overall BR trade exchanges
13,670 km highways extensions
1/ Outcomes revised and expanded on Dec 2020
International agreements and partnerships
BNDES traditionally works together with other financial institutions to foster development for Brazilians
**Objective**
- **Co-financing, project structuring, guarantees, green finance, Blockchain, capital market development**
- **Investments in strategic areas for development**
- **Infrastructure projects, urban mobility, public security, export support, sustainable and innovative investments**
---
1/ IDB Invest was known as the IIC - Inter-American Investment Corporation
Sustainability at BNDES
BNDES has a solid track record of E&S policies
| Year | Corporate Level | Operations Level | Sector Level |
|------|-----------------|------------------|--------------|
| 1999 | Social and Environmental Responsibility Policy (PRSA) | Environmental Policy | Cattle Raising Social and Environmental Policy |
| ... | PRSA updated - RES CMN 4.327/2014 | Social and Environmental Policy | Thermoelectric Power Social and Environmental Policy |
| 2009 | PRSA Plan 2015 – 2017 | Export Social and Environmental Policy | Sugar and Ethanol Social and Environmental Policy |
| 2012 | PRSA Plan 2018 – 2020 | Capital Markets Social and Environmental Policy | Mining Social and Environmental Policy |
| 2015 | PRSA updated | Gender Equality and Valorization of Diversity Policy | |
| 2018 | Regulation of Bidding and Contracts | Social and Environmental Sustainability Committee (CSS) | |
| 2019 | Sustainability Committee (CS) | | |
| 2020 | Regulation of Social and Environmental Management of Operations | | |
| 2021 | PRSAC¹/ | | |
| 2022 | PRSA Plan 2022 – 2024 | | |
1/ PRSAC - Social, Environmental and Climate Responsibility Policy of the BNDES System
And, in 2021, BNDES has reaffirmed its commitment to sustainable development
At this critical moment for humanity, we reaffirm our commitment to a prosperous and fair future for all with the publication of our sustainability goals and commitments.
Our sustainability goals
- **Promote sustainable development in Brazil, supporting the achievement of the SDGs**
- **Promote the transition to a carbon-neutral economy in the country**
- **Expand the ESG practices in our organization and encourage their adoption in the country**
| Commitment 1 | Commitment 2 | Commitment 3 | Commitment 4 | Commitment 5 |
|--------------|--------------|--------------|--------------|--------------|
| Contribute to bring basic services to those who need it the most | Help creating job opportunities and support entrepreneurship | Support the expansion of sustainable infrastructure and industry | Contribute to the expansion of the use of renewable energy | Support the preservation and restoration of forests and parks |
The carbon neutral targets of our Climate Strategy:
- Carbon Neutral by 2050
- Neutralization of scope 1, 2 and travel-related emissions as of 2025
- Conclusion of the inventory of scope 3 emissions of our portfolios
- Definition, in 2023, of carbon neutral targets for the direct, indirect and variable income credit portfolios
- Definition, in 2023, of engagement goals to accelerate the transition of clients into a carbon neutral status
- Incorporation, in 2023, of carbon accounting for the approval of new projects
Sustainability at BNDES: what do we support?
We foster sustainable development and better living conditions by offering favorable conditions on financial investments.
We also support projects in the following sectors:
- Renewable energy and energy efficiency
- Sanitation and recovery of brownfields
- Corporate social investments, social and productive inclusion and microcredit
- Recovery and preservation of biomes
- Urban development and sustainable mobility, healthcare, education and public safety
Leap in sustainability: in the past 3 years, BNDES expanded and diversified its activities as a bank for the sustainable development of Brazil
**ADDITIONAL PRODUCTS**
- Linked Loans
- Finem Meio Ambiente (environmental financing)
- Finame Baixo Carbono (low carbon financing)
- Socio Environmental Fund
- Climate Fund
**ADDITIONAL INITIATIVES**
- SDG Portal
- NDC Portal
- ESG Rating
- Carbon Credits
- CDP
- Global Compact
**ADDITIONAL PROJECTS**
- Portfolio of sustainable assets:
- 46 parks
- 25 forests
Impact Factory: backed by BRL 1.1 billion, BNDES attracted over twice this amount in third-party funds – BRL 2.5 billion for non-reimbursable in 3 years
BNDES’ Levels of resources leverage
- RESGATANDO A HISTÓRIA: 61%
- FLORESTA VIVA: 174%
- FUNDO SOCIO AMBIENTAL: 100%
- SALVANDO VIDAS / JUNTOS PELA SAÚDE: 100%
- EMBRAPII: 200%
- BLENDED FINANCE: 400%
Campaigns structured since 2020 have a minimum leverage of 100% against the historical average of 33%
1/ except for Resgatando a História in the North/Northeast
2/ 15 years prior to 2020
Our mission is to foster sustainable development
68% of BNDES’ loan portfolio\(^1\) is linked to projects that support Green Economy and Social Development\(^2\)
equivalent to\(^1\) BRL 241 bn
Disbursements in 3Q22
- BRL 6.3 bn Green Economy
- BRL 9.7 bn Social Development
Disbursements linked to SDG in 3Q22
- BRL 25.3 bn equivalent to 86% of the total
Disbursements linked to NDC in 3Q22
- BRL 5.2 bn total emissions avoided through BNDES operations\(^3\)
- 86.6 million tCO2e equivalent to around 32 years with no cars in the city of São Paulo
---
1/ Considers only the loan portfolio for non-automatic direct and indirect operations
2/ BNDES’ Sustainability Taxonomy was reviewed to align to the best market practices. Learn more at https://www.bndes.gov.br/wps/portal/site/home/desenvolvimento-sustentavel/resultados/desembolsos-em-economia-verde-e-desenvolvimento-social/
3/ Total emissions avoided throughout the useful life of projects approved by BNDES in these sectors, from 2015 to 2022.
Moody’s ESG reaffirms BNDES’ ESG rating at the highest level of the scale
A1+
ESG reporting ratio: 96%
(sector’s average: 75%)
General ranking: 86 out of 4,890 companies
Top 2% in the world
Environmental Level
“Comprehensive processes in place to integrate environmental considerations in the selection and management of assets may provide competitive advantage when raising investor’s funds”
Social Level
“State-of-the-art systems to prevent discrimination and promote diversity, may help ensuring talent attraction and retention”
“Strong efforts to promote social and economic development, can positively impact the company’s reputation and widen its partner basis”
Governance Level
“A comprehensive commitment towards corruption and money laundering prevention, backed by efficient measures in controlling business ethics related risks”
“A diversified composition of the Advisory Board, which includes a specific committee on CSR issues”
1/ Sector average of the “Development Banks” group in Moody’s ESG Solutions (MESG) rating
Learn more about BNDES’ ESG rating and access the complete report at https://ri.bndes.gov.br/sustentabilidade/rating-asg/
Sustainability at BNDES: partnerships and communication
We have established **partnerships** and participated in various **pacts** and **financial sector forums focused on sustainability**, in addition to disseminating information about our policies, credit operations and holdings.
**Partnerships:**
- Green Finance Program in Brazil
- IFC
- OECD
**Pacts:**
- Global Compact
- CDP
**Financial sector forums:**
- IDFC
- The Lab
- Climate Action
- Unep Finance Initiative
**Multisectoral forums:**
- CEBDS
- LAB – Financial Innovation Laboratory
- Brazilian Coalition
**INTEGRATED REPORT**
https://ri.bndes.gov.br/en/publications-and-communications/integrated-annual-report/
**EFFECTIVENESS REPORT**
www.bndes.gov.br/efetividade
**BNDESPAR STEWARDSHIP REPORT**
www.bndes.gov.br/stewardship
SUSTAINABILITY IS MORE THAN YOU IMAGINE
Learn more about the BNDES' performance as a sustainable development bank at https://sustentabilidade.bndes.gov.br/
Governance and risk management
BNDES executive board is currently composed by nine executive directors, covering back office - financial and control activities and business support - and front office - activities of structuring of projects and partnerships and granting financial support.
Learn more at: https://ri.bndes.gov.br/en/about-bndes/about-us/
Governance at BNDES
Our governance includes control and supervision by different actors and committees.
- **GOVERNMENT**
- MINISTRY OF ECONOMY
- **LEGISLATION**
- STATE OWNED COMPANIES LAW
- CORPORATE LAW
- **BOARDS**
- CA, COAUD, CR*
- RISK AND COMPLIANCE DIRECTOR
- **RISK MANAGEMENT UNITS**
- INTERNAL CONTROLS
- **CONTROL AND REGULATORY BODIES**
- TCU, CGU, BCB
- **SOCIETY**
- SIC *, OMBUDSPERSON
*CA - Board of Directors; Coaud - Audit Committee; CR - Risk Committee; and SIC - Citizen Information service
Internal committees are our basis for transparent decision-making
Learn more at: https://ri.bndes.gov.br/en/corporate-governance/governance-structure/
Project analysis and loan approval
Our operational flow involves different phases, teams and committees, ensuring impersonality, multidisciplinary evaluations and better governance of the granting process.
Eligibility
Analysis
Eligibility assessment CCOp¹/
Criteria validation and guarantees
Approval
Communication CCOp¹/
Contract signing
Monitoring
Executive Board Approval
Contract signing
Monitoring
At this stage, the Environmental and Social Risk Classification is carried out and mitigation measures are indicated, if applicable.
1/ CCOp – Credit and Operations Committee
At this stage, compliance with mitigation measures is verified.
In 2019, we improved integrated risk management tools and processes, modernized compliance management, and approved new market risk limits for management portfolios. We updated the operational risk matrix and implemented contingency plans for current critical processes.
**Main mitigating factors**
**MACROECONOMIC**
- Monitoring the performance of the economy and analyzing its impact on operations
- Establishment of risk limits, monitored periodically, to uphold decisions
- Diversifying the financial support portfolio
- Financial Affairs Committee
**MARKET**
- Periodic monitoring and control of risks
- Market Risk Management Committee
- Revision of BNDES risk appetite regarding the exposure to variable income operations
**REPUTATIONAL**
- BNDES image monitoring and management
- Client registration analysis
- Negative client media monitoring
- Evaluation and handling of complaints received by the Ombudsman
**CREDIT**
- Quantification of the risk of individual concentration and monitoring of the largest exposures
- Additional provision for doubtful debt
**OPERATIONAL**
- Identification and analysis of the main operational risks and their internal controls
**LEGAL**
- Operational risk management methodologies, emphasizing compliance with laws, norms and decisions of administrative and judicial courts
**SOCIAL AND ENVIRONMENTAL**
- Verification of legal compliance and criteria established in internal policies and processes
- Multiannual PRSA Implementation and Monitoring Plan under CSS management
Credit portfolio quality
The quality of BNDES’ portfolio is stable: 52.1% of the portfolio is exposed to financial institutions (financial intermediaries and bank guarantee) or covered by Federal Government guarantee.
The credit risk distribution of clients shows lower exposure than the National Financial System.
Risk perception stable throughout 9M2022
| RATING | BNDES SYSTEM | SFN |
|--------|--------------|-----|
| AA-C | 93.2% | 91.4% |
| D-G | 4.9% | 5.9% |
| H | 1.9% | 2.7% |
1 According to CMN Resolution 2.682/99
2 National Financial System. Last information available on 06/30/2022
BNDES’ NPL is consistently lower than the SFN’s
- Default (90 days) - BNDES, excluding operations honored by the Federal Government
- Delinquency (90 days) - SFN large companies
- Delinquency (90 days) - SFN
| Period | Default (90 days) - BNDES | Delinquency (90 days) - SFN large companies | Delinquency (90 days) - SFN |
|--------|--------------------------|--------------------------------------------|----------------------------|
| 3Q20 | 0.18% | 1.12% | 2.43% |
| 4Q20 | 0.01% | 0.61% | 2.12% |
| 1Q21 | 0.04% | 0.38% | 2.17% |
| 2Q21 | 0.19% | 0.41% | 2.27% |
| 3Q21 | 0.23% | 0.52% | 2.29% |
| 4Q21 | 0.19% | 0.39% | 2.30% |
| 1Q22 | 0.21% | 0.28% | 2.67% |
| 2Q22 | 0.17% | 0.16% | 2.66% |
| 3Q22 | 0.10% | 0.18% | 2.85% |
BNDES maintains a strong Basel Ratio beyond minimum required levels
In 3Q22, risk-weighted assets reduced (- BRL15.4 bn), and Reference Equity increased due to the net income for the period (+ BRL9.6 bn), which were offset by the valuation adjustment for negative equity (- BRL1.9 bn)
1/ Capital limits defined according to BACEN/DEREG Resolution 4783/2020, of March 16, 2020, and valid as of April 1, 2022.
2/ IECP – Instruments Eligible for Principal Capital
Communication and transparency
As a state-owned company, we seek to make our information accessible to the public.
Transparency Section
- **OPERATIONS SEARCH**
- Consulta a operações do BNDES
- **SDGs GATEWAY**
- Nossa contribuição para os ODS
- **NDC GATEWAY**
- Painel NDC – nossa contribuição para as metas de redução de emissões do Brasil
- **LARGEST CLIENTS**
- Facilitamos sua busca
- **EQUITY PORTFOLIO**
- Carteira da BNDESPAR
www.bndes.gov.br/transparencia
OPEN BNDES
www.aberto.bndes.gov.br
Communication and transparency
BNDES' Investor Relations Portal
Easy and quick access to financial and institutional information, events, press releases and more
Visit: https://ri.bndes.gov.br/en/
Investments
Loan and Guarantee Portfolio
Expanded portfolio\(^1/\)
Increase of 2.2% compared to the previous quarter
BNDES operates directly and indirectly (operations carried out through financial intermediaries)
64.3% Direct Operations
35.7% Indirect Operations
of the Sep/22 portfolio
Expanded portfolio and guarantees provided
BRL billion
\(^1/\) Includes debentures (BRL7.0 billion) and other loan assets (BRL1.4 billion)
The total amounts indicated in graphs and tables may not correspond to the exact sum of the parts due to rounding
Basic cost of financing: TLP
The basic financial cost\(^1\) in BNDES operations is the Long-term Rate (TLP), which makes up the inflation with a real interest rate\(^2\).
TLP value for contracts signed on December 2022:
**IPCA + 5.23% p.a.**
For MSMEs, BNDES also offers its clients the possibility to opt for the BNDES Fixed Rate (TFB), which protects them from market variations throughout the contract.
---
1/ The final interest rate of the contracts will comprise the TLP, the spreads of BNDES and the accredited financial agent (in indirect transactions) and the credit risk rate.
2/ There is a five-year NTN-B real interest rate reducer, called alpha (\(\alpha\)), valid for one year and with progressive increases until 2023, when the pre-TLP will equal the NTN-B real interest rate.
---
Competitiveness: TLP x risk-free real interest
The graph compares the TLP to risk-free market rates of government bonds and illustrates the competitiveness of TLP against real market interest rates.
Source: Anbima
Base date (real interest rate): November 30, 2022
Investments: equity holdings portfolio at the end of 3Q22
Securities\(^1/\)
BRL 64.8 bn
+
Investment Fund Quotas\(^2/\)
BRL 4.0 bn
=
TOTAL EQUITY HOLDINGS
BRL 68.8 bn
Portfolio distribution\(^1/\)
- Petrobras: 48%
- JBS: 18%
- Eletrobras: 12%
- Copel: 7%
- Other: 16%
1/ Investments in non-affiliated companies recorded at fair value, and in affiliated companies recorded by equity accounting
2/ Capital committed to funds: BRL10 bn (includes BRL4.0 bn)
The total amounts indicated in graphs and tables may not correspond exactly to the sum of their portions due to rounding
> Funding
BNDES’ funding composition
BRL billion
| | Jun/22 | Sep/22 |
|----------------|---------|---------|
| Foreign funding| 30.1 | 29.0 |
| Other funding | 13.2 | 13.5 |
| FMM | 22.0 | 22.3 |
| National Treasury | 103.6 | 93.0 |
| FAT | 363.0 | 364.4 |
| Shareholders' Equity | 129.3 | 137.0 |
1/ Total Liabilities – Jun-22: R$ 733.7 billion / Sep-22: R$ 718.9 billion
The total amounts indicated in graphs and tables may not correspond exactly to the sum of their portions due to rounding errors
Main sources of funding
**WORKER’S SUPPORT FUND - FAT**
51% Participation rate in total resources at the end of 3Q22
At least 28% of the FAT revenues are allocated to financing economic development programs through BNDES, as established in the Brazilian Constitution.
**NATIONAL TREASURY ¹/**
13% Participation rate in total resources at the end of 3Q22
The credits granted by the Union to BNDES are used to grant loans associated or not to government programs.
The share of this source has been reduced, with a 78% drop between Dec/17 and Sep/22.
¹/ Chart values include transfers operations and instruments eligible for principal capital.
## Funding: market issuances
### Latest international emissions
| Year of issuance | Amount | Coupon rate | Maturity Date |
|------------------|--------------|-------------|-----------------|
| 2008¹/ | USD 1.00 bn | 6.37% | 06.16.2018¹/ |
| 2009 | USD 1.00 bn | 6.0% | 06.10.2019 |
| 2010 | USD 1.00 bn | 5.50% | 07.12.2020 |
| 2010 | EUR 750 MM | 4.13% | 09.15.2017 |
| 2011 | CHF 200 MM | 2.75% | 12.15.2016 |
| 2013 | USD 1.25 bn | 3.375% | 09.26.2016 |
| 2013 | USD 1.75 bn²/| 5.75% | 09.26.2023 |
| 2014 | EUR 650 MM | 3.625% | 01.21.2019 |
| 2014 | USD 1.00 bn | 4.00% | 04.14.2019 |
| 2017 | USD 1.00 bn | 4.75% | 05.09.2024 |
¹/ The bond was repriced in June/2008
²/ USD 1.25 billion in 2013 + USD 500 million in 2014
BNDES broadens its ESG funding capacity with the Sustainability Bond Framework
Sustainability Bond Framework (SBF) incorporates new environmental categories and includes social categories.
BNDES was the first Brazilian bank to issue a green bond abroad in the amount of US$ 1 billion (2017) and a pioneer with the local issuance of a Green Bank Note of BRL 1 billion (2020).
SBF reinforces the importance attributed by BNDES to the ESG theme and meets the growing demand from investors.
| Social Categories | Health |
|-------------------|--------|
| | Education |
| | Micro, Small and Medium Enterprises |
| | Microcredit |
| Environmental Categories | Renewable energy |
|--------------------------|------------------|
| | Energy Efficiency |
| | Sustainable Water Management |
| | Pollution Prevention and Control |
| | Clean Transport |
| | Management of Living Natural Resources |
| | Land use |
## BNDES rating
### Global scale rating (foreign currency and local currency)
| Rating | Perspective |
|--------|-------------|
| Moody's | Ba2 Stable |
| S&P's | BB- Stable |
### National scale rating
| Rating | Perspective |
|--------|-------------|
| Moody's | AAA.br |
| S&P's | Br AAA Stable |
### Moody's Highlights
Strong brand value as the main source of long-term financing and capital investment for Brazilian companies and for government infrastructure projects.
Access to stable and reasonably cheap funding.
Asset quality higher than the market.
### S&P’s Highlights
Strong guarantee policy and flexibility to restructure loans and mitigate potential losses from greater risks in the economy.
Long-term funding with government support gives the bank a competitive advantage.
Bndes’ prominent position in the economy and in the execution of public policies implies that we equate ratings and default risk with the sovereign.
Financial information
Key financial indicators
Total Asset
Shareholders' Equity
Disbursements
Learn more on the IR Portal at: https://ri.bndes.gov.br/informacoes-financeiras/central-de-results/
Key financial indicators
Net Income (BRL million)
- 2018: 6,711
- 2019: 17,721
- 2020: 20,681
- 2021: 34,069
- 3Q22: 9,586
ROA (% p.a.)
- 2018: 0.83%
- 2019: 2.47%
- 2020: 2.93%
- 2021: 4.69%
- 3Q22: 5.40%
ROE (% p.a.)
- 2018: 12.80%
- 2019: 28.64%
- 2020: 26.55%
- 2021: 34.23%
- 3Q22: 31.70%
Learn more on the IR Portal at: https://ri.bndes.gov.br/informacoes-financeiras/central-de-results/
| | 3Q22 | 3Q21 | Δ | 9M22 | 9M21 | Δ |
|--------------------------------|--------|--------|--------|--------|--------|--------|
| (+) Revenue from Credit and Onlending Operations | 9,194 | 9,617 | -4% | 34,273 | 27,626 | 24% |
| (+) Revenue from Bonds and Securities | 4,998 | 3,078 | 62% | 18,824 | 11,130 | 69% |
| (-) Funding Costs | -8,929 | -8,270 | 8% | -32,471| -23,175| 40% |
| (+/-) Net FX Effect | -351 | -33 | 964% | -1,045 | -152 | 588% |
| Income from Financial Intermediation | 4,911 | 4,392 | 12% | 19,581 | 15,429 | 27% |
| (+/-) Allowance for Loan Losses | -518 | 699 | -174% | 1,587 | 1,743 | -9% |
| Income from Financial Intermediation | 4,393 | 5,091 | -14% | 21,168 | 17,172 | 23% |
| (+) Income from equity holding | 7,934 | 9,913 | -20% | 28,960 | 23,954 | 21% |
| (-) Expenses | -1,059 | -1,073 | -1% | -4,480 | -3,716 | 21% |
| Profit before Taxes | 11,268 | 13,931 | -19% | 45,648 | 37,410 | 22% |
| ( - ) Income Taxes | -1,682 | -2,676 | -37% | -11,446| -11,039| 4% |
| Net Profit | 9,586 | 11,255 | -15% | 34,202 | 26,371 | 30% |
Learn more on the IR Portal at: https://ri.bndes.gov.br/en/financial-information/results-center/
## Balance sheet: assets
| | 3Q22 | 2Q22 | Δ | 3Q21 | Δ |
|----------------------|--------|--------|--------|--------|--------|
| Cash and Cash Equivalents | 55,166 | 56,806 | -3% | 77,172 | -29% |
| Securities (TVM) | 186,183| 200,627| -7% | 166,173| 12% |
| Credit Portfolio | 454,804| 448,187| 1% | 437,116| 4% |
| Credits with the National Treasury | 385 | 1,870 | -79% | 950 | -59% |
| Investments | 1,949 | 1,977 | -1% | 12,481 | -84% |
| Other | 20,379 | 24,194 | -16% | 30,653 | -34% |
| **Total Assets** | **718,866** | **733,661** | **-2%** | **724,545** | **-1%** |
Learn more on the IR Portal at: https://ri.bndes.gov.br/en/financial-information/results-center/
## Balance sheet: shareholders’ equity and total liabilities
| | 3Q22 | 2Q22 | Δ | 3Q21 | Δ |
|----------------------|--------|--------|---------|--------|---------|
| National Treasury | 93,033 | 103,637| -10% | 134,052| -31% |
| FAT | 364,359| 362,995| 0% | 333,116| 9% |
| International Funding| 28,990 | 30,053 | -4% | 33,929 | -15% |
| Other Government Sources | 30,106 | 29,664 | 1% | 32,111 | -6% |
| Repurchase Agreements | 33,802 | 46,683 | -28% | 31,007 | 9% |
| LCAs and LFs | 1,151 | 1,113 | 3% | 1,033 | 11% |
| Other Obligations | 30,379 | 30,188 | 1% | 40,229 | -24% |
| **Shareholders’ Equity** | **137,046** | **129,328** | **6%** | **119,068** | **15%** |
| **Total Liabilities** | **718,866** | **733,661** | **-2%** | **724,545** | **-1%** |
Learn more on the IR Portal at: https://ri.bndes.gov.br/en/financial-information/results-center/
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Ancien N° régional : 73002000
ZNIEFF* de type I
N° régional : 73080003
Tourbière des Lacs des Saisies
Départements et communes concernées en Rhône-Alpes
Surface : ha 594,11
Savoie
COHENNOZ, CREST-VOLAND, HAUTELUCE, VILLARD-SUR-DORON
Niveau de connaissance
Nombre de données d'observation collectées :
184
Description et intérêt du site
La tourbière des Lacs des Saisies constitue un site exceptionnel par son étendue et par l'importance des zones tourbeuses qui forment une série de vastes clairières au sein des forêts de résineux. L'intérêt majeur consiste en la présence de milieux diversifiés : forêt d'épicéas, prairies humides, marais tourbeux et tourbières typiques à sphaignes la composent. Les sphaignes, sorte de mousses, sont adaptées aux conditions physiques particulières et à la faible teneur en éléments nutritifs des tourbières acides. L'existence des tourbières acides est étroitement corrélée à des forts apports pluviométriques et à la présence d'un substrat acide en relation avec la roche-mère sous-jacente. De nombreuses espèces végétales sont strictement liées à ces milieux qui offrent des conditions de développement contraignantes ; parmi les plantes remarquables qui constituent le cortège floristique exceptionnel de ce site, citons l'Andromède à feuilles de polium, le Rossolis à feuilles rondes ou encore la Scheuchzérie des marais. Dans les boisements pousse une autre plante très rare de la famille des primevères, la Trientale d'Europe. Cette espèce arctico-alpine (commune aux zones arctiques et alpines) est menacée de disparition en raison de la régression généralisée des zones humides. Sur le plan faunistique, les oiseaux sont bien connus. Le site abrite une belle population de Tétras lyre. La Bécasse des bois, le Sizerin flammé, le Tarin des aulnes peuvent également être observés. D'autres groupes sont aussi bien représentés : les amphibiens avec la Grenouille rousse, les reptiles avec le Lézard vivipare, les insectes, en particulier les libellules avec la Cordulie arctique… Cette tourbière conserve un caractère assez sauvage (hormis les secteurs situés au col des Saisies et plus au sud), malgré le réseau de pistes (pratique hivernale du ski de fond) et la forte fréquentation induite.
Légende :
0 = prospection nulle ou quasi inexistante
1 = prospection insuffisante
2 = prospection assez bonne
3 = bonne prospection
Milieux naturels
Flore
Andromeda polifolia L.
Andromède à feuilles de polium
Carex limosa L.
Laîche des tourbières
Carex pauciflora Lighft.
Laîche pauciflore
Corallorrhiza corallorhiza (L.) Karsten
Racine de corail
Diphasiastrum alpinum (L.) Holub
Lycopode des Alpes
Drosera rotundifolia L.
Rossolis à feuilles rondes
Epilobium nutans F.W. Schmidt
Epilobe penché
Eriophorum vaginatum L.
Linaigrette engainante
Leontodon pyrenaicus subsp. helveticus (Mérat) Finch & P.D.
Sell
Liondent de Suisse
Listera cordata (L.) R. Br.
Listère à feuilles cordées
Lycopodium clavatum L.
Lycopode en massue
Potentilla palustris (L.) Scop.
Potentille des marais (Comaret)
Scheuchzeria palustris L.
Scheuchzérie des marais
Trichophorum alpinum (L.) Pers.
Scirpe de Hudson
Trientalis europaea L.
Trientale d'Europe
Trifolium hybridum subsp. elegans (Savi) Ascherson &
Graebner
Trèfle élégant
Utricularia minor L.
Petite Utriculaire
Vaccinium microcarpum (Turcz. ex Rupr.) Schmalh.
Canneberge à petits fruits (Airelle à
petits fruits)
Vaccinium oxycoccos L.
Canneberge à gros fruits
Bibliographie
MOREAU P-A.
Quelques notes sur la zone humide des Saisies
Conseil Général de la Loire
1995 Consultable :
24- pages
ONF
DIREN Rhône-Alpes
1999 Consultable :
Site S16 Tourbière des Saisies - Premier documents d'objectifs Natura 2000, 2000-2005 - Annexes
66- pages
Faune vertébrée
Amphibiens
Grenouille rousse
Rana temporaria
Oiseaux
Sizerin flammé
Carduelis flammea
Tarier des prés
Saxicola rubetra
Tétras lyre
Tetrao tetrix
Reptiles
Lézard vivipare
Lacerta vivipara
Faune invertébrée
Libellules
Cordulie arctique
Somatochlora arctica
Inventaire du patrimoine naturel ZNIEFF* N°73080003 | <urn:uuid:5e030d28-8b32-48dd-a04e-60eb4f9bb40d> | HuggingFaceFW/finepdfs/tree/main/data/fra_Latn/train | finepdfs | fra_Latn | 4,122 |
Fitxa tècnica del Teatre de Sarrià:
1. Material d’il·luminació que el teatre té operatiu.
**Projectors**
- 18 PC 1000W amb viseres.
- 12 PCVA 12 spotlight
- 6 PC Eurolite
- 2 PC Eurolite PC 300/500W sense viseres.
- 2 Fresnel Griven 650/1000 W amb viseres.
- 9 PAR 64 amb làmpada del núm. 1.
- 2 PAR 64 amb làmpada del núm. 2.
- 8 PAR 64 amb làmpada del núm. 5.
- 4 retalls 25º-50º MARK MULTIPROFILE ZOOM 25-50
- 1 Canó de seguiment Eurolite 1000W. Si es necessiten cal notificar-ho.
**Regulació i control**
- Taula de control Strong Nocturne 72.
- 23 canals de dimmer Elan de 3 kW.
- 5 barres electrificades sobre escenari (torn manual, 1’3m entre barres).
- Frontal (des de corona circular).
- Llum de sala pot ser controlada per dimmer.
**Altres**
- 4 tripodes per il·luminació lateral (carrers).
2. Material de So que el teatre té operatiu.
**Control**
- Taula de so Roland M-300
- REAC Roland S-2416. 16 Inputs/16 outputs en el escenari y 4 mes per consola.
- Reproductor de CD i MD.
**Sistema de P.A.**
- 4 altaveus L’Acoustic model 12XTI-2.
Dos a platea y dos a amfiteatre
**Monitoratge**
- 2 auxiliars independents.
- 1 auxiliar de cabina CMS40
**Microfonia i instruments**
- 4 microfons Shure SM58.
- 1 microfón Shure 16A
- 2 microfons Sennheiser EW135G3 de mà sense fil.
- 4 microfons Shure Micoflex MX400D de sobretaula.
- 5 peus de microfón de girafa.
- 2 faristols.
- 2 DI Radial J48.
- Piano (es lloga per separat).
3. Material de Video que el teatre té operatiu.
- Projector Mitsubishi XL5950U de 5.000 lúmens (es lloga per separat).
- Projector Canon LV-7275 de 2600 lúmens (es lloga per separat).
- Transmisor video Kramer TP-45EDID. VGA. (Totes las sortides de imatge son a VGA)
- Reproductor de DVD. Blu-Ray.
4. Maquinària i Escenari
**Embocadura**
- Amplada: 7’40m.
- Alçada: 5’20m fins tallafocs (4m fins bambolinó).
**Escenari**
- Amplada: 7,40m (9,40m tota la caixa escènica).
- Llargada: 6’70m fins teló de fons.
**Altres**
- Cambra negra a la italiana, amb teló de fons negre.
- Teló de fons blanc. Si es necessiten cal notificar-ho.
- Cortina americana negra a meitat del escenari.
- Cametes de 2m d’ample.
-Terra de l’escenari de fusta, pintat de negre, sense pendent.
- Teló de boca de guillotina d’obertura manual.
- X barres manuals (consultar disponibilitat).
- 5 barres electrificades dintre de l’escenari. Distancia entre barres 1,20m
- Pantalla de cinema (embocadura). Si es necessiten cal notificar-ho.
- Pantalla de cinema 4m x 3m (teló de fons). Si es necessiten cal notificar-ho.
- Panorama de PVC blanc (fòrum). Si es necessiten cal notificar-ho.
- Elevador elèctric de fossa a escenari (2’65m x 2m). Si es necessiten cal notificar-ho.
- 2 trapes manuals de fossa a escenari (78cm x 55cm). Si es necessiten cal notificar-ho.
- Fossa d’orquestra.
5. Aforo
Aforo total del teatre: 341 butaques
Aforo platea: 212
Aforo amfiteatre: 129
Planta escenari amb posició de barres electrificades per focus
FORO ESCENARI
BOCA ESCENARI
1,20 m
Planta escenari amb mesures
Pantalla proyección 4x3
Línea de Telón de guillotina
Cámara negra de foro y cametas
ESCALERAS A FOSO
FORO ESCENARI
Elevador eléctrico 2,65x2 m
Trampilla manual 78x74 cm
0,90 m
7,40 m
0,80 m
ESCALERA CENTRAL
BOCA ESCENARI
Palco
Palco
1,50 m
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Nonlin. Processes Geophys. Discuss., https://doi.org/10.5194/npg-2019-30-AC1, 2019 © Author(s) 2019. This work is distributed under the Creative Commons Attribution 4.0 License.
Interactive comment on "Joint multifractal analysis: further developments and implementation on rainfall data" by Auguste Gires et al.
Auguste Gires et al.
firstname.lastname@example.org
Received and published: 27 December 2019
Please find as supplement the answer to this referee.
Please also note the supplement to this comment: https://www.nonlin-processes-geophys-discuss.net/npg-2019-30/npg-2019-30-AC1- supplement.pdf
Interactive comment on Nonlin. Processes Geophys. Discuss., https://doi.org/10.5194/npg2019-30, 2019.
NPGD
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Discussion paper | <urn:uuid:797f3f25-0615-492e-934e-a862bb2015d7> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 780 |
TENACITÀ A FRATTURA DELL'ALLUMINA CON PARTICELLE DISPERSE DI ZIRCONIA: ANALISI NUMERICA
F. Cesari 1 , L. Esposito 2 , F. M. Furgiuele 3 , G. Sciumé 3 , A. Tucci 2
1
2
DIEM, Facoltà di Ingegneria - Università di Bologna, Viale Risorgimento, 2 – 40136 Bologna
Centro Ceramico - Via Martelli, 26 - 40125 Bologna
3 Dipartimento di Meccanica - Università della Calabria - 87030 Arcavacata di Rende (Cosenza)
ABSTRACT
The aim of this paper is to simulate, by means of a finite elements analysis, the toughning effect due to the inclusions of zirconia in a alumina matrix. It was considered the effects due to the zirconia phase transformation and to the thermal stresses, which develop during the cooling phase of the sintering. The study was carried out analysing a rectangular plate of alumina with an edge crack and two circular inclusions of zirconia. In the present procedure the toughning effect was simulated assigning a temperature field to the matrix and to the inclusion.
SOMMARIO
Scopo del presente lavoro è quello di simulare, mediante analisi agli elementi finiti, l'effetto della tenacizzazione dovuta ad inclusioni di zirconia in una matrice di allumina. In particolare, sono stati considerati gli effetti dovuti alla trasformazione di fase della zirconia e delle tensioni di origine termica che si sviluppano durante la sinterizzazione in fase di raffreddamento. Lo studio è stato condotto analizzando una lastra rettangolare di allumina con un difetto laterale e con due inclusioni circolari di zirconia. Nella procedura sviluppata gli effetti di tenacizzazione sono stati simulati assegnando dei campi di temperatura alla matrice ed all'inclusione.
INTRODUZIONE
La richiesta dei settori industriali più avanzati di componenti strutturali sempre più affidabili ha visto, negli ultimi anni, un crescente sviluppo e utilizzo di materiali innovativi quali i materiali ceramici. I ceramici avanzati presentano delle proprietà che li rendono particolarmente attraenti per l'impiego come materiali strutturali, in combinazione o in alternativa alle tradizionali leghe metalliche, soprattutto quando le condizioni ambientali sono particolarmente severe come nel campo automobilistico, aerospaziale e biomedico. Il problema della bassa tenacità a frattura, caratteristica intrinseca di questa classe di materiali, può essere superata utilizzando sia compositi ceramici, rinforzati con fibre o whiskers, che ceramici a base di zirconia.
Numerosi studi [1] hanno evidenziato come sia possibile aumentare, anche considerevolmente, la tenacità a frattura in materiali contenenti solo zirconia o compositi particellati zirconia/allumina. Per questa classe di ceramici l'aumento di tenacità è da imputare a differenti meccanismi, quali trasformazione martensitica della zirconia dalla fase tetragonale a quella monoclina [2], deflessione di cricche [3], microcriccatura della matrice [4] e "crack bridging" [5]. Inoltre, le correlazioni fra proprietà meccaniche e microstruttura risultano molto complesse; ad esempio le dimensioni dei grani della zirconia sono in grado di variare l'efficienza della trasformazione martensitica [5] e lo sviluppo della microcriccatura [6]. Non meno importante appare il contributo delle tensioni residue che si sviluppano nei materiali durante la sinterizzazione in fase di raffreddamento. In particolare, nei compositi zirconia-allumina, a causa del valore del coefficiente di espansione termica più basso dell'allumina, quest'ultima ritirandosi anisotropicamente è soggetta ad uno stato tensionale di compressione [7].
Scopo del presente lavoro è quello di determinare, mediante analisi agli elementi finiti, l'influenza dello stato tensionale, che si sviluppa per la presenza dell'inclusione, nella determinazione del fattore di intensità degli sforzi in un difetto presente nella matrice. Nell'analisi è stato ipotizzato che la matrice sia realizzata in allumina e le inclusioni in zirconia, nella fase tetragonale. Gli effetti considerati sono quelli dovuti alla trasformazione di fase della zirconia e delle tensioni di origine termica che si generano, durante la fase di raffreddamento della sinterizzazione, a causa dei differenti coefficienti di espansione termica dei materiali della matrice e dell'inclusione. Lo studio è stato condotto analizzando una lastra di allumina con un difetto laterale e con due inclusioni circolari di zirconia. Entrambi gli effetti sono stati simulati mediante dei carichi termici. Le diverse analisi sono state condotte al variare della temperatura, della percentuale delle inclusioni e della lunghezza del difetto.
DESCRIZIONE DEL MODELLO
Il comportamento del materiale è stato analizzato estraendo una lastra rettangolare dal continuo bidimensionale in Fig. 1a). La lastra in allumina, di altezza h e larghezza b, ha un difetto laterale, lungo a, e due inclusioni circolari di zirconia in fase tetragonale, di raggio r. Sfruttando la simmetria del problema il modello analizzato, riportato in
Fig. 1b), è costituito solo dalla metà superiore della lastra. L'analisi è stata eseguita per diversi valori del raggio dell'inclusione e per diversi valori della lunghezza del difetto. I modelli sono stati realizzati utilizzando elementi isoparametrici a quattro nodi. Il fattore di intensità degli sforzi KI è stato determinato a partire dalla variazione dell'energia di rilascio G
dove Em è il modulo di Young della matrice, allumina nel caso in esame.
L'energia G è stata determinata utilizzando il metodo della chiusura virtuale del difetto secondo la formulazione riportata in [8]
dove t è lo spessore della lastra e ∆a è la dimensione dell'elemento all'apice, il significato delle altre grandezze che compaiono nell'eq. (2) sono descritte nella Fig. 2.
Il valore di ∆a è stato scelto in modo da ottenere un valore del fattore di intensità degli sforzi in accordo con quello riportato in [9], relativo al caso della lastra in Fig. 1 sollecitata con una trazione uniforme sul bordo superiore. La dimensione ∆a che ha fornito i risultati più soddisfacenti è risultata pari a 10 -2 a. In questa analisi, condotta in stato piano di tensione, è stato considerato che il materiale dell'inclusione sia lo stesso della matrice.
Figura 2: discretizzazione all'apice del difetto per il calcolo dell'energia di rilascio G
Lo stato tensionale che si sviluppa nella matrice a causa del più basso valore del coefficiente di espansione termica dell'allumina, rispetto a quella della zirconia, è stato simulato assegnando un campo di temperatura uniforme a tutta la lastra. Questo effetto sommato all'azione della trazione uniforme sul bordo superiore della lastra ha permesso di valutare l'influenza della temperatura nella determinazione del fattore di intensità degli sforzi.
Per simulare il reale comportamento del composito allumina-zirconia è stato necessario vincolare il bordo superiore della lastra per impedire che questa possa espandersi, lungo la direzione del carico, quando è soggetta ad un incremento uniforme della temperatura. La valutazione diretta dell'effetto termico sul fattore di intensità degli sforzi non è
possibile con il modello adottato. Infatti, per valori positivi della temperatura il difetto tende a chiudersi. Il problema può essere risolto utilizzando un carico termico che dia luogo ad un campo di deformazione nell'intorno dell'apice del difetto equivalente a quello generato dalla tensione uniforme sul bordo superiore della lastra. Per motivi pratici è stato scelto di eseguire il confronto su un parametro globale, quale il fattore di intensità degli sforzi, piuttosto che su grandezze locali. Il carico termico equivalente è stato quindi scelto come il valore uniforme della temperatura Te che dia luogo, con la lastra vincolata al bordo superiore, allo stesso fattore di intensità degli sforzi dovuto al solo effetto della trazione. In Fig. 3 sono schematizzate le due condizioni di carico descritte in precedenza.
La variazione di volume della zirconia, causata dalla modifica della sua struttura cristallina [2] e che si verifica quando la sollecitazione meccanica è in grado di attivare la trasformazione di fase, è stata simulata ancora con un effetto termico assegnando temperature diverse alla matrice ed all'inclusione.
RISULTATI E DISCUSSIONE
Lo studio è stato condotto tenendo costanti le dimensioni della lastra e variando il raggio dell'inclusione e la lunghezza del difetto. Per ogni valore della percentuale di inclusione il raggio r è stato determinato come
dove x rappresenta il rapporto fra il volume dell'inclusione e quello totale.
La lastra ha la larghezza b, pari a 7 mm, metà dell'altezza h. In Fig. 4 è mostrato il modello analizzato nel caso di un difetto lungo a=b/2 ed una percentuale dell'inclusione pari al 20% del volume totale.
Figura 4: modello analizzato
La matrice, realizzata in allumina Al 2O3, ha un modulo di Young Em=380 GPa ed un coefficiente di Poisson νm=0.32, mentre l'inclusione, realizzata in zirconia
ZrO2 parzialmente stabilizzata con il 3% di ossido di ittrio Y 2O3, ha lo stesso valore del coefficiente di Poisson ( νi=νm) ed un modulo di Young Ei=205 GPa. I coefficienti di dilatazione termica lineare dei due materiali, αm ed αi, variano in funzione della temperatura con le seguenti leggi
dove T è la temperatura espressa in °K. Le relazioni precedenti sono valide nell'intervallo di temperatura 251500 °C. In Fig. 5 è riportato l'andamento dei coefficienti αm ed αi in funzione della temperatura.
I valori delle proprietà elastiche dei due materiali ed i coefficienti di dilatazione termica sono stati assunti uguali a quelli riportati in [10].
Al fine di effettuare un confronto fra il valore del fattore di intensità degli sforzi ottenuto numericamente e quello riportato in [9], l'analisi è stata condotta considerando lo stesso materiale sia per l'inclusione che per la matrice. Successivamente,
considerando un'inclusione di zirconia del 20%, è stato osservato un incremento del fattore di intensità degli sforzi di poco superiore al 4%. Infatti, KI incrementa il suo valore da 2.86 K0, relativo al caso senza inclusione, a 2.98 K0. Dove con a K π σ = 0 è stato indicato, al solito, il fattore di intensità degli sforzi relativo al caso della lastra di dimensioni infinite e con σ la tensione applicata. Questo aumento è dovuto alla maggiore deformabilità della lastra a causa del modulo di Young dell'inclusione più basso rispetto a quello della matrice.
1500 Inizialmente l'effetto termico è stato valutato determinando il fattore di intensità degli sforzi al variare la temperatura. Come mostrato in Fig. 6, KI cresce fino a valori della temperatura di circa 1000 °C per poi decrescere da questo punto. Ciò è dovuto alla variazione, riportata in Fig. 5, dei coefficienti di dilatazione termica lineare dell'inclusione (αi) e della matrice (αm) al variare della temperatura. Infatti, la differenza fra i coefficienti αi ed αm non è costante all'aumentare della temperatura. L'aumento di KI nell'intervallo di temperatura considerato (25-1500 °C) è dovuto alla maggiore deformabilità della lastra.
Per evidenziare l'effetto dell'inclusione è necessario impedire alla lastra la dilatazione lungo la direzione di applicazione del carico e sostituire alla tensione σ un carico termico (Fig. 3) che fornisca lo stesso valore di KI per ogni valore della temperatura di prova. I valori dei coefficienti di dilatazione αm ed αi da utilizzare nel calcolo del carico termico equivalente sono stati quindi determinati con la (4) per ognuna delle temperature di prova.
Avendo osservato che KI , tenendo fissi αm ed αi, varia linearmente con la temperatura è stato possibile determinare, per interpolazione, il carico termico equivalente Te. Il valore della tensione σ da applicare alla lastra è stato scelto in modo da ottenere dei campi di deformazione dello stesso ordine di grandezza di quelli ottenuti dalle sollecitazioni di origine termica. In tutti i casi analizzati la tensione σ è 5 GPa. Nella Tab. 1 sono riportati i coefficienti di dilatazione ed il carico termico Te per i sette valori della temperatura di prova. Quando la lastra è soggetta al carico termico Te il campo di
Tabella 1: coefficienti di espansione termica e carichi termici, per diverse lunghezze di frattura ed una percentuale di inclusione del 20%, al variare della temperatura di prova
deformazione, e quindi di tensione, è in generale diverso da quello generato dalla sollecitazione di trazione, pur essendo i valori di KI, ottenuti nei due casi, coincidenti. Infatti, come si può osservare in Fig. 7, i valori della tensione radiale σr all'interfaccia (matrice-inclusione), calcolati per la temperatura Te (caso b in figura) relativa al caso T=25°C, sono diversi da quelli determinati quando la lastra è sollecitata con un carico meccanico (caso a in figura).
L'influenza delle tensioni residue di compressione che si generano all'interfaccia è stata quindi valutata applicando un campo uniforme della temperatura pari alla somma di T e Te. In queste condizioni la matrice è soggetta ad una tensione radiale di compressione che causa una diminuzione della tensione σr (casi b e c in Fig. 7), e di conseguenza del
a effetto meccanico
b carico termico equivalente all'effetto meccanico
c carico termico equivalente ed effetto termico
d carico termico equivalente, effetto termico ed effetto della trasforma zione di fase
Figura 7: tensione radiale σr all'interfaccia, adimensionalizzata rispetto alla tensione σ applicata, determinata per T=25 °C, a=b/2 e x=20%, al variare della coordinata ϕ
fattore di intensità degli sforzi. Anche in questo caso i valori di σr sono stati calcolati per T=25°C. Il KI diminuisce del 4.5% rispetto al caso precedente, mentre la tensione radiale all'interfaccia per ϕ =2/3π è diminuita del 4.6% rispetto al caso b in figura.
Figura 8: effetto delle tensioni di origine termica sul fattore di intensità degli sforzi KI, al variare della temperatura, per diverse lunghezze a del difetto ed una percentuale di inclusione del 20%
Come si può osservare in Fig. 7, le differenze maggiori fra le tensioni radiali all'interfaccia, relativi ai casi b e c, si hanno nella direzione dove agiscono i vincoli, mentre diminuiscono in direzione ortogonale dove la lastra è libera di espandersi.
In Fig. 8 sono riportati i valori di
K
I,
adimensionalizzati rispetto
a
K
0,
ottenuti per i sette valori della temperatura di Tab. 1. Come era lecito attendersi K diminuisce sensibilmente all'aumentare della temperatura.
I
Successivamente, la lastra è stata analizzata, considerando ancora la stessa percentuale di inclusione, ed un difetto avente una lunghezza a=b/4. In questo caso la presenza dell'inclusione, non considerando gli effetti delle tensioni generate dalla differenza fra i coefficienti di espansione αm ed αi è più marcato (aumento di KI di circa il 12%); infatti, il fattore di intensità degli sforzi da un valore di 1.55 K0, relativo al caso senza inclusione, diviene pari a 1.73 K0. Ciò è dovuto al minore effetto schermo dell'inclusione all'apice del difetto quando questo risulta spostato rispetto alla mezzeria dell'inclusione stessa. I valori di KI ottenuti per questa lunghezza del difetto, nell'intervallo di temperatura 25-1500°C, sono riportati ancora in Fig. 8.
L'analisi è stato ripetuta per una lunghezza del difetto intermedia presenza della come mostrato in Fig. 8, compresi fra
Figura 9: effetto delle tensioni di origine termica e della trasformazione di fase sul fattore di intensità degli sforzi KI, al variare della temperatura, per diverse lunghezze a del difetto ed una percentuale di inclusione del 20%
(a=3/8 b) a quelle precedenti. Il KI incrementa il suo valore da 2.00 K0 a 2.19 K0 per la dell'inclusione. I valori di KI ottenuti, al variare temperatura, risultano, quelli ottenuti nei casi precedenti. L'effetto di tenacizzazione della zirconia, dovuto alla sollecitazione di trazione, è stato considerato ipotizzando che l'espansione avvenga uniformemente in tutte le direzioni, e non anisotropicamente come nella realtà, e trascurando le componenti tangenziali di deformazione. L'aumento di volume della zirconia è stato considerato, in accordo a quanto riportato in [2], del 3%, pertanto il volume dell'inclusione diviene pari a
Nel caso l'aumento di volume dell'inclusione sia causato da un incremento ∆T uniforme della temperatura, si ottiene
Dall'eguaglianza dei volumi relativi ai casi precedenti si ottiene l'incremento di temperatura ∆T
L'effetto di tenacizzazione, dovuto alla trasformazione di fase, è stato simulato semplicemente sommando a T e Te il valore di ∆T calcolato con la (5). Come si può
osservare nella Fig. 7 questa espansione genera una tensione radiale di compressione che, sommata a quella dovuta all'effetto delle tensioni di origine termica, porta ad un'ulteriore diminuzione della tensione σr (caso d) che agisce sulla matrice. Il valore di ϕ dove la variazione della tensione radiale è massima è 2/3π. In questo caso la diminuzione di σr rispetto al caso b è del 26%, mentre il KI è diminuito di circa il 10%. L'effetto dell'espansione dovuto alla trasformazione di fase è stato considerato fino alla temperatura di 750 °C, per problemi di stabilità della fase monoclina.
In Fig. 9 sono riportati i valori di KI, adimensionalizzati rispetto a K0, ottenuti per i primi quattro valori della temperatura di Tab. 1. La curva che interpola i punti precedenti è un polinomio completo in T del 2° ordine
Anche in questo caso KI diminuisce sensibilmente all'aumentare della temperatura. I valori di KI ottenuti, considerando ancora la stessa percentuale di inclusione ed un difetto avente una lunghezza a=b/4, sono sono riportati ancora in Fig. 9. In questo caso KI è espresso dal seguente polinomio
I valori di KI per una lunghezza del difetto intermedia ( a=3/8 b) a quelle precedenti risultano, come mostrato in Fig. 9, compresi fra quelli ottenuti nei casi precedenti ed il polinomio in T diviene pari a
Lo studio è stato completato valutando per il difetto di lunghezza pari a b/2 l'influenza della percentuale di inclusione nella determinazione del fattore di intensità degli sforzi. L'analisi è stata ripetuta per una percentuale di inclusione del 10% e del 30% considerando sia l'effetto della trasformazione di fase che quello relativo alla differenza fra i coefficienti di espansione della matrice e dell'inclusione. I risultati in Fig. 10 indicano che la variazione di KI per i diversi valori dell'inclusione è trascurabile (comprese nell'1%) fino alla temperatura di 500 °C. Al di sopra di questo valore di temperatura le differenze sono all'interno del 4%. In pratica, per una lunghezza del difetto a=b/2, la variazione della percentuale di inclusione ha una scarsa influenza nella determinazione di KI. Infatti, se da un lato l'aumento della zirconia produce un incremento delle tensioni di compressione all'interfaccia, dall'altro, essendo il modulo di Young della zirconia più basso rispetto a quello dell'allumina, la rigidezza complessiva del materiale diminuisce.
I valori di KI, a temperatura ambiente (25 °C), al variare della percentuale di inclusione e al variare della lunghezza del difetto sono riportati nella Tab. 2. Sulla stessa tabella è anche riportato il valore del fattore di intensità degli sforzi, determinato ancora alla temperatura di 25 °C ma senza inclusioni. In tutti i casi analizzati il massimo valore di KI si ottiene nel caso della lastra priva di inclusioni. Per il difetto di lunghezza a=b/2, la variazione del fattore di intensità degli sforzi, per le percentuali di inclusione riportate in Tab. 2, è inferiore allo 0.5%. Questa percentuale cresce fino al 4.4% all'aumentare della lunghezza del difetto.
Dall'analisi dei dati riportati in Tab. 2 si evince chiaramente che, a temperatura ambiente, la presenza dell'inclusione non porta i benefici attesi, anzi, la sua presenza,
Tabella 2: fattore di intensità degli sforzi KI, adimensionalizzato rispetto a K 0, per diverse lunghezze di frattura ed al variare della percentuale di inclusione, alla temperatura di 25 °C
diminuisce la resistenza del componente per l'aumento di KI. Ciò risulta confermato dall'analisi dei risultati sperimentali riportati in [11]. Infatti, il fattore di intensità degli sforzi critico, KIc, pari a 4.2 MPa m 1/2 per l'allumina pura, diminuisce per la presenza delle inclusioni. In particolare, è stato rilevato che KIc è 4.14 MPa m 1/2 per un'inclusione di zirconia del 20% e 3.6 MPa m 1/2 per un'inclusione del 40%.
La simulazione numerica, pur risultando qualitativamente in accordo con le evidenze sperimentali, non permette in questa fase un confronto quantitativo in quanto è stato adottato un modulo di Young diverso da quello ottenuto sperimentalmente per l'allumina 356 GPa [11].
Per validare la procedura sviluppata sarà necessario un confronto anche alle alte temperature.
CONCLUSIONI
Nel lavoro è descritta la procedura sviluppata per simulare l'effetto di tenacizzazione in un composito allumina-zirconia. Gli effetti considerati sono relativi all'espansione dell'inclusione, che si verifica quando la zirconia è sollecitata ad un livello di carico in grado di attivare la trasformazione di fase, e alle tensioni di origine termica indotte nei materiali durante la sinterizzazione in fase di raffreddamento.
La simulazione di entrambi gli effetti è stata eseguita analizzando una lastra rettangolare in allumina, con un difetto laterale e due inclusioni circolari di zirconia, ed assegnando dei campi di temperatura alla matrice ed all'inclusione. I risultati delle diverse analisi hanno permesso di valutare l'influenza nella determinazione di KI della temperatura, della lunghezza del difetto e della percentuale di inclusione.
La procedura sviluppata, dopo la necessaria validazione sperimentale, potrà essere utilizzata per definire la percentuale ottimale di inclusione, in funzione delle condizioni di esercizio, anche per compositi ceramici realizzati con materiali diversi dall'allumina e dalla zirconia.
BIBLIOGRAFIA
1. Claussen N., "Microstructural Design of Zirconia Toughned Ceramics (ZTC)", Advances in Ceramics, Science and Technology of Zirconia II, American Ceramic Society, Westerville, OH, 1983, 3 325-351.
2. Lange F. F., "Transformation Toughening. Part 4 Fabrication, Fracture Toughness and Strength of Al2O3-ZrO2 Composites", J. Mater. Sci., 1982, 17 247-254.
3. Glass S. J., Green D. J., "Mechanical Properties of Infiltrated Alumina-Y-TZP Composites", J. Amer. Ceram. Soc., 1996, 79 2227-36.
4. Hori S., Yoshimura M., Somiya S., Kurita R., Kaji H., "Mechanical Properties of ZrO2-Toughened Al2O3 Ceramics from CVD Powders", J. Mat. Sci. Lett., 1985, 4 413-416.
5. Li J-F., Watanabe R., "Fracture Toughness of Al2O3-Particle-Dispersed Y 2O3-Partially Stabilized Zirconia", J. Amer. Ceram. Soc., 1995, 78 1079-82.
6. Green D. J., "Critical Microstructures for Microcracking in Al2O2-ZrO2 Composites", J. Amer. Ceram. Soc., 1982, 65 610-614.
7. Ma Q., Pompe V., French J. D., Clarke D. R., "Residual Stresses in Al2O3-ZrO2 Composites: A Test of Stochastic Stress Models", Acta Metall. Mater, (1994), 42 1673-81.
8. Rybicki E. F., Kanninen M. F., "A Finite Element Calculation of Stress Intensity Factors by a Modified Crack Closure Integral", Eng. Fracture Mech., 1977, 9 931-938.
9. Rooke D. P., Cartwright D. J., Compendium of Stress Intensity Factor, Her Majesty's Stationery Office, London 1976, 84-85.
10. Hillman C., Suo Z., Lange F. F., "Cracking of Laminates Subjected to Biaxial Tensile Stresses", J. Amer. Ceram. Soc., 1996, 79 2127-33.
11. Cesari F., Esposito L., Furgiuele F. M., Sciumé G., Tucci A., "Proprietà Meccaniche di Compositi allumina-zirconia: analisi sperimentale", Atti del XVI Convegno del Gruppo Italiano Frattura IGF 16, Catania, Giugno 2002. | <urn:uuid:06b1024a-5739-4630-980e-bd2aa0f93843> | HuggingFaceFW/finepdfs/tree/main/data/ita_Latn/train | finepdfs | ita_Latn | 23,824 |
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All India Council for Technical Education
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APPROVAL PROCESS 2018-19 Application Report Part-1
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SHA
NIV
NTA
ESH
S.S
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AYN
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VAA
NTA
SA
SHA
M, S
NTA
UV
BH
NA
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PET
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Operational Funds
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Remuneration to Visiting/Guest Faculty
Internal Revenue
Library (Investments)
Building Maintenance Expenses
Application Report - Part 1
Data Not Provided by the Institute
Data Not Provided by the Institute
Data Not Provided by the Institute
Data Not Provided by the Institute
Data Not Provided by the Institute
Data Not Provided by the Institute
Company/Industry Details
Type of Company/Industry:
Are you a Company/Industry wishing to set up a new Institute?:
NA
Company/Industry PAN No.:
NA
Company/Industry Registered Address:
NA
Ombudsman/Grievance Details
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Funds/ Grants from Donations
Data Not Provided by
Funds/ Grants from Other Bodies the Institute
Salary to the Teaching Staff
Salary to Non-teaching Staff:
Equipment (Investments)
Other Expenditure (if any)
No
100 Cr Turnover for the last 3
Is the company having Minimum years? (Attach supporting
Company/Industry TAN No.:
documents):
Company/Industry Year of
Registration:
Data Not Provided by
Data Not Provided by the Institute
the Institute the Institute
Data Not Provided by
Data Not Provided by
Data Not Provided by the Institute
the Institute
NA
NA
NA
Grievance Committee Appointment
Yes
OMBUDSMAN Appointment
No
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2
1
Constitution of Anti-Ragging Committee
Yes
3
Constitution of Anti-Ragging Squad
4
Undertaking obtained from all Students
5
Appointment of Counselors
6
Undertaking obtained from parents of all the students
Yes
Yes
Yes
Yes
7
Undertaking obtained from parents of students staying in Hostel
Yes
Undertaking obtained from students staying in Hostel
Yes
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1
Total land available (in Sqm.)
Sr. No.
Particulars
Details Provided by Institute
2
No. of buildings with roof tops
4
3
5
7
Annual electricity consumption (No. of units) during previous financial year
Renewable Energy, if any, used at present
6
Electricity Bill-Average rate per unit paid during previous financial year (Rs. / unit) & No. of units used
Land available for placing solar photovoltaic panels (in Sqm.)
8
Total approximate roof- top area available for placing solar photovoltaic panel (in Sqm.)
9
Remarks
Whether a policy has been adopted to use only LED lamps ?
Other Facilities
Road)
All Weather Approach
(Motorized
Yes
Barrier free Environment
General Insurance
ERP Software
Institution Web Site
Public Announcement System
Medical & Counseling facilities
Post & Banking/ATM
Telephone & FAX
Sewage Disposal System
Vehicle Parking Facility
Appointment Of Student Counselor
Rain Water Harvesting
Establishment Of Committee For
Backup Electric Supply
CCTV Security
Group Insurance
Electric Supply
Insurance for Students
Potable Water Supply
Notice Boards
Projectors in Classrooms
Transport Facility
Staff Quarters
First Aid Facility
Establishment Of Anti Ragging
Solar Power Systems
Committee
Provision to watch MOOCS
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Implementation of Unnat Bharath
SC/ST
Courses through Swayam
Abhiyan:
No
Institution-Industry Cell:
Stand Alone Language Laboratory (Minimum 25 PCs/Laptop up to total intake of 1000.Further additional 25
Safety Provisions including fire and other calamities
PCs/Laptop per intake of 1000):
Establishment of Internal Complaint Committee (ICC) Committee As per section 4 of Sexual Harassment of
Women at Workplace(Prevention, Prohibition and Redressal) Act, 2013
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3439827.6
9176052
Yes
7.45
16187.4
Yes
146661
6,395.33 sq . meter rooftop solar panels installed
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
Yes
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DECLARATION BY THE PRINCIPAL/DIRECTOR/REGISTRAR OF THE INSTITUTE/UNIVERSITY DEPARTMENT
I, as the Head of the Institution, hereby declare that:
a) I have carefully gone through the AICTE Regulations Notification dated on 30th November, 2016, published in the Gazette of India Extraordinary Part III, Section- 4 and its amendment 05th December 2017 also the various provisions mentioned in the Approval Process Hand Book 2018-19.
b) I am fully aware of the data uploaded by me in respect of my institute on the web portal.
c) I am aware that there is no provision for correction of data, alteration of data, subsequent editing and appeal etc. for the online application once uploaded on the web portal.
d) I am also aware that application for seeking Extension of Approval(EOA), Increase/Reduction of intake, Addition of new courses, Change of site, Closure of course, Supernumerary Seats under PIO/FN/Gulf quota Approval status/OCI, NRI, Change of name, and Conversion of women institute into Co-ed institute and vice versa (as applicable), shall be processed as per relevant provisions enumerated in the Approval Process Hand Book 2018-19.
e) I am aware of the Deficiencies (if any) pointed out in the Report generated online, based on the factual data uploaded by my institute on the portal.
f) I am also aware that Institute is eligible for grant of
Introduction of Supernumerary Seats for Foreign Nationals/ Overseas Citizen of India (OCI)/ Persons of Indian Origin (PIO)/ Children of Indian
Approval of New Institutes/University Department/Constituent College,
Workers in Gulf Countries, only on fulfillment of prescribed norms & requirements as mentioned in the Approval Process Hand Book 2018-19.
Signature of Principal/Director/Registrar
Name :
Seal/Stamp of the Institute/University Department
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Training Program Fact Sheet
First Aid, CPR and AED
I. MEDIC First Aid CPR, AED and First Aid Training Programs
a. BasicPlus CPR, AED, and First Aid for Adults (G2015)
b. CarePlus CPR and AED (G2015)
c. Child/Infant CPR and AED Supplement (G2015)
d. PediatricPlus CPR, AED, and First Aid for Children, Infants, and Adults (G2015)
e. High-Performance CPR (G2015)
f. Advanced Bleeding Control (G2015)
g. Bloodborne Pathogens in the Workplace (G2015)
h. Use and Administration of Epinephrine Auto-Injectors (G2015)
i. Child and Babysitting Safety (G2015)
j. Emergency Oxygen (G2010)
II. About MEDIC First Aid and the Health & Safety Institute
a. MEDIC First Aid CPR, AED and First Aid training programs are developed and administered by Health & Safety Institute (HSI).
b. HSI is a major training organization 1 offering high quality training materials, courses and programs for health care professionals, first responders, employees and the community. Since 1978, ASHI and MEDIC First Aid authorized instructors have certified nearly 33 million emergency care providers in the US and more than 100 countries throughout the world. HSI's mission is Making the Workplace and Community Safer ™ .
c. MEDIC First Aid CPR, AED and First Aid training programs are equivalent to the CPR, AED and First Aid training programs developed and administered by the American Heart Association ® (AHA) and the American National Red Cross (ARC).
d. An HSI representative was a volunteer member of the 2015 International Liaison Committee on Resuscitation (ILCOR) First Aid Task Force and a collaborator on the 2015 International Consensus on First Aid Science with Treatment Recommendations. 2
III. MEDIC First Aid Training Programs Are Current, Evidence-Based and Conform to the:
a. 2015 International Liaison Committee on Resuscitation (ILCOR) International Consensus on Cardiopulmonary Resuscitation (CPR) Emergency Cardiovascular Care (ECC) Science With Treatment Recommendations
b. 2015 American Heart Association (AHA) Guidelines Update for CPR and ECC and the annual Guidelines Update.
c. 2015 Caring for Our Children Basics: Health and Safety Foundations for Early Care and Education. Administration for Children and Families, U.S. Department of Health and Human Services.
d. 2011 Standards for First Aid and CPR training of the American Academy of Pediatrics, American Public Health Association and National Resource Center for Health and Safety in Child Care and Early Education, Caring for our children: National health and safety performance standards; Guidelines for early care and education programs. 3rd edition ("CFOC3").
e. Recommendations of the U.S. Department of Labor Occupational Safety and Health Administration (OSHA) Best Practices Guide: Fundamentals of a Workplace First-Aid Program.
© 2018 Health & Safety Institute
AMH8003 (12/18)
Last updated on December 11, 2018
Training Program Fact Sheet
IV. Acceptance and Accreditation
a. MEDIC First Aid training programs are currently accepted, approved or recognized as an industry credential meeting the requirements of more than 2,000 state regulatory agencies, occupational licensing boards, national associations, commissions and councils in more than 550 occupations and professions.
b. HSI is a nationally accredited organization of the Commission on Accreditation of Pre-Hospital Continuing Education (CAPCE). CAPCE is the national accrediting body for Emergency Medical Services (EMS) continuing education courses and course providers. CAPCE accreditation requires an evidence-based peerreview process for continuing education programs comparable to all healthcare accreditors. 3
c. HSI is a member of the Council on Licensure, Enforcement and Regulation (CLEAR), the premiere international resource for professional regulation stakeholders.
d. HSI is a member of the American National Standards Institute (ANSI) and ASTM International (ASTM) — both globally recognized leaders in the development and delivery of international voluntary consensus standards.
V. MEDIC First Aid Training Programs are Taught by Qualified Instructors Affiliated with an Approved Training Center and are Authorized to Certify Course Participants
a. MEDIC First Aid courses that contain psychomotor skills require an in-person, hands-on skill evaluation by a current and properly authorized MEDIC First Aid instructor to verify skill competency prior to issuance of a certification card.
b. Online training alone does not meet the first aid and CPR requirements of the OSHA standards. 4 Online training must be supplemented with hands-on practice. Substantial hands-on practice is needed to meet psychomotor skill performance objectives. 5
c. HSI publishes and administers a set of Quality Assurance Standards designed to monitor and improve the performance of HSI, its approved MEDIC First Aid Training Centers and authorized instructors so that the products and services provided consistently meet or exceed the requirements of HSI, regulatory authorities and class participants.
1 Anderson ML, et al. Rates of cardiopulmonary resuscitation training in the United States. doi: 10.1001/jamainternmed.2013.11320.
2 Singletary EM, et al; on behalf of the First Aid Chapter Collaborators. Part 9: first aid: 2015 International Consensus on First Aid Science With Treatment Recommendations. doi: 10.1016/j.resuscitation.2015.07.047
3 CAPCE represents only that its accredited programs have met CAPCE's standards for accreditation. These standards require sound educational offerings determined by a review of its objectives, teaching plan, faculty, and program evaluation processes. CAPCE does not endorse or support the actual teachings, opinions or material content as presented by the speaker(s) and/or sponsoring organization.
4 Thomas Galassi, "Clarification of OSHA Training Requirements for Basic First Aid and Cardiopulmonary Resuscitation (CPR)," Occupational Health and Safety Administration, August 2, 2013, Available: https://www.osha.gov/laws-regs/standardinterpretations/2012-08-02 (accessed 12/11/2018)
5 Bhanji F, Donoghue AJ, Wolff MS, Flores GE, Halamek LP, Berman JM, Sinz EH, Cheng A. Part 14: education: 2015 American Heart Association Guidelines Update for Cardiopulmonary Resuscitation and Emergency Cardiovascular Care. doi: 10.1161/CIR.0000000000000268
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ЗАПОВЕД
№ РД-08.15.5
гр. Айтос, 13.03.2019 г.
На основание чл.44, ал.1, т.1 и ал.2 от ЗМСМА, чл.14, ал.2 от Закона за общинската собственост, във връзка с чл.60, ал.1 и ал.3, във връзка с чл.57, т.1 от Наредба за реда за придобиване, управление и разпореждане с общинско имущество, във връзка с Решение №599 на Общински съвет Айтос, обективирано в Протокол №41 от заседание на ОБС-Айтос, проведено на 29.01.2019 г.,
ЗАПОВЯДВАМ:
1. Откривам процедура за провеждане на публичен търг с явно наддаване за отдаване под наем, за срок от 3 години на част от недвижим имот – частна общинска собственост, представляващ Търговско помещение /бивша сладкарница „Детска радост”/, с площ от 83.40 кв.м, в това число 37.20 кв.м – търговска площ и 46.20 кв.м складова площ/, находящ се в подоблювено пространство на ЖСК, в кв.119а, им.пл. №2056 по плана на гр.Айтос, ул.”Свобода” №9, при граници на имота: изток – улица, запад – частен имот, север – улица, юг – им.пл. №2057, актуван с АОС №152/08.12.1998 г.
Имотът се отдава под наем за извършване на търговска дейност с промишлени стоки.
2. Търгът да се проведе на 04.04.2019 г. от 10:00 ч. в малката заседателната зала на Община Айтос.
3. Начална месечна тръжна цена 315.60 лв. /триста и петнадесет лева и шестдесет стотинки/ без ДДС, определена съгласно базисни наемни цени, приети с решение №108/27.04.2016 г. на Общински съвет Айтос.
4. Определям стъпка за наддаване – 30.00 лв./тридесет лева/ без ДДС.
5. Депозит за участие в търга – 31.56 лв./тридесет и един лева и петдесет и шест стотинки/, който се внася в касата на Общината /стая №10/ или по банков път: „Алианц Банк България”, IBAN: BG 27BUIN95613300447527, BIC: BUINBGSF, в срок до 16:00 ч. на 03.04.2019 г.
6. За обезпечение на изпълнението на задълженията по договора за наем определям парична гаранция в размер на една месечна наемна вноска без ДДС, достигната на търга, която се внася преди сключване на договора. Внесената парична гаранция, след изтичане на срока на договора се освобождава, като не се начислява лихва.
7. Утвърждавам 1 /един/ комплект тръжна документация за провеждане на търга, съдържащ следните документи:
- Копие от заповед за насрочен търг;
- Заявление за участие – приложение №1;
- Декларация за оглед на имота – приложение №2
- Декларация за условията на търга и проекто-договора – приложение №3;
- Декларация за съгласие за събиране, използване и обработване на лични данни – приложение №4;
- Тръжни условия;
- Копие от Акт за общинска собственост;
- Копие от скипа на имота;
- Договор за наем /проект/;
Тръжната документация е на стойност 30.00 лв./тридесет лева/ без ДДС, която се закупува до 16:00ч. на 02.04.2019г. в Центъра за услуги и информация на гражданите.
8. Кандидатите следва да представят в запечатан непрозрачен плик до 16:00ч. на 03.04.2019г. в Центъра за услуги и информация на гражданите към общината следните документи:
8.1. Заявление за участие в търга - приложение №1;
8.2. Декларация за оглед на имота - приложение №2;
8.3. Декларация за условията на търга и проекто-договора - приложение №3;
8.4. Декларация за съгласие за събиране, използване и обработване на лични данни - приложение №4;
8.5. Документ за внесен депозит;
6.6. Документ за закупена тръжна документация;
8.7. Юридическите лица – търговци, наред с посочените горе документи, представят и ЕИК – съгласно Закона за Търговския регистър. Допустимо е представянето на извадка от електронната страница на Търговския регистър;
8.8. Пълномощно с нотариална заверка на подписа, когато се участва чрез пълномощник. Допустимо е пълномощното да не се постави в плика, а да се предаде на комисията на нейното заседание. На комисията се предоставя оригинал или заверено за вярност копие, като в този случай оригинала се показва за сврка.
9. До участие в търга ще се допускат физически и юридически лица. При участие на кандидат, регистриран като ЮЛ, на приложените документи е необходимо да се постави фирмен печат.
10. Оглед на имота да се извършва всеки ден до 16:00ч. на 03.04.2019г. с представител на Общината след представяне на платежен документ за закупена тръжна документация и предварителна заявка.
11. Начин на плащане: в 14-дневен срок от влизане в сила на заповедта за спечелил участник и преди подписването на договора спечелилият кандидат следва да внесе един месечен наем с ДДС и една гаранция по изпълнение на договора, в размер на един месечен наем без ДДС.
12. В 7- дневен срок от сключване на договора наемателят следва да представи застрахователна полица за склучена застраховка, включително срещу природни бедствия и земетресения.
Настоящата заповед да се обяви във вестник „Народен приятел”, електронната страница на Община Айтос и да се постави на информационното табло на общината.
Контрол по изпълнение на заповедта ще упражнявам лично.
Допълнителна информация на тел.: 0558/2 34 40 или в ЦУИГ на Общината.
ВАСИЛ ЕДРЕВ
КМЕТ НА ОБЩИНА АЙТОС
ЖМ
8500 Айтос, ул. "Цар Освободител" № 3
Централа: тел. (0558) 2-26-65; 2-34-50; 2-35-41
Факс: (0558) 2-21-33; E-mail: firstname.lastname@example.org | <urn:uuid:108cb2e9-78f7-426d-85ef-f1c8f81ea4ae> | HuggingFaceFW/finepdfs/tree/main/data/bul_Cyrl/train | finepdfs | bul_Cyrl | 5,059 |
Zápis
z jednání představenstva MAS REGION KUNĚTICKÉ HORY k výběru projektů z Integrovaného regionálního operačního programu,
konzané dne 30.9.2019 od 10:00 hod. v Sezemicích, kancelář MAS RKH
Jmenný seznam účastníků: viz příloha č. 1 - prezenční listina
Úvod
Tento dokument je zápisem výběru projektů k výzvě 288/06_16_075/CLLD_15_01_261 z Integrovaného regionálního operačního programu.
Řízením jednání byla předsedou představenstva (J. Petrenec) pověřena K. Holečková.
Přítomni jsou 3 z 5 členů představenstva. Žádná ze zájmových skupin ani veřejný sektor nemá více jak 49 % hlasů.
Představenstvo je usnášenischopné. Pro přijmutí usnesení je potřeba souhlasu minimálně 2 členů představenstva.
Zapisovatelem zápisu byla jmenována K. Holečková.
Představenstvo jmenovalo jako ověřovatel tohoto zápisu přítomné členy představenstva.
Etické kódeky
Přítomní členové představenstva byli K. Holečkovou seznámeni se zněním etického kódeku. U žádného z přítomných členů představenstva nebyly zjištěny důvody pro nepodepsání etického kódeku, proto bylo přistoupeno k podpisu etického kódeku.
Výběr projektů k výzvě 288/06_16_075/CLLD_15_01_261 z Integrovaného regionálního operačního programu
- I. Řehořová seznámila přítomné se základními informacemi k programovému rámcí IROP - opatření 5: Vzdělávání a výzvou 288/06_16_075/CLLD_15_01_261, která je předmětem výběru. Dále byly přítomní seznámeni s pravidly pro výběr.
- Celková částka dotace na výzvu: 7.966.672,00 Kč při CZV 8.385.970,53 Kč, minimální výše celkových způsobilých výdajů na jeden projekt: 50.000,00 Kč, maximální výše celkových způsobilých výdajů na jeden projekt: 4.300.000,00 Kč.
- Věcným hodnocením prošly 2 žádosti o podporu (ze 2 žádostí o podporu), které byly včetně relevantních příloh a Seznamu projektů z výběrové komise předloženy K. Holečkovou představenstvu k výběru:
| Opatření SCLLD: IROP/O5 Vzdělávání | Výzva MAS: 8.výzva MAS Region Kunětické hory-IROP-Vzdělávání-II (288/06_16_075/CLLD_15_01_261) |
|-----------------------------------|----------------------------------------------------------------------------------|
| Pořadové číslo | Název projektu (reg. č.) | Název žadatele (IČ) | Bodový zisk | Datum a čas registrace projektu | Požadovaná výše dotace |
| 1. | Modernizace ZŠ Moravany (CZ.06.4.59/0.0/0.0/16_075/0011867) | Obec Moravany (IČ 00273988) | 40 | 14.6.2019 13:11:54 | 2.312.419,32 Kč |
| 2. | Odborné učebny IC techniky ZŠ Dašice (CZ.06.4.59/0.0/0.0/16_075/0011821) | Město Dašice (IČ 00273481) | 35 | 7.6.2019 9:40:26 | 3.561.831,92 Kč |
- Projekty, které prošly věcným hodnocením, je možné vybrat, protože celková částka dotace na výzvu činí 7.966.672,00 Kč a celková částka dotace na projekty ve výběru je 5.874.251,24 Kč, tedy není překročena alokace výzvy 288/06_16_075/CLLD_15_01_261.
- Představenstvo schvaluje výběr žádosti Modernizace ZŠ Moravany (CZ.06.4.59/0.0/0.0/16_075/0011867).
Pro: 3 Proti: 0 Zdržel se: 0
- Představenstvo schvaluje výběr žádosti Odborné učebny IC techniky ZŠ Dašice (CZ.06.4.59/0.0/0.0/16_075/0011821).
Pro: 3 Proti: 0 Zdržel se: 0
- Na základě schválených projektů byl vyhotoven Seznam vybraných projektů a Seznam nevybraných projektů:
Seznam vybraných projektů
| Opatření SCLLD: IROP/O5 Vzdělávání | Výzva MAS: 8.výzva MAS Region Kunětické hory-IROP-Vzdělávání-II (288/06_16_075/CLLD_15_01_261) |
|-----------------------------------|----------------------------------------------------------------------------------|
| Pořadové číslo | Název projektu (reg. č.) | Název žadatele (IČ) | Bodový zisk | Požadovaná výše dotace | Výše celkových způsobilých výdajů | Výše celkových výdajů |
|---------------|--------------------------|---------------------|-------------|------------------------|----------------------------------|----------------------|
| 1. | Modernizace ZŠ Moravany (CZ.06.4.59/0.0/0.0/16_075/0011867) | Obec Moravany (IČ 00273988) | 40 | 2.312.419,32 Kč | 2.434.125,60 Kč | 2.494.125,60 Kč |
| 2. | Odborné učebny IC techniky ZŠ Dašice (CZ.06.4.59/0.0/0.0/16_075/0011821) | Město Dašice (IČ 00273481) | 35 | 3.561.831,92 Kč | 3.749.296,76 Kč | 3.749.296,76 Kč |
| Celkem | | | | 5.874.251,24 Kč | 6.183.422,36 Kč | 6.243.422,36 Kč |
**Seznam nevybraných projektů**
Není evidován žádný nevybraný projekt, který byl předán k výběru.
| Opatření SCLLD: IROP/OS Vzdělávání | Výzva MAS: 8.výzva MAS Region Kunětické hory-IROP-Vzdělávání-II (288/06 16 075/CLLD 15 01 261) |
|-----------------------------------|-------------------------------------------------------------------------------------------------|
| Pořadové číslo | Název projektu (reg. č.) | Název žadatele (IČ) | Bodový zisk | Požadovaná výše dotace | Výše celkových způsobilých výdajů | Výše celkových výdajů |
| --- | --- | --- | --- | --- | --- | --- |
| Celkem | | | | | | |
Představenstvo schvaluje Seznam vybraných projektů a Seznam nevybraných projektů.
Pro: 3 Proti: 0 Zdržel se: 0
**USNESENÍ k výběru projektů IROP**
IROP/Vzdělávání-II/1: Představenstvo schvaluje výběr žádosti Modernizace ZŠ Moravany (CZ.06.4.59/0.0/0.0/16_075/0011867).
IROP/Vzdělávání-II/2: Představenstvo schvaluje výběr žádosti Odborné učebny IC techniky ZŠ Dašice (CZ.06.4.59/0.0/0.0/16_075/0011821).
IROP/Vzdělávání-II/3: Představenstvo schvaluje Seznam vybraných projektů a Seznam nevybraných projektů.
Zápis zveřejněn na www.masrkh.oblast.cz.
Přílohy:
Prezenční listina
Etický kodex
Dne: 30.9.2019
Zapsala: K. Holečková
Členové představenstva svým podpisem tohoto zápisu stvrzují výsledek výběru a ověřují správnost zápisu.
Jozef Petrenec:
Jolana Štěpánková:
Michal Voigts:
MAS Region Kunětické hory, z.s.
Husovo náměstí 790
533 04 Sezemice
IČ: 270 09 157
EVROPSKÁ UNIE
Evropský fond pro regionální rozvoj
Integrovaný regionální operační program
MINISTERSTVO PRO MÍSTNÍ ROZVOJ CR
Jednání představenstva MAS Region Kunětické hory k výběru projektů z Integrovaného regionálního operačního programu
Prezenční listina
| Číslo výzvy MAS | 288/06_16_075/CLLD_15_01_261 |
|-----------------|--------------------------------|
| Název výzvy MAS | 8.výzva MAS Region Kunětické hory-IROP-Vzdělávání-II |
| Datum jednání | 30.9.2019 |
| Čas jednání | 10:00 |
| Místo jednání | Husovo nám. 790, Sezemice (kancelář MAS) |
Rozhodovací orgán schválen MAS ke dni 9.11.2017 (k 25.1.2018 proběhla na základě mimořádné Valné hromady ze dne 16.1.2018 změna jednoho člena představenstva)
| Jméno a příjmení | Název subjektu | Sektor | Zájmová skupina | Podpis |
|------------------|---------------------------------------|------------|----------------------------------|--------|
| Jozef Petrenec | Svazek obcí pod Kunětickou horou | Veřejný | Místní samospráva | |
| Jolana Štěpánková| APOLENKA z.s. | Neziskový | Sport a volnočasové aktivity | |
| Michal Voigts | GREENGOLF Pardubice a.s. | Soukromý | Podnikání a turistický ruch | |
| Jan Zetek | Římskokatolická farnost Opatovice nad Labem | Neziskový | Vzdělávání a osvěta | |
| Josef Kubizňák | Základní škola a mateřská škola Rokytno | Veřejný | Vzdělávání a osvěta | |
| Kristýna Holečková | MAS Region Kunětické hory | - | - | |
| Ivana Řehořová | MAS Region Kunětické hory | - | - | | | 622f99d4-769f-45c5-b1a6-e9f34c6329f7 | HuggingFaceFW/finepdfs/tree/main/data/ces_Latn/train | finepdfs | ces_Latn | 7,707 |
GEWERBEGEBIET „IN DER STRUTH" KEMPENICH/SPESSART
STANDORT:
Verbandsgemeinde Brohltal, an der B 412, ca. 5 Minuten von der A 61, AS Wehr / Nürburgring
Das Gewerbegebiet „In der Struth" liegt zwischen den beiden Gemeinden Kempenich und Spessart. Eine verkehrsgünstige Anbindung über die B 412, der Zufahrt zum Nürburgring, von der Autobahn A 61, eine der Hauptverkehrsachsen in Deutschland, ist gegeben. Das neue Freizeit- und Businesszentrum Nürburgring erreicht man in 10 Minuten.
Das Gewerbegebiet hat eine Netto-Fläche von 30 Hektar und ist voll erschlossen. In dem Planbereich sind bereits über 40 Betriebe der unterschiedlichsten Branchen angesiedelt.
Ein ansprechender Quadratmeterpreis ist ein überzeugender Standortvorteil. Das Angebot einer flexiblen Parzellierung kommt dem individuellen Bedarf und Anspruch von Investoren entgegen.
Beste Rahmenbedingungen:
- ca. 9.000 m² in Kempenich verfügbar
Preis: 22,- Euro/m² (voll erschlossen)
- ca. 12.500 m² in Spessart verfügbar Preis: 9,50,- Euro/m² (zzgl. Beiträge)
weitere 45.000 m² können im II. Bauabschnitt in Spessart erschlossen werden
- schnelle DSL Versorgung (bis 100 Mbit/s kabelgebunden möglich)
- überdurchschnittliche Anzahl sozialversicherungspflichtiger Arbeitsplätze im Vergleich mit Ortschaften gleicher Größenordnung
- hervorragende Infrastruktur mit Einkaufsmöglichkeiten, Grundschule, Kindergärten, Ärzten, Post, Banken etc.
- Freizeitmöglichkeiten wie z. B. Freizeitbad Brohltal, Steinrausch Kempenich
- Vernetzung der Betriebe durch Gewerbeverein Kempenicher Land e. V.
Das Weltunternehmen „wolfcraft" hat seinen Firmensitz im Gewerbegebiet „In der Struth".
Firmenportrait der Firma Wolfcraft in der Slowakei:
http://www.youtube.com/watch?v=8ZnXN5Cxuqo&feature=youtu.be
IHRE ANSPRECHPARTNER:
Rathaus - Verbandsgemeinde Brohltal Peter Engels Kapellenstraße 12 56651 Niederzissen
Tel.: 02636/9740-205
Fax: 02636/80146
E-Mail: email@example.com
Internet: www.brohltal.de
Ortsgemeinde Kempenich Ortsbürgermeister Stefan Friedsam Frankenweg 11 56746 Kempenich
Tel.: 02655/1429
E-Mail: firstname.lastname@example.org
Internet: www.kempenich.de
Ortsgemeinde Spessart Ortsbürgermeister Frank Klapperich Auf dem Nüchel 2 56746 Spessart
Tel.: 02655/961855
E-Mail: email@example.com | <urn:uuid:4fe2af81-327f-4490-ac48-a02f7a660372> | HuggingFaceFW/finepdfs/tree/main/data/deu_Latn/train | finepdfs | deu_Latn | 2,273 |
1
PRESENTATION
A Summit for climate and business
Business will be a significant player in the success of a global climate agreement. Business believes that decarbonation is compatible with human development and economic growth. Companies, large and small, have developed and are developing technological, organizational and financial solutions to reduce greenhouse gas emissions.
However, they depend on bold public policies to deploy these solutions at the scale and pace required to maintain the world temperature average increase under +2°C. The condition to achieve this deployment and transformation is that cooperation between governments and businesses allows new frameworks to be defined, in which all economic actors can operate.
Responding to the UN Secretary General's invitation for business to take a more active role in the world decarbonation process, a large number of business networks have decided to join forces and convene CEOs from around the world and from all sectors in the Business and Climate Summit.
Why is this Summit different?
A broader base: business is usually presenting individual companies commitments. During the Business & Climate Summit, CEOs of companies from around the world will also present collective demands to negotiators, supported by several business organizations, representing trade and industry, large and small companies as well as the finance community.
Consistency: messages will have been discussed in the governance bodies of the partner organizations, insuring consistency between global messages and messages passed to regional and national authorities.
Business organizations contribute, CEOs speak: to guarantee a broad support to the messages, the Summit is jointly funded by the partner organizations, not by individual companies.
A key step in the preparation of COP-21
The dialogue has started at the Climate Summit organised by the Secretary General of the United Nations in New York in September 2014.
It continues at the COP-20 in Lima, then in the World Economic Forum in Davos.
The Business & Climat Summit on 20-21 May 2015 is the latest opportunity for business to synthetize this debate, and demand additional items to be introduced into the next climate agreement.
Intended outcome of the Summit
The Summit will produce a short joint statement. It will be prepared ahead of the event by the partners' Editorial and Steering Committees. The final version will be issued at the end of the Summit, integrating the messages discussed and confirmed during the meeting.
Partners are expected to support these messages towards negotiators of all countries.
Partners
The Summit is co-organised by a wide range of business organisations that share the awareness of the climate urgency and the possible role of business in decarbonation, and want to enter dialogue with governments on their joint ambition.
Partners' logos are here above. More partners are considering joining the Summit.
Speakers
The speakers will be business leaders, in general CEOs from recognized companies, designated by the partners.
Other speakers are invited into the debates to comment these business messages:
- representatives of the United Nations
- representatives of governments
Audience
The summit is aimed primarily at international business players and climate negotiators. The UNESCO premises can welcome 1350 persons and have several rooms to host separate roundtables.
Contact
General: firstname.lastname@example.org
Programme: email@example.com
Communication: firstname.lastname@example.org
PROGRAMME
As of 1 st December 2014 | <urn:uuid:14b3af9f-6804-40dd-8809-814edca02298> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 3,608 |
PRICE: 325,000€ (incl. agency fees payable by vendor)
Charming country house with garden, pool and views near St.Chinian
Charming stone county house situated in an impasse at the edge of a village close to St. Chinian offering approximately 235m² of habitable space comprising 4 bedrooms and 3 bathrooms, on a beautiful private plot of over 700m² with pool and gorgeous countryside views.
This lovely house has been fully renovated and offers comfortable and flexible accommodation over two floors. From the street, one enters directly onto a large salon with feature exposed walls and a solid wood staircase. A hallway with a WC leads to an open plan kitchen/diner with 2 double doors onto the terrace, a fully fitted kitchen, a breakfast bar and a grand fireplace providing a focal point for the room. There is also a bedroom suite on the ground floor with double doors onto the terrace and a stunning 'en-suite' bathroom with claw-foot roll top bath, walk-in shower and double wash basins.
On the first floor, a small hallway leads to a family suite with a large bedroom with views of the countryside, dressing room with walk-in wardrobes, shower room and WC. There are two further bedrooms sharing a separate bathroom. Finally, there is an upstairs living room with double doors onto a raised terrace, which can be used as a further bedroom.
Outside, a garden and various terraces all have views onto the surrounding countryside. Opposite the house is a gated off-street parking space for 2 cars.
Included in the sale are all furniture as well as a piece of non-constructible land of more than 500m² on the outskirts of the village.
This well-appointed, ready to move into property would suit those looking for tranquility, yet within close proximity to a large village with all amenities.
Ground Floor:
Salon – 45.6m² Kitchen diner – 40m² Master bedroom – 30.6
1 st Floor:
Family Suite:
Bedroom –26.5m² Dressing room – 10.9m² Shower room - 4.4m²
WC -2m² Bedroom 3 – 10.5m² Bedroom 4 – 14.8m² Bedroom 5/second lounge – 30.6m² Shower room - 5.2m² Hallway – 9.3m²
General:
Reversible air-conditioning Double glazing throughout Mains drainage Tax Foncière approx. 1068€p.a
Location:
Cebazan – Small wine producing village with renown boulangerie, only 6 minutes from St. Chinian with its restaurants and Sunday market, 30 minutes from Beziers airport, approximately an hour from airports at Carcassonne and Perpignan, and 40 minutes to Mediterranean beaches. | <urn:uuid:e89fd13e-109a-4a65-8f30-78942238d3fb> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 2,481 |
MINIPRO®
Application: Residential / Commercial
Perfect for small lawn and landscape areas and for replacing fixed spray zones.
When considering the industry leading MiniPro® gear driven rotor, think water efficiency.
Now available in three popular heights and compatible with a wide selection of nozzles, the MiniPro® brings flexibility to system design.
Easy Arc Setting
Arc Selection 40° to 360°
Adjust From Left Start
Features and Benefits
- Revolutionary Patented Top Arc Set – Simplified arc set allows for wet or dry adjustment in seconds.
- 1/2” (1.3 cm) Inlet – Replaces all standard mini rotors and pop-up sprays.
- Adjustable to 360° – Provides a full range of adjustment from 40° to 360°.
- Patented Top Arc Set Degree Markings – Clearly indicates the current watering pattern and simplifies arc set adjustment.
- Time Proven Patented Reversing Mechanism – Assures continuous reverse and return…over a 35 year history.
- Ratcheting Riser – Allows for easy adjustment of your left starting position with a simple turn of the riser.
- Rubber Cover – Seals out dirt and increases product durability.
- Wide Selection of Nozzles – Provides flexibility in system design.
- Optional Check Valve – Prevents low head drainage.
| NOZZLE | PRESSURE PSI kPa Bars | RADIUS Ft. M. | FLOW RATE GPM L/M | PRECIP in/hr mm/hr |
|--------|-----------------------|--------------|-------------------|--------------------|
| | | | | |
| #0.75 | 30 207 2,07 | 18' 5,5 | 0.8 2,8 | .45 .51 11 13 |
| | 40 276 2,76 | 19' 5,8 | 0.8 3,0 | .43 .49 11 13 |
| | 50 345 3,45 | 20' 6,1 | 0.9 3,4 | .43 .50 11 13 |
| #1.0 | 30 207 2,07 | 26' 7,9 | 0.9 3,4 | .26 .30 7 8 |
| | 40 276 2,76 | 27' 8,2 | 1.2 4,5 | .32 .37 8 9 |
| | 50 345 3,45 | 27' 8,2 | 1.3 4,9 | .34 .40 9 10 |
| #1.5 Pre-installed | 30 207 2,07 | 27' 8,2 | 1.5 5,7 | 0.35 .34 .40 9 10 |
| | 40 276 2,76 | 27' 8,2 | 1.8 6,8 | .32 .37 8 9 |
| | 50 345 3,45 | 28' 8,5 | 2.0 7,6 | .34 .39 9 10 |
| #2.0 | 30 207 2,07 | 29' 8,8 | 2.0 7,6 | .48 .39 .44 10 11 |
| | 40 276 2,76 | 30' 9,1 | 2.3 8,7 | .53 .42 .49 11 12 |
| | 50 345 3,45 | 31' 9,4 | 2.7 10,2 | 0.62 .42 .49 10 12 |
| #3.0 | 30 207 2,07 | 32' 9,8 | 3.0 11,4 | 0.69 .48 .55 12 14 |
| | 40 276 2,76 | 33' 10,1 | 3.4 12,9 | 0.78 .45 .51 11 13 |
| | 50 345 3,45 | 33' 10,1 | 3.8 14,4 | 0.87 .52 .60 13 15 |
*All precipitation rates calculated for 180° operation. For the precipitation rate for a 360° sprinkler, divide by 2.*
## Specifications
- Inlet: 1/2" (1,3 cm) Threaded NPT
- Arc Adjustment Range: 40° – 360°
- Flow Range: 0.8 – 3.3 GPM (3 – 12,5 LPM)
- Pressure Rating: 20 – 70 PSI (1,4 – 4,8 bar)
- Precipitation Rate: .26 – .60 in/hr (6,6 – 15,24 mm/hr) (Depending on Spacing and Nozzle Used)
- Overall Height (Popped Down): 4", 6", 12" (12,2 cm, 15,2 cm, 30,5 cm)
- Recommended Spacing: 17' – 34' (5,2 – 10,4 m)
- Radius: 18' – 33' (5,5 – 10,1 m)
- Nozzle Trajectory: 25°
- Riser Height: 4", 6" or 12" (12,2 cm, 15,2 cm, 30,5 cm)
## Models
- **13003** MiniPro® – 4" (10,2 cm)
- **13006** MiniPro® – 6" (15,2 cm)
- **13012** MiniPro® – 12" (30,5 cm)
OTHER OPTIONS: ADD TO PART NUMBER
- CV Check Valve
- NN No Nozzle
- RCW Reclaimed Water Use
Designed for smaller areas, the RPS™ 50 is available with a wide selection of nozzles that bring flexibility to system design.
The RPS™ 50 is a gear-driven, rotary sprinkler, capable of covering an area of 18' to 36' (5.5 to 11 M) radius at nozzle pressure of 30 to 50 PSI (2.1 to 3.4 bar) with a discharge rate of .8 to 3.3 GPM (2.8 to 12.5 LPM).
The RPS™ 50 is supplied with five (5) numerically coded interchangeable nozzles. Sprinkler nozzle trajectory is 25°.
The sprinkler has a stainless steel radius adjustment screw and has arc adjustment from 40° to 360°.
**Easy Arc Setting**
Arc Selection 40° to 360°
Adjust From Right Start
**Features and Benefits**
- **Right Position Start** – Rotor rotates counterclockwise from fixed right start position.
- **Time Proven Patented Reversing Mechanism** – Assures continuous reverse and return… over a 35 year history.
- **Ratcheting Riser** – Allows for easy adjustment of your right starting position with a simple turn of the riser.
- **Rubber Cover** – Seals out dirt and increases product durability.
- **Wide Selection of Nozzles** – Provides flexibility in system design.
- **Optional Check Valve** – Prevents low head drainage.
| NOZZLE | PRESSURE | RADIUS | FLOW RATE | PRECIP in/hr | PRECIP mm/hr |
|--------|----------|--------|-----------|--------------|--------------|
| | PSI | kPa | Ft. | GPM | L/M | M³/H | ■ | ▲ | ■ | ▲ |
| #0.75 | 30 | 207 | 18' | 0.8 | 2.8 | 0.17 | .45 | .51 | 11 | 13 |
| | 40 | 276 | 19' | 0.8 | 3.0 | 0.18 | .43 | .49 | 11 | 13 |
| | 50 | 345 | 20' | 0.9 | 3.4 | 0.20 | .43 | .50 | 11 | 13 |
| #1.0 | 30 | 207 | 26' | 0.9 | 3.4 | 0.20 | .26 | .30 | 7 | 8 |
| | 40 | 276 | 27' | 1.2 | 4.5 | 0.27 | .32 | .37 | 8 | 9 |
| | 50 | 345 | 27' | 1.3 | 4.9 | 0.30 | .34 | .40 | 9 | 10 |
| #1.5 Pre-installed | 30 | 207 | 27' | 1.5 | 5.7 | 0.35 | .34 | .40 | 9 | 10 |
| | 40 | 276 | 27' | 1.8 | 6.8 | 0.41 | .32 | .37 | 8 | 9 |
| | 50 | 345 | 28' | 2.0 | 7.6 | 0.46 | .34 | .39 | 9 | 10 |
| #2.0 | 30 | 207 | 29' | 2.0 | 7.6 | 0.46 | .39 | .44 | 10 | 11 |
| | 40 | 276 | 30' | 2.3 | 8.7 | 0.53 | .42 | .49 | 11 | 12 |
| | 50 | 345 | 31' | 2.7 | 10.2 | 0.62 | .42 | .49 | 10 | 12 |
| #3.0 | 30 | 207 | 32' | 3.0 | 11.4 | 0.69 | .48 | .55 | 12 | 14 |
| | 40 | 276 | 33' | 3.4 | 12.9 | 0.78 | .45 | .51 | 11 | 13 |
| | 50 | 345 | 33' | 3.8 | 14.4 | 0.87 | .52 | .60 | 13 | 15 |
*All precipitation rates calculated for 180° operation. For the precipitation rate for a 360° sprinkler, divide by 2.*
## Specifications
- Inlet: 1/2" (1,3 cm) Threaded NPT
- Arc Adjustment Range: 40° – 360°
- Flow Range: .8 – 3.3 GPM (2,8 – 12,5 LPM)
- Pressure Rating: 20 – 70 PSI (1,4 – 4,8 bar)
- Precipitation Rate: .26 – .60 in/hr (6,6 – 15,24 mm/hr) (depending on spacing and nozzle used)
- Overall Height (Popped Down): 6" (15,2 cm)
- Recommended Spacing: 17' – 34' (5,2 – 10,4 m)
- Radius: 18' – 33' (5,5 – 10,1 m)
- Nozzle Trajectory: 25°
- Riser Height: 4" (10,2 cm)
## Models
**RPS50** RPS™ 50 Rotor
**OTHER OPTIONS: ADD TO PART NUMBER**
-CV Check Valve
RPS™ 75
Application: Residential / Commercial
A wide selection of nozzles, including standard and low angle, provides flexibility in system design.
The K-Rain® patented reversing mechanism feature ensures continuous reverse and return. With a wide selection of standard and low angle nozzles, the RPS™ 75 provides matched precipitation. It is a direct replacement for Hunter® PGP® rotors.
Easy Arc Setting
Arc Selection 40° to 360°
Adjust From Right Start
Features and Benefits
- **Right Position Start** – Rotor rotates counterclockwise from fixed right start position.
- **Includes 5 Free Check Valve Assemblies Per Box**
- **Riser Fits in Existing Hunter® PGP® cans** – Simply unscrew the existing riser from the PGP® can and replace with the RPS™ 75 riser.
- **Top Adjustment** – Adjusts from right start.
- **Full and Part Circle Rotation** – Provides a full range of adjustment from 40° to 360°.
- **Non-flushing Wiper Seal** – Reduces leaks caused by debris trapped under seal.
- **3/4" (1,9 cm) Inlet** – Replaces all standard rotors.
- **Ideal for Low Flow Applications.**
- **Rubber Cover** – Seals out dirt and increases durability.
- **Wide Selection of Nozzles** – Including standard and low angle, provides flexibility in system design.
Specifications
- Inlet: 3/4" (1,9 cm) Threaded NPT
- Arc Adjustment Range: 40° – 360°
- Flow Range: .75 – 8.2 GPM (2,6 – 32,6 LPM)
- Pressure Rating: 30 – 70 PSI (2,1 – 4,8 bars)
- Precipitation Rate: .16 – 1.01 in/hr (4 – 26 mm/hr) (Depending on Spacing and Nozzle Used)
- Overall Height (Popped Down): 7 3/8" (19,7 cm)
- Recommended Spacing: 25' – 45' (7,6 – 13,7 m)
- Radius: 22' – 51' (6,7 – 15,5 m)
- Nozzle Trajectory: 26°
- Low Angle Nozzle Trajectory: 11°
- 8 Standard and 4 Low Angle Nozzles Included
- Riser Height: 4" (10,2 cm)
Models
| Model | Description |
|----------------|--------------------------------------------------|
| RPS75 | 3/4" RPS™ 75 Rotor |
| RPS75-360° | 3/4" RPS™ 75 Rotor, 360° |
| RPS75-SH | 3/4" RPS™ 75 Rotor, Shrub |
| RPS75-360°-SH | 3/4" RPS™ 75 Rotor, 360°, Shrub |
| RPS75-6INCH | 6" RPS™ 75 Rotor |
OTHER OPTIONS: ADD TO PART NUMBER
- **-SS** Stainless Steel
- **-CV** Check Valve
- **-NN** No Nozzle
- **-RCW** Reclaimed Water Use
| NOZZLE | PRESSURE | RADIUS | FLOW RATE | PRECIP in/hr | PRECIP mm/hr |
|--------|----------|--------|-----------|--------------|--------------|
| | PSI kPa Bars | Ft. M. | GPM L/M M³/H | ■ ▲ | ■ ▲ |
| #0.75 | 30 206 2,1 | 29 8,8 | 0.7 2,6 0,16 | 0.16 0.19 | 4 5 |
| | 40 275 2,8 | 30 9,1 | 0.8 3,0 0,18 | 0.18 0.20 | 4 5 |
| | 50 344 3,4 | 30 9,1 | 0.9 3,4 0,20 | 0.19 0.22 | 5 6 |
| | 60 413 4,1 | 31 9,4 | 1.0 3,8 0,23 | 0.20 0.23 | 5 6 |
| #1.0 | 30 206 2,1 | 30 9,1 | 0.9 3,4 0,20 | 0.19 0.22 | 5 6 |
| | 40 275 2,8 | 31 9,4 | 1.0 3,8 0,23 | 0.20 0.23 | 5 6 |
| | 50 344 3,4 | 31 9,4 | 1.2 4,5 0,27 | 0.24 0.28 | 6 7 |
| | 60 413 4,1 | 32 9,8 | 1.3 4,9 0,30 | 0.24 0.28 | 6 7 |
| #1.5 | 30 206 2,1 | 32 9,8 | 1.2 4,5 0,27 | 0.23 0.26 | 5 6 |
| | 40 275 2,8 | 33 10,1 | 1.4 5,3 0,32 | 0.25 0.29 | 6 7 |
| | 50 344 3,4 | 34 10,4 | 1.6 6,1 0,36 | 0.27 0.31 | 7 8 |
| | 60 413 4,1 | 34 10,4 | 1.8 6,8 0,41 | 0.30 0.35 | 7 9 |
| #2.0 | 30 206 2,1 | 34 10,4 | 1.6 6,1 0,36 | 0.27 0.31 | 7 8 |
| | 40 275 2,8 | 36 11,0 | 1.8 6,8 0,41 | 0.27 0.31 | 7 8 |
| | 50 344 3,4 | 38 11,6 | 2.0 7,6 0,45 | 0.27 0.31 | 7 8 |
| | 60 413 4,1 | 38 11,6 | 2.2 8,3 0,50 | 0.29 0.34 | 7 9 |
| #3.0 | 30 206 2,1 | 36 11,0 | 2.0 7,6 0,45 | 0.30 0.34 | 7 9 |
| Pre-installed | 40 275 2,8 | 38 11,6 | 2.4 9,1 0,55 | 0.32 0.37 | 8 9 |
| | 50 344 3,4 | 40 12,2 | 2.7 10,2 0,61 | 0.32 0.38 | 8 10 |
| | 60 413 4,1 | 40 12,2 | 2.9 11,0 0,66 | 0.35 0.40 | 9 10 |
| #4.0 | 30 206 2,1 | 36 11,0 | 2.6 9,8 0,59 | 0.39 0.45 | 10 11 |
| | 40 275 2,8 | 40 12,2 | 3.0 11,4 0,68 | 0.36 0.42 | 9 11 |
| | 50 344 3,4 | 42 12,8 | 3.4 12,9 0,77 | 0.37 0.43 | 9 11 |
| | 60 413 4,1 | 42 12,8 | 3.7 14,0 0,84 | 0.40 0.47 | 9 12 |
| #6.0 | 40 275 2,8 | 38 11,6 | 4.2 15,9 0,91 | 0.56 0.65 | 14 16 |
| | 50 344 3,4 | 43 13,1 | 4.9 18,5 1,11 | 0.51 0.59 | 13 15 |
| | 60 413 4,1 | 46 14,0 | 5.5 20,8 1,25 | 0.50 0.58 | 13 15 |
| | 70 482 4,8 | 47 14,3 | 6.0 22,7 1,36 | 0.52 0.60 | 13 15 |
| #8.0 | 40 275 2,8 | 45 13,7 | 6.0 22,7 1,36 | 0.57 0.66 | 14 17 |
| | 50 344 3,4 | 48 14,6 | 6.8 25,7 1,54 | 0.57 0.66 | 14 17 |
| | 60 413 4,1 | 49 14,9 | 7.6 28,8 1,73 | 0.61 0.70 | 15 18 |
| | 70 482 4,8 | 51 15,5 | 8.2 31,0 1,86 | 0.61 0.70 | 15 18 |
## Low Angle Performance Data
| NOZZLE | PRESSURE | RADIUS | FLOW RATE | PRECIP in/hr | PRECIP mm/hr |
|--------|----------|--------|-----------|--------------|--------------|
| | PSI kPa Bars | Ft. M. | GPM L/M M³/H | ■ ▲ | ■ ▲ |
| #1.0 | 30 207 2,1 | 22 6,7 | 1.2 4,5 0,34 | 0.48 0.55 | 12 14 |
| | 40 275 2,8 | 24 7,3 | 1.7 6,4 0,39 | 0.57 0.66 | 14 17 |
| | 50 344 3,4 | 26 7,5 | 1.8 6,8 0,41 | 0.51 0.59 | 13 15 |
| | 60 413 4,1 | 28 8,5 | 2.0 7,6 0,46 | 0.49 0.57 | 13 14 |
| #3.0 | 30 207 2,1 | 29 8,8 | 3.0 11,4 0,68 | 0.69 0.79 | 18 20 |
| | 40 275 2,8 | 32 9,8 | 3.1 11,7 0,71 | 0.58 0.67 | 15 17 |
| | 50 344 3,4 | 35 10,7 | 3.5 13,2 0,80 | 0.55 0.64 | 14 16 |
| | 60 413 4,1 | 37 11,3 | 3.8 14,4 0,87 | 0.53 0.62 | 13 16 |
| #4.0 | 30 207 2,1 | 31 9,4 | 3.4 12,9 0,78 | 0.68 0.79 | 17 20 |
| | 40 275 2,8 | 34 10,4 | 3.9 14,8 0,89 | 0.65 0.75 | 16 19 |
| | 50 344 3,4 | 37 11,3 | 4.4 16,7 1,00 | 0.62 0.71 | 16 18 |
| | 60 413 4,1 | 38 11,6 | 4.7 17,8 1,07 | 0.63 0.72 | 16 18 |
| #6.0 | 40 275 2,8 | 38 11,6 | 6.5 24,6 1,68 | 0.87 1.00 | 22 25 |
| | 50 344 3,5 | 40 12,2 | 7.3 27,6 1,66 | 0.88 1.01 | 22 25 |
| | 60 413 4,1 | 42 12,8 | 8.0 30,3 1,82 | 0.87 1.01 | 22 26 |
| | 70 482 4,8 | 44 13,4 | 8.3 32,6 1,96 | 0.86 0.99 | 22 25 |
*All precipitation rates calculated for 180° operation. For the precipitation rate for a 360° sprinkler, divide by 2.*
RPS™ 75i
Application: Residential / Commercial
Patented Intelligent Flow Technology® allows distance and water flow to be reduced simultaneously and proportionately up to 50%.
With a simple turn of the Flow Control, RPS™ 75i delivers even water distribution, eliminates dry spots and provides better zone performance. Experience superior uniformity and water savings up to 30%.
A direct replacement for Hunter® PGP® and PGP Ultra®, the RPS™ 75i fits right into the same can.
Easy Arc Setting
Arc Selection 40° to 360°
Adjust From Right Start
Features and Benefits
- Reduce Distance and Flow Rate Proportionately.
- Includes 5 Free Check Valve Assemblies Per Box
- Save Time on Every Project — New or retrofit.
- Rugged RPS Family Construction.
- Conserves Water.
- Superior Uniformity.
- Fewer Zones Required.
- Improved Hydraulics.
Models
| Model | Description |
|----------------|--------------------------------------------------|
| RPS 75i | 3/4" RPS™ 75i Rotor |
| RPS75i-360° | 3/4" RPS™ 75i Rotor, 360° |
| RPS75i-SH | 3/4" RPS™ 75i Rotor, Shrub |
| RPS75i-360°-SH | 3/4" RPS™ 75i Rotor, Shrub, 360° |
| RPS75i-6INCH | 6" RPS™ 75i Rotor |
OTHER OPTIONS: ADD TO PART NUMBER
- SS Stainless Steel
- CV Check Valve
- NN No Nozzle
- RCW Reclaimed Water Use
Specifications
- Inlet: 3/4" (1,9 cm) Threaded NPT
- Arc Adjustment Range: 40° – 360°
- Flow Range: .4 – 9.7 GPM (1,5 – 36,7 LPM)
- Pressure Rating: 30 – 70 PSI (2,1 – 4,8 bar)
- Precipitation Rate: .22 – 1.95 in/hr (6 – 50 mm/hr)
- Overall Height (Popped Down): 7 3/8" (19,7 cm)
- Recommended Spacing: 17' – 45' (5,2 – 13,7 m)
- Radius: 13' – 48' (4 – 14,6 m)
- Nozzle Trajectory: 26°
- Low Angle Nozzle Trajectory: 11°
- Nozzles Included: 8 Standard, 4 Low Angle
- Riser Height: 4" (10,2 cm)
www.krain.com
RPS™ Select offers four pre-installed nozzles with greater water efficiency, allowing you to enjoy installation convenience and matched precipitation without hassles.
The K-Rain® RPS™ Select rotary sprinkler is the first gear-driven sprinkler that makes matched precipitation fast and easy, without the need to change nozzles in the field. It offers a choice of 4 selectable built-in nozzles. With a twist of a flathead screwdriver, quickly select the correct nozzle to match the arc setting of the sprinkler or landscape.
No nozzle trees to carry or lose. Using a combination of four nozzles, it’s easy to achieve matched precipitation across all arc settings.
The four built-in nozzles also make RPS™ Select a convenient universal replacement sprinkler for other brands.
**Features and Benefits**
- Four Built-in Selectable Nozzles – Nozzles #1 through #4 match arc settings 90° through 360°.
- Adjustable Arc (from 40°-360°); All Adjustments Made From The Top – Adjust wet or dry, no special tools needed.
- Matched Precipitation Rates – When nozzle setting matched to arc.
- Precision-Engineered Nozzles – Ensures water-saving efficiency.
- Standard Rubber Cover.
- Proven Water-lubricated Gear-drive Design – Common to the popular RPS® 75 Series.
- Universal Riser Assembly – Interchangeable with most popular irrigation rotors.
- Low-pressure Operation.
| NOZZLE | PRESSURE PSI kPa Bars | RADIUS Ft. M. | FLOW RATE GPM L/M | M³/H | PRECIP in/hr ■ ▲ | PRECIP mm/hr ■ ▲ |
|--------|-----------------------|--------------|-------------------|------|------------------|------------------|
| #1.0 | 30 207 2,1 | 33' 10,1 | 1.3 4,9 | 0.29 | .23 | 6 |
| | 35 241 2,4 | 34' 10,4 | 1.4 5,3 | 0.32 | .23 | 7 |
| | 40 276 2,8 | 37' 10,4 | 1.5 5,7 | 0.34 | .21 | 7 |
| | 45 310 3,1 | 37' 11,3 | 1.6 6,1 | 0.37 | .22 | 7 |
| | 50 345 3,4 | 37' 11,3 | 1.8 6,8 | 0.41 | .25 | 7 |
| #2.0 | 30 207 2,1 | 37' 11,3 | 2.6 9,8 | 0.59 | .37 | 9 |
| | 35 241 2,4 | 38' 11,6 | 2.8 10,6 | 0.64 | .37 | 11 |
| | 40 276 2,8 | 39' 11,9 | 3.0 11,4 | 0.68 | .38 | 11 |
| | 45 310 3,1 | 40' 12,2 | 3.2 12,1 | 0.73 | .39 | 11 |
| | 50 345 3,4 | 40' 12,2 | 3.6 13,6 | 0.82 | .43 | 13 |
| #3.0 | 30 207 2,1 | 37' 11,3 | 3.8 14,4 | 0.86 | .53 | 14 |
| | 35 241 2,4 | 40' 12,2 | 4.1 15,5 | 0.93 | .49 | 14 |
| | 40 276 2,8 | 41' 12,2 | 4.5 17,0 | 1.02 | .52 | 15 |
| | 45 310 3,1 | 41' 12,5 | 4.7 17,8 | 1.07 | .54 | 16 |
| | 50 345 3,4 | 43' 13,1 | 4.9 18,5 | 1.11 | .51 | 15 |
| #4.0 | 30 207 2,1 | 38' 11,6 | 5.2 19,6 | 1.18 | .69 | 18 |
| | 35 241 2,4 | 40' 12,2 | 5.7 21,5 | 1.29 | .69 | 20 |
| | 40 276 2,8 | 44' 13,4 | 6.0 22,7 | 1.36 | .60 | 17 |
| | 45 310 3,1 | 45' 13,7 | 6.4 24,2 | 1.45 | .61 | 18 |
| | 50 345 3,4 | 46' 14,0 | 6.8 25,7 | 1.54 | .62 | 18 |
*All precipitation rates calculated for 180° operation. For the precipitation rate for a 360° sprinkler, divide by 2.*
## Specifications
- Inlet: 3/4" (1,9 cm) Threaded NPT
- Arc Adjustment Range: 40° – 360°
- Flow Range: 1.3 – 6.8 GPM (4,9 – 25,8 LPM)
- Pressure Rating: 30 – 70 PSI (2,1 – 4,8 bar)
- Precipitation Rate: .23 – .71 in/hr (6 – 20 mm/hr) (Depending on Spacing and Nozzle Used)
- Overall Height (Popped Down): 7-3/8" (19,7 cm)
- Recommended Spacing: 31' - 44' (9,1 – 13,4 m)
- Radius: 33' – 46' (10 – 14 m)
## Models
- **60003** RPS™ Select Rotor
- **60003-SH** RPS™ Select Rotor, Shrub
- **60003-6INCH** 6" RPS™ Select Rotor
**OTHER OPTIONS:** ADD TO PART NUMBER
- **-CV** Check Valve
- **-RCW** Reclaimed Water Use
SuperPro® with Intelligent Flow Technology® allows distance and water flow to be reduced simultaneously and proportionately.
Patented Intelligent Flow Technology® allows the reduction of distance while reducing the flow rate up to 50%! Water savings of up to 30% is achievable with this patented feature.
SuperPro® delivers matched precipitation, eliminates dry spots and provides better zone performance. Water flow can be turned off during nozzle installation or adjustment, with the riser remaining in popped-up position.
**Specifications**
- Inlet: 3/4" (1,9 cm) Threaded NPT
- Arc Adjustment Range: 40° to Continuous 360°
- Flow Range: .5 – 9.5 GPM (1,9 – 36 LPM)
- Pressure Rating: 20 – 70 PSI (1,4 – 4,8 bar)
- Precipitation Rate: .21 – 1.17 in/hr (5,39 a 30,89 mm/hr) (Depending on Spacing and Nozzle Used)
- Overall Height (Popped Down): 7 1/2" (19 cm)
- Recommended Spacing: 28' – 44' (8,5 a 13,4 m)
- Radius: 26' – 46' (7,9 a 14,0 m)
- Nozzle Trajectory: 26°
- Low Angle Nozzle Trajectory: 12°
- Standard and Low Angle Nozzles Included
- Riser Height: 4" (10,2 cm)
**Models**
10003 SuperPro®
**OTHER OPTIONS: ADD TO PART NUMBER**
-HP 12" (30,5 cm) High Pop
-SH Shrub Head
-CV Check Valve
-NN No Nozzle
-RCW Reclaimed Water Use
-OS On-site wastewater applications with #3 low angle nozzle pre-installed
## Easy Arc Setting
**Arc Selection 40° to Continuous 360°**
Adjust From Left Start
- Reduces distance and flow rate proportionately
- Provides full on/off control
### Performance Data
| NOZZLE | PRESSURE | RADIUS | FLOW RATE | PRECIP |
|--------|----------|--------|-----------|--------|
| | PSI kPa Bars | Ft. M. | GPM L/M M³/H | in/hr mm/hr |
| #1 | 30 207 2,1 | 30 10,1 | 1.2 4,5 0,3 | 0.21 0.25 5 6 |
| | 40 276 2,8 | 31 10,1 | 1.3 4,9 0,3 | 0.23 0.27 6 7 |
| | 50 345 3,4 | 31 10,1 | 1.5 5,7 0,3 | 0.27 0.31 7 8 |
| | 60 414 4,1 | 32 10,1 | 1.8 6,8 0,4 | 0.32 0.37 8 9 |
| #1.5 | 30 207 2,1 | 36 11,0 | 1.5 5,7 0,3 | 0.22 0.26 6 6 |
| | 40 276 2,8 | 37 11,3 | 1.8 6,8 0,4 | 0.25 0.29 6 7 |
| | 50 345 3,4 | 37 11,3 | 2.0 7,6 0,5 | 0.28 0.32 7 8 |
| | 60 414 4,1 | 38 11,6 | 2.2 8,3 0,5 | 0.29 0.34 7 9 |
| #2 | 30 207 2,1 | 35 10,7 | 1.8 6,8 0,4 | 0.28 0.33 7 8 |
| | 40 276 2,8 | 35 10,7 | 2.2 8,3 0,5 | 0.35 0.40 9 10 |
| | 50 345 3,4 | 36 11,0 | 2.6 9,8 0,6 | 0.39 0.45 10 11 |
| | 60 414 4,1 | 38 11,6 | 2.9 11,0 0,7 | 0.39 0.45 10 11 |
| #2.5 | 30 207 2,1 | 37 11,3 | 2.5 9,5 0,6 | 0.35 0.41 9 10 |
| Pre-installed | 40 276 2,8 | 38 11,6 | 3.0 11,4 0,7 | 0.40 0.46 10 12 |
| | 50 345 3,4 | 40 12,2 | 3.4 12,9 0,8 | 0.41 0.47 10 12 |
| | 60 414 4,1 | 40 12,2 | 3.8 14,4 0,9 | 0.46 0.53 12 13 |
| #3 | 30 207 2,1 | 36 11,0 | 3.0 11,4 0,7 | 0.45 0.51 11 13 |
| | 40 276 2,8 | 37 11,3 | 3.4 12,9 0,8 | 0.48 0.55 12 14 |
| | 50 345 3,4 | 38 11,6 | 4.0 15,1 0,9 | 0.53 0.62 13 16 |
| | 60 414 4,1 | 41 12,5 | 4.4 16,7 1,0 | 0.50 0.58 13 15 |
| #4 | 30 207 2,1 | 37 11,3 | 4.0 15,1 0,9 | 0.56 0.65 14 16 |
| | 40 276 2,8 | 39 11,9 | 4.5 17,0 1,0 | 0.57 0.66 14 17 |
| | 50 345 3,4 | 39 11,9 | 5.2 19,7 1,2 | 0.66 0.76 17 19 |
| | 60 414 4,1 | 40 12,2 | 5.6 21,2 1,3 | 0.67 0.78 17 20 |
| #5 | 30 207 2,1 | 37 11,3 | 4.8 18,2 1,1 | 0.68 0.78 17 20 |
| | 40 276 2,8 | 38 11,6 | 5.6 21,2 1,3 | 0.75 0.86 19 22 |
| | 50 345 3,4 | 41 12,5 | 6.5 24,6 1,5 | 0.74 0.86 19 22 |
| | 60 414 4,1 | 43 13,1 | 7.2 27,3 1,6 | 0.75 0.87 19 22 |
| #6 | 30 207 2,1 | 40 12,2 | 6.0 22,7 1,4 | 0.72 0.83 18 21 |
| | 40 276 2,8 | 41 12,5 | 6.8 25,7 1,5 | 0.78 0.90 20 23 |
| | 50 345 3,4 | 42 12,8 | 7.5 28,4 1,7 | 0.82 0.95 21 24 |
| | 60 414 4,1 | 44 13,4 | 8.4 31,8 1,9 | 0.84 0.96 21 24 |
| #8 | 30 207 2,1 | 38 11,6 | 7.9 29,9 1,8 | 1.05 1.22 27 31 |
| | 40 276 2,8 | 44 13,4 | 9.2 34,8 2,1 | 0.92 1.06 23 27 |
| | 50 345 3,4 | 45 13,7 | 10.4 39,4 2,4 | 0.99 1.14 25 29 |
| | 60 414 4,1 | 46 14,0 | 11.1 42,0 2,5 | 1.01 1.17 26 30 |
### Low Angle Performance Data
| NOZZLE | PRESSURE | RADIUS | FLOW RATE | PRECIP |
|--------|----------|--------|-----------|--------|
| | PSI kPa Bars | Ft. M. | GPM L/M M³/H | in/hr mm/hr |
| #1.0 | 30 207 2,1 | 26 7,9 | 1.1 4,2 0,2 | 0.31 0.36 8 9 |
| | 40 276 2,8 | 30 9,1 | 1.3 4,9 0,3 | 0.28 0.32 7 8 |
| | 50 345 3,4 | 30 9,1 | 1.4 5,3 0,3 | 0.30 0.35 8 9 |
| | 60 414 4,1 | 30 9,1 | 1.6 6,1 0,4 | 0.34 0.40 9 10 |
| #1.5 | 30 207 2,1 | 27 8,2 | 1.4 5,3 0,3 | 0.37 0.43 9 11 |
| | 40 276 2,8 | 28 8,5 | 1.7 6,4 0,4 | 0.42 0.48 11 12 |
| | 50 345 3,4 | 31 9,4 | 1.9 7,2 0,4 | 0.38 0.44 10 11 |
| | 60 414 4,1 | 31 9,4 | 2.1 7,9 0,5 | 0.45 0.52 11 13 |
| #2 | 30 207 2,1 | 30 9,1 | 2.1 7,9 0,5 | 0.45 0.52 11 13 |
| | 40 276 2,8 | 31 9,4 | 2.4 9,1 0,5 | 0.48 0.56 12 14 |
| | 50 345 3,4 | 33 10,1 | 2.8 10,6 0,6 | 0.50 0.57 12 14 |
| | 60 414 4,1 | 31 9,4 | 3.1 11,7 0,7 | 0.62 0.72 16 18 |
| #3 | 30 207 2,1 | 32 9,8 | 3.0 11,4 0,7 | 0.56 0.65 14 16 |
| | 40 276 2,8 | 34 10,4 | 3.5 13,2 0,8 | 0.58 0.67 15 17 |
| | 50 345 3,4 | 35 10,7 | 3.9 14,8 0,9 | 0.61 0.71 15 18 |
| | 60 414 4,1 | 35 10,7 | 4.3 16,3 1,0 | 0.68 0.78 17 20 |
*All precipitation rates calculated for 180° operation. For the precipitation rate for a 360° sprinkler, divide by 2.*
The ProPlus® is packed with features which ensures reliability; saving the installer time and money on every job.
The ProPlus® adjustable arc and continuous full-circle gear driven rotor comes standard with nine numerically coded interchangeable nozzles. Excellent nozzle performance delivers an exceptional fall out pattern. In independent testing by C.I.T., the ProPlus® delivered up to 90% uniform coverage.
Tough, proven and advanced, the ProPlus® is the leader in it’s class. Set it and forget it. Arc Memory Clutch returns the rotor to its preset position. Technology works for you.
**Easy Arc Setting**
Arc Selection 40° to Continuous 360°
Adjust From Left Start
**Specifications**
- Inlet: (1,9 cm) 3/4" Threaded NPT
- Arc Adjustment Range: 40° to Continuous 360°
- Flow Range: .5 – 10.0 GPM (1,9 – 37,8 LPM)
- Pressure Rating: 20 – 70 PSI (2 – 4,8 bars)
- Precipitation Rate: .12 – .89 in/hr (3 – 26 mm/hr) (Depending on Spacing and Nozzle Used)
- Overall Height (Popped Down): 7 1/2" (19 cm) (17" (43,2 cm) for High Pop Model)
- Recommended Spacing: 28' – 44' (8,5 – 13,2 m)
- Radius: 22' – 50' (6,7 – 15,3 m)
- Nozzle Trajectory: 26°
- Low Angle Nozzle Trajectory: 12°
- Standard and Low Angle Nozzles Included
- Riser Height: 5" (12,7 cm) and 12" (30,5 cm)
**Models**
| Code | Description |
|--------|------------------------------|
| 11003 | ProPlus® |
| 11003-HP | ProPlus® (30,5 cm) 12" High Pop |
| 11003-SH | ProPlus® Shrub Head |
**OTHER OPTIONS: ADD TO PART NUMBER**
- CV Check Valve
- LA Low Angle Nozzle
- NN No Nozzle
- RCW Reclaimed Water Use
| NOZZLE | PRESSURE PSI kPa Bars | RADIUS Ft. M. | FLOW RATE GPM L/M M³/H | PRECIP in/hr ■ ▲ | PRECIP mm/hr ■ ▲ |
|--------|-----------------------|--------------|------------------------|------------------|------------------|
| #0.5 | 30 207 2,1 | 28 8,5 | 0.5 1,9 0,11 | 0.12 0.14 | 3 4 |
| | 40 276 2,8 | 29 8,8 | 0.6 2,3 0,14 | 0.14 0.16 | 3 4 |
| | 50 345 3,5 | 29 8,8 | 0.7 2,7 0,16 | 0.16 0.19 | 4 5 |
| | 60 414 4,1 | 30 9,1 | 0.8 3,0 0,18 | 0.17 0.20 | 4 5 |
| #0.75 | 30 207 2,1 | 29 8,8 | 0.7 2,7 0,16 | 0.16 0.19 | 4 5 |
| | 40 275 2,8 | 30 9,1 | 0.8 3,0 0,18 | 0.17 0.20 | 4 5 |
| | 50 344 3,4 | 31 9,4 | 0.9 3,4 0,20 | 0.18 0.21 | 5 5 |
| | 60 413 4,1 | 32 9,8 | 1.0 3,8 0,23 | 0.19 0.22 | 5 6 |
| #1.0 | 30 207 2,1 | 32 9,8 | 1.3 4,9 0,30 | 0.24 0.28 | 6 7 |
| | 40 275 2,8 | 33 10,1 | 1.5 5,7 0,34 | 0.27 0.31 | 7 8 |
| | 50 344 3,4 | 34 10,4 | 1.6 6,1 0,36 | 0.27 0.31 | 7 8 |
| | 60 413 4,1 | 35 10,7 | 1.8 6,8 0,41 | 0.28 0.33 | 7 8 |
| #2.0 | 30 207 2,1 | 37 11,3 | 2.4 9,1 0,55 | 0.34 0.39 | 9 10 |
| | 40 275 2,8 | 40 12,2 | 2.5 9,5 0,57 | 0.30 0.35 | 8 9 |
| | 50 344 3,4 | 42 12,8 | 3.0 11,4 0,68 | 0.33 0.38 | 8 10 |
| | 60 413 4,1 | 43 13,1 | 3.3 11,4 0,68 | 0.34 0.36 | 8 9 |
| 2.5 | Pre-installed | 38 11,6 | 2.5 9,5 0,57 | 0.33 0.38 | 8 10 |
| | 40 275 2,8 | 39 11,9 | 2.8 10,6 0,64 | 0.35 0.41 | 9 10 |
| | 50 344 3,4 | 40 12,2 | 3.2 12,1 0,73 | 0.39 0.44 | 10 11 |
| | 60 413 4,1 | 41 12,5 | 3.5 13,3 0,80 | 0.40 0.46 | 10 12 |
| #3.0 | 30 207 2,1 | 38 11,6 | 3.6 13,6 0,82 | 0.48 0.55 | 12 14 |
| | 40 275 2,8 | 39 11,9 | 4.2 15,9 0,96 | 0.53 0.61 | 14 16 |
| | 50 344 3,4 | 41 12,5 | 4.6 17,4 1,05 | 0.53 0.61 | 13 15 |
| | 60 413 4,1 | 42 12,8 | 5.0 19,0 1,14 | 0.55 0.63 | 14 16 |
| #4.0 | 30 207 2,1 | 43 13,1 | 4.4 16,7 1,00 | 0.46 0.53 | 12 13 |
| | 40 275 2,8 | 44 13,4 | 5.1 19,3 1,16 | 0.51 0.59 | 13 15 |
| | 50 344 3,4 | 46 14,0 | 5.6 21,2 1,27 | 0.51 0.59 | 13 15 |
| | 60 413 4,1 | 49 14,9 | 5.9 22,4 1,34 | 0.47 0.55 | 12 14 |
| #6.0 | 40 276 2,8 | 45 13,7 | 5.9 22,4 1,34 | 0.56 0.65 | 14 16 |
| | 50 344 3,4 | 46 14,0 | 6.0 22,7 1,36 | 0.55 0.63 | 14 16 |
| | 60 413 4,1 | 48 14,6 | 6.3 23,9 1,43 | 0.53 0.61 | 13 15 |
| | 70 482 4,8 | 49 14,9 | 6.7 25,4 1,52 | 0.54 0.62 | 14 16 |
| #8.0 | 40 276 2,8 | 42 12,8 | 8.0 30,3 1,82 | 0.87 1.01 | 22 26 |
| | 50 344 3,4 | 45 13,7 | 8.5 32,2 1,93 | 0.81 0.93 | 21 24 |
| | 60 413 4,1 | 49 14,9 | 9.5 36,0 2,16 | 0.76 0.88 | 19 22 |
| | 70 482 4,8 | 50 15,2 | 10.0 37,9 2,27 | 0.77 0.89 | 20 23 |
## Low Angle Performance Data
| NOZZLE | PRESSURE PSI kPa Bars | RADIUS Ft. M. | FLOW RATE GPM L/M M³/H | PRECIP in/hr ■ ▲ | PRECIP mm/hr ■ ▲ |
|--------|-----------------------|--------------|------------------------|------------------|------------------|
| #1.0 | 30 207 2,1 | 22 6,7 | 1.2 4,5 0,27 | 0.48 0.55 | 12 14 |
| | 40 276 2,8 | 24 7,3 | 1.7 6,4 0,39 | 0.57 0.66 | 14 17 |
| | 50 345 3,4 | 26 7,9 | 1.8 6,8 0,41 | 0.51 0.59 | 13 15 |
| | 60 414 4,1 | 28 8,5 | 2.0 7,6 0,45 | 0.49 0.57 | 12 14 |
| #3.0 | 30 207 2,1 | 29 8,8 | 3.0 11,4 0,68 | 0.69 0.79 | 17 20 |
| | 40 276 2,8 | 32 9,8 | 3.1 11,7 0,70 | 0.58 0.67 | 15 17 |
| | 50 345 3,4 | 35 10,7 | 3.5 13,2 0,80 | 0.55 0.64 | 14 16 |
| | 60 414 4,1 | 37 11,3 | 3.8 14,4 0,86 | 0.53 0.62 | 14 16 |
| #4.0 | 30 207 2,1 | 31 9,4 | 3.4 12,9 0,77 | 0.68 0.79 | 17 20 |
| | 40 276 2,8 | 34 10,4 | 3.9 14,8 0,89 | 0.65 0.75 | 17 19 |
| | 50 345 3,4 | 37 11,3 | 4.4 16,7 1,00 | 0.62 0.71 | 16 18 |
| | 60 414 4,1 | 38 11,6 | 4.7 17,8 1,07 | 0.63 0.72 | 16 18 |
| #6.0 | 40 275 2,8 | 38 11,6 | 6.5 24,6 1,48 | 0.87 1.00 | 22 25 |
| | 50 344 3,4 | 40 12,2 | 7.3 27,7 1,66 | 0.88 1.01 | 22 26 |
| | 60 413 4,1 | 42 12,8 | 8.0 30,3 1,82 | 0.87 1.01 | 22 26 |
| | 70 482 4,8 | 44 13,4 | 8.6 32,6 1,96 | 0.86 0.99 | 22 25 |
*All precipitation rates calculated for 180° operation. For the precipitation rate for a 360° sprinkler, divide by 2.*
PROSPORT®
Application: Commercial / Sports Turf
Designed specifically for sports turf, with head spacing from 40' to 65' (12 to 20 m).
The ProSport® comes standard with a unique triple nozzle configuration, consisting of a primary nozzle for long distance and two secondary nozzles for mid-range and short distance coverage. This nozzle design provides superior, close-in water distribution from 45' to 77' (13 to 23 m).
Available in a high speed version, ideal for quick wet downs and dust control.
Features and Benefits
- Revolutionary Patented Top Arc Set – Simplified arc set allows for wet or dry adjustment in seconds.
- Triple Nozzle Configuration – Ensures even distribution of water.
- 2 in 1 Adjustable or Continuous Rotation – Provides a full range of adjustment from 40° to a continuous full circle.
- Top Arc Set Degree Markings – Clearly indicates the current watering pattern and simplifies arc set adjustment.
- Arc Memory Clutch – Prevents internal gear damage and returns rotor to its prior setting automatically if nozzle turret is forced past stop.
- Time Proven Patented Reversing Mechanism – Assures continuous reverse and return…over a 35 year history.
- Heavy Duty Rubber Cover and Mud Guard – Protects against physical injury and reduces liability, allows sprinkler to be installed below grade.
- Factory Installed Check Valve – Prevents low head drainage.
Easy Arc Setting
Arc Selection 40° to Continuous 360°
Adjust From Left Start
Specifications
- Inlet: 1" (2,5 cm) Threaded NPT Domestic
1" (2,5 cm) Threaded BSP International
- Arc Adjustment Range: 40° to Continuous 360°
- Flow Range: 5.1 - 32.5 GPM (19,3 a 123 LPM)
- Pressure Rating: 40 – 90 PSI (2,8 a 6,2 bar)
- Precipitation Rate: .48 – 1.56 in/hr (12,2 – 39 mm/hr)
(Depending on Spacing & Nozzle Used)
- Overall Height (Popped Down): 9 1/2" (24,1 cm)
- Recommended Spacing: 40' – 65' (12,2 a 19,8 m)
- Radius: 45' – 77' (13 a 23 m)
- Nozzle Trajectory: 26°
- Riser Height: 4" (10,2 cm)
Visit our Sport Field Designs online at:
www.krain.com/sport-field-design
## Performance Data - Model 14003
| NOZZLE | PRESSURE | RADIUS | FLOW RATE | PRECIP in/hr | PRECIP mm/hr |
|--------|----------|--------|-----------|--------------|--------------|
| | PSI kPa Bars | Ft. M. | GPM L/M M³/H | ■ ▲ | ■ ▲ |
| #5 | 40 276 2,8 | 45¹ 13,7 | 5.1 19,3 1,2 | 0.48 0.58 | 12 14 |
| | 50 345 3,5 | 47² 14,3 | 5.9 22,3 1,3 | 0.51 0.62 | 13 15 |
| | 60 414 4,1 | 47 14,3 | 6.5 24,6 1,5 | 0.57 0.68 | 14 17 |
| | 70 483 4,8 | 49² 14,9 | 7.1 26,9 1,6 | 0.57 0.68 | 15 17 |
| #10 | 50 345 3,5 | 53³ 16,2 | 10.6 40,1 2,4 | 0.73 0.87 | 18 21 |
| Pre-installed | 60 414 4,1 | 53 15,9 | 11.8 44,7 2,7 | 0.81 0.97 | 21 24 |
| | 70 483 4,8 | 53 16,2 | 12.6 47,7 2,9 | 0.86 1.04 | 22 25 |
| | 80 552 5,5 | 55⁴ 16,8 | 13.5 51,1 3,1 | 0.86 1.03 | 22 25 |
| #15 | 50 345 3,5 | 57⁵ 17,4 | 13.0 49,2 3,0 | 0.77 0.92 | 19 23 |
| | 60 414 4,1 | 59¹ 18,0 | 14.2 53,8 3,2 | 0.79 0.94 | 20 23 |
| | 70 483 4,8 | 59¹ 18,0 | 15.4 58,3 3,5 | 0.85 1.02 | 22 25 |
| | 80 552 5,5 | 63² 19,2 | 16.5 62,5 3,8 | 0.80 0.96 | 20 23 |
| #20 | 60 414 4,1 | 65⁶ 19,8 | 18.9 71,5 4,3 | 0.86 1.03 | 22 25 |
| | 70 483 4,8 | 67² 20,4 | 20.5 77,6 4,7 | 0.88 1.06 | 22 26 |
| | 80 552 5,5 | 69¹ 21,0 | 21.9 82,9 5,0 | 0.89 1.06 | 23 26 |
| | 90 621 6,2 | 71¹ 21,6 | 23.2 87,8 5,3 | 0.89 1.06 | 23 26 |
| #25 | 60 414 4,1 | 67⁷ 20,4 | 22.8 86,3 5,2 | 0.98 1.17 | 25 29 |
| | 70 483 4,8 | 71¹ 21,6 | 24.8 93,9 5,6 | 0.95 1.14 | 24 28 |
| | 80 552 5,5 | 75² 22,9 | 26.5 100,3 6,0 | 0.91 1.09 | 23 27 |
| | 90 621 6,2 | 77² 23,5 | 26.8 101,4 6,1 | 0.87 1.04 | 22 25 |
| #30 | 60 414 4,1 | 67⁸ 20,4 | 23.7 89,7 5,4 | 1.02 1.22 | 26 30 |
| | 70 483 4,8 | 69¹ 21,0 | 25.6 96,9 5,9 | 1.04 1.24 | 26 30 |
| | 80 552 5,5 | 69¹ 21,0 | 27.5 104,1 6,3 | 1.11 1.33 | 28 33 |
| | 90 621 6,2 | 71¹ 21,6 | 29.2 110,5 6,6 | 1.12 1.34 | 28 33 |
*All precipitation rates calculated for 180° operation. For the precipitation rate for a 360° sprinkler, divide by 2.*
## Performance Data - Model 14053
| NOZZLE | PRESSURE | RADIUS | FLOW RATE | PRECIP in/hr | PRECIP mm/hr |
|--------|----------|--------|-----------|--------------|--------------|
| | PSI kPa Bars | Ft. M. | GPM L/M M³/H | ■ ▲ | ■ ▲ |
| #5 | 40 276 2,8 | 43¹ 13,1 | 5.9 22,3 1,3 | 0.61 0.71 | 16 18 |
| | 50 345 3,5 | 44¹ 13,4 | 6.2 23,5 1,4 | 0.62 0.71 | 16 18 |
| | 60 414 4,1 | 45¹ 13,7 | 6.4 24,2 1,5 | 0.61 0.70 | 15 18 |
| | 70 483 4,8 | 45¹ 13,7 | 7.6 28,8 1,7 | 0.72 0.83 | 18 21 |
| #10 | 50 345 3,5 | 49⁹ 14,9 | 10.6 40,1 2,4 | 0.85 0.98 | 22 25 |
| Pre-installed | 60 414 4,1 | 53³ 15,8 | 11.5 44,3 2,7 | 0.79 0.91 | 21 25 |
| | 70 483 4,8 | 53¹ 16,1 | 13.3 50,3 3,0 | 0.91 1.05 | 23 27 |
| | 80 552 5,5 | 54¹ 16,5 | 14.0 53,0 3,2 | 0.92 1.07 | 23 27 |
| #15 | 50 345 3,5 | 52² 15,8 | 12.4 46,9 2,8 | 0.88 1.02 | 23 26 |
| | 60 414 4,1 | 54² 16,5 | 13.6 55,3 3,3 | 0.90 1.04 | 24 28 |
| | 70 483 4,8 | 56² 17,1 | 14.6 58,7 3,5 | 0.90 1.03 | 24 28 |
| | 80 552 5,5 | 58² 17,7 | 15.9 60,2 3,6 | 0.91 1.05 | 23 27 |
| #20 | 60 414 4,1 | 56² 17,7 | 19.8 66,2 4,0 | 1.22 1.40 | 27 31 |
| | 70 483 4,8 | 58² 17,7 | 21.2 71,5 4,3 | 1.21 1.40 | 27 32 |
| | 80 552 5,5 | 59² 18,0 | 22.8 78,7 4,7 | 1.26 1.46 | 29 34 |
| | 90 621 6,2 | 60² 18,3 | 24.4 82,1 4,9 | 1.30 1.51 | 29 34 |
| #25 | 60 414 4,1 | 59² 18,0 | 22.4 84,8 5,1 | 1.24 1.43 | 31 36 |
| | 70 483 4,8 | 66² 20,1 | 25.7 97,3 5,8 | 1.14 1.31 | 29 33 |
| | 80 552 5,5 | 67² 20,4 | 27.8 105,2 6,3 | 1.19 1.38 | 30 35 |
| | 90 621 6,2 | 68² 20,7 | 29.9 113,2 6,8 | 1.24 1.44 | 32 37 |
| #30 | 60 414 4,1 | 60² 18,3 | 25.2 95,4 5,7 | 1.35 1.56 | 34 39 |
| | 70 483 4,8 | 72² 22,0 | 28.5 107,9 6,5 | 1.06 1.22 | 27 31 |
| | 80 552 5,5 | 73² 22,2 | 30.8 116,6 7,0 | 1.11 1.28 | 28 33 |
| | 90 621 6,2 | 75² 22,9 | 32.5 123,0 7,4 | 1.11 1.28 | 28 33 |
## Models
- **14003** ProSport® Plastic
- **14053** ProSport® High Speed Plastic
**OTHER OPTIONS: ADD TO PART NUMBER**
- **-SS** Stainless Steel
- **-BSP** w/BSP Thread
- **-NN** No Nozzle
- **-RCW** Reclaimed Water Use | <urn:uuid:73b31513-0ddc-483e-bc15-a332372f635e> | HuggingFaceFW/finepdfs/tree/main/data/eng_Latn/train | finepdfs | eng_Latn | 40,214 |
Anwendungen
In dieser Broschüre finden Sie unser Anwendungen für Ihre Schönheit. Wir bieten Ihnen individuelle Gesichts- und Körperpflege mit allen Produkten unserer hochwertigen Kosmetikserien.
Vom ersten Moment an stehen Sie, Ihre Haut und Ihre Schönheit im Mittelpunkt. Dafür steht unser Name.
Im Institut erwartet Sie ein erfahrenes und hervorragend ausgebildetes Team. Unsere Räume sorgen für Entspannung. Genießen
Sie individuelle Pflege mit hochwertigen Produkten. Ausgezeichnet als von Clarins machen wir Ihre Kosmetikanwendung zum Erlebnis Schönheit. Gold Partner
Lassen Sie sich von uns beraten.
Anwendung „Klassik" für Damen und Herren
Hautdiagnose, Reinigung, Peeling, Bedampfung, Massage, Maske ca. 60 min
mit Wirkstoffkonzentrat
Anwendung „Pure"
Hautdiagnose, Reinigung, Peeling, Bedampfung, Maske
ca. 45 min
55.-
65.-
45.-
Tri-Active Gesichtsbehandlungen - La Méthode Clarins
Essentielle Beauty Rituale
Frisch & Strahlend
Für eine frische Ausstrahlung ca.
60 min
Klar & Rein
Klärt, mattiert und bringt die Haut wieder in Balance
60 min ca.
Ihre Haut ist rein, frisch und vital
64.-
89.-
SOS & Feuchtigkeit
Für ein neues Wohlgefühl, Geschmeidigkeit und Ausstrahlung ca. Ihre Haut ist wunderbar zart und geschmeidig 60 min 109.-
Leuchtkraft & Anti-Spot
Belebt, gibt Leuchtkraft, die Haut ist gleichmäßig und voller Ausstrahlung
ca.
60 min 109.-
Lift & Shape
Verfeinert die Gesichtskontouren, liftet und festigt das Gewebe ca. Für einen perfekten Auftritt 60 min 109.-
Anti-Age Beauty Rituale Tri-Active Gesichtsbehandlungen - La Méthode Clarins
Multi-Active 30+
Mildert erste Falten, schützt vor Hautstress Die Haut ist perfekt gewappnet für die Herausforderungen des Tages
Power-Lift 40+
Strafft und mildert Falten ca. 60 min
ca. 60 min
Für eine noch schönere Ausstrahlung
Super-Intensive 50+
Mehr Hautdichte und Ausstrahlung für reife Haut Die Haut wirkt fester und straffer, sie ist voller Leuchtkraft und Ausstrahlung ca.
60 min
De Luxe Zeit
Die Pflegeanwendungen sind auch als Deluxe Zeit buchbar ca. 90 min
109.-
109.-
109.-
149.-
Energiebehandlung von Kopf bis Fuß - Clarins
Berührung, die bewegt
Tiefe Entspannung, Revitalisierung und Regeneration von Kopf bis Fuß
La Méthode Clarins "Männerbehandlung"
Power und Energie
Bekämpft Anzeichen von Müdigkeit und strafft ca. 90 min
ca. 60 min
149.-
109.-
Dalton Bio Enzym Anwendung
Le Soin Mille Lumiére
Ein Pflegeerlebnis hoch drei Die Anwendung verleiht Ihnen mit gleich zwei Masken eine unvergleichliche Ausstrahlung
ca. 90 min 105.-
Le Soin Modelant Mille Hydrante
Die Exklusivanwendung mit der einzigartigen, sich selbst erwärmenden „Masque Modelant" ca. 75 min
Le Soin Thalasso Mille Hydratant
Eine wahre Feuchtigkeitskur Ausgleichend und kühlend ist die Anwendung eine unvergleichliche Wohltat
ca. 75 min
89.-
89.-
Harmonieanwendung
Eine strukturverbessernde Anwendung nach der Original Methode von Jeanne Piaubert
Aromaanwendung
Erleben Sie die Harmonie von Seele, Sinne und Haut
Auto Lift Anwendung
Ein individuell zusammengestelltes Pflegekonzept für die höchsten Ansprüche ca. 75 min
ca.
75 min
79.- ca.
60 min 79.-
79.-
Rückenanwendung Klassik
Sich ein wenig Zeit nehmen für Gesicht und Körper ist zu einem Bedürfnis des täglichen Lebens geworden. Ihnen etwas Gutes zu tun und für Ihr nachhaltiges Wohlbefinden zu sorgen ist unsere Berufung. Unser erfahrenes und hervorragend ausgebildetes Team steht dafür mit seinem Namen.
Regina Bohatschek Fachkosmetikerin Renate Leimbach Fachkosmetikerin mit Zusatzausbildung: Wellnessmassagen zur Steigerung Ihres Wohlbefindens und Ihrer Gesundheit
Doris Niedermeier
Ingrid Staudinger Fachkosmetikerin, Inhaberin Fachkosmetikerin alle angegebenen Preise verstehen sich in Euro inkl. der gesetzlichen MwSt. Änderungen vorbehalten. Für Druckfehler keine Haftung.
Kosmetikstudio Ingrid Staudinger Pfleggasse 27 Deggendorf 94469
0991 343 847
Tel.
Fax:
0991 379 238 4
www.kosmetikstudio-ingrid-staudinger.de | <urn:uuid:7e8e87bd-852f-4867-99c1-f023df153d04> | HuggingFaceFW/finepdfs/tree/main/data/deu_Latn/train | finepdfs | deu_Latn | 4,010 |
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