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Reflections on Holy Week INSIDE • Anti-Dogma Campaign Update • Is it reasonable to believe in the Divinity of Jesus Christ? • Gone with the Wind? Few books are truly enduring — Revolution and Counter-Revolution is among those few • An inspired perspective on history, politics, the Catholic Church, and the present process of decay in our society • A clear and concise framework for quickly and accurately understanding today’s events as they break around us • A prognosis for civilization, but not a death sentence if we heed its call • A manifesto for Catholic conservatives “The author’s analysis of the Revolutionary process is most impressive and reveals, by its grasp of reality and profound knowledge of history, how the decadence of the end of the Middle Ages prepared the climate for the paganizing Renaissance and the pseudo-reformation, thence for the terrible French Revolution and, thereafter, for atheistic Communism.” Father Anastasio Gutiérrez, CMF, Papal theologian “I especially appreciated the second part of [the] book, highlighting the efficacy of Catholic doctrine and the spiritual remedies the Church possesses to combat and vanquish the forces and errors of the Revolution.” Archbishop Romolo Carboni, former Papal Nuncio in Peru and Italy Hardbound, 174 pages $8.95 plus $2.75 for shipping and handling To order, call toll-free: 1-888-317-5571 EDITORIAL Is the Church among our concerns? IN BRIEF - Shepherds speak out against homosexuality - Too many spills? - Communist vengeance - Where have all the young radicals gone? INDUSTRIAL REVOLUTION Reflections Upon a Globalized Apple TFP IN ACTION - March for Life 2000 - “They turned it into a polemic!” COMMENTARY The Human Spirit Thirsts for Sin and Absurdity CATHOLIC APOLOGETICS Is it reasonable to believe in the Divinity of Jesus Christ? COVER STORY Embracing Christ and the Cross — What Does It Mean? ONLY IN AMERICA Gone With the Wind? RELIGION The Feast of the Annunciation: How Important Is It? BASIC HISTORY COURSE The Second Barbarian Invasion BACK TO MANNERS A Destructive Equality TEACHING OUR CHILDREN No! Why not? FAMILY SERIES Jaques and His Charge Crusade Magazine is a publication of The American Society for the Defense of Tradition, Family and Property (TFP). Subscriptions in the United States and Canada, $30.00. Foreign subscriptions, $42.00. List of other TFP publications available upon request. Direct correspondence requests and orders to: Crusade Magazine, P.O. Box 341, Haverford, PA 19041 or e-mail to: firstname.lastname@example.org Tel.: 888-317-5571, Fax: (717) 225-1675. Copyright 2000 by The Foundation for a Christian Civilization, Inc. This publication includes images from Dynamic Graphics, Corel, and Art Today which are protected by Copyright laws of the U.S. and elsewhere. ISSN 1096-2782 LCCN 98-641433 M-44 Is the Church among our concerns? In fast-paced times like ours it is often quite difficult to pause and think, let alone to meditate and pray. Cares and concerns of all sorts, material things both necessary and not-so-necessary, events in our own neighborhoods and in the world at large, all compete for the attention of our eyes, ears, and minds. Every day brings news of tornadoes here, floods there; ongoing accounts of the presidential campaign; further details on the most recent plane crash; reports on this or that new health concern; the latest financial updates; news about the war in one place, the civil strife in another, the peace talks somewhere else. Amidst these important national and global concerns, there are the more immediate ones of our own family affairs: meeting the monthly bills, rearing our children in a world ever less congenial to them, caring for an aged and infirm parent, facing anxieties over a loved one who has gone astray, and so many more — all matters meriting our attention. Yet, indeed, these often seem to leave us little if any time for consideration of “those things that do not pass away,” those which, among all our legitimate concerns, are really most important. The sense of lacking time and calm for these higher things surely becomes more acute for Catholics who truly love the Church as they approach the season of Lent, a time that calls us, perhaps more than any other, to such thoughts. Many people, of course, have no such concern. Some have consciously rejected any notion of eternal realities, others are simply indifferent to them. In either case, whether they be optimists or pessimists in overall outlook, they are certainly not realists. Realists — only those who see this world as it is, as God created it and governs it; only those who marvel at the splendors of His material creation but know that there exist a spiritual creation and an un-created spiritual reality as well; only those who know that all God’s creation is good, but also that sin entered the world, first the angelic world and then the material, and that all humankind labors under that sinfulness; and finally, only those who know that sinfulness is overcome solely by Our Lord’s redemptive sacrifice and our cooperation with it. We, realists, cooperate by examining our own sinfulness, by confessing our sins, and by making amends for them through prayer and penance. The penance may, and should, include fasting, but it should also include the patient bearing of all the crosses of our daily lives, including the cross of finding scant time for prayer and reflection amidst the others. But our reparation should not be focused solely on ourselves and our concerns, for we are members of the Mystical Body of Christ, and this in a world and age that ignores, blasphemes, and even persecutes the Church and what remains of Christian civilization. We can and should make this one of our concerns. It is this that Prof. Plinio Corrêa de Oliveira deals with in our cover story, “Embracing the Cross of Christ — What does it Mean?” a thoughtful meditation for this coming Lent, even as we face our daily crosses. The American TFP The American Society for the Defense of Tradition, Family and Property (TFP) was founded in 1973 to confront the profound crisis shaking the modern world. It is a civic, cultural and non-partisan organization which, inspired by the traditional teachings of the Supreme Magisterium of the Roman Catholic Church, works in a legal and peaceful manner in the realm of ideas to defend and promote the principles of private ownership, family and perennial Christian values with their twofold function: individual and social. The TFP’s words and efforts have always been faithfully at the service of Christian civilization. The first TFP was founded in Brazil by the famous intellectual and Catholic leader Prof. Plinio Corrêa de Oliveira in 1960. His work has inspired the formation of other autonomous TFPs in 26 countries across the globe, thus constituting the world’s largest anticommunist and anti-socialist network of Catholic inspiration. Shepherds speak out against homosexuality Advocates of homosexuality are unrelenting in their numerous and widespread efforts to obtain tolerance, or, rather, complete acceptance of their vice. Anyone who disagrees with them, they contend, biased and intolerant. Nevertheless, at least a few of their recent initiatives are being forcefully opposed by Catholic bishops. Thomas Cardinal Winning of Glasgow recently enraged homosexual activists in the United Kingdom when he told the truth about their vice. “It pains me to use the word perverted when discussing the homosexual act, but that is what it is,” the Cardinal said. The head of Scotland’s 750,000 Catholics, Cardinal Winning urged the “silent majority” to “speak up for their society” as he openly criticized a proposal of Tony Blair’s government to overturn a prohibition against teaching schoolchildren that homosexual activity is acceptable. A spokesman for the homosexual rights group Outrage! accused the cardinal of “scaremongering,” “storing up prejudice and intolerance,” and “provoking false fears and worries,” according to a January 18 Reuters report. Closer to home, Most Rev. Kenneth A. Angell, Bishop of Burlington, Vermont, rallied over 1,000 people at Vermont’s statehouse on February 1 to protest the Vermont Supreme Court’s ruling that the State’s marriage statutes discriminate against homosexuals seeking marital status. The Court ruled that homosexuals must receive the same rights and benefits as married couples and left it to the State’s legislature to remedy the “discrimination.” The issue has sharply polarized public opinion in the state, as is evident from the two recent, opposing rallies that have attracted well over a thousand people each. The New York Times reported that such numbers from Vermont’s 600,000 people would be equivalent to gatherings of 90,000 people in New York. During the rally against the ruling, Bishop Angell exhorted all to political action by petitioning the state legislature for an amendment to protect traditional marriage against same-sex unions and domestic partnership. In a pastoral letter to the priests and faithful of his diocese, which he also shared in his testimony before the Vermont House Judiciary Committee, Bishop Angell said “Often the truth does not ‘tickle our ears,’ but rather calls us to bear witness when perhaps we would rather not become involved. I believe such a time is upon us, right here in our own Green Mountains and in our own backyards. Today in Vermont, the sacredness of marriage and the family as ordered by God is in jeopardy, and those who honor that sanctity are called to defend it with courage and conviction.” The promoters of this unnatural vice want nothing short of total equality between vice and virtue. That, however, is impossible, for unless society discourages vice and upholds virtue, vice inevitably attains an imperious status and demands being called virtue itself. It is to be hoped that other shepherds will courageously stand up with Cardinal Winning and Bishop Angell in this urgent matter. Too many spills? Along with the other changes since Vatican II, it has become common practice for the faithful to receive Holy Communion under both species. The practice has given rise to a growing number of complaints about stains on altar linens. The purificators, the small linens used to wipe the chalice after each communicant partakes of the Blood of Christ, easily become stained. The wine or precious blood is also occasionally spilled on the altar cloth itself. These linens are often hand-woven and delicate, so cleaning them can be a laborious process that becomes complicated by the numerous stains. In face of this problem, a parish in Irving, Texas, obtained “permission” to substitute paper towels for the purificators! A more common and quickly spreading solution is the use of a white or light red wine for Mass. San Antonio Winery, a producer of sacramental wines, reported a doubling in sales of white and light red wines in recent years, while the sales of red wines decreased twenty percent. The real question here is one of value, the value of the Blood of Our Lord Jesus Christ. Even if much work is required to clean the linens, His Presence and the opportunity of the faithful to receive Him are of infinitely greater importance. Any effort or expense is nothing compared to the infinite God. Communist vengeance The communists have always shown a pathological desire for revenge against anybody who swings free from their evil clutches. At the end of World War II, the United States, to satisfy Stalin’s vindictiveness, repatriated several thousand Russian soldiers who had fought for Germany. Anyone fortunate enough to get over the Berlin Wall had to expect a fusillade of bullets in the final stages of his escape. Now in the first year of the twenty-first century, a six-year old Cuban boy, Elian Gonzalez, becomes the target for communist revenge. In the past the United States had been sympathetic to victims of communism, but seven years of President Clinton’s appeasement of Marxist dictators has eroded that sympathy. We have forgotten the misery of life on the island of Cuba, where the most prized gifts from visitors are soap, toilet paper, and toothpaste. More debilitating is the inherent spiritual evil, for communism is by nature atheistic, materialistic, and evolutionary. It refuses to admit that God, our Creator Who has always existed in His infinite beauty, is a pure spirit, as is our soul, and that He is the absolute, unchanging Truth. This lies at the bottom of Western Civilization’s conflict with Marxism and its subsequent socialistic offshoots. Into this monumental conflict drifted a young boy, bouncing on the sea on an inner tube, protected by his guardian angel to whom he was praying and by a circling school of dolphins that warded off the sharks. His mother had already died risking his life and hers to flee from Cuban tyranny. Now powerful and determined forces in this country want to return young Elian to the island prison. We have fallen a long way in seven years. Where have all the radicals gone? Young radical Catholic progressives used to be the cutting edge of those who claimed the role of modernizing the Church and society. Their constant demands for women priests, structural reforms, and other social issues were all championed in the name of keeping up with the times. Ironically, the only element of the radical Catholic movement that seems unable to keep up with the times is the young radicals themselves. At the latest Call to Action National Conference, held last November in Milwaukee, 3,500 members gathered together in a virtual Who’s Who of Catholic progressives. The organization’s Call to Action News reported on the event. It was hard not to notice the number of graying heads among the theologians and activists who took the podium. Yet, the newsletter did mention a sizable younger participation. Stretching the limits of youth into middle age, the article exulted over the tangible presence of 400 younger adults aged 42 or under. Even the 3100 non-younger adults over 42 were euphemistically termed the “wisdom generation.” Paraphrasing the popular song from the 1960s, one has to ask, “Where have all the young radicals gone?” It seems that the “wisdom generation,” warned back then not to trust anyone over thirty, has revised that vital age-limit. All too often, the debate around globalization centers on the economics of production. It is naturally assumed that nations which are able to undersell others in a certain product should do so. Such a system insures the greatest variety of goods at the lowest price. While the globalized economy does enrich the world by circulating a vast array of quality goods, that is only part of the story. It also impoverishes. There is a cultural aspect to globalization that is often ignored. Culture and production Culture, by definition, incorporates the beliefs, behavior, language, and entire way of life of a particular people. It is reflected in customs, ceremonies, works of art, inventions, technology, traditions, foods, and economy. Christian civilization, with its constant impulse toward perfection, especially enriches culture. However, there is something in the very nature of man whereby anything he touches expresses his culture. All peoples take delight in the uniqueness of their own existence and constantly look for different ways to express it or see themselves reflected in their surroundings and products. Thus, the world rightly praises Italy’s vast array of pastas, Germany’s variety of beers, or the assortment of Kentucky bourbons. In some way, all these products reflect the respective locale and culture. It is a tribute to the inventiveness of a people when they create surprising and novel products by extracting, developing, and refining resources from their surroundings. Sometimes the place itself is so important that the product cannot be produced anywhere else. From the blending of local berries and special grapes, for example, the great Burgundy wines were born. From the cactus in the scorching Mexican desert, tequila was distilled. A globalized apple Something of this local creativity is lost in globalization. Take the case of a lowly apple. Buy a simple bottle of apple juice at an American supermarket and look at the listing of the juice’s origin. “Contains concentrate from Argentina, Austria, Brazil, Chile, China, Germany, Hungary, Italy, Turkey and United States,” one such label reads. In this case, the multi-national apple juice ceases to express a single culture and becomes a savorless product to slake the thirst of its undiscriminating consumer. The metaphysics of quantity The globalized apple juice flees from any kind of distinctiveness. It makes a metaphysical statement by affirming that quantity is worth more than quality. Upon an Apple and that large quantities of a thing are more important than its refinement and individuality. While there are literally hundreds of varieties of apples, the globalized apple suppresses their characteristics and turns them all into a bland mixture of apple concentrates. All apples are equal and blended in a concentrate where the particular characteristics of a Hungarian apple are indistinguishable from those of an Argentine apple. Gone is the distinctive, tart flavor of a local cider, replaced by the homogenized essence of apple made for the globalized masses. Sinking in a sea of juice It might be argued that globalized apple juice is a lamentable but necessary reality in the world market economy. Apple concentrate from several nations simply supplies overwhelming American demand. Again, that is not the full story. Globalized apple juice comes at a time when American apple production is at an all-time high. Apple orchards across the country are producing record harvests. However, the prices, adjusted for inflation, paid to growers are now the lowest since the Great Depression — while consumer prices are actually inching upward. Apple juice prices, $189 a ton in 1995, now stand at $40 a ton. Other farmers report offers as low as $10 a ton and simply let the apples rot rather than pick them. Floods of imports, especially from Communist China, have run orchard owners out of business.* A climate of instability An economic climate wherein Turkish apple juice can be imported and sold cheaper than juice produced a mile down the road creates instability among producers. The incentive to produce new kinds of juices and other apple products is lost in the struggle for survival. Something of the local creativity in the quest for a better apple is lost. Something of tradition is lost when orchard owners who have raised quality apples for generations leave their farms. Ultimately, the consumer loses. There will always be high-priced quality juices available at gourmet shops. However, those common tangy juices so expressive of an area and accessible to all are inevitably the first victims of the globalized apple. The apple is but one example. When the apple’s plight extends to other fields, something of the way we express ourselves and something of our culture is lost — never to be regained. () Sam How Verhovek. “Growers’ Lament: The Crop’s Bright Red, but So Is the Ink,” The New York Times, 10/26/99, A-14. On the occasion of the 27th March for Life in our nation’s capital on January 24, 2000, the American Society for the Defense of Tradition, Family and Property offered the following reflections in a leaflet given to thousands of March participants, in the hope that it might help redouble their anti-abortion efforts in the difficult years ahead. The marchers setting out toward Capitol Hill The American TFP band marching with the more than 100,000 participants in favor of the unborn American TFP volunteer distributes leaflets during the March As we begin the year 2000, the contrast with the early years of the twentieth century could not be more striking. The America of 1900 was a young, vibrant nation full of large healthy families and teeming with immigrants from all nations. It was an America inebriated with the dream of an aborning new world in which technology and economic progress would resolve all problems and the headlong pursuit of happiness would be the sole rule of life. In that optimistic atmosphere, however, lay the seed of a secular culture that called for throwing off all the restraints of morality. As a logical consequence, that seed later produced the bitter fruits of moral laxity, including the drug-laced sexual revolution of the sixties and the nefarious abortion movement. Today, as we look both backward and forward, the extravagant optimism of a materialistic redemption is waning. We have witnessed the bloodiest century in all history, with its devastating wars, famines, and civil strife. The sexual revolution has left in its wake countless shattered families, ruined lives, and the sad legacy of an aborted generation. In the United States alone, forty million Americans have been aborted and sacrificed to what has been so accurately called the “Culture of Death.” A vigorous crusade goes on The onslaught of this Culture of Death has been so great, so total, that it has permeated all fields. For some, resistance would seem futile; the year 2000 should have marked the complete triumph of this culture. But that did not happen. As we enter the year 2000, the very existence of a powerful reaction in favor of the unborn marks a glorious milestone of which we may be proud. The anti-abortion movement stands firm Since Roe v. Wade legalized abortion in 1973, a vibrant resistance has had to brave the most daunting obstacles. The anti-abortion movement has faced hostile and biased treatment by the news media, betrayals by those who should be our staunchest allies, and hate-filled slurs of abortion advocates. We have resisted calls for unacceptable compromises and overcome internal difficulties. Persecution has only heightened our resolve. Today, the anti-abortion movement stands erect before the nation in the presence of God, calling for a great common effort. The movement is alive and thriving, with widespread grassroots support from clergy, youth, students, and families across the nation. Anti-abortion activists around the world look to America for inspiration. Moving ahead Nevertheless, we cannot rest upon the laurels of past achievements. We face the reality of a future ever more hostile to Christian morality. Promoters of the Culture of Death are not satisfied only with crueler methods of abortion or more sophisticated means of contraception. Other ways of further undermining family, religion, and morality are constantly appearing. For example, we are seeing increasingly blasphemous portrayals of God and religion on television and in theaters. Supporters of homosexual “marriage” and other moral aberrations militantly seek to destroy the family. The innocence of children is shattered at an increasingly tender age. Reaching a crossroads In face of these attacks, the year 2000 represents a crossroads. In this moral crusade for America’s soul, there are some who feel overwhelmed by the power of the adversary. They tend to isolate themselves and accept with resignation the encroachment of the Culture of Death. To this, we respond, Never! In the anti-abortion fight, we cannot be intimidated. God does not want us to isolate ourselves in resignation; rather, He asks for undaunted strength and hope. Just as when we overcame the formidable obstacles of the past, we can count on God’s help for the future. The lesson of Covadonga The fate of nations has frequently depended on the efforts of people — often fewer in number. When the Moors thought they had dominated Catholic Spain, a handful of Catholics refused to give up and, from a small stronghold in a place called Covadonga, began the long but successful reconquest of their country. With similar resolve, we must continue doing all that we can, while calling upon God’s help, in this moral crusade for America’s soul. 1. In 1998, Terrence McNally’s play Corpus Christi* portrayed a Christ-figure who engaged in homosexual relations with his apostles. Kevin Smith’s 1999 movie Dogma mocks all that Catholics hold sacred. The American TFP mobilized millions of Americans to voice their opposition to these productions. 2. Today’s scandalizing of children calls to mind the prophecies about our times made by Our Lady of Good Success to the Conceptionist nun Mother Mariana de Jesus Torres in Quito, Ecuador, in the sixteenth century. Referring to the twentieth century, Our Lady said: “In thousands, the atmosphere will be saturated with the spirit of impurity which, like a filthy sea, will engulf the streets and public places with incredible license....Innocence will scarcely be found in children or modesty in women.” Dogma’s blasphemies were being screened in over 1,200 theaters of our beloved land. It was November 23, 1999, and the theater-front protests all over the country were entering their twelfth day. While walking to the ANF office amidst the first chills of an approaching winter, I was pondering the intense action of the last six months. None of us had ever seen anything like it before. In Kansas, our “Protest Coordination Center” was abuzz with activity. Calls were coming in profusely, often late into the night. Local coordinators from Maine to Hawaii were asking for supplies, suggestions, and the names of nearby ANF members to invite to their protests. Here at HQ in Pennsylvania, things had long been in high gear. Since June 1, more than three million Stop Blasphemy Now! leaflets had been mailed out to the tens of thousands of people who offered to help distribute them. The impact had been immediate. By June 10, the entire leaflet had been scanned into, and was being vilified on a Kevin Smith fan website. On October 4, Dogma’s U.S. debut had been held at the New York Film Festival. Kevin Smith — author, director, and actor in the film — had been there with his following. So were more than 2,000 dedicated children of Mary. During the three-hour protest, they had prayed fervently and offered their public reparation for the blasphemies against God and His Blessed Mother, the mockeries of the Church, and the misrepresentation of the Catholic faith. New York Auxiliary Bishop Francis Garmendia had led everyone in reciting the rosary. Fathers Benedict Groeschel and Andrew Apostoli of the Franciscan Friars of the Atonement, and many other speakers had given most inspiring addresses. Letters from Cardinal George (Chicago), Bishops Curtiss (Lincoln), Timlin (Scranton), Dupré (Springfield, Mass.) and Doran (Rockford), and Senator Bob Smith (I-NH) had been read to the crowd and distributed to the media. Bishop Doran’s words were ardent: “I have often advised Catholics in this diocese that they would do a great work of religion if they were to forego using any Disney products or services and any Miramax films. The dismal work of both companies since the inception of this anti-American type of activity leads me to suspect that the latest work is a product of their desperation, and I do not blush to invoke Saint Michael the Archangel to rebuke them with the other devils and to consign them to the same fate.” Now, upon entering our office building, my gaze automatically swept the news board in the hall, searching for new postings. A CNN transcript caught my eye. One of the volunteers who scanned the Web, the airwaves, and the printed media for anything on Dogma had picked it up on his “radar.” It was an interview of Kevin Smith on Larry King Live. As I read the transcript I could not help smiling, seeing how Larry King, in true textbook fashion, warmed up to the media’s favorite mantra on how peaceful and lawful protests of a blasphemous film... are just free publicity: “Well, you had a very good opening. Why do you think — don’t — it’s — one thing incomprehensible is when you bring about to slam something, you increase the interest in it?” Accustomed to the wiles and guiles of the more media-savvy, the answer from Dogma’s New Jersey scriptwriter caught me entirely by surprise: “They really brought a lot more awareness and attention to it. However, it wasn’t the kind of awareness or attention that I was really looking for. I mean, it’s an entertainment right, and they turned it into a polemic!” It rolled like thunder in my ears: “They turned it into a polemic!” Wow! I knew the nationwide protests against Dogma — not just America Needs Fatima’s, but those being promoted by many dedicated organizations, parishes, and even isolated Catholics — were hitting home, and hard. However, one seldom hears as much “from the horse’s mouth” ...and so soon, too! Of course, it is our obligation as devoted children of Mary to stand up and defend our precious faith; to make public reparation for Dogma’s unspeakable blasphemies. We would be bound to do so even if only the angels in Heaven were paying attention. Nevertheless, this was welcome news. Kevin Smith’s lament was that many, many indeed of our fellow Americans had taken notice of the protests and this had impacted their perception of the film... dramatically! What a confession! I recalled Smith’s vain boast at a special party after Dogma’s New York Film Festival premiere. Smith threw out his challenge, to the general applause of those present: "It's easy to pinpoint one location, but the movie's opening on 1,200 to 1,500 screens all at once. How are you going to move people around like that?" With the number of local protests estimated at over 400 already and news of more coming in daily, I felt humbled. It really seemed that the angels were intervening! With a quick prayer of thanks to the Blessed Mother, I rushed to share the news with the staff and the volunteers manning the phones. These twenty-three brave souls certainly deserved to be the first to hear the news. They were also the fastest way I could think of to spread the word far and wide. Working in shifts so that several were always on hand, these dedicated helpers were crucial in the operation. They were always there with words of encouragement and the much needed "how-to" for first-timers. They were also the "spokes in the wheel," putting people in touch with one another so that everyone who wanted to protest Dogma knew the times and places of local showings and rallies. An interesting example was that of Typically, most of the public kept their distance. — It was no different on Calvary! Gaynell Russell, a 19-year-old from Louisiana. Dogma was coming to her town and she set out to organize a protest. Despite her best efforts she could not muster support. Faced with the prospect of protesting alone, she was somewhat discouraged, but she did not give up. Calling the America Needs Fatima protest center for help, she obtained the names of other concerned Catholics in her area. She contacted them and more than 60 joined her on the street. Another case was that of a young mother in Allentown, Pennsylvania. Yes, she wanted to do something, she told the ANF caller, but how would she ever be able to organize a protest? It all sounded so overwhelming! Nevertheless, she was determined to try if someone else in her area could help. It was not long before another young mother with the same predicament phoned her. Obviously, the angels wanted them to make the effort. Well, they did. They organized two protests with 70 protesters each and received good local media coverage. Of course, no two protests were alike. Some, like the one in Westminster, Maryland, had a priest leading the Rosary. Others had nuns in attendance, while many had just a few of Christ’s faithful. The protest in front of Disney’s Burbank, California, headquarters drew over 300 people, while in front of one Delaware theater, the sole protester, a brave lady, was able to convince four moviegoers not to see the film. This apostolate of dissuasion was one of the protests’ most rewarding aspects. At a theater in the outskirts of Pittsburgh, which attracted some 120 protesters, including two busloads from the University of Steubenville, teen-age moviegoers stopped to speak with one of the protesters. Some of the teens were soon convinced that Dogma was the wrong choice. At a mall in York, Pennsylvania, a woman and her children were thankful that the protest educated them as to Dogma’s real nature. This poor mother, dreadfully mistaken about the film, had innocently believed it to be a pro-faith film that would do her children some good! “They really brought a lot more awareness and attention to it. However, it wasn’t the kind of awareness or attention that I was really looking for.” Another gratifying aspect was that now and then those passing by a rally thanked the protesters for their public witness. Seeing the banners and posters with the thousand different ways people came up with to say “Dogma = blasphemy,” they tooted their horns, waved, or clapped in support as they drove by. Here and there, some would join the picket line for a while, pulling his or her rosary out of a pocket or a purse and adding another voice to the chorus of reparation. Others, as if they were disciples of Nicodemus in the Gospel, would approach a protester and whisper, as if fearful of being overheard, “Thank you for what you are doing here. God bless you!” and then go on their way. Typically, of course, most of the public kept their distance. It was no different on Calvary! Some protesters were taken aback by the dour disposition of the theater managers and employees. These did not seem convinced in the least that the protest was “free advertising” for Dogma. Practically everywhere, theater personnel were adamant that the protest be shut down or at least removed by the police or mall security staff to some obscure corner of the parking lot. They brought out every argument: property rights, anti-loitering laws, obstruction to pedestrian traffic, unlawful littering, social nuisance, liability hazard. Some protesters, showing that their protest was not disruptive nor likely to induce anyone to violence and was not preventing access to the theater, were able to hold their ground. Others, having to move to a public street in front of the mall, sometimes found that the relocation worked out for the better. A busy intersection, especially when protesters had large and well-placed posters, banners, and a statue of the Blessed Mother, often became the perfect stage to broadcast the protest. Thousands who would have missed it otherwise thus came in touch with the issue. And those thousands all talk... at the water cooler, over lunch, after Mass, on the phone with family and friends. Word definitely spread that Dogma was being picketed. At a suburban Baltimore theater, some devoted volunteers were taking their posters out of their cars and making ready for the protest. A woman awaiting a bus with her two children walked over and asked, “Are you here to protest against that film?” Our protests did not nor could they stop The Human Spirit Thirsts for Sin and Absurdity BY JUAN DONOSO CORTÉS Our Lord did not conquer the world by the beauty of His doctrine. Had He been no more than a man of beautiful doctrines, the world would have admired Him for a moment, and then forgotten not only the doctrine but the Man as well. At first, only the common people followed that so-admirable doctrine; the more distinguished among the Jewish nation despised it, and the human race largely ignored the Master during His lifetime. Our Lord Jesus Christ did not conquer the world by His miracles. Even among the men who bore witness to Him and who with their own eyes had seen Him transform things, changing their nature by His word alone, who saw Him walk on the waters, calm the sea, still the winds, exercise His empire over life and death, some called Him God, others a devil, and yet others a prestidigitator and magician. Our Lord Jesus Christ did not conquer the world because the ancient prophecies were fulfilled in Him. The very synagogue, depository of the prophecies, did not convert; the doctors who knew the prophecies did not convert, nor did the multitudes who had learned the prophecies from the doctors of the law. Our Lord Jesus Christ did not conquer the world by the power of truth. The truth contained in Christianity, as far as its depths and essence are concerned, already existed in the Old Testament as it is in the New Testament, because the truth does not change: it is always one, eternal, and identical with itself. Eternally present in the bosom of God, it was revealed to man, communicated to his soul, and deposited in history at the very moment in which the first divine word resounded in the world. Nevertheless, the Old Testament, in its eternal and essential teachings as well as in supplementary, local, and contingent elements, in its dogmas as well as in its rites, remained an exclusive possession of the Chosen People, never passing beyond their domain. That same people often made itself a spectacle of great prevarications and revolts. We see them persecute their prophets, strangle their doctors, follow the ways of the Gentiles even to idolatry, make abominable pacts with the infernal spirits, give themselves up body and soul to bloody and horrible superstitions; and finally, on the day in which the Incarnate Truth was before them, they denied Him, cursed Him, and crucified Him on Calvary. At that precise moment, when the Truth Juan Donoso Cortés (1809-1853), a Spanish marquis, was a brilliant student of the intellectual and moral conditions in Europe of his time. At first an admirer of the Enlightenment, he turned strongly against liberalism and socialism in his later years. This article, comprising most of Chapter 5 of his Essay on Catholicism, Liberalism, and Socialism, stresses the preference the human intellect will have for error and evil over truth and good as a consequence of Original Sin. First published in 1851, the essay could have — save perhaps for its rhetorical style — been written yesterday. hidden in the ancient symbols, represented by the ancient figures, announced by the ancient prophets, attested to by the most astounding prodigies, by the most amazing miracles, was nailed to the cross; while He was personally on earth to give, through His presence, the very reason for all those miracles, all those prodigies, to fulfill all the prophetic words, to show the reality hidden under the veil of the figures and the symbols; at that very moment error reigned over the earth, and had invaded and covered everything completely with its shadows, freely, as if without any obstacles, with exceptional rapidity and without any assistance from symbols or figures or prophecies or miracles. It is a terrible lesson, a memorable teaching, for those who believe that the power of expansion [supposedly inherent] in the truth is sufficient to prevail by its own strength over the radical impotency of error and establish itself on this Earth. If Our Lord Jesus Christ overcame the world, He overcame it in spite of being the Truth, in spite of being the One foretold by the prophets, the symbols, and the figures. He overcame the world despite His prodigious miracles and despite the incomparable beauty of His doctrine. No doctrine other than that of the Gospel could have triumphed with such an ensemble of undeniable testimonies, irrefutable proofs, and invincible arguments. If Mohammedanism managed to spread like a flood in so many parts of Africa, Asia, and Europe, it did so without all that burden, and because it carried all its miracles, all its arguments, and all its testimonies at the point of its sword. Prevaricating and fallen man is not made for the truth; nor the truth for man in this state of prevarication and decadence. Ever since man’s prevarication, God has placed an undying repugnance and an invincible rejection between the truth and human reason. The truth contains within itself the titles of its sovereignty, and it imposes its yoke without asking permission; now, man, ever since he revolted against God, recognizes no sovereignty but his own and wishes to accept nothing except that which first solicits his approval and consent. Thus, when truth presents itself to him, his first movement is to deny it; by denying it, he affirms his sovereign independence. If he cannot deny it, he struggles against it; so struggling, he asserts his sovereignty. If he defeats truth, he crucifies it; if vanquished, he flees; by fleeing, he imagines himself having escaped servitude; by crucifying it, he believes he is crucifying his tyrant. On the contrary, there is a secret affinity and a close kinship between human reason and absurdity. Sin has united them by the bond of an indissoluble “marriage.” Absurdity triumphs in man precisely because it is destitute of any right previous and superior to human reason. Having no rights to allege, absurdity cannot have any pretensions [to man’s allegiance or service]; now behold why man, in his pride, finds no motive for repudiating it. Far from that, his pride leads him to embrace absurdity; his will accepts absurdity because it is engendered by his own intelligence, which, in its turn, takes its pleasure in absurdity, that is, in its own offspring, in its own word, the living testimony of its creative power. Creating is proper to the Divinity: by creating absurdity, man makes himself like God, as it were, and confers upon himself divine honors. As long as he may be God, and he may act like God, what difference does all the rest make to him? What difference does the existence of a God of truth make, if man himself is the god of absurdity? Is he not thenceforth independent like God, sovereign like God? In adoring the work of his own creation, and glorifying it, he glorifies and adores himself. Let anyone who aspires to subjugate men, to dominate the nations, to exercise some empire over the human race, not announce himself as the herald of manifest and evident truth. Man’s pride leads him to embrace absurdity; his will accepts absurdity because it is engendered by his own intelligence, which, in its turn, takes its pleasure in absurdity. Let anyone who aspires to subjugate men, to dominate the nations, to exercise some empire over the human race, not announce himself as the herald of manifest and evident truth. some empire over the human race, not announce himself as the herald of manifest and evident truths; above all, let him who possesses certain and indubitable proofs abstain from showing them; the world will never recognize such men as masters. The clarity of the evidence, far from persuading the world, makes it revolt; it is a yoke it does not wish to bear. There is a better way: It is to announce that one has an argument that overthrows such and such a mathematical truth, by which it is demonstrated that two and two equal not four but five; that God does not exist or that man is God; that the world up until now has lived under the empire of the most shameful superstition; that the wisdom of the ages is nothing more than mere ignorance; that all of revelation is an imposture; that all government is a tyranny and all obedience a servitude; that the beautiful is ugly, and ugliness is the supreme beauty; that evil is good, and good is evil; that the devil is God, and God is the devil; that after this life there is neither heaven nor hell; that the world we live in always was and continues to be a true hell, but that man can transform it, and he will transform it, within a short time, into a true paradise; that liberty, equality, and fraternity are dogmas incompatible with the Christian superstition; that robbery is an inalienable right, and that property is a robbery; that order exists only in "anarchy" [no government] and that true anarchy is order, and so on. Promise to implant such anti-truths or others like them, and you may be certain that with this simple promise the world will be taken with admiration; fascinated by your knowledge and imbued with respect for your wisdom, it will lend attentive ears to your words. Then go further: Having given abundant proofs of common sense on announcing the demonstration of these remarkable things, show that you still have much more of that good sense by always abstaining from any demonstration whatsoever. As the only proof of your affirmations and blasphemies, repeat those same affirmations and those same blasphemies; the world, have no doubt about it, will raise you up to the clouds. If you wish to attain the heights in this art and make your triumph even more brilliant, boast of your sincerity, which is such that you present the naked truth without that vain apparatus of proofs and arguments, of historical testimonies, of prodigies and miracles, by which people ordinarily try to deceive men. Nothing will persuade better than your faith, which rests solely in the power of the truth, and that you count on nothing except truth itself to guarantee your triumph. This done, point out everything that is not you, and ask where and who are your enemies, and the world, with but one voice, will admire and celebrate your magnanimity, your grandeur, and the brilliance of your triumphs; it will proclaim you worthy of all respect and all felicity; in a word, it will glorify you. I know of nothing under the sun more vile and more despicable than the human race outside the ways of Catholicism. In the depths of this abyss, in the extremities of degradation and abjection, are the multitudes led astray by the artifices of impiety and bent under the yoke of oppressive masters; right afterwards come the false doctors who seduce them. Going to the very bottom of things, tyranny is still less degrading, less vile, less despicable than those sophists and those multitudes who go where they are driven by the blows of their bloody whips; for error works to the benefit of tyranny, and it has always led the peoples to servitude. The first idolaters escaped from the hand of God only to fall into the hands of the tyrants of Babylon. Ancient paganism did nothing but fall from one abyss to another, from one sophism to another, from one tyrant to another, to become finally, the slave of Caligula, a monster under human appearances, horrible, unclean, joining together the paroxysms of madness and the appetites of a beast. As far as modern paganism goes, it began by adoring itself in the person of a prostitute, and ended by prostrating itself at the feet of Marat, the cynical and bloody tyrant, and the cruel Robespierre, the supreme embodiment of human vanity and of all of humanity's ferocious and inexorable instincts. Behold, there arises a new paganism; it will fall into an abyss even more profound and more obscure; and it is possible that already now, in the sewers where the dregs of society lurk, there may be in germination the monster that will bend mankind's head; that will impose upon it a yoke surpassing everything seen in the past in weight and ignominy. "I knew all along that the Y2K story was just a propaganda scare, you know?" said Father Thomas in his customary good mood. "Yet it did help bring back to the minds of many the idea that this computerized world of ours is not infallible, and, sooner or later, something can and will go wrong and ignite a series of events that will bring the house down, I reckon." He paused for a moment, and continued, "In any event, we are talking about the third millennium of Our Lord Jesus Christ. And we lived to see its dawn... good, eh?" It was January 1, A.D. 2000. Father Thomas and I were just exchanging New Year's greetings outside the church after Mass. "Yes, Father, it's good," I replied. "And I think that if the Western world has made an incredible progress from the computer and other technological points of view, from the spiritual point of view it's gone backwards in an even more incredible way. That's why Pope John Paul II spoke of 're-evangelizing the baptized.' The Western world has been de-Christianized to the marrow of the bone of its socio-economic and political structure." "Ahraid so," sighed Father Thomas. "Ahraid so. We must aim at rediscovering the mind of Jesus Christ, the God-made-man, born of the Virgin, Who died for our sins and established His Church for our salvation. There will never be another Christian civilization unless we rid ourselves of this secular humanistic, anti-Christian 'culture' that has taken over society." Suddenly, his eyes brightened up, as though he had remembered something, and he stuck his hand in his pocket and produced an envelope addressed to him — a letter handed to him the day before by a parishioner. "Say, I've got something here for you. It's from a namesake of mine, Thomas — but a doubting one, like the Apostle, so I like to call him 'Doubting Thomas the Second.' Since you are so involved in apologetics, perhaps you might care to answer his letter. His question is right up your alley. See you on Sunday, and God bless." And he moved on to greet other parishioners. * "Why should I believe that only the religion founded by Jesus Christ contains the fullness of truth? What about all the other great religions? Does it make sense to believe that only Jesus, and nobody else, was the Son of God?" While awaiting my wife and children to join me after greeting some friends, I couldn't resist opening the envelope. The letter was both poignant and challenging. I am sure that many a good Catholic has had this problem, albeit in passing, from time to time. The topic is very apropos in view of the end of the second millennium of Our Lord Jesus Christ — since we must re-discover Him, His Church, and His holy Mother, and defend His Cause. * The heart of the letter read thus: "Why should I believe that only the religion founded by Jesus Christ contains the fullness of truth? What about all the other great religions, counting so many millions of followers? Does it make sense to believe that only Jesus, and nobody else, was the Son of God? Am I really expected to take this on pure faith? If it is only a matter of faith alone, any decent Muslim can say that his faith is sufficient to believe in Allah's prophet, Mohamed, can't he? The followers of Reverend Moon can also claim their faith in him, can't they? The Mormons say that you are supposed to pray to God and He'll tell you that Joseph Smith was indeed the true prophet. The late Sri Dwami Baktivedanta Phrabupadha (forgive me if I've misspelled his name) was revered as the guru par excellence, the master of truth, among the Hare Krishna fellows. The same goes with the Bahá'ís, and that other Indian guru worshipped by the Beatles. And so on and so forth. So, without trying to be pedantic, may I ask you this: could you please give me some logical argumentation to suggest that it does make sense to believe that a young carpenter, who never went to school, who lived in a backward village in the poorest part of the most obscure province of the Roman Empire some 2,000 years ago, who was crucified like a common criminal between two thieves, was really God in the flesh, the Way, the Truth and the Life?" * Let us begin the reasoning process with an overview to establish the proper context: History has seen many founders of religions. Buddha, Confucius, Mohammed, Zoroaster, Jesus Christ, to name those most well known. We leave aside for the time being Martin Luther, John Calvin, Henry VIII, Joseph Smith, Charles Russell, John Thomas, and all the others who claim to be the authentic interpreters of the Gospel of Jesus Christ — albeit outside of, and against, the Church He established. They all claim to be Christians, followers of Christ. We shall deal with them later. Here we are concerned with the Founder they claim to truly follow. All the founders of religions had one thing in common: They claimed to tell the truth, the whole truth, and nothing but the truth — so God help them. All of them have claimed to be some sort of mediator between God and man — teachers, prophets, messengers of the Truth. That claim puts all of them on the same level. That all religions have some elements of truth is a self-evident affirmation. The trouble is not with the elements of truth, but with the elements of error mixed up with the truth. It is something like getting food poisoning by eating something that has remained a couple of days too long out of the fridge; The appearance and the taste may be good, but the poison is there to get you in the end. Similarly, the elements of truth act as a sort of bait to attract the human mind to accept the whole system, errors included. If all religions are man-made, however well-meaning their founders may have been, one is as good as another. Some may have more elements of truth than others, but in the end, your choice is as good as mine. It will depend on a number of factors, such as, history, culture, language, education, tougher or looser moral code, family background, or simply personal preference. If one of those religions is actually divinely made, however, then we have a totally different story. If such a religion exists, we must look for it and, upon finding it, embrace it. It would be illogical for anybody to be able to know the one true religion and still prefer the more pleasant one being offered around the corner. How to find out which one is divinely made, thereby possessing the fullness of the truth and avoiding any contamination of falsehood? Would it be by analyzing each and every religion, one by one, reading all their books, talking to their followers, arguing in the streets, you name it, until you drop dead? But is there one that has any claim of having the authentic Truth, in the first place? How on earth do we find out in a logical way? Let us imagine that we were able to see all founders of the great religions standing in front of us, a great hall of fame. All of them claim that their respective religion is divine. But it is illogical that they could indeed be so, for there are visceral contradictions among those religions. In most cases, what one affirms the other denies, but the fullness of Truth cannot admit inner contradictions. If one of them has the fullness of Truth, the others are a mixture of truth and error. All cannot be totally true. Not all. Not even two. Then we ask ourselves these simple questions: Did any of these founders, standing there before us, claim to speak the truth? The answer is easy: Yes, all of them. Second question: Did any of them claim to speak on God’s behalf? The answer is again easy: Practically all of them. If anyone did not, it was Buddha, because he did not believe in a personal God. Third question: Did any of them claim to be God Himself, and not just a prophet of God? The answer is, once again, very simple: Only one did — Jesus Christ. The proof is easy to verify: Ask any devout Jew if he believes that Moses was God Incarnate; he will be scandalized and deny it immediately. Ask any Muslim if Mohammed was God Incarnate; he will reply that Allah is the only God and that Mohammed was his prophet. The same applies to all of the other founders; they claimed to be messengers, prophets, gurus, whatever you like, but not God Himself. Only Jesus Christ claimed that. If Jesus’ claim is true, it is a unique claim, which gives His religion an infinite degree of superiority over all others: He would be God Incarnate, the very One whom all men are called to worship. All of the other religions, regardless of the elements of truth they may have, would be just man-made philosophies. So all we’ve got to do is to investigate Jesus’ claim of divinity. If it is true, we’re on the right path. If it is not, well, we’d better try again… Now, there are many who deny that Jesus ever claimed divinity: Jehovah’s Witnesses, Christadelphians, modernist Catholics and Protestants of various ilks. Once I heard an Aussie priest saying that, “Yes, Jesus was God but He was not aware of it.” I found it remarkable that Jesus did not know who He was, but that that priest did… What nerve! And what an outrageous insult against Our Lord to accuse Him of being so obtuse! So, we must first establish whether or not Jesus indeed claimed to be God. If He did not, then belief in His divinity is nothing but wishful thinking on the part of the Apostles. If this can be established, then we’ll proceed to find out if that claim makes sense. If it does, we’ll move on to what other unique features are present in that remarkable young carpenter of Nazareth, Whom we adore as the Word made Flesh, of the purest flesh of the Virgin Mother, Whom we receive in Holy Communion as food for life eternal. This is the context of the argumentation. As professor Plinio Corrêa de Oliveira often said, the best way to answer a question is to define its basic promises clearly. If the context is clear, the text will make sense by itself. In the next article we’ll investigate whether Jesus Christ indeed claimed to be God, or if the belief in His divinity was, as some trendy theologians would have it, a further development of the faith of the Apostles. When Our Lord confronted St. Paul on the way to Damascus, he asked him: “Saul, Saul, why dost thou persecute Me?” Now, Saul was persecuting the Church. Our Lord made it plain that it was He Himself whom Saul was persecuting. Embracing Christ and the Cross What Does it Mean? BY PLINIO CORRÊA DE OLIVEIRA An authentic piety penetrates every recess of our souls, naturally stirring our most intimate emotions. Piety, however, is far more than feelings. It arises deep within ourselves from our knowledge of the truths that govern an interior life formed in accord with the Faith. To be sure, these life-giving truths are often acquired through diligent and disciplined study, but intelligence, like emotion, is an inadequate foundation for piety, which also resides in the will. Thus we must desire to live the truths we know. It is not sufficient to understand that God is perfect, for example. We must also love His perfection and desire to have some share in it; we must aspire to sanctity. To desire is not simply to entertain vague notions or feelings. We truly desire something only when we are ready to make every sacrifice necessary to attain it. Without the will to sacrifice, our “pious desires” are but vain illusions. Tender contemplations of divine truths and sacred mysteries are sterile seeds if they do not bear fruit in firm resolutions to live our faith. It is especially timely to recall this during Holy Week. Meditating on the Passion of Our Lord Jesus Christ is a praiseworthy devotion, but we must follow the Way of the Cross in our lives as well as in our churches. We must give Our Lord sincere proofs during these days of our devotion and love, amending our lives and fighting with all our strength in defense of the Holy Catholic Church. “Why persecutest thou Me?” When Our Lord confronted Saint Paul on the road to Damascus, He asked him, “Saul, Saul, why persecutest Holy Week in Seville, Spain thou Me?” (Acts 9:4). Since Saul was persecuting the Church, Our Lord’s words make it clear that to persecute Christ’s Church is to persecute Christ Himself, for the Church is the Mystical Body of Christ. If the Church is persecuted today, then Christ is persecuted, and Our Lord’s Passion is being relived in our days. Every act that draws a soul away from the Church persecutes Christ. To separate a soul from the Church is to amputate a member of the Mystical Body of which Our Lord Jesus Christ is the Head. To wrench a soul from the Church is like chopping off Our Lord’s hand, severing His leg, pulling out His eye. Therefore, if we desire to identify with the Passion of Christ, let us indeed meditate on His sufferings at the hands of His persecutors nearly 2,000 years ago, but let us not forget to consider all that is being done to inflict the same wounds on His Mystical Body today. Above all, let us not fail to examine our own acts of indifference, cowardice, and betrayal. While His sacred blood mingled with the dirt during His agony in the garden, Our Lord foresaw the sins of all men of all times. He saw our sins and suffered for each one of them. In the Garden of Olives we were present with Christ as executioners and, as such, we accompanied His bloodstained steps to the heights of Golgotha. Behold the suffering of Holy Mother Church mocked and jeered before our jaded eyes. She stands before us as Our Lord once stood before Veronica. Let us console the Church by defending Her whatever the cost. In doing so, we will be consoling Christ as Veronica did. How many souls will lose their faith?** Certain truths about God and our supernatural end we can learn by using the reason He has given us. Because our reason has been clouded by sin, however, we can know other truths only because God has taught us. In His infinite goodness, He has revealed them to us in the Old and New Testaments. Our belief in Revelation is grounded in the virtue of faith. Without faith there is no salvation, but no one can make an act of faith without the supernatural help of God’s grace. God offers this grace to all men, but He showers it in torrential abundance on the members of His Mystical Body, the Church. Through faith, the Holy Ghost dwells within us, sanctifying our bodies as His holy temple (cf. 1 Cor. 6:19). To abandon the Faith is to reject the Holy Ghost, to expel Jesus Christ from our souls. Yet, around us we see many Catholics who have rejected the Faith. They were baptized, but in the course of time they lost their faith. Alas, they suffered this loss through their own fault, for howsoever enticed by others, no one loses his faith without mortal fault. Behold them, indifferent and hostile, thinking, feeling, and living like pagans. They may be our relatives, our neighbors, perhaps even our friends. Their disgrace is immense. The mark of their baptism is indelible. Marked for heaven, they are bound for hell. The blood of Christ has been sprinkled on their souls, and no one can efface it, yet they defile it by adopting principles and norms that violate the doctrines of Christ's Church. And we? Are we troubled? Are we concerned? Does this pain us? Do we pray for their conversion? Make reparation? Are we apostolic? Where is our counseling? Our argumentation? Our charity? Where is our fearless and energetic defense of the truths that they deny or insult? The Sacred Heart of Jesus bleeds because of this. It bleeds for the apostasies of these souls and for our indifference, an indifference that is twice guilty because it is indifferent to our neighbor and, first and foremost, to God. How many souls around the world are losing their faith? Consider the endless numbers of impious newspapers and magazines, broadcasts and films, that flood the world daily. Consider the innumerable workers of Satan who, in academia, in the bosom of the family, in meeting rooms, in places of entertainment, propagate impious ideas. The consequences are before us. Institutions, customs, and art are becoming ever more de-Christianized, an undeniable indication that the entire world is losing God. Is there not some great scheme in all of this? Can so many articulate and uniform methods, united in their objectives and development, be merely coincidental? Since when have spontaneous motions concertedly produced the most complete, organized, extensive, ingenious, and formidable ideological offensive in history, fully consistent in its essence, its goals, and its development? We don't think about it. We don't even perceive it. We sleep the heavy sleep of our daily lives. Why are we not more vigilant? The Church suffers greatly, but alone. Far from Her, very far from Her, we slumber. The scene in the Garden of Olives is repeated. "Could you not watch one hour with Me?" We, thanks be to God, still profess the Faith that so many have abandoned and betrayed. But what use do we make of it? Do we love it? Do we understand that our greatest happiness in life consists in being members of the holy Church, that our greatest glory is the title of Christian? If we respond in the affirmative — and how rare are those who, in good conscience, could so respond — are we ready to make every sacrifice in order to preserve our faith? Before answering with a romantic yes, let us take a moment to examine our consciences honestly. Do we ever seek occasions that might put our faith at risk? Do we enjoy worldly pleasures that are — at best — indifferent to it? Do we read or view materials that violate its standards? Do we welcome the company of those who disregard or even disparage it? By virtue of their instinct of sociability, all men are prone to conform to popular opinion, to accept the conventional wisdom around them. Today's dominant opinions contravene the teachings of the Church in philosophy, sociology, history, science, art — ultimately, in everything. Our friends quite likely follow the trend. Do we have the courage to stand against it? Do we guard our hearts against any penetration of erroneous ideas? Are we of one mind with the Church in everything? Or are we content with negligently going about our business, taking in everything the spirit of the times instills simply because it instills it? Perhaps we have not expelled Our Lord from our souls, but how do we treat this Divine Guest? Is He the object of all our attention, the center of our intellectual, moral, and affective life? Is He our King? Or do we allot Him only a small space where He is tolerated as a secondary guest, a rather uninteresting and inconvenient guest? When the Divine Master groaned, wept, and sweat ...Let our hearts go out to Her and console Her for all She suffers. We may be sure that, by doing so, we will be consoling Christ Himself as did Veronica. This article is an abridged translation of the author's "Reflexões durante a Semana Santa," published in O Legionário, March 3, 1947. Gone with the Wind? The movie captured our attention, but it was the customs that conquered our imaginations. Reenactors bring back the best of the past. BY NORMAN FULKERSON “Sunday morning’s Mass was absolutely magical for me,” said Cindy Lambert, an office manager in New Orleans who portrays a nun in Civil War reenactments. “In all the years we have [reenacted], this is the first time we had a Latin Mass with Gregorian Chant. Many folks were awestruck by the beauty of it all.” The Latin Mass, of course, was not a reenactment nor were the sentiments expressed so well by Mrs. Lambert. Her words indicate how the ceremonial and ritual of the past satisfy the yearnings of those living in the present. This struck me one day not so long ago when I had occasion to accompany an out-of-state friend to Gettysburg battlefield here in Pennsylvania. In front of the visitors’ center I saw a man dressed as a doctor of the late 1800s doing what I then learned is called “living history” or “reenacting.” My curious nature got the better of me, so I approached the gentleman to inquire further. He was a distinguished man, as shown in his polite manners and respectful demeanor. His deportment, however, was not that of the twentieth century but rather something of long ago. He said that after retiring some years before, he had begun doing volunteer work for the National Parks Service. Becoming interested in reenactments, he had researched his character very well, purchased clothes to authentically match his “impression,” and was having a great time teaching others about the last century. “What drives you to do this,” I asked. “It gives me the opportunity to escape this century,” was his prompt reply. Considering that the United States has been the leading nation of the twentieth century, this was a remark I never expected to hear from an American. After all, we have everything we need to be happy: fax machines, cell phones, computers. We even survived Y2K! And here is someone wanting to break away from all this. He is by no means alone. Over 100,000 Americans nationwide, sharing that same desire, have made reenacting their “hobby” as well. Clearly, the modern world does not have the same attraction for everyone. Looking back to the beginning of this century, we see that mankind was marching forward with an enthusiasm for technology and what was thought to be true progress. The 1939 New York World’s Fair, for example, chose a curious theme: the “World of Tomorrow.” Not only did it present a glimpse of the future with a showcase of different technological advances, it supplied a catchy name as well. Even so, visitors to that “World of Tomorrow” were still enjoying a look at the past. Margaret Mitchell’s Gone with the Wind, published just two years earlier, was a best seller in 1939. Later awarded the Pulitzer Prize, Mitchell’s book soon became an all-time-favorite motion picture as well. The society depicted in that story captivated America and the world. In spite of being a sugary-sweet romance with some illicit and indecent messages, it portrayed on the big screen appealing aspects of aristocratic life, packed full of ritual, charm, gallantry, and other ideals that were quickly becoming passé. Once again, Hollywood presented a false alternative: a civilized world, with ceremony, manners, and allure, but with an overtly immoral message. It was an invitation to either reject the true ideals that still existed in those days or to accept Hollywood’s skewed, dissolute version of life in the 1860’s. That seemed to be the only alternative. Reenactors think otherwise. They do not accept Hollywood’s distorted view, nor are they willing to allow those times to be “gone with the wind.” This hobby, therefore, is more than just a pastime, and my goal was to find the reason why people threw themselves into it so wholeheartedly. They spend thousands of dollars — one family told of an annual investment exceeding $4000 — and endless hours to portray someone from the last century. Their desire seems far greater than the simple joy that a hobby brings. “Reenacting isn’t just a hobby,” affirms another man at Gettysburg, “it’s a lifestyle.” Is this a way so many Americans have found to escape this “World of Tomorrow” and return to the world of yesterday? “Yes, there are many wonderful advances in the world these days,” said Susan Carpenter, a member of United Daughters of the Confederacy from North Carolina, “but it just seems like people within themselves have gone backward.” Mrs. Carpenter described it well: “I grew up lost in the 1860s. I always felt I was born at the wrong time.” She went on to tell how she stumbled upon reenacting through her involvement in the United Daughters and, yes, she had seen Gone with the Wind as a child and “loved it.” Even as a child she knew the “movie was not very authentic. The book is better, and I have read it countless times. I never wanted to be Scarlet,” she continued “because she was not what I thought a southern lady should be.” Reenactors know what southern ladies and gentlemen should be, since their intense studies provide a clear perception of what is authentic and what is not. This search for accuracy goes right down to the person virtually living the life of the one he portrays. “When I wear my habit,” Mrs. Lambert said, “I ‘become’ a sister in my head and in my heart.” This is only attained through hundreds of hours of research, which allows for an exact impression that goes beyond mere imitation. Reenactors realize that the clothes are an important part of the person. “You can’t put on those clothes and behave like people do now,” Mrs. Carpenter said, “your way of walking, your way of moving, what you can and can’t do, and your entire mindset changes.” This mindset could never be achieved using today’s clothing. If I haven’t convinced you yet, then come to Gettysburg! Attending my first reenactment there gave me the opportunity to meet people, in their element, who live out this hobby. What I found left an indelible impression. Arriving at the battle site, I could not believe my eyes. There, in living flesh, was one of my heroes, Stonewall Jackson, astride his famous horse “Little Sorrel.” It was an auspicious beginning to a very memorable day. I found myself walking around the first few minutes as if in a daze. It all seemed so surreal, yet authentic at the same time. Everyone was dressed in what many referred to as “costumes.” I somehow found it hard to label them as such. Scenes surrounded me, as if from a movie, of gallant men upon their fierce steeds ready to wage war, with little boys looking on in utter amazement. When was the last time you saw a child (or an adult) gaze with admiration on another human being? At this event it was common. It was as if someone had opened a window to the past and, looking inside, saw a room full of the great men and gentle ladies of yesteryear. Everywhere I looked there was a spectacle to behold. A precocious little girl approached one lady carrying a parasol that matched her hoop skirt. “You look so beautiful,” said the child, “from your head to your toes.” Then she quickly added, “You look like the Queen of England.” No doubt, the recipient of such a noble comparison was very moved, and why not? How often is someone admiringly compared to a queen? Attend a reenactment and you might think you are walking amongst royalty, such is the elegance. At a certain distance from me was an activities tent where attendees, sitting on bales of hay, could enjoy everything from a banjo recital to a lecture on etiquette. As I entered and took a seat, I noticed a light mist covering the area, adding to the dreamlike aspect of this event. Suddenly a magnificent sight caught my eye. A lady and her “beau” were sauntering across the hillside. He was dressed in a spotless military uniform. She wore a black dress that, shimmering in the sun and blowing in the light breeze, seemed to be made of silk. Because it reached the ground, as all ladies’ dresses did in that period — it was considered indecent for ladies ankles to be showing — she seemed to be literally floating on air. Looking over my shoulder to see if I was alone in my appreciation of this idyllic scene, my eyes fell upon two elderly ladies seated in a distinguished manner. Sitting on a bale of hay can be anything but dignified, but they, also dressed in period dresses, transcended their meager seating arrangements and displayed an impeccably erect posture. How refreshing, I mused. Leaving my bale of hay to mingle a bit, I ran into a lady named Susan Taylor. She owns a shop that makes 1860s-style formal dresses. Learning that she was dressed in one of her own creations, I couldn’t resist venturing a rather mischievous question: “What do you wear when youre not in period clothing, blue jeans and tennis shoes?” She promptly and proudly responded, “No I wear long dresses. I like being a lady.” And she was. Having up to this point visited only the Northern section of the reenactors, I felt it was time to stroll on over to the Southern camp to see what they had to say. Without more ado, I approached a group of people sitting around a campfire, relaxing in the world of yesterday. One young man, upon being questioned, was more than happy to share his reasons for reenacting. It was the customs of the time that attracted him so much. Men were obliged to “follow the gentleman-like code” in those days. “When a lady was in the campsite the men were very respectful” he said. “The ladies didn’t have to sit around and listen to cursing” and things of that nature. “It’s a great feeling,” he added, “You don’t want to come back, honestly you don’t.” I had to chuckle when he pointed to a friend and explained how they both were “very much out of uniform.” With a certain pride at knowing what proper etiquette required, he continued: “We should have our jackets and hats on around these ladies. I am a gentleman first and then a soldier.” He went on to say that these rules are always followed to perfection when reenactors get together. Well, almost always! One of the ladies chimed in: “If a man was talking offensively in front of a woman, she was allowed to tell him to clean up his mouth or leave,” which custom of the time obliged him to do without hesitation. “That’s what we need nowadays,” she added decidedly. As I left Gettysburg that day, her words lingered in my head. It’s true. What we need today are those ideals of the past – honor, courtesy, respect — so well illustrated by those who participate in reenactments. Although I am not a reenactor, I sympathize with Mrs. Carpenter, who said, “It’s very hard to go home after a weekend [of reenacting] knowing you have to return to the way people are now. It just means so much for people to be polite and mannerly” and treat one another in a civilized way. Entering the parking lot to find my car, I could not believe my eyes! Some latecomers were arriving for the evening’s formal ball. Among them was a lady who looked and dressed just like Scarlett O’Hara. No need to worry though, reenactors know what a Southern lady should be and how a gentleman should treat her. Maybe those days are not entirely gone with the wind after all. Or just maybe we are seeing glimpses of the real “World of Tomorrow.” Photos next to Life and on this page courtesy of The Ladies of Blue and the Gray and the Gettysburg Civilian. And Mary said to the Angel Gabriel, "Behold the handmaid of the Lord, be it done unto me according to thy word." And thus came to pass the greatest event in the history of creation. The spirit of contemporary man has difficulty in understanding the grandeur of the Annunciation. We live in a culture where the greatness of an event is measured by cost, numbers, or effect on the stock market — like some celebrity gala that thousands attend, for which millions are spent, and that billions watch from home. We see nothing of this in the Annunciation: nothing spent, no spectators, and no fluctuations in the market. On March 25, two thousand years ago, the Angel Gabriel appeared quietly to an unknown young maiden in an obscure town. No bells, no whistles. Nevertheless, no other event in the entire history of creation could ever compare to the universal and time-defying implication of this event, whose consequences extend from the beginning of time to eternity, from every individual person ever born to those still to be born, and from the smallest atom in creation to the largest constellation. Again, with neither bells nor whistles. Two elements constitute the grandeur and sublimity of this event: God, the Supreme Being, and the Blessed Virgin Mary, the most perfect of His creatures. Tradition tells us that Mary was in prayer, contemplating the Messianic promise. In her meditation she reached a height of understanding of the promise, and in that very act the Most High saw that the "fullness of time" had come. It was then that the Angel Gabriel appeared to her, saying, "Hail, full of grace, the Lord is with Continued on page 37 On a late spring day in 793, long, sleek ships glided swiftly towards the monastic island of Lindisfarne off the northeastern coast of England. The monks were going through their normal spiritually-inspired pursuits of prayer, study, and meditation when the ships knifed onto the sandy beach and ground to a halt. Dozens of wild, fearsome warriors jumped onto the land and with sword and ax hacked away at the defenseless monks. After the blood stopped flowing, the plundering pagans, who called themselves Vikings, loaded their ships with a rich supply of golden crucifixes, silver eboria that had held the body and blood of Christ, and illuminated Bibles encrusted with precious gems. And so this atrocity against the monastery founded by Saint Aiden inaugurated a 200-year barbarian devastation of Christendom, not only by the Northmen or Vikings, but also by Moslems from the south and by Magyars from the central Danube Valley. The following year, the marauding Norsemen, mostly Norwegians in the beginning, plundered Wearmouth and Jarrow, Saint Bede’s old monastery. Throughout the next decade, their well-crafted ships with horrible beasts carved on the prows ranged over the coasts and islands of England, Ireland, and Scotland, devastating the undefended, vulnerable monasteries and abbeys that had been the cultural centers of Western Civilization. The savage raiders plundered the monastic island of Iona, founded by the pioneer Saint Columba, in 795, and again in 802 and 806. However, these commando-type raids involved little sustained fighting. When the Danes joined in on the ravages and slaughter, a dark storm of terror enveloped civilized Europe. The swift, shallow-drafted Norse boats penetrated far upstream in the great river valleys of France, Frisia (modern Netherlands), and northern Germany. Although it is outside the scope of this study, the Swedes also participated by sailing into Eastern Europe and creating the Russian State of Kiev. Disintegration of the Carolingians The descendants of Charlemagne compounded a desperate situation by provoking a series of destructive civil wars. Only one of Charlemagne’s sons (Louis the Pious) survived him, but his grandsons proved to be a contentious, avaricious lot who engaged in a variety of alliances against each other, frequently opposing their own father, to increase their power and territory. Some months after Louis the Pious died in 840, his three sons, Charles the Bald, Lothair, and Louis the German, chose up sides and fought a bloody, indecisive battle, while the Vikings continued their brutal ravaging. In a celebrated incident, the crews of sixty-seven Norse ships pillaged the city of Nantes at the mouth of the Loire. Among other atrocities, the barbarians broke into the cathedral during High Mass, slew the bishop, and set the building on fire. Realizing that continual, internal strife was breaking down the unity of Christendom, the three brothers agreed in the Treaty of Verdun (843) to divide the Empire. The western portion, speaking Romance, developed into France; and the eastern portion into Germany, with its own language. The central strip, under Lothair and running a thousand miles from the North Sea to Rome, had neither political, geographic, nor linguistic unity. At Lothair’s death (855), a further split subdivided his lands. Louis II received Italy and the imperial title, which by this time was almost meaningless; another son received Burgundy; and Lothair’s third son and namesake, the northern strip roughly comprising the Netherlands, Belgium, Alsace, and Lorraine, which shortly became the battleground for contesting powers in Europe until this century. Nevertheless, the Carolingians continued to enjoy their domestic squabbles and ignored their obligation of repelling the invaders. As the ninth century progressed, the Vikings established fortified strongholds on the coasts of both England and France to serve as winter quarters and bridgeheads for further conquests. By the middle of the century, Paris was sacked for the first time (845) and Bordeaux captured (848). Charles the Bald responded to the military danger by the cowardly expedient of bribing the Danish chieftain with 7,000 pounds of silver. Nantes was sacked again in 853, along with Poitiers and Angers. The Norsemen stole horses and added reckless cavalry raids to their monstrous repertoire. Throughout the Loire and Seine river valleys, the terrible outrages increased. The weakness of the Frankish kings added to the wretchedness of Christendom. Subsequent generations of Carolingians lost all sense of grandeur, lowered their horizons, and returned to the myopic pursuit of vainglory and illusive power. The lack of substance in their characters can be discerned in their rather disrespectful cognomens: Charles the Bald, Louis the Stammerer, Charles the Fat, and Charles the Simple, among others. Moslems attack from the South Not only were the enemies of Christendom penetrating deep into western Europe, but hostile forces in the form of the Saracens of the Arab Empire were swallowing up Christian islands in the Mediterranean, including Sicily. In these studies we are treating Islam or Mohammedanism as a military and political force inimical to Christianity and, because of space limitations, neglecting their cultural achievements, especially in philosophy, mathematics, and the arts. After Constantinople, the known world’s most opulent and refined cities in the period under review were Baghdad, under the Abbasid Harun al Rashid, a contemporary of Charlemagne, and Cordoba, under the Omayyad refugee Abdur-Rahman in Spain. The Arab tendency towards luxury on one hand and asceticism on the other coupled with a love of violence contributed to insurmountable internal disputes, which led to a fragmentation of the empire. In 750 the Omayyads of Damascus, the first important ruling dynasty of Caliphs, were driven from the throne and completely massacred by the Abbasids, with one notable exception. Abdur-Rahman narrowly escaped death and fled to Spain, where he established what eventually became known as the Caliphate of Cordoba. The Berber-Arab Moslems in North Africa, sometimes referred to as Moors, also broke away from the central control of the Middle East. However, the separation did not debilitate their ferocity, for when the sensuality of soft living threatened the inner strength of both kingdoms the fierce austerity of the Berbers reinvigorated the process. The Saracens ravaged Sicily in 826. Five years later, they seized Palermo, and in 839 took Messina, thereby controlling the narrow straits that separated the island from Italy. One year later they established a bridgehead at Bari, on the back of Italy’s heel, from which they terrorized with impunity the entire southern coast on both seas. In August of 846, the Saracens appeared at the mouth of the Tiber, took the port city of Ostia, and sailed up the river towards Rome. The strong walls stopped the ruthless pirates, so they turned their wrath against the venerated basilica of Saint Peter and the church of Saint Paul, both located outside the protective walls at that time. The Moslems sacrilegiously carried off their booty, including the altar stone that covered the body of Saint Peter, and departed. But they had little time to enjoy their ill-gotten goods, for a dangerous storm arose and sent the expedition to the bottom of the sea. Throughout this period of constant and widespread attack, Christendom found a sufficient number of heroes, not enough to overwhelm the attackers, but sufficient to hold them in check. Louis II, King of Italy, one of the few later Carolingians with a crusading spirit, made the expulsion of the Moslems from Italy his major objective. Without his efforts, the Saracens would have occupied central and southern Italy. He finally took the Saracen stronghold at Bari by direct assault while at the head of his troops, greatly reducing the Moslem menace. Still holding Sicily, which they would control well into the eleventh century, the Moslems raided the mainland once again after the death of Louis in 875, but then two Popes jumped into the breach. A year after Louis’ death, when the Arabs once again threatened Rome, Pope John VIII took personal command of the papal squadron and soundly defeated the Moslems at sea. Eighteen enemy vessels were captured and six hundred prisoners liberated. But unfortunately he failed during the rest of his pontificate (872-882) to unite the selfish, quarreling Italian nobles. Where one John failed another succeeded. In 915 John X forged an alliance of the leading Italian nobles and, with the assistance of Byzantine ships, laid siege to the Moslem Italian headquarters. At the end of three months, driven by hunger, the Arabs tried to cut their way through the Christian lines. With Pope John leading in the front ranks, the Arabs were totally destroyed. Resistance in Spain In few other places of conflict did the forces of Christianity and those opposed to it take on such an uncompromising character as in Spain. Joseph O’Callaghan realized this when he stated, “The conquest may be described as a holy war in the sense that it was a conflict prompted by religious hostility... Both sides came to recognize that it could only end with the complete triumph of one over the other.” The Moslems failed to drive the Christians out from the far Northwest and gave them the opportunity to establish a base camp known during the ninth and tenth centuries as the Kingdom of the Asturias and eventually Leon. From there the Catholics initiated the long, arduous task of reconquering the land that was stolen from them. During these centuries, they pushed the boundaries between the implacable adversaries further south at the cost of much blood and many humiliating defeats. But they also won the occasional great victory to sustain them. An example of the intransigence in the face of Moslem encroachment was the sacrifice made by the Martyrs of Cordoba. In the Moslem-controlled area of the peninsula (al-Andalus) many Christians, in order to lead a more comfortable life, made accommodations with Islam. Mixed marriages became frequent, with the resultant children being raised as Moslems. Arab literature became an attractive course of study, and Arab customs were imitated. The martyrs, with their leader, Saint Eulogius, believed they must speak the truth and give public testimony of their belief in Christ. When, one by one, over a period of nine years, some fifty brave souls repudiated Mohammed and condemned his evil life in outspoken terms, they were beheaded. Spain alone of all the lands converted to Islam, returned to Christianity. The constant ravaging of the growing settlements in the Northwest almost sent the Spanish Christians back to the mountains. However, the tenacious king Alfonso II, the Chaste, spent the long years of his reign (791-842) rebuilding the civil administration and the Church organization of his harassed nation. During this reign, a hermit led by the singing of angels and bright lights discovered the tomb of Saint James the Greater. The site, which came to be known as Santiago de Compostela (Saint James of the Field of Stars), grew into one of the great European centers of pilgrimage. Saint James became the patron saint of Spain and the hope of all Christian people in time of stress and threatening ruin. Alfonso III, the Great, also enjoying a long reign (866-911), won resounding victories over the Mohammedan armies at Polvoraria and Valdemora in 878. Much of his reign was spent in the resettlement of the Duero plains, so that by his death the Spanish had reclaimed one-fifth of their land. During the Omayyad Caliphate of Abdu-r-Rahman, the Moslems reached the height of material splendor. Yet the great caliph suffered a devastating defeat against a combined army from Leon and Castile in 934 at Simancas. Outnumbered 100,000 to 30,000, the Christians, with their heavily armored cavalry, outmaneuvered the Moors in the blistering August heat and sent them reeling back to Cordoba. Dark days again descended upon the Spanish Christians when the ruthless dictator al-Mansur (Sp. Almanzor) assumed absolute power, but the days of El Cid and Saint Ferdinand III were just over the horizon. Vikings invade England England had experienced intermittent, violent raids from the Norse pirates from the late 700s, but the island and Catholic civilization itself were dangerously threatened by an all-out invasion in 866 with permanent conquest as its main objective. Landing on the coast of East Anglia, the Vikings, after forming a cavalry from stolen horses, moved into Northumbria and overwhelmed York with terrible loss of life. They followed up this success by riding to the southwest where they seized the Kingdom of Mercia (the Midlands). The savage raiders then turned back to finish with East Anglia. King Edmund challenged their progress but was decisively defeated. When he refused to renounce Christianity and become a pagan vassal, the cold-blooded barbarians used him for archery practice and then beheaded him. He is now venerated as a saint and martyr, with his relics located at the famous shrine at Bury St. Edmunds. Only the Kingdom of Wessex now stood between the annihilation of English Christianity and total Viking conquest. Wessex, which also included the kingdoms of Kent, Sussex, and Essex, was ruled by King Ethelred and his young brother, Alfred, eventually surnamed the Great. The brothers confronted the main Viking force at Ashdown in 871. Alfred led a spirited charge “like a wild boar.” The Vikings gave way and fled, with the Saxons cutting them down as they ran. The Vikings, however, regrouped and again took the offensive. Slowly, in several bloody but inconclusive battles, the invaders wore down the stubborn Saxons. After Ethelred died either from battle wounds or the cold rainy weather, Alfred, now King at twenty-two, sued for a peace that lasted for five years. In 878, a new aggressive Danish leader, Guthrum, swept down on the Saxon headquarters during the Christmas season and destroyed the Wessex army. Total disaster seemed imminent. Alfred fled deep into forest marshes with a handful of followers. Here the fortitude, determination, and courage that only the great possess in times of crushing adversity came into play. Over four months later, the resolute King had assembled another band of hearty warriors and marched out to meet the invaders. The two armies clashed on the sparse downs of Edington. For hours both sides smashed away with sword and ax. Finally the Saxons, fighting for survival for themselves and Christian civilization, prevailed and drove the enemy from the field. Alfred pursued the fleeing barbarians relentlessly back to their camp, where the devastation was completed. Guthrum surrendered and three weeks later was baptized into the Catholic Church along with several of his noblemen. After this great turning point in history, pagan control in England declined, sometimes through warfare, sometimes through submission to a superior force. A large army of marauding Norsemen sailed back to the Continent to ravage Belgium and France; but even there they met with resistance. Louis III, not yet twenty, intercepted a Norse army laden with booty at Saucourt in 881 and soundly defeated them. Unfortunately, he died a year later. The defense of Christendom fell more and more on local military leaders who had the power to protect their areas from the barbarians. Eudes, the Count of Paris, fought a great battle against the invaders in 886 at Mountfaucon where he killed thousands of the enemy. In 891, the German Frank Arnulf completely overwhelmed the Northmen at Louvain on the Dyle River, again with terrible losses to the Vikings. These bloody victories turned the tide in continental Europe, for the Vikings had difficulty replacing their depleted ranks. In the end, however, the ultimate factor was not so much the heroic military resistance as the spiritual vitality of the Church that disarmed the barbarians. We have seen that Alfred the Great insisted that the Danes accept Christianity, which in time changed the avid raiders to peaceable settlers. Rollo, a powerful Viking chieftain who controlled a large tract of land at the mouth of the Seine, converted to Christianity in 911. As Duke of Normandy and the king’s vassal, he protected northern France from further Viking attacks. By the end of the century several pagan kings had converted to Christianity. The subsequent history of the Northmen very much resembles that of the early Christian Franks — battles and fighting but also missionaries, remorse, and penance in a rough and tumble world where in the end Christian culture prevailed. Bibliographical note The works cited at the end of the last chapter by Halphen, Mann, and Folz carry over to this time period as well. For the Vikings, see T. D. Kendrick, A History of the Vikings (London, 1942), and Johannes Brøndsted, The Vikings (Harmondsworth, 1960), both scholarly and informative. We recommend two books that are refreshingly free from the usual anti-Spanish hostility: Joseph F. O’Callaghan, A History of Medieval Spain (London, 1978), and Derek W. Lomax, The Reconquest of Spain (London, 1978). For Alfred the Great, see the biography by E. S. Duckett. Note 1 J. O’Callaghan, op. cit., p. 22. The other day I opened a news magazine. The mannish face of a young woman stared at me from the glossy page. It was one of those faces that one could describe as almost handsome even though it was a woman’s. Yes, handsome was certainly the adjective; not beautiful or pretty, but handsome. The jaw was too wide, the features too chiseled, the expression too hard, to merit the usual feminine adjectives. Sure enough, she was an avowed, all-out, go-getter feminist. Her name was given, of course, but the object of this article is not a name but a mentality, which she, at that particular moment, embodied in my mind, setting the wheels turning. The face, and the mentality behind the face, had intrigued me enough that I turned more pages to see other pictures of this modern warrioress. What I really wanted to see was if the face corresponded to the body, if the body was as muscular and hard as the face. To my surprise it was a frail and, actually, very feminine frame. The ensemble produced a contradictory impression that was not altogether pleasant to the eye. Days later, I found myself thinking of one of Aesop’s fables. It was the story of a bullfrog much admired for his size by the other frogs. One day, as an ox began grazing nearby, the frogs all began to croak and comment on the size and muscular form of the ox. Hearing the various admiring comments, the bullfrog began to suffer from something of an inferiority complex. Suddenly, he announced to an astounded and unbelieving audience that he could expand himself to the size of the ox. Then began the bullfrog’s incredible ordeal of taking his name literally. He swelled and swelled until — inevitable disaster! — he burst. I also recalled watching a crew opening the road in front of my house a few years ago. Five or so men and one woman toiled to break the macadam and uncover a problem pipe. I remember noticing that the men never panted for lack of breath. The woman, on the contrary, was constantly in a terrible exertion that actually made me feel sorry for her. She was obviously not as naturally fit for that physically demanding job as the men were. Suddenly, a question popped into my mind. Why? Why so much effort to be what one is not? Why try to equalize what is fundamentally different? Are these advocates of equality between men and women not aware that things which are fundamentally diverse cannot be compared, let alone equated? Why compare a flower to a pumpkin or a stone to a tank or a frog to an ox? Surely women have something in common with men, their same human nature — just as a flower has the same vegetable nature as the pumpkin, the stone the same inanimate nature as the iron, and the frog the same animal nature as the ox. Of course, between a man and a woman there is a lot more similarity than between these other examples, especially since they have a human soul in common, but the differences are still great and fundamental. Could it be that underlying all this “tough talk” and “tough acting” on the part of feminism is an inferiority complex after all? Surely, if women are to start from the premise that because they share the title “human” they have to look and act equally, they are bound to have an inferiority complex. If a woman thinks of herself like a bullfrog that absurdly tries to live up to its name, so to speak, she might as well start huffing and puffing. But if she thinks of herself, for example, as a bird compared to an ox, would she want to exchange her wings for all the ox’s muscle? Could she not be as perfectly proud of her plumage and wings as he is of his strength? Yes, I like to think of a woman as a bird. Better still, as a fairy or an angel. Don’t smile; I know. Many, many times at the onset of life this is the young girl’s ideal: She will be the caring angel of a large family of little angels headed by a knight in shining armor. She soon learns that the knight in shining armor keeps the roses flowing uninterruptedly only before the walk down the aisle; after all, he is really just a man. She finds, too, that to bring forth little angels she must brace herself for much pain and much worrying and much caring — and that these angels are only such when asleep. Furthermore, the tears flow easily and life hits hard. Finally, she discovers that she is not the gentle fairy she imagined herself to be, especially when her nerves tense up and irritation tightens like a noose around her throat... For, after all, she is only a woman... Yet, to every ideal there are two sides: the unreal romantic and the sublime. The unreal romantic is the deceptive side, the side that promises but does not fulfill because it does not provide the tools to attain the goal. The sublime is the side of truth. It never lies, but it still points; it points to an ideal still loftier than the one proposed by the romantic side. It points to sanctity and provides the supernatural tools for attaining it, mainly prayer, the sacraments, and the practice of solid virtue. It tells a woman that she can be a fairy and an angel if she just makes her chief strength the strength to bear; if she just seeks to complement rather than compete; if she just practices humility and, at times, has the courage to remain in the background. There is no shame in that; only the tremendous merit of loving disinterestedly. This nation, like every other nation around the world, has witnessed the silent spectacle of the hand that rocks the cradle. No fairy hand could ever compare to that hand. Even the angels must have knelt in speechless silence when they saw such a hand rock the cradle of the Divine Infant. For human nature to become that sweet and to do that much good takes more strength than any feminist could ever muster at a construction site or on a soccer field. Such a woman is so admirable that Scriptures could not refrain from singing her praises: “Who shall find a valiant woman? Far and from the uttermost coasts is the price of her.... Her children rose up, and called her blessed: her husband, and he praised her. Many daughters have gathered together riches: thou hast surpassed them all” (Proverbs 31:10, 28-29). Now, I am not advocating that a woman’s role is that of a mother and no other. A woman can discharge many roles successfully, but I still sustain that our world maintained a better emotional balance when a woman found no shame in a full-time mother’s role without feeling the necessity to acquire other titles. A good example is presented in the book She Said Yes by Misty Bernall, the Columbine student who was shot to death after admitting to her murderer that she believed in God. Cassie is now widely seen as a heroine, and she certainly is. It is not easy to look straight into a mad assassin’s eyes and see certain death spelled there as a sure answer to her forthcoming “yes.” Yet, according to a fellow student hiding nearby who heard the exchange, when, after a short pause, her “yes” came, it was strong. Yet, just two years earlier, Cassie had been on the same path as her killer. She was involved with a group of Satanists who were planning to kill a teacher and suggesting to Cassie in unspeakable terms that she “get rid” of her parents. If Cassie made a complete “U-turn,” as Misty Bernall calls her daughter’s change, it was because her parents decided to fight for her. At one point, her mother quit her job, and the family was living on one salary (as most families used to be able to do, as some readers will recall) so that she could give fuller attention to her daughter. It was a terrible ordeal, but it resulted in a complete turnaround, even at the price of life itself. This is the power of a mother full-time behind a child, the power to make heroes. Something we have difficulty understanding is that God, being the Creator of the natural order, stands behind His creation. Once someone decides to act according to her God-given role in the natural order of things, she has the full right to count on His cooperation. It is what clearly happened in the Bernalls’ case. Is it too much to expect that women go back to “just” being mothers? Is it realistic? Maybe not. After all, the whole system seems to have devolved into requiring two paychecks just to make ends meet, even as incredible headlines seem to cry out for some radical changes or solutions, even at the price of making less or being poorer. In any case, even if it is not completely realistic; even if women have had the career mentality so infused in their veins that they cannot feel fulfilled otherwise; even if sheer necessity does not allow them to “just” be mothers, at least they can still be feminine. The other day, while teaching religion class at my parish, I was amazed when this subject came up. All the girls began to speak of “body building” and how they knew this girl and that girl who could beat this or that boy in a fight. This is the mentality being instilled today, permeating society from all angles. Surely we have much to lose, for at her best, a “muscle-woman” will always be only a small man. And her unique role will be left unfulfilled. There is so much talk and concern about various endangered animal species, but few seem to realize what havoc the feminist agenda is wrecking in feminine ranks. A truly feminine woman is becoming a real rarity, especially in the younger generations. Will she soon be extinct all together? I hope not. I hope we soon return to the realization that a woman’s role is truly unique, that we must start bringing up our daughters to be proud of being feminine, that they develop their incredible natural feminine capacity to love, to care and, therefore, to sacrifice, which is their main strength. Forget the muscles, forget the competition. Spread your wings and rock the world — to the right side. Modern pedagogy — that is, the pedagogical, psychological, and psychiatric schools of the ‘60s, advocated that parents never say “no” to their children. These pedagogues taught that prohibiting a child from anything from sucking his thumb to attending bad movies would cause a negative traumatic experience. In May of 1968 the Sorbonne Revolution launched the challenge to the civilized world that people should discard both divine and social laws that were too constricting. They would then be free to express themselves as they wished; that is, to live by instinct. “It is forbidden to forbid” was the motto of the Sorbonne revolutionaries. Today, some of the same students who launched that cry thirty years ago and are now parents and professors are retracting it. Mugged by reality, they are turning to traditional standards. They might now say that “it is permitted to forbid.” Yes, time and experience have proven the prior theories wrong: they have collapsed like a deck of cards. Consequently, the end of the twentieth century has ushered in a new class of pedagogues. These teach that, yes, parents must set limits. Why limits? No is a strong word, and to say it to one’s child is hard. Yet, Asha Phillips, a psychotherapist who teaches at the Tavistock Clinic of London, affirms on the basis of extensive experience, studies, and research that, under certain circumstances, it is necessary to know how to say no. She has published a book titled Saying No — Why It’s Important for You and Your Child. She writes that from the first months of a baby’s life it is important for parents to establish certain limits. She also says that it is important for parents to choose the right time and the right formula for saying no: “Those who say yes the whole time, so as to avoid the authoritarian image, are creating a fantasy and a situation that is dangerously removed from reality.” Back to the basics No matter how far out modern theories venture, reality and sheer necessity seem to pull them right back to traditional ideals and principles. Our Holy Mother Church, the great Divine Teacher who has so often been accused of being unbending and unsympathetic because She preaches the truth, has always been very clear on this point. She teaches us that we cannot leave our children to the indiscriminate mercy of their instincts. That is simply because, after Original Sin, not all their instincts are good. The Catholic Encyclopedia says regarding original sin: “The consequences of this first sin are death, concupiscence or the rebellion of man’s lower appetites against reason and will, and a darkening of the intellect.” The tendency, then, to choose wrongly and to make mistakes is ever present, so if we love our children we must curtail or forestall the consequences of their erroneous choices. If it is a child’s ultimate good that is at stake, how can any parent, teacher, or other guardian give the child free rein? Besides, the same Catholic Church affirms that parents have a divinely appointed authority. To exercise this authority is not only a right but a positive duty. They must use it to help form their children’s character. Otherwise, they run the risk of losing their children to the competition, to the fierce internal enemy — to original sin. parents are the nearest beings to God. How many times we hear of children who think their parents were never born? To young children, parents are more or less infinite. If, when corrected or told no, they understand that it was done justly and, therefore, for their ultimate good, they are not only open to the correction but, ultimately, grateful. Again, it is hard to say no to our children. But children, despite what was taught in the ‘60s, love affectionate parents who know how to forbid when necessary. Hearing a firm no, the children may stamp their feet and cry, but once the crisis blows over they harbor a greater admiration for their parents, confident of being able to count on them in more difficult situations. Dr. John Rosemond, a family psychologist in North Carolina and a newspaper columnist, affirms: “Because it is the most character building, two-letter word in the English language, children have the right to hear their parents say ‘no’ at least three times a day.” You see how positively he puts it: They have the right. Yes, they have the right to have their bad inclinations curbed and their rightful characters enhanced. They have the right to be prepared for the much bigger nos that life is certain to present to them. Yes, nos must be said and they must be said emphatically, with full and firm authority — a no can never be something between a yes and a maybe. Yet, as Saint Thérèse puts it, it must be just. It must be devoid of personal content, that is, irritation, vengefulness, impatience. The child must sense that the no is really a big yes in disguise. A yes to discipline, to good, to virtue — ultimately, to God. In Paris at the time of the terrible French Revolution, around the year 1790 there were evil men who hated God and His Church and the King and everything that was good and orderly. These men began to persecute many good people. The king, the queen, many nobles, and many priests and nuns lost their lives in those dark days. Amidst all this there were many stories of faith and courage and great miracles. One of these is the story of Jacques and his sister. Jacques was a small boy of about ten years of age who lived with his good parents and little sister in a modest but comfortable house in one of the suburbs of Paris. One day, Jacques’ parents came to him and said: “Jacques, we are going to have a good priest stay with us for some time. We are going to make a bed for him in the attic of our house, but no one must hear that he is there. Do you understand, son? If the sans-culottes [the revolutionary police] hear that we are hiding him they will have him killed and throw all of us into prison.” “But, why? Why do we have to hide him if he’s a good priest?” asked Jacques. “Because the new government does not like priests who obey the Pope, Jacques. They want only those who have given up their obedience to the Pope and obey this government that overthrew our King. But the priests who obey the Pope in Rome are the only true priests in the eyes of God, so we must help them.” So it was that Father Pierre came to live with Jacques’ family. He was a wise and patient priest, and he taught Jacques many beautiful things about his Faith and told him many a good story, for which Anne, Jacques’ sister, was always sure to come in. One day Father Pierre invited Jacques upstairs to his room and showed him a small chalice and a cross. “Do you know what I use these for?” asked Father Pierre, who continued without waiting for the answer: “To say Holy Mass. Would you like to learn how to serve Holy Mass, Jacques?” “Oh yes, Father!” answered wide-eyed Jacques, who remembered watching the altar boys when they could still go to Mass at their parish church. Now, all the churches had been closed. So, Father Pierre taught Jacques how to serve Mass while little Anne watched in awed silence. For several months, Jacques assisted Father Pierre at Mass. Every day, up in the attic, where Father slept, a small table was transformed into an altar. There, with the small family gathered around, Father consecrated the white hosts and offered the family the Body and Blood of their God. The family considered it a tremendous privilege to have the Holy Sacrifice of the Mass everyday in their home, especially in those times of persecution when it was almost impossible to attend a true Mass. One night, however, as Jacques slept in his bed he was awakened by someone shaking him gently yet urgently: “Jacques, Jacques, it is Father Pierre, wake up!” “Whaat is it…Father? What happened?” stammered the lad as he fought off sleep and rubbed his quivering eyelids. “The sans-culottes are here, Jacques. They have come for me…” “Father! What are we going to do?” “There is little to be done, my boy. There is no time. But take this.” As he spoke, Father Pierre pressed a small metal box into the frightened boy’s hand. “These was the same Body and Blood that Father Pierre had so often held in his hands for his parents, his sister, and him to adore. The terrible shouts and other noises continued. Jacques’ first impulse was to join his parents and get arrested with them. But he could not forget the pyx clasped in his fingers. “I must save Him. Father Pierre entrusted Him to me. He is my responsibility now.” In a flash, Jacques had awakened his little sister and thrown a warm wrap over her, and both had made their way down a back staircase, out to the backyard, and over the fence. One pained look back at their house and they were gone. After that terrible night, Jacques and his sister lived with their uncle and aunt. They heard no more of their parents or Father Pierre. No one but Jacques and his sister knew of his secret. In their room, in a small cupboard, Jacques kept his precious Charge wrapped in a clean linen handkerchief. Early each morning, the two would go out looking for a church in the hopes of coming across a good and true Catholic priest to whom they might hand over their awesome responsibility. But, how were they to recognize a true priest? All of them were in hideouts these days; when they ventured out, they always wore some sort of disguise. Each night, before going to sleep, the two knelt and prayed that God would send them or lead them to a priest to whom they could give the consecrated Hosts. And so the months wore on. One day rumors began to circulate that a certain priest who had been harbored by a young couple was going to be executed. “It must be Father Pierre!” thought Jacques. “Anne,” he whispered to his little sister that night, “Anne, we must meet Father Pierre somehow before he is executed. I must see him and show him that the Hosts are still safe. He must know that before he goes to God.” “I can’t do it, Jacques,” answered little Anne, “I will be too frightened, and afraid of losing you in the huge, shouting crowds that gather for these executions. You go; it will be easier for you to go through the crowd without me. I’ll stay here praying for you all the time.” Jacques was a shrewd boy. By asking here and there, he soon knew the exact day of the execution. Early that morning he made his way to a street through which he knew Father Pierre must pass on the way to the scaffold. Standing at the edge of the sidewalk, Jacques waited. Soon, there were people all around him: curious people who had heard of the priest and wanted a glimpse of a condemned man; hateful people who sided with the evil men of the Revolution and wanted to insult the holy man as he passed good people whom the good priest had helped and served and who wanted to stand by him to the end. And then there was the boy who wanted to console the priest with the knowledge that the Body and Blood of Our Lord was still safely in his care. Without realizing it, however, Jacques was doing much more than that for Father Pierre: He was providing the Presence and the blessing of Our Lord to the martyr on his last walk. Jacques must have stood several hours on that sidewalk when, at long last, he noticed some commotion at the far end of the street. Father Pierre was coming. Jacques vainly sought the familiar stocky figure of the priest; he was shocked when he finally recognized him in the thin, grayed, and much-aged man now approaching between two sans-culottes. Yes! It was he. The features, though pale and drawn, were certainly Father Pierre’s. Above all, there was no mistaking the eyes that suddenly were upon Jacques. The boy lost no time. Gently, so that no one noticed the gesture, he pulled the pyx from within his shirt; just enough for Father to catch a glimmer of it. Then, there it was, the familiar smile in the otherwise tired eyes and a slight nod of the head. Father had seen and understood. And Jacques, despite the terrible weight on his heart, was immensely happy. As the priest passed, Jacques made his way through the crowd and back home where he told Anne all that had happened. They both knelt and prayed that God would help Father Pierre in his last battle. As the days and weeks wore on, Jacques and Anne continued praying every night to find a true priest to whom they could hand over their precious Charge. But they never heard of one, much less saw one. Nevertheless, they persisted. One day they entered an abandoned church and knelt on the broken marble floor to pray, as so many times before, in the faint hope of finding a priest. After a time, they noticed someone ascending the steps of the altar. He was dressed in white and his bearing reminded them of Father Pierre’s. Rooted in their place, the children watched and listened. The priest began praying. Jacques immediately recognized the prayers of the Mass, having served so many. Keeping still and silent, the two children watched and prayed as the Mass progressed, seemingly unnoticed by the white-robed man. But behold! As the time of Communion approached, the priest slowly turned in their direction and began to walk toward them. When he stood directly in front of Jacques and his sister, they looked up into his face. A luminous, calm, kingly set of eyes looked down on them, making them sure not only that this was a true priest but that, in some way, they had come home. They felt a great peace and total trust in this man’s presence. Jacques suddenly knew that he had come to the end of his search. Not a word was spoken, but he understood. Reaching into his shirt, he brought out the golden pyx and held it out to the priest. As the man in white reached for the small box, both children noticed a deep wound in the palm of his hand. Then, as he solemnly opened the pyx, the children heard the words: “Behold the Lamb of God, Who takes away the sins of the world...” Then, both received Communion from the wounded hand. When Jacques and Anne lifted their heads from their thanksgiving, the church was completely quiet and there was no sign of the man in white. Looking at each other, they knew their Charge was in the best of hands. Continued from page 25 see The Feast of the Annunciation thee. Blessed art thou amongst women.” Mary, hearing those words, was troubled. Well-versed in the holy books, she knew there was no case in which that manner of greeting was used by a divine messenger. “Hail” was a common greeting, but the expression “the Lord is with thee” was relatively rare in the Old Testament. It meant God’s guarantee of assistance to carry out a demanding task. The expression “full of grace” was entirely new and occurs in no other place in Scripture. Though properly translated, “full of grace” does not cover the richness of the original Greek kecharitomene, which could also be properly understood as “most full in grace,” “most beloved,” “most privileged,” or “gratified,” all of which give the greeting a different nuance. As a combination, “Hail, full of grace, the Lord is with thee” had never been used. For all her knowledge and wisdom, she could not fathom the full meaning of the salutation. The angel had to reassure her: “Fear not, Mary, for thou hast found grace with God. Behold, thou shalt conceive in thy womb, and shalt bring forth a Son; and thou shalt call His name Jesus. He shall be great, and shall be called the Son of the Most High; and the Lord God shall give unto Him the throne of David His father; and He shall reign in the house of Jacob forever. And of His kingdom there shall be no end.” Mary had a singular reaction. Any other woman given the proposal of being the mother of God might have agreed immediately. Instead, Mary, though desiring to obey God, presented a grave difficulty to the angel. “How shall this be done, because I know not man?” Exegetes consider this a very subtle way of presenting the obstacle of the vow of virginity she had taken. How can she accept the proposal without violating an irrevocable vow? The angel immediately resolved her dilemma: “The Holy Ghost shall come upon thee, and the power of the Most High shall overshadow thee. And therefore also the Holy which shall be born of thee shall be called the Son of God. And behold thy cousin Elizabeth, she also hath conceived a son in her old age; and this is the sixth month with her that is called barren. Because no word shall be impossible with God.” The divine proposal was made. Mary was assured that she would remain a virgin and still be the mother of God. She then submitted unconditionally to the divine offer, pronouncing those sublime words: “Behold the handmaid of the Lord; be it done to me according to thy word.” And the Word was made flesh; and dwelt amongst us. The great expected Messiah was conceived, and thus began the work of redemption. * * * How might a Catholic celebrate this feast properly? Aside from the Mass and the Divine Office, perhaps the next best way would be to study Saint Louis de Montfort’s treatise on True Devotion to Mary and make or renew the act of consecration as “slaves of love to Jesus through Mary” that the great Marian apostle recommends. In this, we may imitate Jesus in submitting Himself entirely to the will of His Father, even to the point of uniting His divinity to flesh to be carried intimately in Mary’s womb, “taking the form of a slave in order to rescue us from the cruel slavery of the devil,” as Saint Louis states. Likewise, we may imitate Our Lady, “who sacrificed herself in everything to bear, nurture, and sacrifice her Divine Son for our redemption.” On this two-thousandth anniversary of the Annunciation, then, let us commemorate this greatest event by imitating Jesus and Mary as slaves of God’s will. And let us ask her, as our mediator with Jesus, to give us the grace of appreciating the grandeur of this event, whose devotion will one day spread all over the world, as foreseen by Saint Louis de Montfort, in the era he called the Reign of Mary. The great and Venerable Pope Pius IX is to be beatified in September of this year. His reign, the Church’s longest, encompassed an extraordinarily trying period for the Church and Christian civilization, as both were beset by the liberal revolutions of the nineteenth century. Standing uncompromisingly against liberalism, Pius IX was reviled and feared, but often respected as well, by the Church’s numerous adversaries, both secular and religious. His writings and pronouncements, ranging from his splendid definition of the Dogmas of the Immaculate Conception and Papal Infallibility to his resounding denunciations of liberalism’s errors in his Syllabus of Errors, made friend and foe alike take notice. They are well worth considering still today as we close out a century equally beset by liberal errors. We present here a mere sample of his wisdom. “Imbue our youth and children with Christian doctrine; give them regular doses of that medicine for souls which is the constant and courageous explanation of the Gospel. Furthermore, never tire of saying ‘Non licet’ — It is not permitted. It is not permitted to attend those theatrical performances in which the most sacred rites are insulted and in which licentious actions are presented. It is not permitted to frequent schools with atheistic professors, materials, or even worse.” “Fathers of families must not risk their children’s frequenting theaters having programs that disparage morality and religion, and that idealize blasphemy and immorality. Such places are forbidden to the Christian family, which cannot stand as a spectator of actions that constitute an affront to God and the Faith, to the Church, and to every sacred law.” “Our Lord Jesus Christ continues His battle with His cross. We will use that same weapon. We will pray for our enemies, but will never accept their principles. We will condemn the cowards who do nothing save repeat ‘What are you hoping to accomplish? What can we do anyway?’ These questions are ridiculous, worthy not of men but of worms.” “Governments have their politics, but We also have ours. Our politics is ‘Our Father, Who art in Heaven, hallowed be Thy name, Thy Kingdom come, Thy will be done, on earth as it is in Heaven....’” “Let us place ourselves in Mary’s heart. There we will be in the safety of Noah’s Ark, so to speak, even though surrounded by the deluge of evils.” “O Mother of God and my mother, by the great supplication of thy heart, beg for me a strong and solid devotion to the Sacred Heart of Jesus.” “Let us thank God that He has given us life by the death of His Son and called us to participate in the miracle of His Resurrection.”
Sleeping Soundly and Sedative-Free: The Role of Mental Health Counselors in the Treatment of Sleep Disorders Aaron Norton, LMHC, LMFT, MCAP, NCC, CRC, CFMHE Integrity Counseling, Inc. University of South Florida, College of Behavioral & Community Sciences National Board of Forensic Evaluators Presenter Bio Aaron Norton is a Licensed Mental Health Counselor and Licensed Marriage & Family Therapist with certifications in mental health counseling, addictions, forensic mental health evaluation, forensic testing, and vocational rehabilitation. He provides individual, couples, and family therapy, clinical supervision, professional consultation, and forensic evaluations from his private and group private practice in Pinellas County, Florida. He serves as the Chair of the Florida Mental Health Counselor Association’s Board of Standards, and Continuing Education Committee, and Diplomate and Fellow of the American Mental Health Counselor Association’s Disorders for the American Mental Health Counselor Association. He is an Assistant Professor in the Department of Behavioral and Community Sciences at the University of South Florida, where he also teaches graduate-level courses in counseling psychology, and is the Director of the Florida Mental Health Counselor Association. He has a diverse professional background with over twenty years of experience in mental health, substance abuse, public health, and vocational rehabilitation. He is a member of the American Psychological Association, Florida Mental Health Counselor Association and Mental Health Counselor of the Year by the American Mental Health Counselor Association’s 2014. What is the First Line of Treatment for Insomnia? ...but should it be? Primary Sources What We’ll Cover - Introduction to DSM-5 Sleep-Wake Disorders - Prevalence - Diagnostic Criteria and Descriptions - Pharmacotherapy for Insomnia - Commonly Prescribed Medications - Side Effects and Adverse Reactions - Counseling Interventions - Cognitive Behavioral Therapy for Insomnia (CBT-I) Protocol - Sleep Disorder Assessment and Treatment Planner (SDATP) - Resources - Questions and Answers Stages of Healthy Sleep When Aaron Procrastinates... So what are the effects of Insomnia? How Many Hours of Sleep do We Need to Function? Sleep Facts and Myths - 34 studies: We do not need 8 hours of sleep a night to be healthy. - Optimal sleep duration varies from person to person - Studies on sleep duration and immune system functioning are confounded by stress variable - The body does not physically need sleep to survive - The primary adverse effects of sleep deprivation are mood disturbances and sleepiness - 5.5 hours of sleep is typically required to maintain performance for extended periods of time (core sleep) - The brain strives to make up for core sleep - People with insomnia are generally poor historians of sleep duration Sleep Duration and Death (Pelti SR, Sleep 2004, n=82,969) Circadian Change in Body Temperature (Source: Waterhouse et al., 2012) Sleep Facts and Myths - Sunlight decreases melatonin, prompting body temperature to rise. - Sunset increases melatonin, prompting body temperature to decrease. - Sleep needs change during lifespan. - Greater prior wakefulness = greater pressure for sleep. - Adrenaline fluctuates gradually with wakefulness; wakefulness correlates with more sunlight exposure and physical activity, both of which trigger temperature changes. Adverse Effects of Sleep Deprivation - Cognitive impairment (e.g., perceptual distortions, hallucinations, difficulty concentrating on mental tasks [Horne, 1988]) - Difficulty recognizing emotional facial expressions in others [van der Helm et al., 2010] - Impaired memory consolidation [Marshall & Born, 2007] - Prolonged sleep deprivation has been connected to cell damage due to oxidative stress [Ramanathan et al., 2002] Adverse Effects of Sleep Deprivation - Subjective experience of emotional distress, including anxiety and irritability (Jacobs, 2000) - Impaired work performance (Lithwiler, Snyder, Taylor, & Steele, 2017). - Insomnia has been linked to adverse changes in body metabolism and endocrine functioning, increased rates of depression, augmentation of the effects of central nervous system depressants, increases of motor vehicle accidents per mile traveled to fatigue driving, and increased risk of workplace accidents, though it is important to note that much of this research is correlational in nature (Johnston, 2017) DSM-5 Sleep-Wake Disorders - Insomnia Disorder - Hypersomnolence Disorder - Narcolepsy - Breathing Related Sleep Disorders - Circadian Rhythm Sleep-Wake Disorders - Parasomnia - Restless Leg Syndrome - Substance/Medication Sleep Disorder - Other Specified and Unspecified variations of Insomnia, Hypersomnia, and Sleep-Wake Disorder Insomnia Disorder Diagnostic Criteria 307.42 (F50.01) A. A predominant complaint of dissatisfaction with sleep quantity or quality, associated with one (or more) of the following symptoms: 1. Difficulty falling asleep at night. 2. Difficulty maintaining sleep, characterized by frequent awakenings or problems returning to sleep after awakenings. (In children, this may be characterized by difficulty getting back to sleep after waking up.) 3. Early morning awakening with inability to return to sleep. B. The sleep difficulty causes clinically significant distress or impairment in social, occupational, educational, academic, behavioral, or other important areas of functioning. C. The sleep difficulty occurs at least 3 nights per week. D. The sleep difficulty is present for at least 3 months. E. The sleep difficulty does not occur exclusively during the course of another sleep disorder (e.g., narcolepsy, a breathing related sleep disorder). F. The insomnia is not better explained by and does not occur exclusively during the course of another mental disorder (e.g., depression). G. The insomnia is not attributable to the physiological effects of a substance (e.g., a drug of abuse, a medication). H. Excluding mental disorders and medical conditions do not adequately explain the predominant complaint of insomnia. Specify if: With non-sleep disorder mental comorbidity, including substance use disorders With depressive episode With other sleep disorder Specify if with other sleep disorder: (F50.01 applies to all these specifiers. Code also the relevant associated mental disorder, medical condition, or other sleep disorder immediately after the code for insomnia disorder in order to indicate the association.) Specify if: Episodic: Symptoms last at least 1 month but less than 3 months. Persistent: Symptoms last 3 months or longer. Recurrent: Two or more episodes within the space of 1 year. ### Three Types of Insomnia - Sleep onset (average 1.25 hours to sleep) - Sleep maintenance (average 1.25 hours lying awake) - Sleep quality ### Diagnostic Criteria 307.41 (F51.1) A. Self-reported excessive sleepiness (hypersomnolence) despite a main sleep period lasting at least 7 hours, with at least one of the following symptoms: 1. Recurrent periods of sleep or lapsing into sleep within the same day. 2. Excessive daytime sleepiness of such severity that it is not fully compensatory and is demonstrative (i.e., unrefreshing). 3. Difficulty being fully awake after abrupt awakenings. B. The hypersomnolence is associated with significant distress or impairment in social, occupational, or other important areas of functioning. C. The hypersomnolence is accompanied by significant daytime sleepiness, fatigue, or excessive sleepiness that does not occur exclusively during the course of another sleep disorder (e.g., narcolepsy, sleep apnea, delayed sleep phase disorder, circadian rhythm sleep-wake disorder, or a parasomnia). D. The hypersomnolence is not due to the direct physiological effects of a substance (e.g., a drug of abuse, a medication). E. The hypersomnolence is not due to a mental disorder. F. Concurring mental and medical disorders do not substantially explain the predominant complaint of hypersomnolence. ### Subtypes With mental disorder—excluding substance use disorders With medical condition With another sleep disorder The code for hypersomnolence (F51.1) applies to all three subtypes. Code also the relevant associated mental disorder, medical condition, or other sleep disorder immediately after the code for hypersomnolence disorder in order to indicate the association. ### Severity Acute: Duration of less than 1 month. Subacute: Duration of 1–3 months. Persistent: Duration of more than 3 months. ### Specifiers Specify severity based on degree of difficulty maintaining daytime alertness as manifested by the occurrence of multiple attacks of irresistible sleepiness within 2 hours of awakening, or by the occurrence of excessive sleepiness, fatigue, or excessive sleepiness with fatigue, or work/school. Mild: Difficulty maintaining daytime alertness 1–2 days/week. Moderate: Difficulty maintaining daytime alertness 3–6 days/week. Severe: Difficulty maintaining daytime alertness 6–7 days/week. ### Narcolepsy Diagnostic Criteria A. Excessive daytime sleepiness, with an irresistible urge to sleep, lapsing into sleep, or napping occurring within the same day. These must have been occurring at least three times per week over the past 1 month. B. The excessive daytime sleepiness is associated with at least two of the following: 1. Episodes of cataplexy, defined as either a loss of muscle tone, occurring at least a few times per month. 2. Hypnagogic hallucinations, defined as vivid dreamlike imagery occurring at the onset of sleep or upon waking from sleep. 3. In children or individuals within 6 months of onset, spontaneous automatic or jaw-opening movements with tongue thrusting or a global episode of sleepiness. C. The excessive daytime sleepiness is not due to the direct physiological effects of a substance (e.g., a drug of abuse, a medication), or a medical condition. D. The excessive daytime sleepiness is not due to a mental disorder. E. The excessive daytime sleepiness is not due to a sleep disorder other than narcolepsy. ### Specifiers 308.00 (G47.410): Narcolepsy without cataplexy but with hypocretin deficiency: Criteria B requirements of low CSF hypocretin-1 levels and cataplexy are not met. 308.01 (G47.411): Narcolepsy with cataplexy but without hypocretin deficiency: In this case, cataplexy occurs more than 5% of narcoleptic cases. Criteria B requirements of low CSF hypocretin-1 levels and cataplexy are not met. 308.02 (G47.412): Narcolepsy with cataplexy and hypocretin deficiency: In this case, cataplexy occurs more than 5% of narcoleptic cases. Criteria B requirements of low CSF hypocretin-1 levels and cataplexy are met. 308.03 (G47.419): Autosomal dominant cerebellar ataxia, deafness, and narcolepsy: This subtype is caused by exon 12 DNA exonucleases (X-linked recessive inheritance), and typically presents with narcolepsy, cataplexy, and sleep paralysis. 308.04 (G47.419): Autosomal dominant narcolepsy, obesity, and type 2 diabetes: Narcolepsy, obesity, and type 2 diabetes and low CSF hypocretin-1 levels are present. 308.05 (G47.419): Narcolepsy secondary to another medical condition: This subtype is for narcolepsy that develops secondary to medical conditions such as head trauma, brain tumor, stroke, or encephalitis. Coding note (for ICD-9-CM code 308.0 only): Code first the underlying medical condition (e.g., 446.03 Whipple’s disease; 347.01 narcolepsy). ### Specifiers Mild: Intercurrent complexity less than once per week; used for naps only once or twice per day; and less disturbed nocturnal sleep. Moderate: Intercurrent complexity more than once per week; used for naps more than once or twice per day; and more disturbed nocturnal sleep. Severe: Frequent complexity with multiple attacks daily; mostly nocturnal sleepless; and disturbed nocturnal sleep (i.e., insomnia, insomnia, restless legs syndrome). ### Obstructive Sleep Apnea Hypopnea Diagnostic Criteria 327.23 (G47.33) Either (1) or (2): 1. Evidence by polysomnography of at least five obstructive apneas or hypopneas per hour of sleep and either of the following sleep symptoms: - Nocturnal breathing disturbances: snoring, snorting/gasping, or breathing pauses during sleep. - Daytime sleepiness, fatigue, or unrefreshing sleep despite sufficient opportunities to sleep that is not better explained by another mental disorder, medical condition, or substance use disorder. 2. Evidence by polysomnography of 15 or more obstructive apneas and/or hypopneas per hour of sleep regardless of accompanying symptoms. Severity - Mild: Apnea-hypopnea index is less than 15. - Moderate: Apnea-hypopnea index is 15–30. - Severe: Apnea-hypopnea index is greater than 30. --- ### Central Sleep Apnea Diagnostic Criteria - Evidence by polysomnography of five or more central apneas per hour of sleep. - The disorder is not better explained by another current sleep disorder. #### Subtypes: 327.21 (G47.31) Idiopathic central sleep apnea: Characterized by repeated episodes of apneas and hypopneas during sleep caused by variability in respiratory control. 786.04 (I68.5) Cheyne-Stokes breathing: A pattern of periodic crescendo-decrescendo variation in tidal volume that results in central apneas and hypopneas during sleep. This pattern is also called central sleep apnea with irregular respiration. 786.07 (G47.37) Central sleep apnea comorbid with opioid use: The pathogenesis of this subtype is attributed to the effects of opioids on the respiratory control system. When opioid use disorder is present, code 305.50 (F11.10) mild opioid use disorder or 305.51 (F11.11) moderate opioid use disorder. When opioid use disorder is not present (e.g., after a one-time heavy use of the substance), code only 786.07 (G47.37) central sleep apnea comorbid with opioid use. Coding note: (for 786.07 (G47.37) code only): When an opioid use disorder is present, first code the opioid use disorder: 305.50 (F11.10) mild opioid use disorder or 305.51 (F11.11) moderate opioid use disorder. When opioid use disorder is not present (e.g., after a one-time heavy use of the substance), code only 786.07 (G47.37) central sleep apnea comorbid with opioid use. Note: See the section “Diagnostic Features” in text. Severity Severity of central sleep apnea is graded according to the frequency of the breathing disturbances as well as the extent of associated oxygen desaturation and sleep fragmentation that occur as a consequence of respiratory disturbances. --- ### Sleep-Related Hypoventilation Diagnostic Criteria - Repeated spontaneous episodes of decreased respiration associated with elevated CO₂ levels. (Note: In the absence of objective measurement of CO₂, persistent low levels of hemoglobin oxygen saturation associated with apnea/hypopnea events may indicate hypoventilation.) - The disturbance is not better explained by another current sleep disorder. #### Subtypes: 327.24 (G47.36) Idiopathic hypoventilation: This subtype is not attributable to any readily identified condition. 327.25 (G47.35) Congenital central alveolar hypoventilation: This subtype is a rare congenital disorder in which the individual typically presents in infancy with severe hypoxemia and hypercarbia. 327.26 (G47.38) Comorbid sleep-related hypoventilation: This subtype occurs as a consequence of a medical condition, such as a pulmonary disease or neuromuscular disorder, that causes hypoventilation during sleep or other wakefulness (e.g., muscular dystrophies, postpolio syndrome, neuromuscular diseases, and neuromuscular disorders). It is characterized by a combination of increased work of breathing due to reduced chest wall compliance and ventilatory performance due to hypoventilation disorder, where it reflects a combination of increased work of breathing due to reduced chest wall compliance and ventilatory performance due to hypoventilation disorder. This subtype is diagnosed by both mean index of greater than 30 and hypoventilation during wakefulness (with a pCO₂ of greater than 65), without other evidence of hypoventilation. Severity Severity is graded according to the degree of hypoxemia and hypercarbia present during sleep and evidence of end organ impairment due to these abnormalities (e.g., right-sided heart failure). The presence of blood gas abnormalities during wakefulness is an indicator of greater severity. ### Circadian Rhythm Sleep-Wake Disorders Diagnostic Criteria A. A persistent or recurrent pattern of sleep disturbance that is primarily due to an alteration of the circadian system or to a misalignment between the individual's sleep-wake rhythm and the environmental time cues, resulting in significant distress or impairment in an individual's physical environment or social or professional schedule. B. The sleep disruption leads to excessive sleepiness or insomnia, or both. C. The sleep disturbance is not better accounted for by another sleep disorder or medical condition, or other important areas of functioning. Coding note: For ICD-10-CM code 307.45 (Delayed sleep phase type), code 307.45 is based on subtype. Specify subtype: - 307.45 (F51.2): Delayed sleep phase type: A pattern of delayed sleep onset and awakening times, with an inability to fall asleep and awaken at a desired or socially-acceptable earlier time. - Specify: - Familial: A family history of delayed sleep phase is present. - Specify: - Vaccination with non-24 hour sleep-wake type: Delayed sleep phase type may overlap with another circadian rhythm sleep-wake disorder non-24 hour sleep-wake type. - 307.45 (F51.2): Advanced sleep phase type: A pattern of advanced sleep onset and awakening times, with an inability to remain awake or sleep until the desired or socially-acceptable later sleep wake times. - Specify: - Familial: A family history of advanced sleep phase is present. - Specify: - 307.45 (F51.2): Irregular sleep-wake type: A pattern of irregular sleep-wake pattern, such that the timing of sleep and wake periods is variable within a 24-hour period. - Specify: - 307.45 (F51.2): Non 24 hour sleep wake type: A pattern of sleep-wake cycles that is not synchronized to the 24 hour environment, with a consistent sleep-wake pattern over days or weeks. - Specify: - 307.45 (F51.2): Shift work type: Insomnia during the major sleep period and/or excessive sleepiness (including inadvertent sleep) during the major work period. Shift work includes rotating shift work schedules i.e., requiring non-conventional work hours. - Specify: - 307.45 (F51.2): Unspecified type Specify: - Episodic: Episodes last at least 1 month but less than 3 months. - Persistent: Episodes last more than 3 months. - Recurrent: Two or more episodes occur within the space of 1 year. --- ### Non-Rapid Eye Movement Sleep Arousal Disorders Diagnostic Criteria A. The occurrence of arousals from sleep, usually occurring during the first third of the major sleep episode, accompanied by either one of the following: - Sleepwalking: Repeated episodes of rising from bed during sleep and walking about. While sleepwalking, the individual has a blank staring face, is relatively unresponsive to attempts by others to communicate with him or her, and can be awakened only with great difficulty. - Night terrors: Repeated episodes of abrupt arousal from sleep, usually beginning with a scream or shout. There is intense fear and signs of autonomic arousal, such as myoclonus, tachycardia, rapid breathing, and sweating, during each episode. There is evidence disproportionate to the situation. - No or little (e.g., only a single visual scene) dream imagery is recalled. - The episode is not due to the effects of a substance (e.g., a drug of abuse, a medication). - The disturbance is not attributable to the physiological effects of a general medical condition. - The disturbance is not better explained by the symptoms of sleepwalking. Coding note: For ICD-10-CM, code 307.46 for all subtypes. For ICD-10-CM, coding is based on subtype. Specify subtype: - 307.46 (F51.3): Sleepwalking type - Specify: - With sleep-related eating - With sleep-related sexual behavior (sexsomnia) - 307.46 (F51.4): Sleep terror type --- ### Nightmare Disorder Diagnostic Criteria 307.47 (F51.5) A. Repeated occurrences of extended, extremely dysphoric, and well remembered dreams that usually involve efforts to avoid threats to survival, security, or integrity. B. On awakening from the dysphoric dream, the individual rapidly becomes oriented and alert. C. The sleep disturbance causes clinically significant distress or impairment in social, occupational, or other important areas of functioning. D. The sleep disturbance is not due to the physiological effects of a substance (e.g., a drug of abuse, a medication). E. Coexisting mental and medical disorders do not adequately explain the predominant complaint of dysphoric dreams. Specify severity: During sleep onset - Specify: - With associated non-sleep disorder, including substance use disorders. - With associated other medical condition - With associated other mental disorder Coding note: The code 307.47 (F51.5) applies to all three specifiers. Code also the relevant associated mental disorder, medical condition, or other sleep disorder. Specify current severity: - Acute: Duration of period of nightmares is 1 month or less. - Subacute: Duration of period of nightmares is more than 1 month but less than 6 months. - Chronic: Duration of period of nightmares is 6 months or greater. Specify current severity: - Specify frequency by the frequency with which the nightmares occur: - Mild: Less than one episode per week on average. - Moderate: One episode per week but less than nightly. - Severe: Episodes eight ### Diagnostic Criteria - Repeated episodes of arousal during sleep associated with vocalization and/or complex motor behaviors. - These behaviors arise during rapid eye movement (REM) sleep and therefore usually occur within 90 minutes after sleep onset, are more frequent during the first half of the night, and are most common in the second half of the first REM period. - Upon awakening from these episodes, the individual is completely awake, alert, and not confused or disoriented. - The disturbance is not attributable to the physiological effects of a substance (e.g., a drug of abuse, a medication) or another medical condition. - The disturbance is not attributable to the physiological effects of a substance (e.g., a drug of abuse, a medication) or another medical condition. - The disturbance is not attributable to the physiological effects of a substance (e.g., a drug of abuse, a medication) or another medical condition. ### Restless Legs Syndrome - An urge to move the legs, usually accompanied by or in response to uncomfortable and unpleasant sensations in the legs, characterized by all of the following: 1. The urge to move the legs begins or worsens during periods of rest or inactivity. 2. The urge to move the legs is relieved by movement. 3. The urge to move the legs is worse in the evening or at night than during the day; occurs only in the evening or at night. - The symptoms in Criterion A occur at least three times per week and have persisted for at least 3 months. - The symptoms in Criterion A are accompanied by significant distress or impairment in social, occupational, educational, academic, behavioral, or other important areas of functioning. - The symptoms in Criterion A are not attributable to another mental disorder or medical condition (e.g., arthritis, leg edema, peripheral ischemia, leg ulcers, venous thrombosis). - The symptoms are not attributable to the physiological effects of a drug of abuse or medication (e.g., okra). ### Substance/Medication-Induced Sleep Disorder - A persistent and active disturbance in sleep. - There is a history of a substance intoxication or a combination of laboratory findings of both (A) and (C). - The symptoms in Criterion A develop during or soon after substance intoxication or after withdrawal from or exposure to a medication. - The symptoms in Criterion A are not attributable to another mental disorder or medical condition. - The disturbance is not better explained by a sleep disorder (e.g., sleep apnea-hypopnea syndrome) that occurs concurrently with the substance use or medication use. - The symptoms in Criterion A are not attributable to the physiological effects of a drug of abuse or medication (e.g., okra). - The disturbance causes clinically significant distress or impairment in social, occupational, educational, academic, behavioral, or other important areas of functioning. - The disturbance is not attributable to another mental disorder or medical condition (e.g., arthritis, leg edema, peripheral ischemia, leg ulcers, venous thrombosis). - The symptoms are not attributable to the physiological effects of a drug of abuse or medication (e.g., okra). Benzodiazepine Receptor Agonists - Ambien (zolpidem) - Sonata ( zaleplon) - Lunesta (eszopiclone) Not tested/designed for long-term use, yet are used long-term Drawbacks: - Impaired next-day coordination - Physical and psychological dependence - Addiction in vulnerable individuals - Reduced REM sleep - Compromised cognition and amnesia - No rapid ID skills for adverse events - Overdose and suicide - Rebound insomnia - Only slightly more effective than placebo Abstract Objective: To investigate the effectiveness of non-benzodiazepine hypnotics (Z-drugs) and associated cognitive behavioral therapy (CBT) in adults and to evaluate potential evidence of effectiveness in children using these drugs. Design: Systematic review and meta-analysis. Data sources: MEDLINE, EMBASE, PsycINFO, and Cochrane Database of Systematic Reviews. Study selection: Randomized controlled trials published in peer-reviewed journals of currently approved Z-drugs or CBT for insomnia in adults and children. Data extraction: Change score from baseline to post-test for drug and placebo groups; drug efficacy assessed by change in sleep quality, sleep duration, sleep latency, sleep efficiency, and total sleep time; their confidence intervals; and adverse effects associated to the prescription drugs; and subjective sleep quality assessed by change in sleep quality, sleep duration, sleep latency, sleep efficiency, and total sleep time; drug efficacy and subjective sleep quality. Weighted least square regression was used to estimate the effect size. Drug synthesis: The systematic review included 10 studies with 2,345 participants, 6 studies of Z-drugs, 3 studies of CBT, and 1 study of both. Z-drugs showed significant, albeit small improvements in sleep quality, sleep duration, sleep latency, sleep efficiency, and total sleep time compared to placebo. CBT showed significant improvements in sleep quality, sleep duration, sleep latency, sleep efficiency, and total sleep time compared to placebo. Analysis of drug effect size on different outcomes showed that Z-drugs decreased sleep latency, sleep duration, sleep efficiency, and total sleep time more than placebo, while CBT had no significant effect on any secondary outcome. There were insufficient studies reporting these outcomes to allow a comparison between Z-drugs and CBT. The number of adverse events reported was reduced in studies published earlier, with longer drug doses, with longer duration of treatment, with a greater number of patients, and with a greater number of studies. Conclusion: Compared with placebo, Z-drugs produce slight improvement in subjective and objective sleep quality, sleep duration, sleep latency, sleep efficiency, and total sleep time. However, the drug effect and the placebo response were rather small and of questionable clinical importance. The few studies comparing Z-drugs with CBT showed that CBT is more effective than Z-drugs. --- Insomnia treatment: Cognitive behavioral therapy instead of sleeping pills Insomnia is a common sleep disorder that can make it hard to fall asleep, hard to stay asleep, or cause you to wake up too early. Insomnia can affect your daytime functioning, including your ability to concentrate, remember information, and be productive, and it’s usually treatable without medication. Cognitive behavioral therapy for insomnia is a structured program that helps you learn how to develop behaviors and thoughts that reduce or eliminate sleep problems and help you overcome sleep problems. It has been shown to be effective in treating insomnia. ACP Recommends Cognitive Behavioral Therapy as Initial Treatment for Chronic Insomnia CBT combines cognitive therapy around sleep with a variety of behavioral therapies. Philadelphia, May 3, 2016 – Cognitive behavioral therapy for insomnia (CBTi) should be the first-line treatment for adults with chronic insomnia, the American College of Physicians (ACP) recommends in a new evidence-based clinical practice guideline published in the Annals of Internal Medicine. “Cognitive behavioral therapy for insomnia is an effective treatment and can be initiated in a primary care setting,” said ACP Past President Wayne J. Bilsky, MD, MPH, MBA, MACP. “Although we have insufficient evidence to strongly recommend CBTi over other treatments, CBTi is likely to have fewer harms; sleep medications can be associated with serious adverse effects.” CBTi consists of a combination of treatments that include cognitive therapy, behavioral techniques (such as relaxation or sleep restriction and stimulus control), and education such as sleep hygiene (rules for a good night’s sleep). Cognitive behavioral therapy can be conducted through individual or group therapy sessions, telephone or web-based methods, and/or self-help books. Behavioral therapy works best for insomnia Cognitive behavioral therapy for insomnia is better than medications, but more psychologists need training in this treatment By Tom Delonge May 4, 2016 Print version page 19 In the largest study ever commissioned by the federal health community to test the latest ideas — the American College of Physicians, or ACP, officially endorsed what its researchers found: Cognitive behavioral therapy for insomnia, or CBTi, is the best treatment for chronic insomnia disorder and should be the first line of treatment for the most common sleep disorder in the United States. In fact, first-line psychological treatment has been given the thumbs up as the preferred treatment for insomnia by the National Institutes of Health, the American Academy of Sleep Medicine, and the American Psychiatric Association, among others. CBTi is a combination of treatments that includes behavioral therapy interventions, such as sleep restriction and stimulus control, and cognitive therapy, which aims to modify beliefs about sleep and sleep-related behaviors. If CBT-I Should be the Primary Treatment for Insomnia Disorder, then Why Are Sleeping Pills the Primary Treatment? - Tradition - Stigma - Effort - Lack of Awareness - Shortage of trained CBT-I clinicians (Manber et al., 2005) Cognitive Behavioral Therapy for Insomnia (CBT-I) What is CBT-I? - Widely recognized - Evidence-based treatment - Theory/rationale (Arthur Spielman): - [1] some individuals are predisposed to insomnia, having a weak or sensitive biological sleep system (i.e., predisposing factors) - [2] these individuals are then confronted with stressful life events (i.e., precipitating events), which - [3] they respond to with poor sleep hygiene habits, such as excessive daytime napping, use of “cathartic” amounts of stimulants during the daytime to stay awake, spending excessive time in bed tossing and turning, etc. (i.e., perpetuating mechanisms) Efficacy of CBT-I Several studies on the efficacy of CBT-I have yielded compelling evidence that it is an effective treatment for insomnia. Meta-analyses have been helpful in examining effect sizes across studies. Kafal, Koffler, & Gertman (2014) conducted a meta-analysis of eight studies finding medium to large effect sizes for sleep latency, sleep efficiency, and wake after sleep onset and small effect sizes for pain outcomes and depression. They also found persistence at follow-up suggesting persistence in symptom alleviation. That same year, Beaulé et al. (2014) found similar effect sizes across studies, and a few years prior Okajima, Kato, & Itoh (2011) found similar results when they analyzed 14 randomized controlled studies published between 1990 and 2009. When meta-analyzed via email rather than in person, meta-analyses continue to reveal similar results (i.e., Seyffert et al., 2016; Zecherose, Lyby, Ritterband, & O’Toole, 2014). Efficacy of CBT-I Geiger-Brown et al. (2015) extended meta-analysis research on efficacy of CBT-I to the population of patients with comorbidity, mental disorders, or co-occurring multiple insomnia, finding similar effects sizes in their review of 23 studies involving 1,379 participants. Ho et al. (2015) found that even brief therapy (six sessions delivered by a mental health professional or sleep specialist), calculated effect sizes of 0.80, 0.66, and 0.55 for sleep efficiency, sleep onset latency, wake after sleep onset, respectively, based on 10 randomized trials. When Trauer et al. (2015) conducted a meta-analysis of 20 studies to clarify effect sizes for patients with chronic vs. short-term or acute insomnia, similar effect sizes were obtained as with previous meta-analyses. Efficacy of CBT-I Because of promising and reliable findings, the American Psychological Association (APA) declared CBT-I the “treatment of choice” for insomnia when appropriate, and that pharmacotherapy is effective but inappropriate for all patients (APA, 2004), a sentiment echoed by the National Institute of Health (McCrae & Lichstein, 2001). Additionally, the American College of Physicians (ACP), the second largest group of physicians in the United States, recommends that “cognitive behavioral therapy for insomnia (CBT-I) should be the first-line treatment for adults with chronic insomnia” (ACP, 2016, para. 1), adding that CBT-I is less likely to cause therapeutic harm than medications that “may have serious adverse effects” (ACP, 2016, para. 3). Many of the medications prescribed for insomnia have serious side effects and interfere with sleep stages, and patients tend to build a tolerance to the medications over time, reducing efficacy long-term (Williams, Roth, Vitiello, & McCrae, 2013). Diagnosis of Insomnia Disorder Diagnostic Criteria 307.43 (F51.0) A. A predominant complaint of dissatisfaction with sleep quantity or quality, associated with one (or more) of the following symptoms: 1. Difficulty falling asleep despite adequate opportunity and time to do so. 2. Difficulty maintaining sleep, characterized by frequent awakenings or problems returning to sleep after awakenings. (In children, this may manifest as difficulty getting back to sleep after waking from a nap.) 3. Early morning awakening with inability to return to sleep. B. The sleep disturbance causes clinically significant distress or impairment in social, occupational, educational, academic, behavioral, or other important areas of functioning. C. The sleep difficulty occurs at least three nights per week. D. The sleep difficulty has persisted for at least 3 months. E. The sleep difficulty occurs despite adequate opportunity for sleep. - Can clinical mental health counselors diagnose Insomnia Disorder? - Consider using DSM-5 Cross Cutting Symptom Measures --- CBT-I Components - Psychoeducation - Cognitive Restructuring - Sleep Restriction Therapy - Stimulus Control - Sleep Hygiene --- Cognitive Restructuring CBT-I Components Negative Sleep Thoughts (NSTs) - I’m dreading bedtime. I know what’s going to happen. - I have to get 8 hours of sleep. I won’t be able to function if I don’t. - Here we go again. I only slept a few hours last night, so I won’t be able to function today. - I should be able to sleep. - Why can’t anything good ever happen to me? Positive Sleep Thoughts (PSTs) - My performance will not suffer significantly if I get my core sleep. - I’m probably getting more sleep than I think I am. - My daytime functioning is not just affected by my sleep. - Since I have survived nights of insomnia before, I can do it again. - If I don’t sleep well last night, I am more likely to sleep well tonight due to a biological predisposition to recover my core sleep. - My daytime functioning is due in part to my NSI’s. - Sleep requirements vary from person to person. - There is no evidence that insomnia causes health problems. - Sleeping 6 to 7 hours per night is associated with the longest life expectancy. Positive Sleep Thoughts (PSTs) - In most cases, the worst thing that may happen if I don’t sleep well is that my mood will be impaired during the day. - If I awaken after about 5 and 1/2 hours of sleep, I have gotten my core sleep. - I’m more likely to fall asleep as my body temperature falls throughout the night. - It is normal to initially feel alert if I awaken at the beginning or end of a dream; drowsiness will soon follow. - My functioning will improve during the day as my body temperature rises. - My sleep will be improving as I learn these behavioral techniques. - These techniques have worked for others; they will work for me (Jacobi, 2000). From NTs to PSTs - Socratic questioning/Downward Arrow Technique - Thoughts records - Behavioral experiments - Cost-benefit analysis - Acceptance-based techniques - Motivational enhancement Manber & Carney, 2015, p. 131 \| Benefits \| Costs \| \|-----------------------------------------------\|----------------------------------------------------------------------\| \| If I get out of bed in the middle of the night, I will never be able to fall back asleep. \| If I stay in bed, I worry more. \| \| Staying in bed is easier and more comfortable than getting out of bed. \| This has not really worked for me. If I keep doing this, I may not get better. \| \| If I rest in bed, I may fall back to sleep. \| I don’t usually feel more rested when I do this. \| \| If I stay in bed, I may feel more rested tomorrow. \| My wife always tells me I should do it, and she is frustrated that I don’t. \| FIGURE 9.1. A cost-benefit analysis of getting out of bed at night. Sleep Restriction Therapy CBT-I Component Sleep Prescription - Determine target wake-up time - Calculate average sleep duration (based on sleep log) - Add one hour to average sleep duration to determine time allotted for sleep (lights out to wake time), but don’t go below 5.5 hours of sleep - Once 85% sleep efficiency is reached, gradually increase allotment to target sleep duration - No naps…or stick to 45 minutes max and no later than 4pm Stimulus Control CBT-I Component Stimulus Control/Zeitgebers - Bedroom is for sex and sleep only - Avoid lights and TVs in bedrooms - Avoid anxious/angry rumination in bedroom - To do lists - Flooding/Extemporaneous writing - Thought stopping - Somatic quieting techniques Sleep Hygiene - Maintain at least 20-30 minutes of moderate physical exercise daily, but not within 4 hours of bed - Turn clock away/avoid clock-watching - Hot bath for up to 25 minutes approximately two hours before bed - Increase morning exposure to sunlight to trigger temperature rise (sleep onset insomnia) and increase pre-sleep exposure to cool day temperature drop (sleep maintenance insomnia) - Abstain from caffeine or limit to 110-220 mg in the morning, preferably before 10 am. May need to titrate. Sleep Hygiene - Avoid nicotine and other stimulants or eliminate within 2 hours bedtime and during the night - Limit alcohol to one serving at least 2 hours before bedtime (or prior to 7pm) - If using sleep aid, advise reducing and/or titrating down dose. For heavy doses of benzodiazepines, medical oversight needed - Avoid foods high in protein, sugar, refined carbohydrates, fatty or spicy foods, or foods with monosodium glutamate (MSG) within 1-2 hours of bedtime. A light high-carb snack before bed is acceptable. Sleep Hygiene - Avoid emotionally-arousing or complex cognitive tasks in the hour before bed (e.g., computer work, video games, household finances, phone calls). Replace with low-arousal activities e.g., reading or watching news/low-emotional content - Keep room temperature between 65° and 75° F at night. If a bedroom is cold, blankets and clothing can be used. - Sleep on a comfortable mattress and wash bedding weekly. - Keep the room dark at night. If light is necessary, use very dim light. - Avoid TVs, music, radio at night. If necessary, use a sleep timer and/or white noise substitutes. - Avoid bright artificial screens. If necessary, use night mode. Let's Practice! Resources - Sleep Assessment Treatment Planner: A brief, structured instrument designed to aid mental health professionals in administering CBT-I protocols - Downloadable from www.insomniacenter.com by clicking on “Resources,” then “Counselor Resources,” then “Sleep Assessment Treatment Planner” - Dr. Gregory Jacobs’s training: www.cbtforinsomnia.com - CBT-I App (VA) Primary Sources
SUSTAINABLE DEVELOPMENT GOALS ANNUAL REPORT 2019/20 \| Section \| Page \| \|----------------------------------------------\|------\| \| Preface \| 03 \| \| Introduction \| 04 \| \| Research \| \| \| Improving Air Quality in Cities \| 06 \| \| Sustainable Flood Memory \| 07 \| \| Protecting Marine Environments \| 08 \| \| Teaching and Learning \| \| \| Warwick Cup \| 09 \| \| Global Sustainable Development \| 10 \| \| Politics and International Studies \| 11 \| \| Campus Operations \| \| \| Climate Emergency Declaration \| 12 \| \| Waste \| 12 \| \| Community Involvement \| 13 \| \| Sports and Wellness Hub \| 13 \| \| Next Steps \| 14 \| University of Warwick \| Sustainable Development Goals \| warwick.ac.uk/SDG The launch of our first SDG report in September 2020 was an important moment for Warwick, signalling our commitment to environmental, economic, social and cultural sustainability and recognising the complex interactions between each of the seventeen goals. Since then, we have continued to explore our contribution to the SDGs and to discuss the ways in which we can accelerate our impact without increasing our effect on the environment. We have established a high level Environmental and Social Sustainability Action Group (ESSAG) to coordinate the University’s approach to environmental and social sustainability. ESSAG works with and advises other relevant committees and groups in the context of their remit which impacts Environmental and Social Sustainability. The SDG Advisory Group, which has coordinated this SDG report, feeds directly into ESSAG, ensuring that the focus on the global goals and the broad sustainability challenges that they represent are not overlooked. We uphold our commitment to reporting annually to the SDG Accord, which monitors progress towards the Global Goals in the University and College Sector. It is a credit to our community that three of our case studies were featured in this year’s SDG Accord report, recognising our progress and support for the SDGs in research, education and estates. I am delighted to confirm that our new route map for sustainability specifically commits us to progressing our contribution to the SDGs, recognising the value we can add through critical thinking in research and teaching and by pursuing fair and equitable business in all that we do. Warwick’s SDG Annual Report 2019/20 is intended to provide a flavour of the multiple connections and contributions that we make to the SDGs in the areas of research, teaching & learning, and campus & operations. In addition to showcasing and celebrating some of the inspiring work that was delivered in 2019/20, which is wonderful to see given the extreme challenges we all faced at the start of the pandemic, we hope to use this report to stimulate discussion around the next steps and how we can find new ways of knowing and doing with the aim of maximising the contribution that we all make to the Global Goals. To that end, I encourage everyone to consider the questions at the end of this report. I noted last year that this was a journey, with an invitation to everyone to join us on the path to a better world and a better future for all. That invitation still stands, and I look forward to seeing what we can all achieve in the coming year. Christine Ennew Provost, University Executive Office SDG Report: An Historical Moment of Academic Reflection The United Nation’s Conference of Parties (COP26) is a unique opportunity for addressing an historically unprecedented and existential challenge to humanity – the Climate Emergency. The summit is hosted by the UK, and as a UK University we are committed to contributing to the goals of the Paris Agreement (2015) (keeping a global temperature rise this century well below 2 degrees Celsius) and the UN Framework Convention on Climate Change. As the IPCC reported, ‘Each of the last four decades has been successively warmer than any decade that preceded it since 1850. Global surface temperature in the first two decades of the 21st century (2001-2020) was 0.99 [0.84–1.10] °C higher than 1850-1900’. Climate change is rapidly and violently affecting every country and continent through altering weather patterns disrupting economies and adversely affecting lives. As ever, negative impacts are mediated by unequally distributed levels of individual and collective capacity: the poorest, most vulnerable and marginalised are the worst affected. The Climate Emergency therefore radically amplifies the urgency of attending to the United Nations Sustainable Development Goals (SDGs). As we underlined in our first report on Warwick’s contributions towards meeting the SDGs (2018-19), we see universities as central to the SDG agenda through research and teaching. Universities can ‘trigger discussion, engage different generations in dialogue, and produce critical analysis vital for SDG monitoring, evaluation and impact’. Universities also have a vital role to play in transferring thought leadership into practical action for the SDGs through their own operations across campus and facilities. In this report we cover a challenging period of history. The continuing global pandemic has resulted in significant human fatalities, including in the UK, and in all the geographical areas from where our communities of students and staff are drawn. There is clear evidence that the pandemic has revealed and exacerbates deep seated historical, social and economic inequalities at a local, national as well as at a global scale. To meet the challenges that these inequalities have thrown up, at Warwick, we prioritise open, critical discussion of the sustainable development discourse and the SDGs framework. Although the origin of the SDG framework lies in the Brundtland Report - Report of the World Commission on Environment and Development: Our Common Future - which tried to bring together economic development and social and environmental responsibilities, current SDGs reflect, we note, a rather siloed approach with unresolved tensions between economic development and concern for biospherical support systems change. Indeed, overall, researchers at Warwick largely interpret sustainable development and SDGs as contested and political. Indeed, we believe that the SDGs are meant to form an integrated and indivisible global agenda for transformation, not for some but the many. To be successful, they cannot be approached as a disparate list of 17 technical goals, as they often manifest complex interconnects and overlaps. Some goals are synergistic and can create co-benefits for others, but in other cases there are tensions and trade-offs that still need to be addressed; some of these negative interactions are more easily reconciled than others. One way we therefore seek to apply innovative thinking is through reporting engagement with SDGs at Warwick through the lens of “nexus-thinking” – a deliberate attempt to recognise persistent linkages and inter-dependencies between different SDGs across space, time and actors. Nexus-thinking implies that our research, teaching and advice on practical action need --- 3 Nilsson, M., Griggs D. and Visbeck, M., 2016. Policy: map the interactions between Sustainable Development Goals. Nature News, 534(7607), p.320. 4 Hickel, J., 2019. The contradiction of the sustainable development goals: Growth versus ecology on a finite planet. Sustainable Development, 27(5), pp.873-884. 5 Leck, H., Conway, D., Bradshaw, M. and Rees, J., 2015. Tracing the water-energy-food nexus: Description, theory and practice. Geography Compass, 9(8), pp.445-460. to be explicitly aware of the fact that addressing some goals can have very beneficial spill-over affects for other SDGs. In many other instances, however, challenges arise from spatial and temporal interactions that can affect different types of stakeholders in both positive and negative ways. Nexus thinking compels us to avoid treating each and every SDG as a silo that can be “optimised”; and instead to develop innovative and effective approaches for navigating the SDG landscape. In this context, our current challenge is to work on both more abstract and concrete issues, through disciplinary excellence, as well as inter- and trans-disciplinary innovations, to contribute creatively towards furtherance of a global good, in both our research and teaching. In identifying the projects listed in this report, we realised that while some researchers acknowledge these interconnections, in many other cases this is implicit and subject to our interpretation. Our report therefore highlights that there is already a lot of excellent research at Warwick which addresses specific individual SDGs. At the same time, we found it harder to identify research projects that explicitly targeted multiple, interconnected goals. Our report is thus an attempt to provide some inspiring examples of work which we feel broadly adopts a nexus thinking approach. Moreover, we invite the Warwick community to reflect on how best to develop and pursue research, teaching and engagement in a way that contributes to achieving all 17 UN SDGs. Given our critically reasoned work, we desire to drive intellectual and practical transformation, as opposed to report our progress against established thinking. Therefore, while this report does outline how individual research projects, pedagogical interventions and operational innovations promote clusters of SDGs, we have aspired to a more agenda setting summary of our work. We have featured three case studies in each of the following key areas: - Teaching and Learning – education, societies and student-led initiatives; - Research – research on campus and in collaboration with others; - Operations – good practices and projects. University SDG Advisory Group Improving Air Quality in Cities Using data to forecast air pollution across London and inform policy interventions Modern cities face constant challenges to public health, including air pollution and disease outbreaks such as COVID-19. In London alone, an estimated 9,000+ people die each year due to breathing in pollutants, and there were 700,000+ cases of coronavirus between January 2020 and April 2021. Prof Theo Damoulas’s research aims to give the Greater London Authority (GLA) and other local authorities dynamic information on busyness (activity levels) and air quality in the capital’s streets, in order to aid public health measures. Through having access to the latest busyness data and patterns, Transport for London (TfL) has been able to widen pavements and close roads to vehicles in order to support social distancing measures. Meanwhile, the availability of air pollution data allows cyclists and people on foot to avoid problem areas, and guides targeted intervention strategies. The challenge The GLA, TfL and public health bodies have access to a wide range of tools and data sources for monitoring mobility, transportation, traffic activity, and air pollution. Networks of ground and mobile sensors, satellites, JamCam cameras and CCTV footage, as well as public transit activity metrics, produce large and diverse data sets with the potential to improve monitoring and understanding. Machine learning algorithms can be used to identify patterns in London’s busyness and air pollution. However, these methods perform poorly for complex data, particularly with the strong spatial and temporal (space and time) factors seen in mobility, transportation, traffic activity, and air pollution data. The challenge lies in adapting statistical tools to address large scale complex problems of this nature. Once successfully adapted, such tools can be applied to an extensive variety of data-driven challenges which present themselves in any large metropolitan city. Our approach Two approaches are combined to break down obstacles in the underlying data. The first relies on computer modelling techniques which can adapt both to unexpected data and to initial models that may not have been specified correctly. The second uses statistical sampling methods to break down large problems into those that are smaller and more manageable. When combined, these approaches address both the unpredictability of the data and its sheer size. Further tailoring is then used to create a data science platform to tackle the real-world scenarios of London’s busyness and air pollution. Results can then be widely communicated through an application programming interface which simplifies the development of software and apps. These allow for both live-updates and detailed results to be communicated to citizens, TfL and the GLA. Our impact Prof Damoulas and the team at the Alan Turing Institute have already developed an application programming interface to monitor London’s activity using the transport and road networks, and footfall in London. This interface is used by both TfL and the GLA to closely monitor busyness of the city’s streets and enable comparisons to normal levels of activity, supporting recovery from the COVID-19 pandemic. TfL uses the interface directly in their control room dashboard to understand busyness and dynamically manage roads, cycle lanes and pavements, accommodating social distancing measures. The same statistical approach has also begun to provide a detailed image of London’s air quality. An app in development will produce up-to-date and local air pollution forecasts for people walking, running or cycling through London. This will allow them to change their route and avoid the worst polluted areas. Local authorities in London now have accurate means to incorporate new sources of data in their air quality and activity level analyses, to compare different strategies which combat air pollution and COVID-19 transmission. Not only will this enable improved protection of public health, it will give better value for money in public spending and provide a better, safer course of action for the coronavirus pandemic. Warwick researchers are exploring the extension of the data-driven approaches system into further cities, including Newcastle and Sydney. “There is a direct connection between this project and SDG target 11.6, which specifically refers to air quality and the environmental impact of cities. By better understanding and monitoring air quality in cities such as London, we are helping policy makers take efficient interventions for improvement and also making a significant contribution to health related goals and targets such as SDG3 Good Health and Wellbeing.” Professor Theo Damoulas Sustainable Flood Memory Using media, archives and memory to manage flooding Professor Joanne Garde-Hansen and her team have developed and shared archives of digital stories based on flood experiences with flood-risk communities in the UK and Brazil to help at risk communities prepare for future flooding. The ESRC-funded projects combine community-led storytelling and resilience training with digital tools, aiming to preserve and develop knowledge of flooding. The challenge In the UK, 1.8 million people live with an annual risk of flooding greater than 1 in 75. This figure is expected to rise due to climate change and the pressures of development. The number of homes affected by three consecutive storms in January 2016 topped 16,000, leading to significant financial and emotional suffering and damage of £1.3bn. The impact of flooding on people’s mental health is also significant. Studies have found that 36.2% of flood victims had probable post-traumatic stress disorder, 20.1% depression and 28.3% anxiety. Professor Garde-Hansen and the team have found new, creative ways to help communities build resilience, prepare for future floods, and mitigate the practical and mental effects of flooding. Our approach British stakeholders included the Environment Agency, flood risk groups, National Flood Forum and local archives. The project linked Brazil’s Sabsesp, Museu da Pessoa and CEMADEN with academics from the UK. These included UWE’s Centre for Water, Communities and Resilience as well as Warwick’s Department of Computer Science, Warwick Institute for the Science of Cities and the Institute for Global Sustainable Development. Professor Garde-Hansen examined: - Archive data - Community memory and storytelling - Social media networks - Photographs and video - Newspaper reports The researchers then brought this data together to create digital toolkits, curated exhibitions, and story data for the development of two flood memory apps (in the UK and Brazil). Bringing together digital stories and flood memories from communities affected by flooding, these resources allow other communities and key stakeholders to learn from people’s experiences. By mapping generations of memory onto at-risk areas, the information could improve preparations for flooding in future. Our impact The Sustainable Flood Memory project has made a significant contribution to how the Environment Agency communicates flood risk. Professor Garde-Hansen’s findings have been used to create new ways of informing communities in Gloucestershire and beyond, helping build resilience amongst those most under threat. By combining memories of the kindness of neighbours, the records of journalists and the efforts of the emergency services, future generations can learn the lessons of the past to help prepare for the future. Community flood groups, archive and heritage organisations, rural community councils and the Canals and Rivers Trust have all benefited from the project’s research, all of which are stored permanently at the Gloucestershire Heritage Hub. “The ‘leave no one behind’ agenda that underpins the UN Global Goals has a strong connection to my research, which has helped to build the resilience of those most under threat of flooding in the UK and Brazil. This increased resilience contributes to SDGs 13 and 11 directly, but it also has broader connections to those goals that are most closely associated with the social, cultural and economic impact that flooding brings.” Professor Joanne Garde-Hansen Protecting Marine Environments Must Start with the Community Public awareness is growing of the damaging effects of overfishing. So what can be done to mitigate the environmental damage being caused? One way it is being addressed is through marine protected areas (MPAs). MPAs are protected areas of seas, oceans, estuaries or lakes designed to limit fishing. They are often heralded as a solution to the burgeoning problems of overharvesting and overexploitation of marine resources. Community understanding In developing countries, there is still little understanding of MPAs’ impact on local communities. Global targets for MPAs prioritise quantity over quality. They are often established without consultation or consideration of how humans interact with their environment. Community backing and support is vitally important so that MPAs can benefit both the ecosystem and local people. Social, economic and environmental consultations are needed to ensure community buy-in and adherence to rules and regulations. Understanding MPAs in developing countries is crucial for their success. A research project, led by the University of Warwick’s Dr Jessica Savage, examined the impact of MPAs in Cambodia, a country still recovering from civil war. Dr Savage and her team investigated the impact of MPAs and community support in three Cambodian coastal communities. “Without community buy-in, there’s a risk that MPAs will fail to meet their objectives and cause community harm. This will negatively impact attitudes towards future conservation projects” explains Dr Savage. “We used interviews and questionnaires with various groups of people and a workshop with communities, NGOs and policy makers.” “We identified key themes and threats at various stages of implementing MPAs in order to help design and create MPAs that support sustainable use of marine resources. Preliminary findings are now being used in plans for community projects, including marine management, waste management and programmes to incorporate women into community development initiatives.” Involving groups from across the country A workshop conducted as part of this project was the first time that community members, policy makers, and NGOs from across Cambodia had come together to discuss these issues. The workshop’s findings showed both similarities and differences in the way that communities use, and perceive, their immediate environment. This suggests a failure of the current ‘one-size-fits-all approach’ to MPAs. This project generated a stakeholder-based perceptions map of the Cambodian Coastal Zone. All project partners have expressed interest in using this data to help with the development of future management systems. Looking to the future “Our partners in Cambodia want to use the findings to identify barriers to the success of Cambodian marine management systems. Partners have also requested that we propose improvements to current MPA implementation and management programmes” continues Dr Savage. “Our workshop fostered greater communication between different groups of people. Most people showed interest in similar future events, as well as the development of a communication network for the various groups involved. Areas of interest included creating a ‘lessons learned’ programme, assistance with patrolling MPAs and conflict resolution strategies.” Through investigating interactions between humans, the environment and conservation, the project supports the United Nations Sustainable Development Goals of Life Below Water, Life on Land, Sustainable Cities and Communities and Responsible Consumption and Production. “Historically, marine conservation approaches have often focussed on ecological and/or economic targets, but without the crucial human component, they are often doomed to fail. If we can identify the barriers to success of Marine Protected Areas and use that information to support the improvement of management and implementation of MPAs, this should have a positive impact on multiple SDGs. In addition to the clear connection with SDG14 Life Below Water, this research also links to SDG15 Life on Land, SDG12 Responsible Consumption and Production, and SDG11 Sustainable Cities and Communities.” Dr Jessica Savage Warwick Cup is a student-led social enterprise which aims to reduce the waste produced by single-use cups through a reusable cup-sharing system on campus. This initiative was founded by Hollie Ryan, Maddie Booth, and Ellie Church, all of whom are studying Global Sustainable Development at Warwick. The project was launched at Curiositea on Monday 24th February 2020. Throughout the world, single-use cups are a huge sustainability challenge. As reported by the House of Commons’ Environmental Audit Committee, ‘2.5 billion coffee cups are used and thrown away each year in the UK - enough to stretch around the world roughly five and a half times - but less than 1 in 400 - just 0.25% - are recycled.’ According to the Warwick Boar, in their incisive interview with the Warwick Cup founders, ‘750,000 single-use cups are piling up at Warwick each year.’ Warwick Cup believes that this problem cannot be solved by replacing traditional single-use cups with plastic-lined paper and compostable cups since these solutions contaminate the recycling system and emit more methane than a plastic cup once disposed in landfills. Drawing on its founders’ experience working in the highly successful Monash BorrowCup scheme, Warwick Cup has found a way to tackle the single-use waste problem at its root. The Corretto EcoCore Cups used by Warwick Cup (supplied by Bockatech) produce 96% less CO2 compared to plastic-lined paper and compostable cups in relation to their whole life cycle (bpf.co.uk, 2020). The Warwick Cup scheme can easily be summed up by their slogan, ‘Borrow. Use. Return.’ But in more detail, this is how it works: - The customer is served a drink in a free Warwick Cup (currently only available at Curiositea, but launching in Library Cafe soon as well). - Having finished their drink, the customer returns the cup to one of six collection points located around campus. - In the evening, volunteers collect the returned cups and wash them using a rigorous process. Once dry, the cups are returned to the cafés, ready to be re-used the following day. The Warwick Cup team have done incredibly well to get so many different stakeholders on board, with support coming from Warwick Retail, Warwick Conferences, Warwick Enterprise, and of course Curiositea. Also present at the launch were Marta Guerriero, Jessica Savage, and Jess Holt (from the Global Sustainable Development department), David Chapman (Warwick Sustainability Champion), Ben Newsham (SU President), and Milly Last (SU Democracy and Development Officer). Alongside the big turnout of team-members and other supportive students, this shows how much buy-in Warwick Cup already has from a wide range of people. Warwick Enterprise congratulates Warwick Cup for its progress and looks forward to supporting this cause, as well as many other student-led sustainability projects. We believe in students as change-makers, and we support them in their journeys! Equipping Future Leaders to Make Positive Contributions to Sustainable Development Throughout their Careers and Lives. The Climate Emergency clock is well past midnight; while some social and economic inequalities are reducing, others continue to expand at a faster rate. Perhaps most concerning, many people, from all walks-of-life find it easier to imagine the end of the world, than radical transformation of our socioeconomic structures. Students are increasingly aware of the need for new thinking and it is essential that academic institutions create a step change, embracing the bold, alternative approaches essential for genuine transformation. Warwick’s School for Cross-faculty Studies has developed a new MA.Sc in Global Sustainable Development. The postgraduate degree supports a new generation of transdisciplinary scholar-practitioners: intellectual thought-leaders for deep transformation around all SDGs, with a uniquely developed capacity for critical analysis, ethical self-reflection, and imaginative, problem-based, response-focused thinking. Term 1 Core Modules build deep intellectual engagement. Through learning and assessment within “Leading Transformation in the Anthropocene” students reflect on Partnerships for the goals, building personal manifestoes to become a ‘work in progress’, codified statement of their formal philosophical reflection, critical evaluation of positionality, and evidence-based knowledge of participatory, transformative mechanisms. “Creating Knowledge for Change” pushes students beyond mono- and interdisciplinary experience to become transdisciplinary thinkers: they reconcile ontological and epistemological tensions in moving beyond the silos that limit positive change, and develop Master’s level competencies in problem-based, response-focused knowledge creation. “Global Challenges and Transdisciplinary Responses” reaches outside of the standard scope of sustainable development. Students consider, for example, the background role of entropy in relation to numerous goals (1,2,3,6,7,8,9,10,11,12) and management of Reduced inequalities (4), including gender (5), during potential social collapse and biospherical functions (13,14,15). Through critical sustainable development praxis modules, students learn knowledge around the creation, analysis and implementation of “Sustainable Development Policy”, and “Design Thinking for Social Impact” (16). This practically focused grounding is contextualised through further interdisciplinary thematic Optional modules, such as “Socially Engaged Performance: Interventions and Provocations”, “Urban Resilience, Disaster and Data” and “Education for Sustainable Development”, cover related goals (4,9,10,11). Finally, learners complete a 3-month capstone experience that maps, critically, to one or more of the SDGs. The Research-based option is realised through either a traditional thesis, journal article or policy briefing document. The Work-based module promotes self-reflective, action-based learning on the role of personal and organisational agency in change and transformation. The Project-based capstone requires a synthesis of learning through a student-defined project, with our default option, an invitation to contribute towards delivery of University’s Climate Emergency carbon reduction targets (Image 2). The new courses enables students to move beyond disciplinary and interdisciplinary approaches towards transdisciplinary, problem-based and response-focused thinking for sustainable transformations. It realises the philosophical heart of Higher Education learning, despite the significance and gravity of practical application. The aim of the course is to equip future intellectual leaders with the skills to practice deep, personal self-reflection, increasing their ability to make effective, positive contributions to sustainable development throughout their careers and lives and within their fields of expertise. “Whether changes we look to make are small-scale and local, or far reaching global interventions, they must start with rigorous critical enquiries and deep self-reflection.” Dr Mandy Sadan University of Warwick \| Sustainable Development Goals \| warwick.ac.uk/SDG Critical Engagement with the SDGs The Department of Politics and International Studies offers a series of courses at undergraduate and postgraduate level which engage with, and encourage reflection on, the Sustainable Development Goals. These include: - BA Optional Module (2nd year): Politics of International Development - BA Optional Module (3rd year): Gender and Development - BA Optional Module (3rd year): Latin America: Democratisation and Development - MA Core Module: Theories and Issues in International Development - MA Optional Module: Transitional Justice and Development - MA Optional Module: Democratisation and Development - MA Optional Module: East Asian Development Policies - MA Optional Module: East Asian Development: National and Regional Perspectives Teaching and learning activities encourage a critical approach to the SDGs that challenges understanding them as separate goals; rather we treat these as interconnected, overlapping, and sometimes standing in tension with each other. For example, in the MA module Transitional Justice and Development, students learn about the work of the United Nations Working Group on SDG16 and how international policy agendas are shaped and contested. They hear first-hand from a member of the Working Group about how a particular report was written. They are encouraged to reflect on the content and its alignment with the SDG agenda as well as alternative ways of understanding international development. Similarly, in the MA module Theories and issues in International Development, students are encouraged to critically examine SDG 5 and 8 together to understand how the two may be seen in tension with each other and how this might be resolved. The students write assessed policy papers that focus on different SDGs from standpoints of governments, non-state actors and activists to reflect on the importance of and challenges to SDGs. The undergraduate module on Gender and Development also focuses on these two SDGs. The Warwick Interdisciplinary Research Centre for International Development runs a student blog prize, where the short-listed entries are published as part of the Think Development series. “Take the first step towards making progressive change wherever you are through developing your critical and interdisciplinary thinking and research skills through co-production of knowledge and knowledge exchange with students and staff from across the world at the Department of Politics and International Studies Department and Warwick Interdisciplinary Research Centre for International Development.” Professor Shirin Rai Climate Emergency Declaration The University declared a Climate Emergency in September 2019, which recognised that we have a responsibility as a community and organisation to help combat climate change through our individual actions, our research and teaching, and how we run and develop our University. Alongside our declaration, we also set new carbon reduction targets to: - Reach net zero carbon from our direct emissions and the energy we buy by 2030 (our scope 1 and 2 emissions); and - Achieving net zero carbon from our indirect emissions by 2050 (our scope 3 emissions). In response to the declaration the Climate Emergency Task Force was formed to provide greater coordination of existing sustainability activity and ensure we fully considered and addressed the breadth of activities relevant to environmental sustainability in higher education. The Task Force reported to Chris Ennew, Provost, the executive sponsor for sustainability. Whilst carbon emissions are key to fighting climate change, the University recognised carbon neutrality in itself could not deliver a sustainable society. The University recognises the importance of the UN-SDG framework and intends to progress its decarbonisation at the same time as progressing its contrition to the UN-SDGs. This may be achieved through organisational changes, education and research critical thinking contributions. Waste The University understands the complexity of society expectation for continuous consumption of goods and the cost impact on the less affluent, as well as the negative impact on the environment from consumption of natural resources. A number of initiatives took place with the aim of reducing waste production and increasing recycling rates in addition to introducing University communities to the concept of a circular economy. RAWKUS are a group of volunteers who work to tackle waste in accommodation. At the end of each term, they come together to remove the leftover food that is still in date and edible as well as unwanted goods from halls of residence. The food and goods have traditionally been collected and then distributed to local charities in Coventry and Leamington. During the June and September collections eight tonnes of food surplus and other items were collected. This food was donated to local foodbanks and charities and the other items, such as kitchenware, was stored over the summer. The items were then sold at a ‘Pay as you Feel’ event during the arrivals weekend which saw huge support from new students, returning students and staff alike. More than £3,500 was raised and donated to Action 21 a local environmental charity. The first of the University’s reStore pop-up events took place in July 2019. This is a joint initiative between the Environmental Sustainability team and the School of Engineering Build Space. The events are an informal get together in which people bring along, repair and upcycle everything from electrical and mechanical devices, to computers, bicycles and clothing using the tools and equipment available with the help of some expert repairers and makers. The University took part in the NUS RecycleLeague pilot, which was a national recycling competition in UK universities. The University worked to reduce waste production, increase recycling rates and raise awareness of the importance of resource use. Community Involvement The Building Fabric team from Estates Maintenance undertook a community project at St Peter’s Primary School in Leamington Spa during the Covid-19 lockdown when many of the team were on furlough. The team picked spent three days painting classrooms, stairways, cloakrooms, toilets, hallways, railings and playground equipment. They waxed benches and even did a little bit of pointing on the external walls. The project was generously supported by Dulux, who donated more than £1,000 worth of paint and materials. And thanks to a donation of plants from Morrisons, the team was able to brighten up the playground too. Local business Murphy’s delivered breakfast each morning, making sure everyone was fuelled up for the day ahead. Sports and Wellness Hub The University’s 40,000m2 Sports and Wellness Hub opened in May 2019 and includes a multi-functional sports hall; the biggest gym in the higher education sector; a 25m-long swimming pool; 17m-high indoor climbing walls; fitness suites; and squash courts. It is designed to be physically accessible to all to encourage participation by all, for example there are Changing Places facilities and a Pool Pod lift. The Hub was designed and built with sustainability at its core, for example PV panels were installed on the roof. In addition, extensive in-house monitoring took place once the building was opened to identify further energy savings. Within the first year, energy savings of more than £40,000 were being delivered with a carbon saving of approximately 98 tonnes. It has become the most energy efficient leisure centre in the UK, performing 27.5 percent better than CIBSE’s Energy Benchmark. Since the building opened it has won the RICS Social Impact 2020 award in the Leisure category and subsequently the West Midlands ‘Project of the Year’. In addition to the energy efficiency features of the building, the Hub has a wildflower area and wetland areas with greatly enhance the biodiversity of the campus and provide valuable habitat corridors to the surrounding area. “At times such as this, it is more important than ever for us to work together with our regional neighbours and partners as a single community.” Professor Stuart Croft, Vice-Chancellor and President As indicated in our Introduction, this second report was an attempt to build on our first report from 2018/2019 and to move away from treating the reporting process as a routine “tick-box exercise”. Seeking to develop innovative, interdisciplinary, nexus-thinking, however, raised several new issues and challenges for the university community, which we share here for wider engagement and debate: 1. How can or should the University of Warwick move beyond “business as usual” to develop a genuinely aspirational as well as a pragmatic “vision”, towards a more sustainable world? 2. To what extent should various connections with and through the UN SDGs shape the development of the University’s evolving strategy? 3. How can we increase wider recognition of and critical engagement with SDGs from faculty and students? 4. How do we best consult with and engage faculties and departments to develop strategies in response to issues raised by the SDGs? 5. How do we ensure that we consider accessibility and reducing inequality in all its forms in our offerings across campus and the University? 6. For researchers, how can we encourage greater awareness and working with an interconnected approach to SDGs? 7. What resources in terms of staff and time do we need to improve how and what we do at Warwick regarding the SDGs? 8. And finally, what should be the future of SDG reporting at Warwick? We strongly welcome any feedback from the University members and the general public reading this report to ensure we continue developing our reporting and practice in line with our ambitions for a sustainable future. To find out more: - warwick.ac.uk/SDG - firstname.lastname@example.org - @WarwickUniSust Report Contributors - David Chapman, Estates - Dr Frederik Dahlmann, Warwick Business School - Professor Frances Griffiths, Warwick Medical School - Dr Briony Jones, Warwick Interdisciplinary Research Centre for International Development - Katherine Mayfield, Estates - Professor Shirin M Rai, Warwick Interdisciplinary Research Centre for International Development - Dr Alastair Smith, Global Sustainable Development - Stephanie Whitehead, Institute for Global Sustainable Development
Title: Ensuring fair examination of criminal cases for juvenile suspects: assessment of rules and practices for pre-trial interrogation of juveniles Author: Mariam Muradyan Master: Yerevan State University, Human Rights and Democratization in Eastern Partnership Countries EIUC gratefully acknowledges the contribution of the European Commission which made this publication possible. © 2014 EIUC DOI:10.7404/GC.Un.Yer.MAHRD.20132014.04 www.eiuc.org Title: Ensuring fair examination of criminal cases for juvenile suspects: assessment of rules and practices for pre-trial interrogation of juveniles Author: Mariam Muradyan Master: Yerevan State University, Human Rights and Democratization in Eastern Partnership Countries Master of Arts Thesis Thesis Topic: Ensuring Fair Examination of Criminal Cases for Juvenile Suspects: Assessment of Rules and Practices for Pre-trial Interrogation of Juveniles Submitted by Mariam Muradyan Supervisor Pavlo Pushkar Submitted on ____/_____/2014 Reviewed on ____/_____/2014 Reviewed by__________________________ Allowed for Defence Centre Director PhD in Law, Associate professor A.Ghazinyan Thesis defended on _____/_____/2014 Grade ________________________________ Chair of state examination Board ____________________________________ ____________________________________ Yerevan 2014 1. INTRODUCTION 1.1 The Research Questions 1.2 Research Approach 1.2.1 Qualitative Studies 1.2.2 Qualitative Interviews 1.2.3 Interdisciplinary Approach 1.2.4 Comparison 1.2.5 Translation 1.3 Structure of Thesis 2. CHAPTER I 2.1 Terms Used in the Dissertation Research 2.2 Guiding Behavioral Principles Dealing with Juvenile Offenders: 3T Approach 2.2.1 Treating a Child as a Human Being 2.2.2. Treating a Child as an Individual 2.2.3 Treating a Child as a Specific Beneficiary of Law 2.3 International Standards and Norms on Juvenile Justice; Administrative Standards in Pre-trial Interrogation and Detention 2.4 Juvenile Justice Framework in Armenia 2.5 Legal Overview of Domestic Laws 2.5.2 Involvement of Legal Representative and Pedagogue 2.5.3 Initial Contact 2.5.4 Providing Legal Assistance 2.5.5 Detention and Arrest 2.6 Needed Amendments to the Legislation of RA 3. CHAPTER II- JUVENILE JUSTICE PRACTICE IN THE REPUBLIC OF ARMENIA 3.1 Overview of Juvenile Delinquency in Republic of Armenia 3.2 Pre-trial Interrogation Practice 3.2.1 Specialization within the Police 3.2.2 Consultation with a Pedagogue 3.2.3 Communication Between Juvenile and Lawyer 3.2.4 Undesirable Methods 3.2.5 Detention 3.3 Interrogation Practice of Juveniles in the Course of Trial 3.3.1 Presumption of Innocence 3.3.2 Language in Court 3.4 Preliminary Conversation with Accused Juveniles 3.5 Provocation of Aggressive Behavior of the Accused Juveniles: Neutralization and Prevention of the Aggression in Court 3.6 Legal Representatives of the Juvenile Offender 3.7 Corresponding Proceedings to the Age, Mental, Physical and Emotional Characteristics of the Accused Juvenile 3.8 Violence and Pressures on Juvenile Accused and Victims 4. CHAPTER III - RECOMMENDATION AND LEADING INTERNATIONAL PRACTICE 4.1 Legislative Reforms 4.1.1 Participation of a Legal Representative, Teacher, Lawyer and Social Worker in the Pre-trial Interrogation 4.1.2 Age Related Legal Regulations 4.2 Institutional Reforms 4.2.1 Networking 4.2.2 Competent Juvenile Inspectors and Judges 4.2.3 Leading Guideline 4.2.4 Enhance Monitoring and Follow up Facilities at a State Level 5. CONCLUSION 6. BIBLIOGRAPHY 7. ANNEX I 8. ANNEX II 9. ANNEX III Juvenile Justice is a complex area in which to work, with juvenile justice systems across the world taking a variety of forms. The many differences and complexities of juvenile justice and the variations in practice have not always been easy to ascertain and reflect on. It is important not to consider this thesis as definitive but, rather, as an evolving guide, shaped by experience and a growing understanding of what works and what does not. Thus the thesis attempts to bring a wide range of regulations, rules and norms of international production and to scan them through the national framework of juvenile legal and systematic construct. 1.1 The Research Questions The thesis concentrates on the juvenile justice system in contemporary Armenia with a certain focus on the international framework and vision of it. The study seeks to answer the following questions: What is the international framework for the best protection of children in conflict with law? What are the pre-trial guarantees? How are juveniles in conflict with criminal law approached in Armenia today? And, what characterizes juvenile justice as a policy in Armenia? What are the most popular omissions and violations of juvenile suspects in criminal pre-trial proceedings? Which are the areas of consideration? By answering these questions I also try to identify certain challenges that will have to be addressed in order for Armenia to be able to completely fulfil its obligations under international documents to which RA is a part of. I will claim that since 1995, the legal framework is in accordance with international standards for juvenile justice, but that formal and informal institutions, treatment of children as a legacy from the Soviet Union system and treating a juvenile as an adult constitute obstacles in the realization of existing frameworks. In the current juvenile justice system many issues have been observed. Despite the volume and areas of interest this thesis focuses on the interrogation framework and practices mainly in the pre-trial phase. The ambivalent nature of the ratified international documents and the lack of corresponding domestic laws and national plans reflect the deficit of a coordinated holistic juvenile justice policy. After more than 20 years of its independence the juvenile justice reforms have been developed but still in practice they are either not areas for concern or those existing are not duly implemented. Laws and policies, while not without significance, seldom determine what actually happens. Arguably more important than the official approach to children in conflict with the law, is how the juvenile justice system functions in practice. The question of the level of implementation is also tackled in this thesis. State of Research Observations as to the functioning of juvenile courts, hearings in juvenile cases, commissions and committees are traditionally seen from the Anglo-American approach among many scholars. However, the isolated consideration of the child in conflict with law, as a criterion for a juvenile justice system, does still not show the whole image of the current state of the situation. Consequently provisions of jurisdiction in which child offenders are targeted should be studied and comply with the system as a whole. Armenia in comparison with many other states is underrepresented in the juvenile justice system as studies and researches are quite rare. In general, Armenian juveniles in conflict with the law have gained very little attention from both researchers from Armenia as well as foreign observers. There is no need to even mention the deficit when observing the rights of juvenile suspects in criminal proceedings in particular. It seems that juvenile justice reforms were penetrated into national remedies only because of pressure from the UN Committee on the Rights of the Child to which Armenia (hereafter – ‘the Republic of Armenia’ or ‘RA’) as a state party submits periodic reports. The assistance for constructing the second chapter of the thesis are international non-governmental organizations such as the Civil Society Institute, which along with the Helsinki Committee in Armenia are the only institutions, local or international, who observe the rights of people in conflict with law. 1.2 Research Approach In order to answer the research questions the thesis suggests a qualitative study of legislation, institutional set-up and policy development at a national level, as well as studies of local reform initiatives in RA. However, before an analysis at a national level the legal framework on juvenile justice is represented from both a behavioral and administrative approach. The study draws theories from age-focused and forensic psychology, sociology and criminology research, as well as the cultural background of the treatment of the child. The guarantees theoretically claimed are evidenced through the practice in Armenia. The practice itself is the confirmation of observation by international child focused organizations and committees through the outcome of the responses and comments of police staff and judges who deal with juvenile crimes. 1.2.1 Qualitative Studies: The main asset of these studies is the examination of the juvenile justice system at an internationally admissible level, followed by a consideration of how it compares with the domestic system in Armenia as well as the observation of legislative and practice reforms in the country. As findings and gaps may be a general feature in countries like post-Soviet countries, the research gives reference to the similarities with other countries. The best examples and leading developments are also included in Chapter III. 1.2.2 Qualitative Interviews: Along with the written sources such as national action plans, declarations, legal and statistical sources, an in-depth interview with inspectors of the police Investigation Department of Gegharkunik marz$^1$ is supplemented. All the informants were asked to give a description of how juvenile cases are handled specifically with a certain focus on the interrogation of juvenile suspects. Of course, the knowledge, values and experience of the inspector may also affect the result of the research or there may be other challenges, such as the inspector saying what the interviewer would like to hear. These challenges are overcome by the contribution of other research. 1.2.3 Interdisciplinary Approach: One of the main gaps both at a legal and practical level was the lack of an interdisciplinary approach into the examination of the cases concerning juvenile offenders. Judicial approaches to juvenile justice tend to concentrate on legal guidelines. A criminological approach may explain the relationship between assumption of the crime and the nature of the justice system. The sociological studies give us an inside look at the actors in the system and psychological perspective is drawn from the human $^1$ The name of the administrative division of RA is ‘marz’ which is similar to province. rights concepts concerning behavioral aspects of treating the child. The actual nature of the juvenile justice system depends on multiple factors: laws and legal procedures; underlying assumptions on crime and justice; professionalism of the staff of pre-trial and trial conductors; the existence of follow up and punitive measures in case of violations from state parties etc. All these factors need to be brought together in order to get a concise view of juvenile justice policies and practice. 1.2.4 Comparison: Another benefit of the work is the comparison between international safeguards and existing ones in Armenia. In Chapter I you can find a behavioral concept, the so called Theory of 3Ts (three ways of treating a child) which provides the minimal necessary background in child rights policies and which is actually a composition of human rights norms in the juvenile justice system. The latter is contrasted with some similar points, which are very few, in the Criminal Code and Code of Criminal Procedure in the Republic of Armenia. However, one of the risks of the thesis was the presentation of interviews conducted with police inspectors in one of the regions of Armenia-Gegharkunik, and since the development of marzes may vary; other studies with different location and scope were incorporated. 1.2.5 Translation: The need of translation presents a particular challenge for cross-cultural studies of laws, as the legal language also reveals the nature of peculiarities in jurisdiction. There is a risk of losing connotations in the translation of laws and legal provisions. Thus, important local legal documents are the official and unofficial variants of translations of codes and laws available on the official website of the Ministry of Justice of RA. All other translations are done by the author herself. The English language sometimes does not provide sufficient wording for describing such phenomena, which are not common in the Anglo-American legal culture. 1.3 Structure of Thesis The work is a compilation of three chapters which cover the legal, practical and integral recommendations. With an holistic outlook these three elements, along with the scientific approach to the material, fulfill the initiatives and questions of the research. The first chapter touches upon the general human rights principles and objectives of the rights of a child and relevant concepts for stating necessary behavioral approaches. Both behavioral and administrative principles are highlighted in the Convention on the Rights of the Child$^2$, UN Guiding principles concerning every aspect of juvenile justice, International Covenant on Civil and Political Rights$^4$ and the European Convention on Human Rights$^5$ in general, but in the Commentary to the European Rules for juvenile offenders, subject to sanctions and measures, and in the preamble and the case-law of the European Court of Human Rights in particular. To confront the wide range of juvenile justice components the thesis suggests the method of the 3Ts- three ways of treating a child in general, which are certain minimal requirements in respect of the child's rights in conflict with law. Thus, this idea is apt in expressing the goals of international child rights documents, the approaches, some historical and theoretical developments of certain concepts as well as challenges which the states encounter while having a mismatch of legal assumptions. The 3Ts concept is - treating a child as a human being, which highlights the basic human rights guarantees such as ‘dignity’, ‘best interest of the child’, ‘protection from violence’ or ‘security of the child’, 'non-discrimination' etc.; - treating a child as an individual, which mainly highlights the necessity of dealing with the child in conflict with the law in an individual and complying manner; - treating a child as a specific beneficiary of the law where certain legal needs of a child prove the need for establishing a separate juvenile justice system. Consequently the chapter concentrates on administrative concepts of handling juvenile justice in pre-trial and pre-trial interrogation such as the first contact with the family as a means of assessing the well-being of the child, detention as a matter of last resort rather than a generally applicable measure, specialization within the police and other authorities to execute judicial power and other relevant administrative guarantees. The work is succeeded by a legal and systematic description of the juvenile justice framework in Armenia with the due presentation of actual judicial, police and other institutional bodies and laws regulating juvenile's rights and the work of relevant authorities. In particular, the procedure of criminal investigation of juvenile cases in the Republic of Armenia in the Criminal Code and the Code of Criminal Procedure is presented. The $^2$ Hereafter CRC. $^4$ Hereafter ICCPR. $^5$ Hereafter ECHR. chapter is concluded with partial legal suggestions on legislative amendments, which are completely represented in the final chapter. Chapter II already provides the practice of mentioned laws and concentrates on the findings and concerns of research work, the keys sources are interviews conducted with inspectors of Gegharkunik Investigation Department, monitoring reports of juveniles’ interrogation in trial by the Civil Society Institute and observation of Police Detention facilities by the Helsinki Committee of Armenia. General statistics and data have been sourced from the Annual Reports of the Ombudsman office and a child-focused representative of international organizations. Information is represented with an holistic view of the legal, habitual and cultural situation of the juvenile justice system and justice in Armenia in general. The main areas of consideration are the urgent need for specialization in police stations for implementation of legal norms, the participation of legal representatives, teachers, social/probation workers and other specialists, the absence of behavioral guidelines for state authorities on treating children in conflict with the law as well as the lack of monitoring and evaluation mechanisms on a state level. The overall estimation and assessment of the juvenile justice framework in Armenia is qualified as a non-systematized sphere. With due respect to the existing facilities and regulation mechanisms, a regulation of human, financial and institutional resources for strengthening juvenile justice in RA is suggested. Along with these recommendations Chapter III suggests some leading examples of efficient juvenile justice practice throughout the world. 2. CHAPTER I 2.1 Terms Used in the Dissertation Research Juvenile – a juvenile is a child or young person who, under the respective legal systems, may be dealt with for an offense in a manner which is different from an adult.$^6$ The thesis considers the rights of any person below 18 years of age.$^7$ Fair examination or fair trial – is deemed to be an overall combination of official texts and institutions with their guiding principles and norms stated in international and national documents with corresponding policies to tackle youth crime. It is also a term, which relates to the substantive and procedural justice in a particular criminal case. Juvenile offenders - a juvenile offender is a child or younger person who is alleged to have committed or who has been found to have committed an offense. Suspect - a person detained on the suspicion of committing a crime (in some circumstances a provisional measure is adopted with respect to the suspect at the stage of the pre-trial investigation).$^8$ Pre-trial interrogation: interrogation of the suspect – a preliminary stage of a criminal proceedings organized immediately after detention or the announcement of the decree, this is to aid in securing the appearance of the juvenile. The detained suspect is entitled to testify in the presence of a lawyer if the suspect can afford one, if not, the investigator must provide a competent lawyer within 24 hours of detention or arrest. Before the interrogation, the investigators advise the suspect of the nature of suspicion and explain his rights including the right to refuse to testify. The process is commenced with the suggestion to account for the alleged accusations and other details significant to the case. Furthermore, the interrogation should be guided by other rules and principles concerning the interrogation of an accused such as carrying out a daytime interrogation, and a separate interrogation without other offenders. --- $^6$ Beijing Rules Part I, Article 2, Rule 2.2. $^7$ Law of RA on the Rights of the Child, Article 2 – Legislation on the Rights of the Child (Law of RA on the Rights of the Child, 1996). $^8$ Code of Criminal Procedure of RA Chapter 8 Defendant Party Article 62 section1.1, 1.2. 2.2 Guiding Behavioral Principles in Dealing with Juvenile Offenders: 3T Approach International legal framework compared to the domestic legal tool is quite flexible and leaves the choice of measures and approaches to the states who are party to international treaties, conventions and agreements. The obligations drawn from coherent documents may vary from country to country and from treaty to treaty, but the guiding principles are that the parameters must be the same in the general principles for treating the child in criminal proceedings. These principles are highlighted mainly in the CRC, the UN Guiding Principles concerning every aspect of juvenile justice, the ICCPR, and the ECHR in general, but in particular in the Commentary to the European Rules for juvenile offenders subject to sanctions and measures and in the preamble and the case law of the European Court of Human Rights. The guiding principles are constantly progressing in the General Comments of the Child Rights Committee in particular in the Recommendation CM/Rec (2009) 10 of the Committee of Ministers to member states on integrated national strategies for the protection of children from violence. (Ministers, 2009, 18 November) The Committee of Ministers in the Council of Europe with a view to integrated national strategies advances the guidelines based on eight general principles (protection against violence, the right to life and maximum survival and development, non-discrimination, gender equality, child participation, a state's obligations, other actors obligations and participation, best interests of the child) and four operative principles (multidimensional nature of violence, inclusive approach, cooperation, involved target approach). (Committee of Ministers C. o., 2009) Here a distinction between guiding principles in the administration of juvenile justice and behavioral principles are made. The two parts of the first chapter are based on these logics. The essence of the guiding principles suggest the thesis of a 3-way treatment of the juvenile in conflict with the law. They are: - treating the child as a human being - treating the child as an individual - treating the child as a specific beneficiary of law 2.2.1 Treatment of the Child as a Human Being ‘Dignity’, ‘best interest of the child’, ‘protection from violence’ or ‘security of the child’ and many aspects of the basic needs of a human being are mentioned in international and national guidelines for competent behavior with the child. Dignity in some cases is considered a phenomenon supported by four compatible general principles which are non-discriminative, with a bold focus on gender equality issues, again the best interests of the child, the right to life from the scope of survival and further development and respect for the views of the child. (ECOSOC, 1997) While examining the linkage between non-discrimination and dignity of the child we face the concept of equal treatment by a competent authority, in this particular case, the inspector, prosecutor, judge or any other person involved in the case proceedings. In the non-discriminative approach, gender based discrimination is outlined as one of the most frequently encountered types of discrimination, where male offenders can be treated in a harsher way than female juveniles or vice versa because of cultural heritage, depending on the state. Thus the main suggestion in the guidelines is a law-based orientation in the treatment of each person without considering any social or biological features as a matter of marginal behavior. Here non-discrimination is considered for the sake of the abolition of disparity. Criminalizing of behavioral problems of the child is another discriminative approach experienced by the states. There is a list of ‘crimes’, which are actually compulsory activities of children of a certain age, for which punitive and preventative measures are applied, however, the same ‘crimes’ committed by adults are not criminalized. Vagrancy, truancy, runaways and other ways of disobedience, generally referred to as Status Offenses, are another way of applying a discriminative approach based on the maturity of the child, albeit these offenses are thought to be abolished by the states. (Committee, 2007) Humane and non-degrading treatment of each person is another element under the general term ‘dignity’ with the exception of being threatened or being the subject of any kind of violence. This term is generally articulated as ‘ill-treatment’ or ‘torture’ where the stress is put on the sustainable and harm inflicting behavior which causes both physical and mental suffering and pain. Within the context of juvenile investigation, torture is experienced as a tool used intentionally for obtaining information from the offender. (UNCAT, 1975) Freedom from torture is an exceptional human right (prohibition of torture is a peremptory norm in international and European Human Rights law) with no excuses such as the instable situation in the country or any other sort of emergency$^9$ and without any legal limitations in any of the international and national documents linked to freedom from torture. However, the criminal proceedings aren’t conversations with psychologists neither are the prosecutors as patient and professional in child treatment as the pedagogues themselves. Thus, compassion and kind firmness should replace the harsh language and any methods including corporal punishments.$^{10}$ The right to life from the scope of survival and within the frame of juvenile justice is considered to be studied from the detention aspect of the offender. The incarceration of the offender should be considered as a last resort and only in exceptional cases such as the necessity to protect the offender from possible risk. Here the administrative standards mentioned above reveal the essence and necessity in avoiding juvenile detention as a regularly applicable measure.$^{11}$ Out of all groups, children should be a priority because of the vulnerable group they belong to, hence there should be national and international tools to treat them with care and protection as the well-being of the child is underpinned by the protection itself. Children working and living on the streets or children permanently deprived of a family environment, children with disabilities, migrant, minority groups and indigenous children should benefit from the outlined regulations of domestic law. (ECOSOC, 1997) In the prevention policy of the state the cultural and habitual treatment of the child should be considered in building a society free from stigmatic approaches to juvenile offenders. The complete socialization and upbringing of a child may lead to the reduction of child delinquency. The Committee of Ministers to the member states believe society has the duty to undertake the role of early psychological intervention in the prevention of criminality (Minsters, 6 October 2000). Considering the ongoing progress of the child, obstacles that arise in respect of socialization, personalization and care for specific needs can be --- $^9$ Article 2.2 of CAT. $^{10}$ Investigation and Prosecution which is the Part Two of Beijing Rules in 10.3 provides that the contact between the law enforcement agencies and a juvenile offender shall be managed in a way to respect the legal status of the juvenile while promoting his/her well-being and avoiding harm with the proper regard to the circumstances of the case. Furthermore, the guidelines concentrate both on the concept of torture in terms of corporal punishment, physical and severe psychological pressure and on ill-treatment where we observe the issue of using harsh language. $^{11}$ See point two of administrative minimum standards named pre-trial detention considered as a last resort rather than regularly applicable measure. The certain provisions are considered for minimization of the period of detention for the shortest possible time. detrimental to the full development of the child as a member of the society. However violation of the law may be considered as another way for the child to become socialized and recognized as an individual. 2.2.2 Treating the Child as an Individual Universal Declaration of Human Rights and the International Covenant on Human Rights proclaimed the value of every person as a bearer of fundamental human rights irrespective to the distinctions of any sort such as race, colour, sex, language, religion, political or other opinion, national or social origin, property or birth or other status. The preamble of the CRC recalls that childhood is entitled to special care and assistance meanwhile bearing in mind that a child, by reason of his physical and mental immaturity, needs special safeguarding and care including legal assistance and protection undertaken by the states parties to the convention. Despite the positive discrimination which is developed in conformity with age and social status based on biological maturity, a child should be treated as an individual with all the necessary possibilities to enjoy his or her inborn human rights. As indicated in many aspects of the Child Rights Convention and related international documents, children are viewed as individuals by law bearers unlike in the past when children were considered the property of their parents or a target to invest certain resource for improving living conditions instead of considering them as a separate subject of law. As active recipients of law, juveniles are respected on the views of a child and the assumptions in the criminal proceedings should be duly considered. The guiding principles linked to the Convention on the Rights of the Child and the United Nations standards and norms in juvenile justice adopt a child-oriented policy where the sense of dignity, the worth of the child as an individual and full respect in compliance with the age and stage of development is adjusted.$^{12}$ (ECOSOC, 1997) Distribution of the relevant information concerning legal principles of the proceedings shows loyalty towards the offender from the state official on one side, and accelerates the sense of obligation for the juvenile on the other. This enhances the responsibility of the child and improves the quality of child participation. Without any evidence one can assume $^{12}$ Part II Plans for the implementation of the Convention on the Rights of the Child, the pursuit of its goals and the use and application of the international standards and norms in juvenile justice, 11 (a). that the bigger the interest and responsibility of the child, the greater the success for cooperation with the lawyer, prosecutors, police representatives and judges. Finally, if the child is not treated as an individual, the concept of juvenile justice could cease to exist since the legal responsibility in its turn could be delegated to the legal representative of the child which in its turn would be considered a violation of the rights of the parent or guardian who is not directly in conflict with the law as an individual. 2.2.3 Treating the Child as a Specific Beneficiary of Law A certain set of judicial institutions and legal regulations are usually established without consideration of the case and any other feature of certain instances. Juvenile justice is outlined as one of the spheres to be reviewed and refreshed in terms of an established and preliminary envisioned set of rules. International and national laws and the third generation of human rights are devoted to the rights of groups. Women, from the reproductive point, minorities within the terms of non-discriminative approach and many other specific groups have a targeted law focus with limitations and inclusive rights. Among special targets, juvenile justice can be considered the most flexible among all the group-rights recipients. The reason behind such an allegation is the concentration of international law through national remedy that tackles juvenile justice issues focusing on the individual rather than on the group highlighted with differentiating criteria. Children differ in their physical and psychological maturity and the specific needs in parental care, in general in their emotional needs and in state care, for instance in ensuring compulsory education, from a legal aspect, demands a multinational legal institution to deal with children in conflict with the law. Altogether qualified, the stem of the term 'best interest of the child', as it was mentioned above, is the basis for a separate system. Flexibility, experimentation and researching abilities should describe the regimes used in juvenile justice establishments (Deputies, 30th April 1966). From a strategic point of view, the work and policies employed to tackle juvenile cases should maximally correspond to the needs and circumstances of each case and juvenile and the intervention itself should be based on the scientific evidence of it (Committee of Ministers C. o., 24 September 2003). This is actually the perfect match of general principles and specific individual approaches which, in fact is an ideal model for states to aim for. As stated in the above mentioned point, for the individual treatment of the juvenile offender, outsourcing professionals with non-legal background is needed to meet specific and arising psychological problems. Treatment or more comprehensive behavior related principles and many areas covering administrative principles will be mentioned in the next part. 2.3 International Standards and Norms on Juvenile Justice; Administrative Standards in Pre-trial Interrogation and Detention The international community has worked out quite effective and numerous norms and guarantees for juvenile justice and child rights protection in general. The Convention on Child Rights has been ratified by almost all the countries on the globe. Meanwhile the firm international legal system does not secure the implementation of all the norms and guarantees depicted in documents. Juvenile justice standards divided by areas can be specified in the following minimum guarantees for the outlined stages: • Initial contact and pre-trial detention; • Diversion; • Adjudicatory process and sentencing; • Standards of post-trial detention and serving a sentence; • After care and reintegration. The instant examination of the international documents shows the description of certain concepts that are overlapping. Thus the minimum guarantees that can be deemed from those documents are the following. • Age of criminal liability; • Presumption of innocence; • Prohibition of retroactive prohibition of a conduct; • Principle of non-discrimination; • Abolition of status offenses; • Competent, independent and impartial authority; • Child's right to be heard in any judicial proceedings; • Right to legal representation, right to an interpreter, presence of parents and other experts of sphere (social worker, psychologist); • Right to privacy; • Right to have the matter determined without delay; • Right not to be compelled to give testimony or to confess or acknowledge guilt. The focus should be on the pre-trial phase in proceedings. In fact the initial contact and pre-trial detention is guaranteed through these outlined areas. The bellow mentioned provisions are the general observations of the minimum rules for the Administration of Juvenile Justice and the choice of pre-trial caption is justified through the needs of the work. • Contacts promote the well-being of the juvenile and avoid possible inflictions and harm. (UN GA, The Beijing Rules 10.3) As it is mentioned in the commentary itself, this kind of formulation provides vast room for interpretation. Terms such as ‘well-being’ and ‘harm’ include the main aspects and behavior on child protection issues in juvenile justice. In compliance with the best interests, social norms and traditions in treating the child, each state undertakes the responsibility for the well-being of the child and protection from harm where harsh language, physical violence and exposure hazard, as well as societal members developing a stigmatic approach to the young offender, can be considered or dismissed from the causes inflicting harm. Thus, each child should be treated individually which means the offenders displaying criminal behavior and disobeying the general procedure conducted lawfully would be treated in a harsher way, in a sober-minded manner, rather than those with a calmer attitude. One of the reasons for applying the differentiation method can be the category of the juvenile offender. Here the distinction should work not against but for the juvenile such as the witnesses should be contacted in a radically different way to suspects or victims. The international framework envisages a separate set of rules for juvenile witnesses and victims of the crime.$^{13}$ The initial contact should be made with a legal representative of the child first of all. In the case of uncertainty the other parties involved in the apprehension of the juvenile suspect should be notified with only the necessary information and without allowing for $^{13}$ The main guiding principles adopted internationally on the protection of child Victims and Witnesses of crime are concluded in the ‘Guidelines on Justice in Matters Involving Child Victims and Witnesses of Crime, ECOSOC Resolution 2005/20 of 22 July 2005. the deterioration of the connection and quality of communication between the contacts and child. The array of specialists and people from different fields involved in the criminal proceedings are not limited as long as they guarantee action in the best interest of the child or of vital importance to the rapid development of the investigation and the conviction of guilt or innocence of the individual. The immediate notification to the legal representative of the juvenile is the initial and legal approach consolidated in Beijing 10.1. Here it is provided: 'Upon the apprehension of a juvenile, her or his parents or guardian shall be immediately notified of such apprehension, and, where such immediate notification is not possible, the parents or guardian shall be notified within the shortest possible time thereafter'. The main areas for consideration in this rule is the notification to the adult representatives of the child which in its turn means the legal and other assistance taken under the control of a guardian, and the second element of the rule is the short time frame for notifying parents or guardians of the apprehension of the juvenile. The provision also drew links to the necessity of facilities for communication between the family members and friends of the untried prisoner exercising the right to a private life. From this view the restrictions should be considered in extreme cases when there is a threat to the security and proper order of the detention institute or the decision of visits may alter the 'interests of administration justice'. (UN, 1955) The presence of the parents, interpreter, teacher or a social worker in the process of investigation and interrogation of the juvenile is an area to be controlled by the state. The Peking Rules state the necessity of participation of legal representatives during the proceedings to secure the best interests of the juvenile. Article 441 of Code of Criminal Procedure of RA requires the participation of the legal representative of the under-aged person in the investigation of the case where the legal representative of the under-aged accused or the suspect participates in the investigation of cases concerning the crimes of the under-aged person. The legal representative of the accused juvenile can exercise his/her rights instead of the juvenile himself. --- 14 The visit rule as well as the restriction of it is provided in Article 92 of Standard Minimum Rules for the Treatment of Prisoners, adopted Aug. 30, 1955 by the First United Nations Congress on the Prevention of Crime and the Treatment of Offenders, UN Doc. A/CONF/611, annex I.E. S. C., res 663C, 24, UN ESCOR, Supp. (No 1) at 11, UN Doc. E/3048 (1957), amended E. S. C., res 2076, 62 UN ESCOR Supp. (No 1) at 35, UN Doc. E/5988 (1977). 15 Peking Rules, Rule 15.2. 16 Article 63 Part 7 and Article 65 Part 6 of Code of Criminal Procedure of RA. The Code of Criminal Procedure of RA also states the targeted people who can perform the legal representation for victims, suspects and accused juveniles. They are the biological parents of the child, adopters, trustees or guardians who represent the interests of the juvenile during the proceedings of the criminal case.$^{17}$ The RA is still developing a social worker institute and probation work is not developed in the state yet. However the legal assistance to the juvenile offenders should be accessible with the respect to the privacy and confidentiality among them during the communication. (GA, 1990, p. III/ 18(a)) - Pre-trial detention considered as a last resort rather than a regularly applicable measure. Certain provisions are considered for reducing the period of time for the detention to the shortest time possible. Detention with a more common formulation is a preventative measure that isolates the offender from society and the environment that the child is used to. As one of the commonly used preventative measures, again in more general terms, this can be considered as a punishment whereas in the preliminary phase of the proceedings – in a pre-trial, the guilt of the offender is not defined by the acting authority, thus the presumption of innocence should secure the milder and rare use of pre-trial detention. However this emphasizes two basic minimum needs in consideration of detention - 'measure of last resort' and if applied 'to the shortest appropriate period of time'. Referring to the CRC, Article 37(b) underlines the lawfulness of detention with consideration of the age and other physical and social differences of young offenders in comparison with adult suspects while practicing detention. (CRC, 1989) Havana Rules I and II also emphasize the exceptional use of detention by a competent and authorized body. Commentary of Beijing Rule 13.1 and 13.2 encourages precluding alternative measures, instead of detention, which are in conformity with the dignity and best interests of the child. The measure, in this case pre-trial detention, should approve the goals for application. Hence the reasoning for using pre-trial detention should not be to facilitate the investigation by having the suspect under control, neither should detention be used to obtain a confession, but merely to defend others from a possible risk if the suspect detained is of vital threat to society and the victim (Tokyo Rule 6.1).$^{18}$ $^{17}$ Code of Criminal Procedure, Article 76 para 1. $^{18}$ The alternative measure to pre-trial detentions for avoiding the subjective approach to pre-trial detention is followed in Rule 6.2. • If pre-trial detention is used the terms and conditions of detention should comply with the general principles to respect human dignity, secure protection and supply with necessary assistance – medical, psychological, legal and whatever may be needed.$^{19}$ The age and many other differences arising from the physical maturity of the offender should always be borne in mind when determining the conditions and domestic rules for detention conditions for juveniles. As in all pre-trial proceedings, detention conditions and custody rules should be radically different from those applied to adults. They can be differentiated if the places for detention are not the same. Hence, they should at least be separated from adults and not share the same conditions with adult offenders.$^{20}$ Almost all the psychological issues among juvenile offenders arise from the environment they live in and from each and every event they exercise in life. The threat, inhumane treatment that is defined for adults is too fragile for a youngster. The staff who leads the pre-trial proceedings is the main actor and undertakes the biggest responsibility in developing or seizing criminal behavior. Furthermore, juvenile cases that are still pending decision should be separated from those convicted. • Specialization within the police. (Beijing Rules 10.1) A child who is arrested or deprived of their liberty brought promptly before a judge or other officer authorized to exercise judicial power. (CRC 40 (2)(iii), ICCPR 9; Beijing 10.2) As previously mentioned, each child should be treated according to the presumption of innocence. The guiding principles for the treatment of children in criminal proceedings cease to exist if the inspectors or warders in custody misbehave irrespective to the behavior of the child. The authenticity of the accused is approved by a competent judge. All other specialists dealing with the case and the child should be competent within their service with respect to the guiding principles and regardless of the guilt of the juvenile. The lack of professionalism in the prescription of detention and many other minimal punishments without judgments, could lead to the violation of basic human rights and other general rules concerning a fair trial and miscellaneous. The states are responsible for the establishment of juvenile courts with primary jurisdiction over the juveniles in conflict with the law. The constant review of the court as an alternative judicial measure should be undertaken to omit possible recourse to the --- $^{19}$ Beijing Rules 13,4 and 13,5. $^{20}$ Beijing 13.4. criminal justice. The ECOSOC resolution of July 27, 1997 states the necessity of education and training for all those in contact with the child within criminal justice.\textsuperscript{21} The contact with the police station is highlighted as it constitutes the initial stage when a non-discriminatory attitude should be developed in this field. The states obligation in particular is to ensure professionalism among police officers concerning the treatment of the child, cultural context, values and standards within the society. An adequate method and manner of informing should be correctly used without a discriminative approach regardless of the child’s relation to an ethnic, cultural or minority group. (Committee of Ministers C. o., 18 April 1988)\textsuperscript{22} The general rules provided in international law and human rights documents are inclusive and allow for the flexibility of states. Criminal code along with the criminal procedural code and the general principles of other domestic tools regulating the sphere should comply with the general norms, and whatever course and culture of treatment with juvenile offenders is taken, the monitoring and improvement criteria must be included in the general procedure in order to secure the sustainability of the justified methods. \subsection{2.4 Juvenile Justice Framework in Armenia} RA joined the UN Convention on Children’s Rights on 23 June 1993. The Committee on the Rights of the Child demands that countries party to the convention develop and implement a comprehensive juvenile justice policy, emphasizing elements on the prevention of juvenile delinquency and instilling alternative punishments, which will allow them to deal with juvenile cases without judicial procedures and fulfil the exercise of Articles 37 and 40 of the CRC. Other international documents such as the International Covenant on Civil and Political Rights (ICCPR), European Convention on Human Rights (ECHR), International Covenant on Economic, Social and Cultural Rights (ICESCR) are also ratified and applicable and contain provisions on juvenile justice. \textsuperscript{21} Resolution 1997/30 Part II, Article 24 provides a non-exhausted list of specialists to be retrained to deal with juvenile offenders, specialists such as enforcement officials; judges and magistrates; prison officers and other professionals employed at the child detention institutions; health staff, social workers and peacekeepers and other people in concern with the juvenile justice. \textsuperscript{22} Recommendation No R. (87) 20 of the Committee on Minsters to Member States draws attention to the rights and interests of the juveniles from minor groups. (Committee of Ministers C. o., Council of Europe Committee on Minsters Recommendation No. R (87) 20 of the Committee of Ministers to member states on Social Reactions to Juvenile Delinquency, 17 September 1987). There is no relevant law on juvenile justice in Armenia; the juvenile Justice in Armenia is conducted through the Criminal Code of RA, Criminal Procedure Code of RA, Penal Code of RA and other legal acts. In 2003 Armenia adopted the National Action Plan on Protection of Children’s Rights (National Program of 2003), which is to be implemented in 2004-2015. Chapter VII of the national plan refers to young offenders in the context of issues such as vagrant children, victims of human trafficking and children of sexual exploitation. In 2005 the National Committee on Child Protection was created, which is the responsible body for implementation of the national plan 2003. The body is competent in analyzing issues concerning child rights as well as to prompt cooperation among child rights and the advocacy of state bodies, civil, political, and scientific and other institutions. According to the government decision No 1039 of 2008 the crime prevention national program was confirmed (State Action Plan 2008), which defines the most significant areas for development and a certain timetable of events. Initiatives concerning the juvenile justice system were the establishment of restorative institutions in the biggest three cities of Armenia in 2008-2010. The state action plan of 2008 also sustains that there is no comprehensive state policy in juvenile delinquency prevention. It also mentions the low productivity of social programs on juvenile crime prevention. Judicial system:* There are no specified courts or judges for juvenile cases in Armenia. There is general practice of professional courts were prosecutors undertake to deal with juvenile cases. This information has not been proved according to the interviews given by four prosecutors (find below). In the public prosecutor’s office there is no specialized department to inspect juvenile offenders thus all those committed or related to any crime under age of 18 are interrogated by the inspectors of adults. Services, which are free of charge, are provided by the public defender office. Police department: There is a service dealing with juvenile cases under the responsibility of police points, which mainly limit their work to the registration of children at risk to the community. The registration is conducted due to the order of order No 633 of 08.08.1998 of the Minister of Inner Affairs. Though the order was to be precluded for temporary use it is still in power. The decision contains many statements which contradict the obligations undertaken by international documents ratified by RA as well as national legislation. According to that decision the database of children at risk include groups of children released from custody, conditionally discharged juveniles, juveniles that are not detained but stand accused, juveniles who have committed a crime but have been released from criminal charge due to the influence of administrative and public mechanisms, former stakeholders of specialized educative institutions, vagrants, beggars and other juveniles of asocial behavior. The names of registered children are kept on the police database for at least a year, but only until they are of adolescent age. The police department mainly implements preventative actions such as monitoring their behavior and monitoring the environment they live in or other preventative measures according to the court decision. Activities are implemented based on the individual plan of the child. 2.5 Legal Overview of Domestic Laws The Criminal Code of RA provides a separate chapter on the Criminal Responsibility of Juveniles and Punishment Peculiarities which defines fundamental principles of juvenile justice. Though the course of the examination of juvenile justice is supposed to be focused on pre-trial interrogation, this part mainly reveals the contrast of guiding principles and rules in criminal laws in RA in securing juvenile justice. As previously stated, provisions either in the Criminal Code or Criminal Procedural Code or other coherent laws of RA do not cover juvenile protection sufficiently. Thus four main principles are drawn from existing legal documents, some of which concern both the pre-trial and adjudicatory process and others, to certain aspects of ensuring fair examination during the trial itself. As mentioned above, there is no specific law on the way of settlement of crimes committed by juveniles. Chapter 50 of the Code of Criminal Procedure is the only part of the code concerning under-aged offenders. However, only the first article of it, Article 439, states that the provisions of this chapter are applied in relation to the crimes of those persons who were under 16 years of age at the moment of commitment of the crime and the rest of the procedure of proceedings concerning the cases of the under-aged is governed by the general rules of the code and by articles of the chapter. 2.5.1 Involvement of a Legal Representative and Pedagogue: The prior mentioned Peking Rules deliver the requirement of adult participation in criminal procedure when examining an offense committed by a juvenile. According to Article 441 of the Code of Criminal Procedure of RA the legal representative of the suspect and accused juvenile is authorized to participate in criminal procedure of the cases. The rights of accused juveniles are delegated to his/her legal representative. A juvenile victim or witness up to sixteen years of age is interrogated in the presence of a pedagogue. This right is also applicable for the parent/legal representative of the juvenile victim or witness. The rights and obligations of the legitimate representative of the injured party, civil plaintiff, suspect or accused are articulated in Article 77 of Code of Criminal Procedure of RA. Among these obligations the legal representative is authorized, - to know the essence of the suspicion, to know about the summons of the participant of the trial whom he/she is representing to the body, conducting the criminal trial and to accompany him/her there; - to participate in the investigatory and other procedural actions conducted by the criminal prosecution bodies upon the suggestion of the named body; to give explanations, to present materials for the inclusion into the criminal case and for examination; to declare challenges; declare motions; to object against actions of the bodies of criminal prosecution and to demand the inclusion of his/her objections into the protocol of investigatory or other procedural actions, in which the legal representative of the juvenile offender or juvenile participant of the trial participated or was present; - to issue remarks with respect to the correctness and fullness of the records in the protocol of the investigatory action or other procedural actions; to demand, during the participation in the investigatory and other procedural actions, court records on the circumstances, which, in his/her opinion should be mentioned; - to get acquainted with the protocols of a court session and to give remarks on it if there are any; to study all materials of the case after the end of the preliminary investigation, make copies and write out any amount of information; to receive a copy of the indictment; to participate in the court session in the first instance and appellate court, to participate in the examination of the materials of the case taking place in the court session, and to address the court with a speech and a remark in the absence of the representative of the defense attorney of the civil plaintiff and the accused represented by oneself, a juvenile; - to receive, free of charge and upon request, copies of the decisions which the legitimate representative has a right to receive according to the code; to submit appeals on the actions and decisions of the body of inquiry, the investigator, the prosecutor, the court including the appeal of the court verdict and other final decisions of the court; to recall any appeal submitted by the representative; - to make objections on the appeals of other participants of the trial relating the interests of the participant of the trial who is represented in communication with the suspect, conducting the criminal trial or known to him/her following other circumstances; - to express at the court session an opinion regarding the motions and proposals of other participants of the trial; to protest against unlawful actions of other parties; to object against the actions of the presiding person: - to invite the person represented by him/her a defense attorney and a representative, respectively, and to terminate the powers of the defense attorney and the representative invited by him/her; - finally, to demand and retrieve the property taken by the body of criminal proceedings as material evidence or the property taken on other grounds, as well as original official documents which belong to the accused. (RA, Code of Criminal Procedure, 1998) The obligations and authorized activities of the legal representatives are not limited by those enumerated and he/she is entitled to enjoy other rights and obey the limitations prescribed by the code. The rest of the points of the articles expressing the regulations of the legal representative are in line with the general principles described in the international documents. Those are the basic demands of conduct by an individual to follow the order during the court sessions. The practical part of this work will come to prove the deficit in the enumerated rights such as the uncertainty in the procedure of asking questions to the court or other aspects of productive participation in the court proceedings. However, the above-mentioned rights are prescribed by the code for the trial period of the case and pre-trial interrogation rights are still missing both from the Code of Criminal Procedure and the rest of laws. The same concerns the legal terms concerning the participation of a psychologist or social worker in the interrogation and trial. Article 207 of the Code of Criminal Procedure of RA states that 'until 14 years-old and, by discretion of the investigator, until 16 years-old, the witness is interrogated in the presence of the legal representative.' School teachers themselves are often recognized as 'legal representatives'. However, those teaching the juvenile at school could be a hindrance and make the child feel embarrassed to talk, this is why there should be additional regulations or a list of people eligible to participate in the interrogation of the person under age. Article 439 of the same document envisions peculiarities of proceedings on cases concerning the under-aged. Although it defines the relation of the chapter to those less than 16 years of age at the moment of commitment of the crime, it doesn't specify any guiding rules but rather links the procedure to the general rules of the code. Furthermore, there are no special provisions for those aged 16-18 since according to the notion of child given in the Law of RA on the Child Rights, a child is a person below 18 years of age. This is another deficit in the domestic laws regarding juvenile justice. 2.5.2 Initial Contact: The witness, the injured person, the suspect, the accused are summoned to the investigator by a notice which is handed over to them with their signature, and in the case of their absence, to one of their legal-age family members, neighbors, the apartment maintenance office or through the administration of their work or study place. The means of summoning mentioned in the code also include telegram, telephone message or fax.$^{23}$ This is a general rule for recipient parties of the criminal cases for all ages. While considering the range of people authorized to have access to the notification from the police station we see a confrontation to the 'best interest' principle. The second paragraph of the article provides the content of the notification which includes the name of the addressee, the sort of procedural capacity and the date of appearance to the competent authority. On one hand the content of the notification is harmless and gives little information of the offense the juvenile is suspected of committing, but on the other hand the notification itself received by a neighbor or any service provider will leave room for suspicion concerning the crime the juvenile is suspected of committing. 2.5.3 Providing Legal Assistance: Legal assistance and concealing is another strong aspect of ensuring the fair trial of a juvenile. The Code of Criminal Procedure of RA provides the compulsory participation of the lawyer in the criminal proceedings when, at the moment of committing the crime, the offender is under-age.$^{24}$ The participation of the attorney in the proceedings of a criminal case is obligatory from the moment the suspect or the accused requests a defense attorney. If the suspect is not able to hire a lawyer, an impartial, competent and specialized lawyer should be provided by the state. In Armenia the state legal assistance, which is free of charge, is provided by the public prosecutor office. The Code of Criminal Procedure defines provision of legal assistance to the juvenile victims and witness if they express such a wish. Article 10 of the Code secures legal concealing to any individual. Moreover this right should be fulfilled by the office leading $^{23}$ Code of Criminal Procedure of RA, Chapter 28 Interrogation and Confrontation, Article 205. $^{24}$ Code of Criminal Procedure of RA, Article 69, Article 1.5. the criminal proceedings, and, besides, nobody is entitled to prohibit the participation of an attorney invited by the victim or witness. Article 86 of the same code ensures the witness presents himself to prosecutor with his/her attorney. However, legislation does not secure provision for a preferred attorney free of charge, even in special cases like the protection of juvenile victims of sexual abuse or witnesses. Law in RA on Advocacy specifies cases where free legal assistance is provided to certain target groups such as children without parental care and people from similar categories. In fact the law does not provide for legal assistance, except in the latter case, for under-aged victims and witnesses and does so only in the cases of suspected and accused juveniles. The interrogation of the suspect itself is conducted immediately after detention or announcement of the decree to use measures to secure the appearance. The detained suspect is entitled to testify in the presence of a lawyer. Again, if it is not impossible to immediately provide a lawyer, the investigator must provide a lawyer within 24 hours of detention or arrest.$^{25}$ The interrogation begins with a proposal to the suspect to testify about the suspicion and all other aspects, which in his opinion can be significant for the case. Other specifics of interrogation are linked to the general principles of the code. The notification of his rights must always be emphasized, especially the suspects right to not testify against himself/herself, which is not indicated. Furthermore, the proposal at the beginning of the interrogation leaves a lot of room for the juvenile, who is persuaded with leading questions, to testify against himself/herself. Article 69 of the Code of Criminal Procedure of the Republic of Armenia states that the participation of a defense attorney in the proceedings of a criminal case is obligatory in nine cases and the 5th point states that if the suspect or accused was under age at the time of the incident and their involvement was incriminating, there should be a defense attorney present. In the pre-trial stage the defense of the juvenile should be performed by a competent attorney. To secure the right to efficient and effective defense there should be professionals in possession of specific qualities and knowledge of international standards on juvenile justice. As a general rule the attorneys mainly preclude legal knowledge without applying other psychological and social qualities, which are necessary for communication with juveniles. This is mainly dependent on the personal qualities and assumptions of the advocate. $^{25}$ Article 211 of the Code of Criminal Procedure of RA. are no legal initiatives to provide such qualitative changes in the psychological and social approaches of attorneys as well as the personnel working with young offenders. The overall evaluation of legal acts and orders in child protection in Armenia displays the diversity in child protection policies that mainly concern specific vulnerable groups such as children without caregivers, former and present stakeholders of orphanages and children homes and children adopted by foreign citizens. An attempt to make improvements to the system, concerning juveniles under investigation for a criminal offense, is yet to be seen (see full list of legal acts concerning child protection in Armenia attached in Annex I). The decision N 835 of the Prime Minister of RA (28 Oct. 2005) established National Committees along with its charter and staff. Subsequently, in 2006 the triple level of child protection was established by the committee. The idea was to establish local, regional and national level protection where the committee was to reveal and follow child protection cases, and transfer and analyze child protection issues at a national level for policy changes. An established social worker institute is still one of the pending policies to be implemented in Armenia, which suggests that probation workers would be an effective investment in securing fair trial for juveniles. As for the trial phase, Article 328, the Code of Criminal Procedure, anticipates clarification and explanation of the rights that the accused juvenile possesses in court and his/her rights should any sanctions be imposed.$^{26}$ Article 328 doesn’t delegate the judge to consider the age and peculiarities of the accused in the case of a juvenile offender, however, the juvenile should be treated individually once explained his rights in the trial. Proper explanation, as was already mentioned, takes into consideration the age of the child, degree of maturity and perception abilities, possible miscommunication difficulties and other factors. As for state institutions providing legal assistance to a juvenile there is a Support Centre for Juvenile Offenders, a state-run, non-commercial organization working under the surveillance of the Ministry of Justice of RA. However, official sources do not provide the nature of the activities carried out at the center and according to non-official sources, and the media, the center has ceased to operate as a result of the absence of international resource support. $^{26}$ Article 328 of the Code of Criminal Procedure envisages the obligations of the judge, Article 65 of the Code states the rights of the accused. 2.5.4 Detention and Arrest: The principle of applying detention in extreme cases is reflected in the Code of Criminal Procedure which states, 'application of the arrest to an under-aged suspect or accused is allowed only when medium, severe and especially severe crimes are incriminated to him.' In addition, the subsequent article, Article 443 of Chapter 50, contains the court’s concluding verdict on the under-aged person which states that he/she can be corrected without using criminal punishment but instead by applying disciplinary enforcement measures. Therefore, with the exception of particularly severe crimes, the code encourages the use of milder punishment rather than imprisonment and other harsh preventative measures. The practice described in the second part claims the opposite - detention and not the arrest of the juvenile, however, is generally used as a preventative measure among juvenile offenders too. Article 85 of the code states ‘the juvenile that has committed a crime could be awarded a punishment or coercive measures of an educative nature’. Article 86 provides the list of punishments handed down to juveniles: - a fine - community service - detention - arrest with a certain time limit This list of penalties for juvenile offenders who have committed minor crimes – a conclusion brought from inapplicable measures to the needs and differences of juveniles. For instance the fine as a preventative measure is not very effective with juvenile offenders since the Labor Code of RA comes with a list of limitations. The criminal code states the fine is imposed if the juvenile has a personal income or owns a property which could be confiscated. In practice, however, the parents of the offender usually pay the fine, which violates the principle of personal responsibility defined by the Legal Code. Community service in turn is limited by Article 17 of the Labour Code. The code states that a person aged between 14-16 is allowed to be included in temporary labour which will not inflict health, security, educative and moral damage (according to Article 101, Article 140 1.1, Article 155 of the Labor Code). In this case the state is responsible for handing down harmless community service as this kind of punishment could also be imposed on those aged 16-18. The Havana Rules in particular and many other international documents concerning main principles and standards of detention to be considered in case of juvenile justice do not correspond with the domestic legal documents undertaking these responsibilities. With regards to detention and arrest, the Havana Rules state that the deprivation of liberty should be effected only as a last resort. These principles as well as many others provided in the legal analysis of international documents are not often observed in Armenia and juveniles are often detained without justifiable grounds for it. The consequences of inappropriate detention may inflict greater harm on the juvenile, which can also provoke criminal behavior. 2.6 Needed Amendments to the Legislation of RA The general overview of legal documents and national plans of RA give a bigger picture of the protection of the rights of juvenile offenders in criminal proceedings. As mentioned above, police stations have separate departments for preventative programs, but the lack of the professional retraining courses, national plan activities, monitoring and general reviews can lead to an unfair trial for juveniles. After taking a look at the perspectives of the Criminal and Penal Code of RA, as well as Legislation and Constitution of RA we could claim: - Juveniles are not deemed as separate entities thus the general procedure for a fair trial are very similar to those envisioned for adults. In contrast with the third principle concerning the treatment of the child, this behavioral principle is not precluded. - During pre-trial proceedings the measures used are very limited compared to other countries where community service, educative projects, family consultations and other means of restorative justice are used. - Legal representation is mainly delegated to the parents, however, national legislation itself requires the participation of a pedagogue, psychiatrist, psychologists, social worker etc., in the criminal proceedings, and in some cases their presence and participation is obligatory; however, legal documents within RA do not provide guidance or even the limitations for third person participation. The extent of involvement in the best interest of the child is still undefined in the relevant codes of RA. Within the context of RA Legislation, reconciliation between the victim and accused should result in the release from criminal responsibility without applying alternative measures. In fact, the reconciliation between the victim and the accused will lead to a formal cause of discharge. Nevertheless if the accused displays distinct criminal behavior then the reconciliation will not automatically clear the cause and conditions of the crime committed. The biggest gap is the sufficient mechanism and rules for pre-trial interrogation. The only regulation for it is Article 207 of the Code of Criminal Behavior which secures the presence of the parent/legal representative, the suspect’s rights on asking questions or commenting by the permission of the inspector and nothing else. The guiding principles from international documents state some basic needs such as usage of an-age-coherent language, personal, social, behavioral and that the psychological factors of the juvenile suspect should be taken into consideration, but there are no subordinate rules for the treatment of juveniles in criminal proceedings, and no room for expecting any rules on the interrogation of an under-age suspect. None of the state action plans or government decisions anticipate any retraining courses for the inspector, prosecutor, police officer or anyone who communicates with the child in the investigation of the case. As mentioned, the lack of skills in treating children may have irresolvable consequences on the psychology of the child which in its turn may lead to complications in the investigation and further developments of the case. 3. CHAPTER II JUVENILE JUSTICE PRACTICE IN THE REPUBLIC OF ARMENIA 3.1 Overview of Juvenile Delinquency in the Republic of Armenia This section gives an understanding of the practice of the juvenile justice system with a focus on pre-trial interrogation and treatment of juvenile suspects in police stations. Many past researches, both from international and Armenian non-governmental organizations, focus on the detention facilities, ill-treatment and other behavioral issues in police custody and actually there is no monitoring or research based on the pre-trial interrogation of juveniles. Interviews with Geghakunik marz district Investigation department officers, as well as an overview of observations of the Committee of the Rights of the Child, UNICEF Armenia, one of the biggest human rights concentrated NGO- Civil Society Institute, Helsinki Committee in Armenia and many other institutes, were carried out in order to ascertain the actual situation of juvenile pre-trial treatment and interrogation. Out of all the formal phases of trial, pre-trial centers and police stations are typically the most difficult to gain access to, and information on people held in pre-trial detention is often limited or nonexistent. In many cases, authorities do not record data about populations detained or interrogated in pre-trial, and in other cases authorities fail to accurately track pre-trial processes and detainees. This lack of transparency leads to the lack of follow up, a problem which in its turn perpetuates ill-treatment, torture that continues to occur with impunity in many states throughout the world. As former Special Rapporteur on Torture Sir Nigel Rodley stated: There needs to be a radical transformation of assumptions in international society about the nature of deprivation of liberty. The basic paradigm, taken for granted over at least a century, is that prisons, police stations and the like are closed and secret places, with activities inside hidden from public view. The international standards referred to are conceived of as often unwelcome exceptions to the general norm of opacity, merely the occasional ray of light piercing the pervasive darkness. What is needed is to replace the paradigm of opacity by one of transparency. The assumption should be one of open access to all places of deprivation of liberty. Of course, there will have to be regulations to safeguard the security of the institution and individuals within it, and measures will be the exception, having to be justified as such; the rule will be openness. (Rapporteur, 2001) The RA joined the OSCE in 1992 and the Council of Europe in 2001. As it was already mentioned, it became party to the European Convention on Human Rights in 2002. The European Union Armenia Partnership and Cooperation Agreement (PCA) entered into force on 1 July 1999. (RA, Commission of the European Communities, Annex to: European Neighbourhood Policy (ENP), Country Report Armenia, 2005) The European Union Armenia Action Plan calls for judicial reform, prison reform and police reform, but does not specifically call for any measures concerning juvenile justice. As previously mentioned, Armenia acceded to the Convention on the Rights of the Child in 1992. Article 6 of the constitution provides that duly ratified treaties are part of the national law and, in case of conflict, prevail over legislation. As Chapter I provides, the National Plan of Action for the Protection of the Rights of the Child has been adopted, covering the years 2004-2015. The National Commission for Child Protection, established in 2005, undertakes the responsibility of leading the implementation of the Plan, observes and considers issues on rights of the child and strengthens the network between interested and child oriented state and non-state actors. There are exclusively high-ranking government officials in the Commission with the Minister of Labor and Social Issues at the head. The juvenile justice system was quite weak at the time of joining the Convention on the Rights of the Child. No specialized courts existed at that time, though assigning juvenile cases to the chief judge of the court was used as an informal practice. At that time, there was only a Juvenile Police Division which worked mainly on prevention and supervision of juveniles of any risk to the community. There was one special facility for juveniles serving sentences and another, within the same complex, for juveniles detained pending trial. Cases of younger children involved in criminal activity and children of any age involved in antisocial behavior were handled by the Commission of Minors, who had the power to place them in a closed ‘special school’ where conditions were poor and repressive. Corporal punishment and physical abuse in correctional and detention facilities were practiced. There was no special legislation on juvenile justice. Compared to the Soviet period criminal offenses committed by juveniles were lower before the independence. Armenia’s initial report to the Committee on the Rights of the Child provides, ‘the number of juvenile offenses in 1989 was the lowest of any of the 15 republics of the USSR’. (RA, 1995) The second report to the committee indicated the statistics provided by the Department for the Enforcement of Criminal Penalties, that 243 offenses were committed by juveniles in 1989 while in 1990 the number increased to 256. Data on offenses for the first two years after proclaiming independence is not available. The number of offenses committed by juveniles decreased from 1993 to 1995, peaked in 1997, then decreased abruptly in 1998 and remained low for the rest of the decade. (UNICEF, 2001) The number of the offenses committed by a juvenile in recent years is even lower. (RA, 2003) From 2002 to 2005 the number of juveniles convicted was constant in comparison with adults’ convictions which fell. The number of juveniles detained prior to trial along with those serving custodial sentences has declined during the last decade. In 1998, there were 82 juveniles serving sentences in the juvenile ‘colony’ and 45 in the pre-trial detention facility, in addition to four adolescent girls detained in the women’s prison. In 2005, there were 31 juveniles serving sentences and 18 in pre-trial detention. (UNICEF, 1998) In the 2013 Annual Report, Human Rights Defender Karen Andreasyan considered the right to a fair trial as one of the most inadequately protected and violated areas in RA. In consideration of juvenile justice it was specified that this system has not yet been implemented in Armenia. In a number of cases the Ombudsman receives complaints about the mistreatment of juveniles at the police station, apprehending of juveniles without the knowledge of their parents, and interrogating juveniles. (Defender, 2014) During the meeting with the journalists, the Deputy of Chief at the Third Department of Criminal Investigation Colonel Artur Vardanyan reported that the number of criminal offenses of juveniles in 2013 increased by 4, whereas in 2012 there were 414 cases. (Aravot, 2013) Out of the total number of the crimes, 2,2% were committed by juveniles, compared to 2,6% in 2012. The most common types of crimes among juveniles are theft and street attacks; there were no murder cases. Most of the cases were registered in the capital, Yerevan, recorded by Aragatsotn and Armavir marzes. According to the colonel, the number of school inspectors in Vanadzor and Gyumri has increased with 15 new staff members. As for social conditions and states of the children, the Deputy of Chief mentioned that children both from socially vulnerable and self-supportive families have committed crimes. On assessment of social factors prior to a juvenile committing a crime, he outlined the influence of the environment and the way a child is brought up. He highlighted that parents should pay better attention to the behavior of their children to monitor their conduct both at home and at school in order to prevent suspicious activity. from escalating into a serious crime. He addressed juveniles and requested that they ask for adult advice before getting involved in something. As for the administration of the Juvenile Justice System, the Committee of the Rights of the Child in its concluding observations on the combined third and fourth periodic report of RA expressed its concerns on the weaknesses of this sphere in Armenia. (CRC C. o., 2013) While noticing that every court in the state party has a judge, specialized in dealing with cases of children and issues of children in conflict with the law are regulated in the criminal legislation, the Committee remains concerned that: a) There is no holistic juvenile justice system, including juvenile courts and comprehensive laws on juvenile justice, with provision of diversion mechanisms and efficient alternatives to the formal justice system. b) Children are detained during the pre-trial investigation for a lengthy period. c) Children may be subjected to solitary confinement as a punishment. d) The Abovyan penitentiary institution where children are detained has very poor facilities (lack of hygienic supplies, beddings and no access to proper education). e) There are no rehabilitation and reintegration programs for children who leave penitentiary institutions. ### 3.2 Pre-trial Interrogation Practice in the Republic of Armenia #### 3.2.1 Specialization within the Police The possible sources to find out the current infringements and guarantees occurring in the pre-trial interrogation were interviews with inspectors who play a vital role in the process. Interviews with juvenile offenders were not conducted for several reasons, the most important of them being to not make them relive the emotions and memories of the pre-trial interrogation without understanding the extent of the possible harm it may have on the child. The aim of the interviews was to find out the existing normative and habitual approaches during the preliminary investigation of juveniles, existing methods in pre-trial interrogation as well as to get a general idea of the practice and implementation of national legislation and adopted international legal norms. The target group chosen for this study were the inspectors dealing with juvenile cases.\textsuperscript{27} Through various studies carried out we can observe some statistics in child delinquency. The subsequent part of this work takes into consideration the fair trial of juveniles already at the adjudication process, and examines the interrogation procedure of juveniles at the trial. As previously mentioned, there are separate departments that deal with the prevention of juvenile delinquency in each police station of marzes in RA. Officially the regional representative body dealing with juveniles is called the Juvenile Division. The area of its work is limited to the prevention of crime among minors and the actual investigation of crimes committed by under-aged people is the responsibility of the investigation department. Moreover, the division does not secure the proper preparedness of any of the investigators to deal with juvenile offenders. As Head of the Juvenile Division of Gegharkunik Marz, Sergey Lazyan stated, the Juvenile Division and Investigation Department are not interconnected and each of these bodies has certain tasks which do not coincide nor contradict each other. According to the same official, the investigation department usually requests information on a certain juvenile suspected or accused of a certain crime, and since the Juvenile Division runs a database listing minors who have exhibited certain criminal or suspicious behavior, they provide the inspector with the necessary information. There are five inspectors in the Investigation Department of Gavar Police station. Since there is no specialized and retrained inspector to deal with juvenile offenders, four inspectors out of the five have dealt with such cases. One of the interviewed inspectors was the Deputy of Chief of Gegharkunik Marz Investigation Department. All the interviewed inspectors had a higher legal education background and most of them have had 3-5 years of experience, while the deputy of the department was more experienced in this field. According to the latter juvenile cases are not that frequent and the number of suspected and accused juvenile cases does not exceed twenty per year. The concept of juvenile treatment and the culture of dealing with cases of minors are somehow shaped by the inspectors. None of the inspectors have ever participated in a retraining course on juvenile matters nor have they ever been asked to take a course. \textsuperscript{27} In Annex II you can find the corresponding interview format attached with the supportive questions addressed to four inspectors of the Investigation Department of Gegharkunik Marz of RA. 3.2.2 Consultation with a pedagogue has never been conducted either. However, one of the inspectors mentioned that the opinion of the headmaster of the school, and the teachers familiar with the suspect was vital for getting an idea of the suspect's behavior. As mentioned, the pedagogue is always present during the interrogation. The Code of Criminal Behavior provides the possibility for school teachers working with the juvenile to be present at the interrogation of the juvenile. Very few pedagogues agree to show up for this procedure, especially when the location for the interrogation of the juvenile suspect is a compulsorily state police building. One of the inspectors mentioned that in each school they have a pedagogue who agrees to be present, and when asked what would happen if the teacher didn't know the student well enough, they replied there was nothing else they could do to ensure the presence of a pedagogue. Before switching to reveal the descriptive questions on the procedure of the pre-trial interrogation, the interviewers presented the overall phases of starting and conducting a pre-trial investigation with juveniles, with a special focus on juvenile suspects. According to the main answers, the investigation of a juvenile starts with the notification addressed to the suspect and if there is no detailed information about the age of the person the notification is directed to the juvenile offender himself. The juvenile gives his/her personal details too. If the legal representatives who come to the investigation office, as well as the juvenile, confirm his/her satisfactory health conditions and there no reason for suspicion during an inspection, health issues will not even not be considered. The adult representatives undertake all obligations when providing personal data of the juvenile as the minor himself might be lying or concealing some information for gaining the trust or for avoiding preconceived opinions from the inspectors. The interrogation of under-age individuals is carried out using separate interrogation forms for witnesses, victims, suspects and accused. Since the survey mainly concentrates on juvenile suspects, in Annex III you can find a non-official translation of the interrogation form provided by the Investigation Department of Gavar Police Station. Tape or video recordings of conclusions or concerns mentioned by the lawyers or defenders and general comments, are not made. Therefore there is no way to ensure best interest practice prevails, and whether dignity and respect is shown toward the interviewed juvenile. Desk monitoring was impossible to conduct within the police station as, according to standard procedure, the interrogation form, facts and documents are passed to the judicial body for the further trial proceedings, and the documents of canceled or closed cases are passed on to the central archive under the responsibility of the Ministry of Justice of the Republic of Armenia. Access to the archive is strictly prohibited. The results from the answers of interviewed police inspectors, classified according to the professional attitude of the inspectors, general disparity of practice and rights and obligations for both juvenile suspects and police officers as well as some other facts, highlight the necessity for the implementation of comprehensive guidelines for police employers dealing with juveniles. Apart from one inspector, the rest never mentioned and have never actually used any practical manual for juvenile interrogation. However, the latest to graduate out of the inspectors mentioned a book on criminalistics which contains a thorough study of codes of behavior and conduct while interrogating and dealing with juvenile offenders in general. The book, published at Yerevan State University, is said to be the most highly regarded and recommended among law students in almost every higher educational institution$^{28}$. The inspector mentioned the source, which is actually his manual in juvenile interrogation, was known only to him. In his interview the Deputy of Chief of Marz Investigation Department mentioned that any kind of manuals, handbooks, guidelines suggested for inspectors is only seen as another obstacle for implementing and mastering in their profession, since the inspector should be free and flexible in choosing his technics in any investigative process. Each inspector defines his own code of conduct in pre-trial investigation. The social conditions, social behavior, former criminal behavior and criminal offenses of the juvenile are mentioned in the interrogation and are taken into consideration by the inspectors. According to the Deputy of Chief this is the strongest area for consideration and, logically, in such a procedure a child who has never committed any crime before would acknowledge his/her guilt quicker and easier than those who already have a criminal record. In his opinion, once a juvenile has been detained, he is condemned to commit a crime in the future. He described very few cases where juveniles, especially those without parental care or former stakeholders of child care institutions, try to get put in jail at the hand of people who they serve while imprisoned. They feel as if they are 'heroes of their times' and are provided with everything they need in jail, unlike in their life of freedom. Another inspector mentioned that it’s quite important for an inspector to work out his own approach with the juvenile. Most of the time when they are unaware of his/her character and criminal characteristics they can be fooled themselves, as the juvenile who has been $^{28}$ V. G. Yengibaryan, Student Handbook on Theory of Forensic Examinations, Yerevan States University. interrogated before, already possesses the skills to avoid giving the right answers and lying in a mastered manner. The rest of the inspectors all agreed that in juvenile cases they’ve dealt with at Gavar Police Station, as well as other cases they’ve worked on around Armenia, those that have previously committed a crime are easily recognized by people who have been associated with them. During the investigation process, along with the identification of the suspect, this information is randomly provided. In terms of introducing an alternative, milder approach, taking into consideration the vulnerable characteristics of the child, the general opinion was that the juvenile justice system is rather mild in RA and most of the children committing any sort of crime come from socially unsupportive families. If they, the inspectors, treat and classify juveniles according to their difficult living conditions, the investigation, specifically the interrogation process, should be conducted by psychologists, not inspectors. However, the principle of proportionality - the treatment of the child being appropriate and proportionate to the offense - is maintained during the interrogation process.\footnote{Beijing 5.1.} 3.2.3 When asked if they are present during the \textit{communication between the juvenile and his lawyer}, the inspectors replied positively, which is a breach of juvenile’s right to have an private conversation with his defender. One of the inspectors made it clear that most of the times the lawyer is provided by the state and all the public defenders and state hired lawyers are in collaboration with them, and therefore it is not necessary to leave them alone as everything would be reported afterwards to the inspector by the lawyer anyway. To the following questions concerning the \textit{first communication} and start of the interrogation, each inspector spoke of a different approach. What was generally claimed was an individual approach is adopted for each juvenile. Thus the motivation to accelerate the conversation comes from the common understanding of the interrogator. In most of the cases, children are not talkative at the beginning, and almost always juveniles need to be presented with the facts concerning the case. Along with the facts known from the previous phases of investigation, inspectors inform the suspect about facts and testimonies from witnesses and other interrogated parties in the criminal case. All the inspectors denied using any machines, tools of abuse, beatings or any other methods for inflicting physical harm on the juvenile as there is usually no need for this and no cases where information needed to be obtained under constrain. As for the methods that can influence the psychology of the child, items such as photos of the murdered person, material evidence, knives, guns, gloves etc., can be used when necessary. The emotional condition and vulnerability of the juvenile is taken into consideration. 3.2.4 Among undesirable methods used to deal with children, infliction of physical abuse, threats and even harsh language were the main methods given. However, the most experienced inspector believes there was no limitation when dealing with a juvenile offender in specific cases like multi-adjudicated juvenile criminals. As an argument for such treatment, presumption of innocence was mentioned; but again he denies this theory as well, for the benefit of revealing and maintaining justice in a shorter period of time. Most of the answers and comments provided in the statements could be considered as similar in approach, mentality, consideration of rights and obligations of the juvenile suspect. Some of the legal aspects of interrogation provided by the Code of Criminal Procedure of RA, which are actually very few in juvenile cases, are infringed. None of the inspectors mentioned the envisaged time set for interrogation. Among the answers there was the mention of uninterrupted interrogations for three or four hours and the most popular attitude is to carry out conversation as long as it may require and a break is only given if the inspector deems it necessary to interrupt the interrogation due to health conditions or tiredness of either of the parties of the interrogation. In comparison with this adopted practice, the code provides the uninterrupted interrogation for the under aged to take no more than two hours, which should be followed by at least an hour break. Conclusions for ongoing interrogations can vary, therefore, in order to avoid uncertainty a few factors should be taken into consideration including the child’s physical immaturity, possible psychological infliction on the child when put under pressure, relentless questions and the volume of provided and required information that may lead to confusion, rejection and isolation of the juvenile. 3.2.5 Detention as a preventative method or a means to isolate and receive information from the juvenile offender was not widely applied. Among many of the mentioned cases there was only one detention of juvenile mentioned. The reason for detention was to prevent the juvenile from not turning up for the interrogation the following day. Although this specific case regards an accused juvenile who hadn’t yet been found guilty by a competent authority, the reason for such a detention was not justified as a method of last resort.$^{30}$ $^{30}$ In Chapter I the international and national framework of detention as a method of last resort is provided. To conclude the overall observation, one can claim an existing gap in monitoring and in improving the juvenile justice system in Armenia, specifically in the pre-trial proceedings i.e. interrogation of the juvenile. All the issues raised in the interviews with the inspectors, are the result of non-practical use and scarcity in juvenile delinquency. On the one hand it is an encouraging point for RA to have a low rate of juvenile crime, although further statistics would prove the opposite. However, on the other hand if there are even a few juvenile cases, those few under-aged offenders are ill-treated due to the existing gap in the legislation, the practical implementation of it and the lack of professionalism within the police. Il-treatment of a juvenile suspect may occur in correspondence with the gravity of the offense and the degree of criminalization of former adjudicated juveniles. For the rest of the cases, compassion and kind firmness is shown by the inspectors. Some basic procedural safeguards are also followed. The notification of the interrogation including the date the accused must attend, is addressed to the juvenile and a legal representative is secured after finding out the identity of the charged person. The right of the juvenile to be interrogated in the presence of the parent or legal representative as well as pedagogue and lawyer is upheld and their participation in the interrogation is also provided and not prohibited. According to one of the inspectors in a few recent cases the child has admitted to the crime under parental pressure. Although the criteria of proportionality have been met, a preconceived opinion and attitude towards the juvenile still exists among the police officers. This may actually become another hindrance in the abuse of juvenile rights. During the conversation, one of the inspectors mentioned a case where a juvenile was accused of beating his teacher because of being offended by him during the lesson. In the inspector’s opinion, this juvenile needed a more severe, harsher approach than those suspected in milder offenses. The latter, however, is strictly based on individual opinion and cannot be regarded as another fact for proving the proportionality issue, but it still shows that those concerned with juvenile offenses can have various reactions, depending on the personal assumptions of the inspector safeguarding the right of the juvenile to a fair trial. Another area for further consideration is the use of a tape recorder for securing the due interrogation process. The description given by the inspectors can be doubtful as the rules and practice itself are based on individual intuition, which may vary from case to case. The legal approaches during the interrogation of the juvenile, the use of evidence materials, use of harsh language and threats depends merely on the individuality and standard practice of the inspector. However, above all the presumption of innocence is the foremost right of any criminal offender and especially in juvenile cases, no offender should be denied this right. The interview confirmed the breach of the right of a juvenile to have a private consultation and supervision with a competent lawyer. Even though a lawyer is provided by the state, free of charge, by relaying information to the inspectors this legal representative takes an untrustworthy approach to the case. In this case, most of the time this manner of providing legal assistance would be denied, and if the juvenile is self-supportive due to his/her financial situation and does not wish to be deceived by his lawyer to the inspectors, the juvenile’s right to legal assistance would be infringed. As previously mentioned, the treatment of juvenile offenders in many cases are not different to what the adults experience. The Armenian Helsinki Committee is one of the other observers of the rights of detained and criminal offenders. (Armenia, 2013) Although, there was no study conducted with the special concern of juvenile rights, the facts and evidence from people detained at the police station can tell a lot about the general way of treating criminal offenders. Only 30 out of 80 inmates in pre-trial detention agreed to be interviewed. The rest of the detainees replied that they have no complaints or that nothing would change even if they did complain. A general observation of monitoring shows that all the respondents were subjected to physical violence or psychological pressure in police stations or in the department of investigation. Particularly in terms of physical abuse, the detainees said that policemen inflicted blows with a book to detainee’s backs and with truncheons under the soles of their feet. Blows were inflicted with truncheons and parquet boards. The police used electroshock devices on detainees. They beat detainees with truncheons and handgun handles, and kicked and punched them, threw them to the ground and beat them. The interviewers have observed the traces of injuries on the detainees during the survey since they were visible enough. As for psychological pressure, the interviewees stated: ‘They warned me that if I didn't confess and implicate myself, they would frame my father and my brothers.’ 'They said that unless he confesses to the crime he would be sentenced to imprisonment for 'failure to testify, which would make his situation worse'.’ The beatings were accompanied by verbal abuse and threats. During the conversations many inmates contended that they had been framed by the prosecution. Though there is no evidence to prove that juveniles have been abused and threatened in the way that the adults are, nor are there are grounds to prove the contrary. Interviews were held also with judges, prosecutors, investigators and policemen to ascertain their views on reasons and forms of torture in police departments. In one of the conversations, the judge of the Appellate Court of Armenia, when asked why criminal case is not instituted based on the statement of the accused, he replied; '80% of the accused state that they testified because they were beaten and threatened; so which one of those statements should we look into?'. In the words of an investigator, torture is primarily carried out by police operatives. When a detainee is brought to an investigator, he has usually been 'handled'. As a rule, investigators do not use torture themselves. One of the methods is inflicting blows to the detainee's soles of the feet without removing his shoes so that no traces are left. Another method is forcibly putting a gas mask on a detainee and then closing the gas mask hose and forcing the person to move abruptly which lead to asphyxia without causing visible bodily injuries. One of the investigators pointed out that often they are forced to resort to a remand in custody as a measure of restraint, even though they feel that there are no grounds for that measure. They are concerned, though, that if they do not opt to apply for a remand in custody the prosecutor’s office may have suspicions that they are somehow interested in the outcome of the case. That's the reason for resorting to a remand. Another reason why detention in custody is used as a measure of restraint is that the investigators believe that when in custody, a person is more inclined to give a testimony. If we consider this point, for the adult offenders it might be still doubtful, but for under-aged suspects and accused, remand would mean isolation from the environment he is used to, and even in the case of a person who is 17-18 of age, the detention will have a psychological effect and in this case can be considered not as a matter of restraint but as a method of psychological pressure. This fact of having evidence to prove the person is guilty works on the patience of the investigator and in one of the talks an inspector confessed; 'How can we not beat them, if there is all the evidence and they do not confess.' One of them stated the following; 'Unless violence is used, the case won't be detected. It is due to that violence that you can sleep peacefully.' The issue of a lack of professionalism among the police officers was ascertained by one of the prosecutors. He indicated an inadequate level of professional competence of investigators and policemen; 'We have to present cases in court prepared by competent investigators.' Among other reasons for using violence was the lack of time and sufficient equipment and materials to go into the details of the case and certainly it's easier to obtain and resolve the crime with application of abuse and violence.' In the words of a former policeman: 'An experienced police officer will not beat up a man for nothing. An experienced policeman is also a psychologist. He looks into the eyes of the offender and realizes whether this person is guilty or not. If a detainee does not confess, you hit his head a couple of times and he confesses.' Except for the attestation of personal abilities in the interviews, the inspectors were given the opportunity to suggest a list of desirable changes in the juvenile justice system in Armenia, none of them suggested any amendments; they considered this system sufficient in complying with the needs and demands of the juvenile delinquency situation in Armenia. That is to say, in terms of their professionalism inspectors actually need to make some changes. However, the inspectors do not feel this is necessary due to their traditional background as well as the lack of pre-trial monitoring which is rare in police departments in particular. In fact states do not have any special regulations and auditing bodies to implement and make suggestions for improvements in pre-trial proceedings not only for juveniles but for offenders in general. On the other hand, and in certain instances the court requires rather competent and legally perceptible evidence which has been thoroughly investigated in the pre-trial stage, and if practical difficulties arise in pre-trial interrogation, fact finding mission and confession of guilt, they are not displayed. This proves that even if the monitoring mechanisms were created and implemented to improve and fulfill the rights of the juvenile in the pre-trial stage of the interrogation, the mission wouldn’t tackle all existing and issues raised in each case. In this case the best suggestion to the state could be the application of comprehensive methods including professional retraining courses among investigating inspectors and other police staff, expanding competency in the Juvenile Division to undertake the monitoring mission and ensuring fair pre-trial for juveniles as well as outsourcing of other professionals such as pedagogues, psychologists, social probation workers etc. Although this part mainly covers the specific focus of the thesis on pre-trial interrogation rules and practice, the interviews with inspectors provides a description of only one of the guarantees for ensuring fair trial for juveniles in Armenia. \footnote{More suggestions are included under Recommendations.} 3.3 Interrogation practice of juveniles in the course of trial To have an overall image of the juvenile justice system and related proceedings, we should assess what the negative progression is of pre-trial gaps in the trial proceedings. Therefore, this part mainly covers the understanding of trial interrogation by a competent professional. Moreover, the accusation of the juvenile in studied cases can be a result of the violation of his pre-trial rights when conducting the interrogation and presenting of evidence. The monitoring studied 72 cases where juveniles were enrolled as accused, out of which 39 people were juveniles, 10 were juveniles at the moment of committing the crime and became adult by the time of the trial and 23 of which were juveniles who had committed associated crimes. (CSI, 2013) The same statistics show that 29% were 16 year of age and only 8% were 14 years old. According to the Criminal Code of RA a juvenile is charged when he is 16 years old at the moment of committing the crime. Those who have turned 14 before committing the crime are subject to criminal liability in special cases prescribed by the code.$^{32}$ Out of the 72 cases tackled 8% of them were 14 years old, 20% were 15 years old and the rest, 72%, were 16-18 years of age. This proves that the so-called mild approach to juveniles mainly refers to those under 14 years of age and even this doesn’t apply to juveniles who have been accused for the crimes enumerated in Article 24 of Criminal Code. As for gender, out of most of the crimes studied, 98%, were committed by male juveniles. Inspectors’ allegations that most of the juvenile offenders are those without parental care have been refuted too since only 4% of juveniles were from divorced families. Another aspect for consideration is the impressive statistics of juveniles who do not attend schools - 49% and 2% attended special school. According to the same monitoring 12% of juveniles in the studied cases were second offenders and only 6% of juveniles were registered before on the database of children of a certain risk. That is to say, the database run by the Juvenile Division does not embrace a big volume of juvenile offenders, nor is running such a database an efficient method for the prevention of juvenile delinquency. $^{32}$ Article 24 of the Criminal Code of RA provides that the persons who reaches the age of 14 before committing the crime are subject to criminal liability for murder (Articles 104-109), for inflicting willful severe or medium damage to health (Articles 112-116), for kidnapping people (Article 131), for rape (Article 138), for violent sexual actions (Article 139), for banditry (Article 179), for theft (Article 177), for robbery (Article 176), for extortion (Article 182), getting hold of a car or other means of transportation without the intention of appropriation (Article 183), for destruction or damage of property in aggravating circumstances (Article 185, parts 2 and 3), for theft or extortion of weapons, ammunition or explosives (Article 238), for theft or extortion of narcotic drugs or psychotropic substances (Article 269), for damaging the means of transportation or communication lines (Article 246), for hooliganism (Article 258). The same monitoring proves that applying detention as a preventative measure is quite diffused despite international standards which envision it as a measure of last resort and opt for alternative measures. Even though detention is frequently used, the minimum term is not defined either. The results of the monitoring prove that in 1/4 (25%) of the considered cases, detention was applied. In 6% of cases bail was deposited, and for the rest of the cases alternative measures were used. The monitoring of trial process displays the charge for 90% of the accused juveniles was imprisonment, meanwhile the educative and restorative activities were given to only 2% of the offenders. Only 47% out of 90% were released conditionally and 14% were granted amnesty. The monitoring proves that the judges adjudicate and punish the juvenile instead of showing compassion and considering restorative measures, taking into account the emotional and physical immaturity of the juvenile offender. 3.3.1 Presumption of Innocence The conducted survey also concentrated on observing the existence of preconceived opinion of the judges towards the juvenile and whether they were treated according to the presumption of innocence principle. The studies proved that the acknowledgment of guilt was even sometimes given under pressure and in many cases none of the judges considered the possible innocence of the juvenile. In some of the cases, observers noticed that the judges hinted at the guilt and crime committed by the juvenile before delivering the decision based on evidence. Some of the judges accused juveniles of certain faults, and even treated them as enemies. This sort of treatment towards juveniles in courts pending their trial, according to the authors of the survey, infringes the rights of the juvenile, fails to respect his/her dignity and creates public distrust of the bodies implementing justice. Disturbing examples include a judge that started shouting at the juvenile, screaming ‘Wasn’t there other situations when you were fighting with other guys… why you haven’t murdered any one of them before?’ In another example a judge addressed the accused juvenile and his legal representative who were late to the trial with following statements, ’Two days ago I approved the application of detention for thieves like you. Why shouldn’t I? They are thieves, let’s detain them, then there won’t be any problem of them being late. They would be brought in and taken back from the detention center.’ In another instance, an accused juvenile was answering the question addressed by his father the judge said in a loud voice, 'Do you think it's a free verse composition when you always say something different each day, this is the recreation of your crime.' 3.3.2 Language in the Court In many cases, the judges authorized to try the juvenile offenders fail to consider the juvenile’s mental immaturity, the level of language development, psychological state and many other physiological peculiarities, bear no significance in the trial yet result in a preliminary anticipation of the outcome. The judges are not able to manage the trial or to neutralize the aggressive behavior of the accused, victim, witness and other parties in the trial. In some case the judges even promote an escalation of tension, fuss and aggression. The absence of elementary knowledge of behavioral derivations, age-related psychology as well as crime related psychological derivations, becomes an obstacle to manage the emotions and behavior of those involved in the trial of the case. In many other cases judges themselves do not control their emotional states and reflect their inner tension through their speech and manner of leading the trial and addressing questions to the juvenile. 3.4 Preliminary Conversations with Accused Juveniles Before starting the trial process the judges do not have any informal communication with the accused juveniles. Furthermore, they do not introduce the environment and surroundings to the juvenile so that he doesn’t feel threatened afterwards. There is no introduction to the people employed for the trial process either. Within a very short period of time the judge should gain an overall impression of the juvenile by understanding the environment surrounding the juvenile. The description of the juvenile should include the level of his personal development, future social and socialization anticipations as well as the image of the reintegration methods and measures if the juvenile is sentenced. The complex of the described activities should be the basis of a fair trial and the resolution to the conflict between the juvenile and society in the future. The studies proved that the reconciliation process of the relationship between the juvenile offender and the judge does not occur. Only in 10% of cases did the judges have comprehensive communication with the juveniles before the trial. 3.5 Provocation of Aggressive Behavior of the Accused Juvenile: Neutralization and Prevention of Aggression in Court In many cases the juveniles are irritated because of the blatant injustice, lies, shouts, crying, and the anger of the father or mother present in court. The professional task of the judge is not only to bring order to the court but also to paraphrase and edit the questions addressed to the accused juvenile so that they won't provoke any aggression. Often, there is a need to skip some questions and to consider them afterwards. As a rule, aggression is provoked by closed questions, which are supposed to be answered with a 'yes' or 'no' e.g. 'are you guilty' or 'do you admit your guilt'. The intonation is also of no less important and accusations and criticisms are not admissible such as ‘are you a human after all’, or ‘what kind of a man are you then’ or ‘your parents are guilty not you’ and so on. In the forensic psychology experience aggressive expressions are non-competent remarks and offenses or sharp expressions, which are addressed to the juvenile offender, to the lawyers or other parties of the trial process. As previously mentioned, preliminary talks with juveniles before the start of the proceedings, an understanding of their psychological and emotional condition, their ability of self-control and communication is a bilaterally important process for both the judge and the juvenile. In 16% of cases the judges neutralized the aggression during the trial and in 2.9% provoked aggression, for instance, the judge demonstrated aggressive behavior because of the absence of the defender or was provoking an aggressive environment in the court. Some other studied cases show that the judges display very offensive treatment towards the accused and his legal representatives, victims, witnesses and other participants of trial. Some examples from the monitoring carried out include: Example 1 The judge learned that one of the accused juveniles presented himself to the victim with a nickname ‘little cruel person’ (dazhanik) and kept on calling the juvenile in this way for the rest of the trial. Example 2 The judge apprehended the legal representative (mother) of the juvenile with incline to that the child was to be well-cared for and not involved in the situation he is in at the moment, in order not to ruin other families and their family too; the judge then turned to her with the demand to tell whatever she wants instead of telling it after the trial. Example 3 While reading the testimony of the victim and noticing some contradicting facts with those brought during the trial, and afterwards listening to the arguments of the victim, where he explained that he was scared and that's why he provided false testimony, the judge turned to him with a loud voice, saying: 'Stop scheming, be a man, stop it!' 3.6 Legal representatives of the juvenile offender As mentioned in the first chapter, among the juvenile rights, the participation of the parent or legal caregiver is aggravated because of providing psychological and emotional support. It is quite important to have the first contact with the parent and notification of the child involvement in the trial as soon as possible, so that they can support and participate in the legal proceedings in an optimal way. In the cases where juveniles are accused in criminal offenses, the national legislation requires the compulsory participation of the defender as well as the enrollment of the juvenile suspect and accused in the investigation of the criminal case. There is no legal provision for ensuring the participation of a pedagogue and social worker in the interrogation and trial proceedings. The outcome of the monitoring showed that even these very few guarantees concerning the participation of other people in the interest of the juvenile offender are maintained and respected. There was no joint practice observed during the monitoring of juvenile accused at the trial. In one of the cases, a juvenile was initially interrogated as a witness, and his testimony was extorted from him without the presence of a legal representative, and afterwards he was enrolled in the process as a suspect. It is distinctive, that the request of the defender to the court to consider the testimony of the juvenile interrogated as a witness without a legal representative as imperceptible, was declined by the judge who argued that the Legislation of RA does not envisage the participation of a legal representative at the pre-trial interrogation. The court mentioned the Article 207 of the Code of Criminal Procedure of RA, where the law provides the participation of a legal representative of the juvenile witness in the interrogation when requested by the parents and since the file brings no asserting facts to this effect, the request of the defender was declined. Furthermore, there was no clarification of the situation and the judge didn't ask the legal representative whether he was informed of his right to be present at the interrogation or not. The results of the monitoring prove the inactive participation of the legal representatives in the process. From the studied cases, 13 legal representatives had no involvement in the process at all. They had no questions or clarifications and remained silent for the entire procedure. They didn’t participate in the proceedings and answered only 'yes' or 'no' to the questions addressed to them, which didn’t help the defender at all. Even in one of the cases, the legal representative was addressed by the judge to deliver a speech with regards to the legal disputes, the parent of the juvenile refused by declaring that he had nothing to say. This and many examples display the passive involvement or the negative outcome of the whole process because of the neglected approach from the legal representatives of the juvenile offender. In some of the cases, the participation of the parent was minimalized by the judge, as if he had asked the legal representative to delegate the defender to address his questions and concerns to the court. 3.7 Corresponding Proceedings to the Age, Mental, Physical and Emotional Peculiarities of the Accused Juvenile The results obtained from the monitoring support the argumentation that does not consider the age-related peculiarities and the levels of physical development of the juvenile accused which comprises 40-45% of the studied cases. The thing is that juveniles aged between 12 to 17-18 are going through a self-establishment process which is accompanied by aggressive, conflicting high emotional behavior. Taking these facts into consideration, the judges should be reasonable, perceptible and patient, and abstain from addressing the juvenile with certain prejudice by using rude sentences, offenses, acts that can provoke aggression and irrelevant remarks. In 40% of cases the court failed to consider the above-mentioned peculiarities. As previously mentioned, the treatment of the juvenile offenders by the judges in many cases is not different from the conduct with accused adults. In some of the studied cases, the judges even neglected the accused minors. 3.8 Violence and Pressures on Accused Juvenile and Victims The pre-trial interrogation and its results should have a certain impact on the whole proceedings to be conducted in the trial afterwards. There should be the consideration of the facts for the applied detention, emotional and psychological state of the juvenile during the pre-trial interrogation, the age corresponding peculiarities, the duration of the interrogation, the participation of the legal representatives and other parts of the criminal case etc. Of course, the pre-trial proceedings mainly depend on the qualities and professional competency of the police officers and inspectors, the possession of these assets would prevent the application of mental and physical abuse, psychological pressure which in its turn leads to false evidence, wrong testimony and most of the time an acknowledgement of the crime which was not committed by the juvenile himself. These areas of consideration are drawn from the monitoring results where the judges have not considered the violations of certain rights and described norms at the pre-trial phase and no corresponding measures were applied, there was not even an accusation or demand from judges to prevent pressure and violence towards the juvenile offenders. In certain cases the judges themselves put the victims and accused under pressure, threatening their right to a fair trial. This is a serious cause for concern and preventative measures need to be taken to ensure proper defense for juveniles in criminal proceedings as well as protection of victims and accused juveniles from intimidation, fear, oppression and prosecution in an unacceptable and reprehensive way of trial in Armenia. In one of the cases, the pre-trial testimony of the accused was radically different from the testimony provided during the trial. During the pre-trial investigation the accused admitted his guilt, however, in court he declared himself not guilty. This demonstrates how the initial testimony given was false as the inspectors and police officers obtained the information by putting the accused under pressure. The defender also informed the court that the juvenile was brought from another city and remained in the company of the police officers. Afterwards he was detained in Arabkir police station for a day. Before the enrollment of the defender, the juvenile was interrogated three times, always at night. The legal representative was invited and allowed to meet the accused juvenile only after clarifications and signature. Afterwards this explanation was represented by the inspector as testimony and was attached to the file. The juvenile was released only after the interference of the human right defender. This disturbing image of a fair trial in pre-trial proceedings can be prospected into the pre-trial interrogation of a juvenile. As previously mentioned, a distinction between juvenile and adult offenders is not often made, and in all the cases, the treatment of the child depends only on the individuality of the prosecutor, investigator, inspector, police officer and so on. Therefore, legal provisions need to be made to guarantee the rights of a child or any person, the general practical orientation, professional retraining courses and other means in order to develop the capacity of the people working in criminal proceedings. In 2013 during the meetings with his colleagues, Police Chief Lieutenant-General Vladimir Gasparyan condemned the use of violence in police departments qualifying it as a savage act and non-professionalism. ‘Ramping information and evidence through violence distorts the image of a policeman’. Despite the condemning and inspiring speeches of the Lieutenant the practical steps towards improving and eliminating ill-treatment and torture in police stations have not been taken. In 2013, inspectors and police investigators adjudicated by the court for several years of imprisonment were released due to the amnesty announced by the National Assembly of RA. Though in the European Convention amnesty is not granted to offenders sentenced for torture and since the crimes committed by the four police officers were articulated as abuse of an official position, they were released. (hra.am, 2014) The suppressing opinions from the actual monitoring groups coincide. This proves that no matter how many cases have ever been considered by a certain department of investigation or no matter who the interrogated person is, regardless of his/her age, mental maturity and other factors, there is a common practice among the authorities who have any part in resolving criminal cases. They are all inspectors and police officers dealing with an individual in pre-trial proceedings and judges who take on the mistakes made in the investigation phase, as an outcome of which the injustice, distrust, as well as sequence of the crimes of one person escalates. As can be easily observed, all the researches, monitoring and studies presented were carried out by civil society representatives. Even the database and certain statistics on juvenile crimes is provided only through press releases and some of them from human rights defender’s reports. The mechanisms of surveillance and monitoring in Armenia should be pursued at a national level. With the high understanding of the monitoring, which serves as a detection of certain systematic issues and follows up on the improvements of findings, they should be perceived by national government. Only with this mentality will these observations highlight and convey the need for legal and practical amendments in this sphere. 4. CHAPTER III RECOMMENDATIONS AND LEADING INTERNATIONAL PRACTICE Examples of Juvenile Justice Systems from rather developed countries can always be adopted and implemented on a national level, but the peculiarities of certain socioeconomic reasons for youth crimes vary from country to country. Though continental reviews should be conducted in order to find reasons behind existing issues, even in that case the risk of blending common practice with outrageous positive examples prevails, this part of the thesis will explore the existing bodies and policies in other countries, which would be beneficial for implementation, effused and filtered due to the desirable amendments, both legal and structural, and recommendations to RA. The comprehensive description and understanding of global practice in the rest of the world will be a guiding model and can be a significant contribution if complied with the reasons beyond juvenile crimes, cultural approaches and local issues of the juvenile justice system in Armenia. Some of the countries have the best developed juvenile justice systems such as the US, but because of state governance, comparisons have not been made. With the same reasoning the Russian Federation is dismissed too despite allegations of being the main leader during the Soviet Period.$^{33}$ Serious gang problems among youth are observed throughout the world but because of the juvenile delinquency rate in contemporary Armenia, the practice of the countries focused on prevention of this sort of delinquency has failed to be implemented. The point of including examples was to be reasonable with the structure and possible of implementation in Armenia of what is suggested from best practices. 4.1 Legislative Reforms Though some of the amendments and omissions to the local legislation are represented in the conclusion of the Chapter I,$^{34}$ there are far more gaps to be filled through the thorough studies of the cases and interviews mentioned in the practical part of the thesis, Chapter II. Due to the causal logic many aspects for legislative concern were circulated and presented in the main body of the work, but these recommendations mainly concentrate on the $^{33}$ To many local monitoring groups Armenia has inherited the prison system of the former Soviet Union where certain gangs and ‘personal leadership’, use of threat and intimidation is still used. Even after 20 years of independence and normative reforms close to the European and International laws, the soviet mentality still keeps on prevailing at the institutional level. Указан недопустимый источник. $^{34}$ The ibid provision can be found in Chapter I under the subtitle ‘Needed Amendments to the legislation of RA. reforms to be made in the pre-trial phase. Legal reforms constitute the below mentioned statements. 4.1.1 Participation of a Legal Representative, Teacher, Lawyer and Social Worker in the Pre-trial Interrogation The obligations of the possible participants in pre-trial proceedings are not specified in criminal codes and in general in the legislation of RA. Though incomplete, the rights and limitations of the legal representative were specified only for the trial proceedings$^{35}$. Thus the rights should reflect a need for the active participation of the legal representative starting from the moment of notification. The rights of the delegated adult should state: - the degree of his/her participation: to be informed of the nature of the suspicion, to be informed of the notification of the invited juvenile offender to the pre-trial interrogation, to be informed of the identity and professional qualifications of the inspector in order to secure and monitor the quality of the pre-trial process; - to participate in the investigation and other procedural actions conducted by the criminal prosecution bodies upon the suggestion of the named body; to give explanations, to present materials to be included in the criminal case and for examination; to declare challenges; declare motions; to object against actions of the bodies of criminal prosecution and to demand the inclusion of his/her objections into the protocol of investigatory or other procedural actions, in which the legal representative of the juvenile offender or juvenile participant of the trial participated or was present; - to issues remarks with respect to the correctness and fullness of the records in the protocol of the investigatory action or other procedural actions; to demand the inclusion of his/her objections during the participation in the investigatory and other procedural actions; - to receive copies of the final conclusion of the interrogation on request and free of charge, to submit appeals on the actions and decisions of the investigation body of inquiry; to recall any appeal submitted by others present at the interrogation such as school teacher, social worker, lawyer etc.; $^{35}$ Article 441 of the Code of Criminal Procedure, while defining the rights and obligations of the legal representative in the trial, which are specified in Chapter I of the thesis, along with the mentioned cases with inert participation of representatives, proves the need of expanding and enlarging the tasks and rights of the adult in addressing questions, bringing clarifications both for the minor and the judge if there is such a need. This would add more flexibility in consideration of juvenile cases which in its turn would comply with the individual approach endeavored in international recommendatory documents. to invite any other person who can provide any significant and relevant evidence to the case; - and finally, the representative is authorized to demand and retrieve the property taken by the body of criminal proceedings as material evidence or the property taken on other grounds, as well as the original official documents which belong to the juvenile suspect. Children left without parental care, as well as for parents avoiding parental commitment or those condemning and deteriorating the psychological pressure towards the juvenile, should be treated with a certain precaution which can be articulated in the limitations to be fulfilled and promoted by the police department staff who deals with the case. Initially the limitation on the rights of the legal representatives should be applied for the benefit of the juvenile and the interrogation process as such. From the practice in trial interrogation mentioned in Chapter II, certain restrictions can be derived. For example, the interference of the legal representative in the interrogation process is encouraged unless their arguments constitute verbal or psychological pressure, for the juvenile. The Guardianship and Trusteeship Council at each municipality and local government body should primarily encourage the proper care giver to act as the legal representative in the criminal proceedings, i.e., when the parents of the juvenile are mentally or physically unable to represent the interests of the child in a proper manner. All the above suggested rights and limitations are sought to ensure integrative participation of legal representative in the pre-trial interrogation of the child in conflict with the law. As another guarantor of a fair trial, best interest, dignity, respect and all behavioral approaches are, imperatively and culturally, the responsibility and protection of the parent. Especially for a first-time juvenile offender in committal of the first crime, a humane and non-degrading approach is the first and foremost protection which may have not been implemented before the committal. Besides the legal representative/parent, the presence of a teacher and social worker is very vague in all the studied legal provisions. Particularly, the social worker institute is a new developing profession and probation workers need some time to be considered as an integral part of criminal proceedings with child participation. However, the presence and interactive participation of the teacher is not indicated. Under the Scottish system, allegations of a youth offense are referred to a Children's Reporter who then investigates the circumstances. In most instances, information is gathered from multiple agencies including social workers, police, schools as well as health and voluntary organizations. A decision is made at the discretion of the children's reporter on whether a compulsory intervention should be ordered in which case the young person is referred to a hearing. (Alison, 2009) 4.1.2 Age-Related Legal Regulations The international practice proves the defined lowest age of criminal responsibility is one of the widely spread gaps in many national legislations which in fact results in the most absurd situations\textsuperscript{36}. The relevant studies haven’t stated the actual cases which demand the implementation of the minimum age, but it is still one of the pending issues. There is a vital uncertainty observed in two legal documents declaring the child’s rights. The Law on the Rights of the Child, the constitutional law declares the child as a person under 18 years of age. Meanwhile, Chapter 50 of the Code of Criminal Procedure prescribes rights and main legal guarantees for those less than 16 years of age. The age group 17-18 remains undefined. The basic human rights of the child and state obligations are stated in the above mentioned documents, however children in conflict with law are deprived of these rights if they belong to the 17-18 age group. Here the legislative gap should be blamed either for discriminating against the under-aged child offender involved in a criminal case or the lack of follow up to the laws produced by the state. This legal uncertainty needs to be improved on by raising the age limit in the Code of Criminal Procedure. The other way round would be impossible since it concerns firstly the constitutional rights of the child and secondly the age limit lower than 18, which is not encouraged by international documents. The age of criminal responsibility varies from country to country, however the general practice starts at 15 years. This is the age of criminal responsibility in Scandinavian countries i.e. Denmark, Finland, Iceland, Norway and Sweden. There is no particular juvenile justice system in mentioned countries, but certain policies on prevention, diversion, incarceration and many others, exist separately. The age of criminal responsibility in New Zealand is 10. The ‘children’ (under the age of 14) cannot be prosecuted except for the offenses of murder and manslaughter. Offenses of murder and manslaughter committed by any young person under 10 years of age or over are transferred by the Youth Court to the High Court. In other cases where children’s offenses cause concern, they may be dealt with either by warning, police diversion or a \textsuperscript{36} The world was shocked with the accusation of a nine-month old Pakistani child in April 2014. Although it drew the highest criticism of the justice system in the country and the judge dismissed charges, however it remains one of the most vivid and latest examples of such a legislative gap. Besides, this is further international evidence of the possible consequence of how the wrongful acts of police lodging the case are of vital moral damage for a child in conflict with the law. \textit{Указан недопустимый источник}. Family Group Conference. Alternatively they may be referred to the Department of Child, Youth and Family Services, in need of care and protection.\textsuperscript{37} The vast majority of offending by young people (83\%) is now dealt with under the alternative youth justice procedures under the control of the Police. (Maxwell, 2002) 4.2 Institutional Reforms 4.2.1 Networking From the described situation on juvenile justice in RA we can observe the scarcity of institutions tackling this issue. Pre-trial phase is one of the most untouched and dismissed levels in administrating the case. Though the codes cited provide some aspects of regulation, such as interrogation timing and representation of interests by the lawyer or parent (safeguard) very many other international practices concerning the treatment and administrative rules are not embraced. Particularly, the Juvenile Division within each police station undertakes the responsibility of minimizing the risk in juvenile delinquency which in its turn is limited only through running a specific database for not more than a year per a child. Further obligations are delegated to the general Investigation Department without any distinction to the peculiarities of juvenile cases. The preventative measures in Armenia are thus limited. The Juvenile Division should monitor the children with anti-social behavior not only from vulnerable families or care giving institutions, but should implement projects to monitor minors from younger ages involving school teachers and specialists from other related fields.. The Juvenile Division should also foster the networking of other governmental bodies such as Trusteeship Council from Municipalities, Family, Women and Children Marz Departments as well as institutions fulfilling government support of vulnerable families etc. This approach involving all parties, which provides community supervision of juvenile delinquency, can fulfill many other tasks for the Juvenile Division such as \textsuperscript{37} As we can observe there are several institutions handling certain aspects of juvenile offenders’ issues. There are 32 Youth Offending Teams made up of Youth Justice, Health, Education and the Police to monitor offending within local communities. The teams are staffed by each agency and meet monthly to coordinate services for offenders within their area. For Armenia the implementation of such a systematic approach at the moment is financially impossible. • expanding the area of surveillance of children through a cooperation network between school policemen, community social workers from state departments and staff members of social allowance departments; • restructuring child rights departments and creating of a joint committee to consider preventative and integrative measures for minors in conflict as well as to follow up pre-trial and trial processes while ensuring juvenile legislative rights. As an excuse for not implementing efficient mechanisms in juvenile justice monitoring, inspectors mainly mentioned the financial deficit in the state budget. However suggested points do not require increased funding and financial support from the state, moreover it can reduce the hiring for positions in different local authorities, for example one social worker could be recruited per police department instead of several in different state institutions or the specialization and enrollment of one investigator in juvenile justice issues instead of retraining all police officers on friendly juvenile justice. Below are some experiences from other countries that prove the efficiency of using this model. Though the political and policy system on juvenile justice in some of the countries mentioned below is different, the areas of juvenile justice practice are of no contradiction to the current legal and institutional laws concerning juvenile justice in Armenia. Research carried out in the United Kingdom and the Unites States concluded that prevention programs are most effective when targeted at children of 8-12 years of age. The Youth Justice Board of England showed that young people start committing crime, usually non-serious ones, and display anti-social behavior when they are between 10 and 12 years old and that the peak age for offense is 14 years old. (Blakeman, 2011) On average, children who have been excluded from school start to commit crimes a few years earlier than children attending schools. The United States study concluded that gang prevention and substance abuse prevention works better when children are slightly older (12 to 14 years old). (Child, 2011) A national Crime Prevention Council (Det Kriminalpreventive Rad or DKR) was established in Denmark in 1971. This was the first such body in the world. The Council is made up of local crime prevention committees (SSPs), which bring together representatives of schools, the police and social services. The SSP system works in nearly every municipality in the country. Each SSP has a management committee comprised of the local heads of education, police and social services. (OSF, 2012) In England and Wales, Youth Offending Teams (YOTs) are located in each local authority. The inter-disciplinary teams are made up of representatives from the police, probation service, social service, health, education, housing and drug and alcohol services. The multi-agency approach enables the YOT to identify a suitable program to address the needs of the young person with the intention of preventing further offending. The YOTs implement a range of targeted prevention programs for 'risk' groups ages 8 to 17 years. The programs include early intervention schemes, youth inclusion programs, safer school partnerships and parenting programs. (UK, 2013) The Danish SSP-concept is another example of the effective multi-agency collaboration which is characteristic of Scandinavia’s approach to juvenile justice. The SSP concept involves systematic collaboration between schools (S), local social welfare (S) and local police (P). As of 2005, SSP committees have been established in more than 90% of Danish municipalities for the purpose of educating school students, teachers and parents on the prevention of criminality as well as other sorts of dysfunctional behavior such as alcohol and drugs misuse. (Justice, 2005) 4.2.2 Competent Juvenile Inspectors and Judges With the due coherence of the results and findings of monitoring and interviews, as well as the legislative basis for alleging the absence of juvenile courts and professionally retrained investigators to deal with juvenile cases, this can constitute as another recommendation for the state. As the guidelines for Action on Children in the Criminal Justice System indicate, states should establish juvenile courts with primary jurisdiction over juveniles who commit criminal offenses and a special procedure should be designed to take into account the specific needs of children. As an alternative, regular courts should incorporate such procedures, as appropriate. Considering the general practice in RA of vindicating juvenile in a pre-trial, the second variant, incorporation of juvenile courts, is the most relevant. However, this doesn’t suggest that cases should be left out without special procedures envisioned by the guidelines. Wherever necessary, national legislation and other measures should be considered in accord with all the rights of and protection for the child prescribed by Convention on the Rights of the Child (Council, July 21 1997). During the pre-trial phase the investigation and case management by a competent authority is quite important. Chapter I specifies why it is that important. In Armenia the introduction of a school policeman is the only innovation that proves the accomplishment of the focus on child rights. However, the latter does not consider or play a part in criminal cases. The general practice of assigning a specialized inspector to juvenile cases should be implemented. Thus the need for professional retraining, the prosecution, filing, interrogation and any other related responsibilities should be managed by one specified inspector. The number of the vacancies in each police department is already regulated by the inner state policy in relation to the offenses in the region, population size, i.e. juveniles, etc. 4.2.3 Leading Guideline Except for the violations of rights by the police staff, another large gap in conducting pre-trial interrogation is the absence of ethics in communication with the child. These codes of conduct concern the experience, values, perceptions and professionalism of the state representative dealing with the juvenile in the pre-trial. That is to say, even if an inspector was concerned that implementing any guidelines concerning the conduct of the child in conflict with the law would restrict the inspector's obligations, such a guideline should be suggested in order to avoid infringements of a child’s basic human rights. The juvenile should be considered as an individual who is at a certain stage of development, with vulnerable physical and psychological needs, and therefore easily provoked into aggression and isolation. Principles such as no abuse, no violence, no physical or psychological offense toward the juvenile in pre-trial interrogation; presumption of innocence, a high degree of understanding, kind firmness in interrogation and counselling with specialists from certain fields such as age-focused and forensic psychology, pedagogues, probation social workers; are supposed to be implemented through mechanisms such as generating Guidelines of Ethics for Interrogation of Under-Age Offenders which should be considered as a bible for the pre-trial interrogation of all juveniles, regardless of their status - witness, victim, suspect or accused. Moreover, this safeguard shouldn’t be considered as another legal provision to be evaded or interpreted in the interests of the police officer. The principles in here should be in full compliance with international and regional legal provisions regarding terms such as torture, ill treatment, coercion and intimidation, best interest of the child, and respect of the child’s dignity, and many others. The risk of the guideline to invoke any certain behavior from the police staff should be minimalized since the individual approach won’t deviate from the general description of basic rights of the juvenile. Moreover, those without experienced in running investigations with juveniles and those who have never studied any criminology literature on interrogating juveniles, can be self-educated and supervised by this initiative. The most positive outcome of the friendly juvenile system is the diversion. Diverting the child does not mean that the offending behavior of the child is simply not considered or ignored, instead it allows taking further steps in the prevention of juvenile delinquency through understanding the causes rooted in youth crimes. The CRC provides that diversionary measures include care, guidance and supervision orders, counselling, probation, foster care education and vocational training programs and other alternatives to institutional care.$^{38}$ Legislation should permit diversion at any point up to the time that the formal trial begins. In order for diversion to work effectively, the police, prosecutors and other agencies dealing with juvenile cases (including the court) need to be legally competent in disposing cases without resorting to a formal hearing before the court.$^{39}$ Hence, juvenile justice legislation should contain specific provisions indicating in which cases diversion can be applied.$^{40}$ It should also confirm the fact of no limitations in dealing with minor offenses$^{41}$, nor first-time offenders$^{42}$, and should be of general use while dealing with juvenile. Discrimination based on any reasoning should be reflected not only on a constitutional level but should be highlighted in the work with juvenile offenders. The Law on the Rights of the Child forbids the use of violence, threats and other illicit actions against the child for the purpose of forcing the child to testify or plead guilty.$^{43}$ 4.2.4 Enhance Monitoring and Follow Up Facilities at a State Level A right-based approach and the way of treating the child in conflict with the law can be produced and be perfectly in accordance of general acknowledgement and appreciation. In fact, it won’t necessarily mean the implementation is efficient too. Starting from the notification, which according to the 2013 Ombudsmen Annual Report, most of the time, is sent after posing a series of questions to juveniles without informing parents. That is to say, the legislative guarantee of informing the child of his rights, --- $^{38}$ Article 40 (4) of the CRC. $^{39}$ Rule 11.2 of the Beijing Rules. $^{40}$ Committee on the Rights of the Child General Comment No 10 (2007), para 27. $^{41}$ Rule 11, Commentary of Beijing Rule. $^{42}$ Committee on the Rights of the Child, General Comment No 10 (2007), para 25. $^{43}$ Article 31, Protection of the Child's Right while Prosecuting the Latter, the Law of RA on the Child's Rights. assigning a legal representative to the investigation process, participation of a pedagogue and many other consequent rights are violated with habitual practice. In fact there is an actual need for using tape and video recorders during the pre-trial interrogation as the presence of someone, be it an inert teacher or parent, doesn't necessarily ensure the respect of the juvenile's rights in a pre-trial interrogation. The desk follow up, if it's made available, can register violations afterwards, however, this will be of no significance in the prevention of an abuse, violation or intimidation of the offender. There is an urgent need to foster monitoring facilities at a state level, as the task of watchdog in the area is the responsibility of civil society representatives and the Ombudsmen office, which in its turn identify violations based on individual appeals. Once a state has passed legislation bringing a juvenile justice system into being, and once all the professionals working in the system have been trained, issues of implementation may still remain. The Committee on the Rights of the Child recommends that states should undertake regular evaluation of their juvenile justice system, and particularly the effectiveness of measures taken, including those concerning discrimination, reintegration and recidivism. A useful resource in this respect is the Manual for the Measures of Juvenile Justice Indicators (UNICEF/UNODC, 2007). A review of existing procedures should be undertaken, and where possible, diversion or other alternative initiatives to the classical criminal justice systems should be developed to avoid recourse to the criminal justice systems for young persons accused of an offense. Appropriate measures should be taken to provide a broad range of alternative and educative measures at the pre-arrest, pre-trial as well as trial and post-trial stages, for better prevention from recidivism throughout the state. The guidelines draw particular attention to the following follow up points among them the review of existing and proposed juvenile justice laws and their impact on children by an independent expert or other types of panels. (Council, July 21 1997) Above all, the state monitoring may be deemed as the self-assessment process. It means the state gather and manages accurate, understated data on the practice and administration of juvenile justice. This empowers the state to recognize juvenile offending trends and the effectiveness of existing measures and programs as well as enables the state to target resources, develop and define initiatives and handle gaps. All states should ensure that \footnote{14 (b) of the guideline.} their legislation requires national statistical bodies to collect and collate such data from the police, prosecutors and courts. (UNICEF/UNODC, 2007). 5. CONCLUSION The overall evaluation of the legal and systematic framework of juvenile justice in Armenia allows room to allege that the biggest challenge here is the problem of systematization. A system in itself does not exist in RA, instead there are unregulated arrays of legal documents, the existence of certain agencies and divisions do not flow from the needs of existing child rights documents but are the outcome of certain orders. The Juvenile Justice Establishment plan is not interrelated with the civil society activities acting in the field and the promotion of networking should be one of the main objectives of the plan. The matter concerning the minimum criminal responsibility age, certain responsibilities and obligations and many other clarifications are minor but frequent within legislation. The latter comes with many obstacles, violations and failures in the implementation and process of the criminal procedure. The National Action Plan of RA emphasizes mostly activities and motions on juvenile crime prevention, but this phase also needs to be revised. However, the field as a whole needs to be reviewed from a systematic approach: implementation, management, monitoring and evaluation elements should be incorporated in the relevant human rights context. The guarantees concerning both administrative and behavioral treatment of juveniles in conflict with the law touch upon the basic needs of children and the concepts of non-discrimination, ill-treatment, dignity issues and many others dealing with the value system. The matter of individual approaches within police departments, the privilege of opinion in particular, conduct influenced by individual understanding and perceptions should be replaced with a law-based treatment. The laws, which are supposed to fulfil those values and needs are lacking very minimal requirements including some logical ones such as the minimum age of criminal responsibility and the requirement of specialization of police staff dealing with juveniles. Among the reasons for having a less developed juvenile justice in RA were allegations such as not having many criminal cases committed by minors, no need of setting state guidelines on treating the child as the national and cultural heritage ensures it instead, the lack of financial resources etc. As for the number of criminal cases committed by juveniles, the statistics proved the contrary, showing juvenile crimes had doubled in recent years in comparison with post-Soviet times. Despite this dynamic expansion, the monitoring of juvenile justice is not properly conducted neither at legislative nor at implementation levels in Armenia. This is one of the root causes for not perceiving the emerging need of subsidiary legal and strategic programs on the field. Best interest principles concerning child treatment do exist in Armenia, however, the studies and interviews prove that while they exist, the principles are not adhered to in criminal proceedings. In fact, human rights are perceived in many states as an international legal regulation imposing the domestic laws. However, a good understanding of human rights as a set of guarantees should be promoted, fulfilled and executed in Armenia. The more it complies with the needs the more it is reflected in the legal and normative background of the state. The assumption of having a family-centered and child cherishing culture in Armenia is part of an identity issue, which is deemed to be challenged if violations of the rights of the child in conflict with the law keep on occurring in RA. The wide range of issues and successes in almost all the phases mentioned in the dissertation display the causal consequences of violations that have taken place in pre-trial proceedings. Starting from initial contact right through to the incarceration and treatment of the minor already at the trial is accompanied by psychological factors. Ill-treatment of juveniles - insults, harsh language, unprofessional attitude through impositions and threats - which is not guaranteed to lead to torture, is condemned by government officials, however, improvements require patience. The 3T approach conceptually targets needs, most of which are changes to be made in juvenile justice proceedings. Considering the child as a vulnerable recipient of law would demystify the need for approaching a child with a kind firmness rather than abuse to touch his/her immunity. It also reveals the need to approach a child as an individual and as instant cases mentioned in trial such as calling juveniles weird nicknames or in the statement of inspectors when they claim that the juvenile respective to the crime committed is often treated as a criminal individuality. There should be an understanding of the subtle psychology of the child that corresponds with the age in scope of vulnerability in the development of the minor. Though the first chapter highlights the legal side of juvenile justice in national jurisdiction, the mission of this dissertation is to prove the necessity of adopting human rights values at both executive and legislative levels. Certainly it's not an easy task to fulfil in countries with a post-Soviet, historically rooted criminal system, but a step forward is taken too slow in comparison with the democratic, economic and other modern changes in temporary Armenia. A change in mentality is to be concluded from the above discussion with regards to the facts and situation in the system. The opinions of specialists from different ages, region, investigation departments, educational backgrounds, positions and experiences have been considered, but most of the replies to the addressed questions were very similar, which helps us understand that the general atmosphere needs to be modified. If this does not happen the contrast between human rights education and general practice in pre-trial and trial proceedings will be a hindrance in the implementation of sustainable and flexible changes in the juvenile justice framework. In conclusion, I can claim that in Armenia there is hope and the necessary facilities for improving and establishing an ascribed system for the fair examination of juvenile criminal cases in the course of pre-trial and trial phases. Justice, fairness and a perfect system are debateable concepts but basic psychological, mental, physical, age-corresponding needs are worked out and comprised in human rights values which are reviewed, refreshed and nourished year by year with international efforts. These efforts should be multiplied with each state, in particular in RA to ensure the well-being of its own citizens. Finally, fair examination of criminal cases is a step towards preventing juvenile delinquency. The proper treatment with supportive laws is a specific tool in dealing with juvenile offenders at the early stages of their development. Garegin Nzhdeh, Armenian statesman and military strategist in one of the most difficult periods of Armenian history, once said that re-education is the last resort of people with an endangered future. If referred to juvenile offenders, the future of their criminal biography depends on the way they were treated while suspected or accused of a certain crime. Framing of the guilt, which was one of the common violations, would mean sentencing to the future at a stake. As we can see, the challenges are extensive and only the will of the state and incorporated forces of involved societal and state bodies are able to make the necessary amendments. Hopefully one of the contributing factors to improving the juvenile justice system may be studies such as this dissertation. 6. 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Part 1. Article 1). General Assembly. UNICEF. (1998). The Status of Juveniles in the Juvenile Colony, UNICEF/National Centre for Democracy and Human Rights. p. 2. UNICEF. (2001). Report on Juvenile Justice and Delinquency in Armenia. Ministry of Justice data. UNICEF. (2010). UNICEF Armenia. Retrieved from www.unicef.org: http://www.unicef.org/infobycountry/armenia_statistics.html. UNICEF/UNODC. (2007). Manual for the Measurement of Juvenile Justice Indicators, United Nations. 7. ANNEX 1 1. Convention on Child Rights (RA, ratified in 1992). 2. European Social Charter (reviewed) ratified in 2004. 3. Convention on the Minimum Age of the Child (Convention N 138 of International Labour Organization of 3 October 2005) ratified by RA on 27 January 2007. 4. Optional Protocol on the Sale of Children, Child Prostitution and Child Pornography, Optional Protocol on the Rights of the Child in Armed Conflicts ratified by RA in 2004-2006. 5. Civil Code of RA (adopted by National Assembly of RA on 5 May 1998). 6. Convention on Protection of Children and Co-operation in Respect of Intercountry Adoption (with additional protocols) ratified in 2007. 7. Family Code of RA, National Assembly of RA, November 9, 2004. 8. The Law of RA on the Child’s Rights put into effect by National Assembly on May 29, 1996. 9. Law of RA on Social Protection of Disabled People (outlined articles 12-15) National Assembly of RA adopted on 24 April 1993. 10. Civil Code of RA, National Assembly of RA, May 5, 1998. 11. Law of RA on Civil Status Acts put into force by National Assembly of RA on 9 December, 2004). 12. Law of RA on Social Protection of Children Without Parental Care, National Assembly on March 5, 2005. 13. Code of Civil Procedure of RA (revised), National Assembly, July 7, 2005. 14. Decision No 1745 on confirmation of National Action Plan on Child’ Rights Protection of 2004-2015, 29 December 2003 15. Decision No 983 of government of RA on Confirmation of Order to Provide Shelter for Children Without Parental Care, 23 July 2003. 16. Decision of government of RA No 917 on confirming the Regulation for Defining the Registration of Children without Parental Care and Children Considered as Without Parental Care and Amendment in the Decision No 111 of Government of RA on March 13, 2000. 17. ‘State Support to Alumnus of Child Care Giving Institutions’ project confirmed by RA government decision No 1419 of October 30, 2003. 18. ‘The Authorization by the RA Government as a Governing Body and State Social Minimum Standards for the Care and Upbringing of children in Orphanages and Care Giving Institutions’, decision No 1324 of government of Republic of Armenia, August 5, 2004. 19. Decision No 159-N of government of RA on ‘A Lump Sum Aid to Graduates of the Orphanages (whatever their organizational and legal form is)’, February 17, 2005. 20. Decision No 381 of government of RA on Confirmation of the List of Child Care Giving and Child Protection Institutions Types, and Additions and Amendments in Decision No 2179- N, Decision of Government of RA on 26 December, 2002, 24 March, 2005. 21. The decision N 835- N of prime minister of RA (28 Oct. 2005) on Establishment of National Committees, Charter of the Committee and Individual Staff. 22. RA Decision No 922 of June 8, 2006 on Confirmation of the Charter of Trusteeship and Guardians Bodies and Repeal of the RA government decision No 111-N of 13 March, 2000. 23. Decision No 1877 of Government of RA -N on Procedure of Providing day Care for Children, December 7, 2006. 24. Decision No 1735 on Procedure Confirmation of Accomodation Needs of Children in Child Care and Protection Institutions (orphanages, boarding schools) of government of RA on November 9, 2006. 25. Decision No 815- N of government of RA on Confirmation of Minimum Standards of Child Care and Services to the Children in Orphanages (irrespective to its legal organizational form), on May 31, 2007. 26. Strategic Plan of Reforms in 2006-2010 for Social Protection of Children in Difficult Life Situation and Pilot Program for Unloading the Vanadzor Orphanage, Orphanages For Orphans, Mentally Retarded Children and Children Deprived of Parental Care No 2 and No 3 of Vanadzor, Stepanavan Orphanage No 1 and Spitak Orphanage of Lori marz, decision No 206-N of government of RA on 12 January 2006. 27. Decision No 459- N on ‘Regulation for Children Given to a Tutorial Family’, ‘The Order and Amount of Monthly Paid Sum to the Tutorial Family for Keeping Children and Sum for Care and Upbringing of the Child’, ‘Agreement Form for the Tutorial Family’, government of RA on May 8, 2008. 8. ANNEX II Blank interview form for Investigators of Gegharkunik Marz Investigation Department, RA DATE: ________________/ ___/ 2014 Personal Details 1. What is your education and how long have you been working as an inspector? ____________________________________________________________ ____________________________________________________________ _________ 2. Have you participated in a special re-training course to deal with juvenile cases? If 'yes' when and who was the organizing party? ____________________________________________________________ ____________________________________________________________ _________ 3. Have you ever turned to a pedagogue for a counsel regarding the treatment to the juvenile? If not, do you consider this method a productive one for dealing with a juvenile in certain cases? ____________________________________________________________ ____________________________________________________________ _________ 4. Have you ever conducted any practice exchange visits with the colleagues from other marzes/ countries? If ‘yes’ when was the one? ____________________________________________________________ ____________________________________________________________ _________ Interrogation Procedure 1. Are there any manuals tackling interrogation rules, regarding the interrogation of juveniles specifically? If ‘yes’, which legal act regulates it? ____________________________________________________________ ____________________________________________________________ _________ 2. How many detained people, both adult and juvenile, are there in your department at the moment? What is the detention practice among adults? __________________________________________________________ __________________________________________________________ __________________________________________________________ 3. Do you consider the social conditions, social behavior, former criminal behavior and criminal offenses of the juvenile? __________________________________________________________ __________________________________________________________ __________________________________________________________ 4. Who is present at the interrogation of the juvenile? __________________________________________________________ __________________________________________________________ __________________________________________________________ 5. Are you present during the communication between the juvenile and his/her lawyer? __________________________________________________________ __________________________________________________________ __________________________________________________________ 6. How do you gain the trust of the juvenile to start the interrogation? __________________________________________________________ __________________________________________________________ __________________________________________________________ 7. What methods do you usually use to obtain information in a faster way? __________________________________________________________ __________________________________________________________ __________________________________________________________ 8. Do you inform the juvenile about the evidence against him/her given by the witnesses? __________________________________________________________ __________________________________________________________ __________________________________________________________ 9. What methods do you use to persuade the juvenile to acknowledge the guilt? __________________________________________________________ __________________________________________________________ __________________________________________________________ 10. What is the duration of the interrogation, break times and break days? ______________________________ ______________________________ ______________________________ 11. In what cases do you apply to detention of the juvenile suspect? ______________________________ ______________________________ ______________________________ 12. Have there ever been cases when false information was provided to gain information during the interrogation? If 'yes' provide examples. ______________________________ ______________________________ ______________________________ 13. Which methods do you consider imperceptible to use during the interrogation? ______________________________ ______________________________ ______________________________ 14. Was there any need to use external tools, staff, documents, photos, records during the interrogation? ______________________________ ______________________________ ______________________________ 15. What changes would you like to see in juvenile justice system of the Republic of Armenia? ______________________________ ______________________________ ______________________________ Other comments ______________________________ ______________________________ 9. ANNEX III INTERROGATION OF JUVENILE SUSPECT << >> _______________ 20__ _________________________ Interrogation started at ____________ End time ____________ The inspector of the Investigation Department of Gegharkunik marz ___________________/full name/ according to the criminal case No_______, preserving the requirements under Article 209 and 211 of Code of Criminal Procedure, at the administrative building of Investigation Department of Gegharkunik with participation of defender ____________________________/full name/, legal representative parent______________________________/full name/, interrogated the following juvenile suspect. 1. First name, surname, father’s name _______________________________________ 2. Birthday dd/mm/yy___________________________________ 3. Birth place _______________________________________ 4. Nationality and citizenship _______________________________________ 5. Education _______________________________________ 6. Family status _______________________________________ 7. Employment place _______________________________________ 8. Occupation and position name _______________________________________ 9. Place of residence and current address _______________________________________ 10. Information on previous convictions _______________________________________ 11. Characteristics ________________________________________ 12. Health status According to Article 211 of the Code of Criminal Procedure, the juvenile suspect was informed about the suspicion under Article ___ Code of Criminal Procedure on committing a crime which is __________________ and the rights and obligations of suspect explained at the Article 63 of Code of Criminal Procedure, including the means of defense not prohibited by law, the refusal of bringing testimony and the right of being interrogated in the presence of the advocate. ________________________________________ Upon the suspicion against which the suspect is opposed ______________________________ he/she informed the following _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ _________________________ The 2019-2020 school year was a challenging one for all of us, and we are grateful to our students, families, staff, and community partners for their resilience and dedication during this time. We look forward to continuing to work together in the coming years to ensure that all students have access to high-quality education and opportunities for success. Thank you for your continued support of our mission to provide a world-class education to all students.
Member Profile: Dave Myers-Volunteer, Engineer, Guitarist When someone was needed last November to coordinate our club’s support of the Salvation Army annual bell ringing, Dave Myers volunteered to take on those duties. Organizing volunteers added to the list of ways that Dave has been active in our club. His favorite service project is Rotary Reads. “First graders are awesome,” he remarked. Dave has also helped with the beautification of the Max Erhmann statue site, downtown clean up, the Goodwill Drive and he has visited elementary schools to distribute dictionaries. Dave is also among the group who provides an invocation each week. Dave knew about Rotary at a young age. His dad was president of the Rockville Rotary Club when Dave was in elementary school. Dave believes the strengths of our club include our diversity of people and the number of service projects the club supports. Asked how our club has changed during his 10 years as a Rotarian, Dave said, “Our gender mix has improved, and we’re a kinder, gentler club.” He grew up in Rockville, the second of five children. Dave was valedictorian of his high school graduating class. “My mom and dad were Purdue grads. I ‘went astray’ and graduated from Rose-Hulman in 1975 with a bachelor’s degree in civil engineering,” Dave noted. “Music became a part of my life at age 12 when I started playing guitar. The 70’s were full of playing guitar professionally, attending college, and marrying my lovely bride Robin,” he recalled while noting that a band from England whose members were Paul, George, John and Ringo were a strong influence on his love of music at that time. Dave is president of Myers Engineering which just celebrated its 25th year in business. The company provides a range of civil engineering services locally, in the Wabash Valley and as far away as Guatemala. Licari Introduced as New Rotarian Mike Licari, provost and vice president for academic affairs at Indiana State University, was recently inducted as a Rotarian by Brien Smith, club vice president and program chairman. Licari joined the ISU administration last July after serving in a variety of academic and administrative positions the past 14 years at Northern Iowa University including interim provost, dean of the graduate college and professor of political science. He received the Helping Students Succeed Award from UNI's Division of Student Affairs in 2014 and the College of Social and Behavioral Sciences Outstanding Service Award in 2009. Licari's community service activities have included advising the Cedar Rapids school district in revising its social studies program to reflect a change in the form of city government. He was a Boy Scout scoutmaster, a member of the Cedar Falls High School Band Boosters and served as chair of the Malcolm Price Lab School Parental Advisory Committee. Licari holds a bachelor of arts degree in political science from the University of Minnesota and a master of arts and a Ph.D. in political science from the University of Wisconsin-Milwaukee. His teaching has been in public policy, public administration and statistics, including classes on public health policy. Licari has a wife, Kirsten and a son, Daniel. Feb. 2 Vote to Approve 2016-17 Officers, Board Members The following candidates for positions of club officers and Board members will be presented to the club at the Jan. 26 and for a vote at the Feb. 2nd meeting: President—Brian Ross, President Elect—Brien Smith, Vice President—Becky Miller, Treasurer—Mike Collins, Secretary—Santhana Naidu. Proposed new Board members are Nick Mahurin, Holden Davis, and Mary Caye Pfister. Board members proposed for another term are Kim Ingalsbe, Bill Aubin and David Bolk. Board members are elected to a two-year term. President’s Column: “Hoosiers” Fundraiser Support Grows Happy New Year! Yes, the Rotary year is half over but don’t let up now. There is much to be done. As all of you know, we have our very first fundraiser coming up Friday, March 11th. Our showing of ‘Hoosiers’ and the on-stage talk ahead of time (led by Rotarian Craig McKee) has the possibility to become a special evening for our community. The early response has been fantastic. What I am most encouraged about is the fact that many of our members (20+) have reached out to me and have agreed to volunteer in some capacity for the event. “Service Above Self” is not just a motto for “Rotary” it is truly a way of life for members of our club. Whether it is helping with the Goodwill Drive, ringing the bell for Salvation Army or volunteering to give the invocation at one of our meetings, MANY members of our club have recently gone beyond just showing up for lunch each Tuesday. Now, back to ‘Hoosiers’. Even if you are unable to volunteer that evening I hope you will consider buying two (or more) general admission tickets to the event. If every member of our club (currently 135 members) bought at least two tickets, combined with table sales, we could easily reach our goal of raising $6,000 for the event. That would mean $3,000 to our local Terre Haute Rotary Foundation and $3,000 to Rotary International. Wow! That would be fantastic for a brand new fundraiser. Please consider supporting this event in some way. If you need more information on the event please shoot me an email (firstname.lastname@example.org) or find one of our event committee members: Mike Collins, Craig McKee, Dave Piker, Brian Ross, Santana Naidu, or Sally Stewart. Silent Auction Items Needed for “Hoosiers” Fundraiser An important part of the “Hoosiers” special event is a silent auction to help raise funds to meet the $6,000 goal. “We are looking for items with a connection to Hoosiers basketball and /or whatever you would like to donate such as dinner packages,” explained Sally Stewart, who is coordinating the silent auction. To support the auction contact her at email@example.com. 43 Members Volunteer to Ring Salvation Army Bell or Give Invocation How active are members of our Rotary club? In addition to those Troy mentioned in his column who have volunteered to help at the “Hoosiers” special event, 25 gave an hour of their time to ring the Salvation Army bell, and 18 others have volunteered to give the invocation between now and the end of June. During what had to be the warmest Rotary/Salvation bell ringing day in many, many years; the following Rotarians volunteered an hour and obtained $1,480 in donations for the Salvation Army: Chuck Shutt, Chad Cates, Tom Dever, Nick Mahurin, Bill Kauffman, Earl Elliott, Aimee Jacobs, Chris Koszewski, David Bolk, Dave Piker, Gayland Jones, Troy Fears, Gary Behan, Rick Kohr, Polly Jeffers, Dan Gmelich, Thom Foster, Karrum Nasser, Aaron Loudermilk, Ron Danielson, Nancy Rogers, Scott Williams, Mike Licari, Jane Nichols, and bell ringing coordinator Dave Myers. Invocators include Lynn Maurer, Lou Harmening, Tom Dever, Dave Myers, Brennan Randolph, Rick Kohr, Stephanie Welsh, Brad Bush, Jim Tanoos, Betsy Wilkinson, Earl Elliott, Ray Rickert, Beth Tevlin, Vern Fellows, John Perry, Dan DeBard, Santhana Naidu, Gary Schomer, Chuck Shutt, Eleanor Ramseier and invocation chair Bryan Sponsler. The Birth of the Four-Way Test One of the most widely printed and quoted statements of business ethics in the world is the Rotary Four-Way Test. It was created by Rotarian Herbert J. Taylor in 1932 when he was asked to take charge of the Chicago-based Club Aluminum Company. The company was facing bankruptcy so Taylor looked for a way to save the struggling company mired in depression-caused financial difficulties. He drew up a 24-word code of ethics for all employees to follow in their business and professional lives. The Four-Way Test became the guide for sales, production, advertising and all relations with dealers and customers. The survival of the company was credited to this simple philosophy. Taylor became president of Rotary International during 1954-55. The Four-Way Test was adopted by Rotary in 1943 and has been translated into more than 100 languages and published in thousands of ways. Chair of Rotary Foundation Featured at District Conference If you are interested in learning more about the impact and goals of the Rotary International Foundation you have an excellent opportunity to become more informed by attending the District Conference, April 9 in Bloomington. The conference schedule has been compacted into one day at the Monroe County Convention Center. Featured speaker at the conference will be Ray Klinginsmith, chairman of the Board of Directors of the international foundation. The Group Study Exchange team from India will also speak at the conference. Cost to attend is $99. Register for the conference at www.rotary6580.org Next Board Meeting – Monday, Feb. 8, Noon, Goodwill Industries Attend to help your attendance Have you bought your “Hoosiers” tickets yet? \| Day \| Member \| \|-----\|----------------\| \| 4 \| Tanoos, James \| \| 5 \| Pepperworth, Lisa \| \| 7 \| Foster, Thom \| \| 10 \| Newman, Jack \| \| 10 \| Songer, Steven \| \| 10 \| Williams, Stephen \| \| 13 \| Llewellyn, Dierdre \| \| 13 \| Wiemuth, Robert \| \| 19 \| Fears, Troy \| \| 20 \| Hewitt, Brian \| \| 21 \| Myers, Dave \| \| 22 \| McKee, Dale \| \| 23 \| Ralston, Patrick \| \| 24 \| Danielson, Ron \| \| 29 \| Farr, Michael \| \| 29 \| Fellows, Vern \| \| Years \| Member (Day) \| \|-------\|----------------------\| \| 1 \| Loudermilk, Aaron (27th) \| \| 1 \| Nasser, Karrum (13th) \| \| 2 \| Miller, Becky (21st) \| \| 3 \| Jukes, Tom (15th) \| \| 4 \| Hughes, Lynn (10th) \| \| 6 \| Gmelich, Daniel (20th) \| \| 10 \| Zuerner, Josh (3rd) \| \| 13 \| Rogers, Nancy (14th) \| \| 26 \| Farr, Michael (16th) \| \| 26 \| Welsh, Stephanie (30th) \| \| 27 \| Stark, Dennis (10th) \| \| 28 \| Williams, Stephen (12th)\| \| 41 \| McLaughlin, Robert (6th)\| \| 42 \| Newlin, Thomas (29th) \|
Greetings Everyone, My goodness, what a whirlwind of a month weather-wise and otherwise. I hope there were no hardships among our members due to the inclement weather. I was sorry to have to cancel our first ROPS rehearsal, but heartened to know that Maple Leaf Lutheran opened their doors for the homeless during the worst of the freeze. On a personal note I will say that I loved the connection with folks in the neighborhood as a result of being snowbound, seeing all the creative snow sculptures on the streets, and the incredible silent beauty - before it all started melting. We had over 11 inches on our street so there is a lot of melting going on! After four concerts with Cléa Galhano I am thoroughly inspired to keep on playing Brazilian music or basically anything with a Latin swing! Cléa and I will be teaching a weekend workshop and performing together in late March in Kona, on the big island of Hawai’i, where our focus will be Bach, Brazil and Beyond. So that, dear members, is what I have planned for the March meeting! There will be an opening program, so I will be efficient and try not to over-plan in my zeal. My goodness, it just occurred to me while writing this, that the March playing session will be my last conducting session of the season. Miyo Aoki will be the guest conductor for the April session and then we have Members’ Night in May. So I promise an entertaining evening full of hip-wiggling, toe-tappin’ music! Works by Astor Piazzolla, Pixinguinha and Sören Sieg, among others. All sizes of recorders SATB, Gb and Contra will be welcome. If anyone wants to bring a shaker or two I’m sure we can find something for you to do. Send me a quick message if you would like the music ahead of time, and let me know what size you want to play. Looking forward to seeing you soon! For the opening program we have invited Kris Kwapis to return. Please read below what she has to say. Opening Program (Kris Kwapis) — Sound an Alarm! (or How to Play Trumpet Calls Without Being Thrown in Jail) Most people associate the trumpet with fanfares and bugle calls — for good reason! In my presentation, I will discuss some of the ways the trumpet is used as a symbolic vehicle, primarily based on our historical functions, while shedding a bit of light on the traditions, rights and privileges of members of the Trumpet Guilds. Part of the discussion will focus on various concepts of articulation used on the trumpet to more effectively deliver a musical message, one that sometimes carries with it implications of life and death. If members would like to bring their own favorite examples of repertoire for recorder containing references to trumpet fanfares, please do! Local Recorder Happenings Registration is Open for The 2019 Port Townsend Early Music Workshop July 7-13 at the lovely campus of the University of Puget Sound in Tacoma. We are especially excited to welcome the composer Sören Sieg from Germany. Check the website to see details and register for the workshop. Play the Recorder Month—Music From Around the World Sunday, March 10 Join us for a lively concert of recorder music. This annual chapter event will take place at the Third Place Commons in Lake Forest Park, just north of Seattle. Come and hear a community concert featuring a variety of international music and various genres. Music performed by local recorder ensembles including mixed consorts, members of the Seattle Recorder Society and more! Join other recorder players at the beginning of the concert to play the composition commissioned by the American Recorder Society for Play the Recorder Day, entitled “Fantasia on Faithless Nancy Dawson” by Phil Neuman. All events are free. Come for all or part of the program. New this year: for the “Warm Up and Playing Session”, we will rehearse the PTRD 2019 composition and play other pieces. Thanks to all who have volunteered to play at this event. We have a full program, but if you are interested in performing next year, please do let me know! 1:00pm - 2:30: Warmup and Playing Session (new this year!) in the Stadler Room 3:00pm - 4:00pm: Concert on the Third Place Commons Stage Sunday, March 17: Nina Stern’s East of the River!!! Nina Stern and her group East of the River will perform in Seattle twice this day. This is a must-not-miss concert for any recorder player who can make it. See the description in the Events Calendar. 2018/2019 SRS Meetings Meetings are usually (but not always—see d dates below) held on the first Friday of each month, September to May, at 7:30pm, Maple Leaf Lutheran Church, 10005—32nd NE, Seattle. Meetings often include a short performance of interest to recorder or viol players, ensemble playing for all levels of recorder players, and a beginning recorder ensemble. A $5 donation is requested for non-members. March 1 April 12 *May 10 Refreshments (March) Fruit Mike Woolf Veggies Janice Klain Baked goods Betty Swift Christiane Schultz Thank you for volunteering! Saturday, March 23 @ 2:00 PM: Recorder Orchestra of Puget Sound ROPS will present their Spring concert in the sanctuary of Maple Leaf Lutheran Church. Repertoire will include a piece for recorder orchestra and soloists by Sören Sieg, Ari Barroso’s Brazil arranged by Peter Seibert, and the fantastic Respighi Ancient Aires and dances arranged by Charles Coldwell. Free of charge. Sunday, April 7: Recorder Duo Concert with Laura Faber and Mike Woolf Please join Laura and Mike for a recital of music spanning the music of the 14th through 21st centuries, including music of the Medieval, Renaissance, Baroque, and modern eras. 3pm at the Sand Point Community United Methodist Church, Seattle. Saturday, April 13 @ 9:30 AM - 5:15 PM: Moss Bay Recorder Society Meet Maple Leaf Lutheran Church in Seattle. Three sessions with three great conductors plus potluck lunch. Baroque Winds: Chamber music for recorder, oboe, bassoon, and flute With Vicki Boeckman (recorder), Sand Dalton (oboe), Anna Marsh (bassoon), Jeffrey Cohan (baroque flute) and Jonathan Oddie (harpsichord). April 22 at 7:00 PM: First Presbyterian Church in Bellingham April 23 at 7:00 PM: Christ Episcopal Church in Seattle April 24 at 7:00 PM: Knox United Church in Vancouver, BC April 25 at 7:00 PM: St. Luke’s Memorial Episcopal Church in Tacoma April 26 at 7:00 PM: Brickworks in Friday Harbor, San Juan Island April 27 at 1:00 PM: Grace Church on Lopez Island April 27 at 7:00 PM: Orcas Adventist Fellowship Church in Eastsound, Orcas Island April 28 at 2:00 PM: St. Paul’s Episcopal Church in Port Townsend April 28 at 7:00 PM: St. Augustine’s in-the-Woods Church on Whidbey Island Seattle Recorder Society’s Members’ Night on May 10! Per long-standing tradition of the SRS, the final meeting of the season is Members’ Night. Any SRS member can sign up to perform up to 5 minutes as a solo or with their ensemble. There are no restrictions on performance style, and past years’ performances have ranged from traditional recorder literature to poetry readings to saxophone ensembles. It’s always fun playing for such a supportive audience and also fun for those not performing. You may send performance info (title and composer of piece, names of consort members) to President Nancy Gorbman (firstname.lastname@example.org). Friday, March 1 @ 7:30 PM: Pacific MusicWorks—Leading Ladies Burning passion, tender desire, and fierce jealousy come to life in the music of Barbara Strozzi - the best known of a small number of women who found success in the male-dominated world of 17th century professional musicians - and her contemporaries. Sopranos Tess Altiveros and Danielle Sampson join Stephen Stubbs and the Pacific MusicWorks House Band for a journey into the world of love gone right, love gone wrong, and love just plain gone. Rescheduled from prior February dates due to snow. St. Stephen’s Episcopal Church in Seattle. [Details Here] Saturday, March 2 @ 8:00 PM: Bird Ensemble—Polyphonic Feast Composers knew the importance of religious feast days and produced their best for the occasion. The program features richly scored music for six to eight parts by English Renaissance composers John Taverner and John Sheppard. St. James Cathedral, Seattle. [Details Here] Friday, March 8 @ 7:00 PM: Salish Sea Early Music Festival: Bach Goldberg Variations Hans-Jürgen Schnoor, Christ Episcopal Church, Seattle. [Details Here] Sunday, March 10 @ 3:00 PM: Pacific MusicWorks Underground: Celtic Folk & Baroque Scotland’s natural beauty and rich heritage has inspired musicians for centuries. Internationally acclaimed Scottish fiddler and violinist Brandon Vance joins harpsichordist and guitarist Henry Lebedinsky invite you to explore the interplay between art and folk music in 18th century Scotland. Resonance @ SOMA Towers, Bellevue. [Details Here] Sunday, March 10 @ 8:00 PM: Pacific MusicWorks Underground: Celtic Folk & Baroque Same as above, but at The Royal Room in Columbia City, Seattle. Tuesday, March 12 @ 7:00 PM: Pacific MusicWorks Underground: Celtic Folk & Baroque Same as above, but at Capitol Cider, Seattle Friday, March 15 @ 7:00 PM: Salish Sea Early Music Festival: Johann Sebastian Bach: Sonatas Hans-Jürgen Schnoor and Jeffrey Cohan, Christ Episcopal Church, Seattle. [Details Here] Saturday, March 16 @ 2:00 PM: Moss Bay Recorder Society Meeting, Miyo Aoki conducting Kingsgate Library, 12315 NE 143rd Street, Kirkland. [Details Here] Saturday, March 16 @ 8:00 PM: Medieval Women’s Choir—Courtly Love: A User’s Guide Medieval love songs contain elements so universal that they could almost constitute a “how-to” guide for romantic relationships at court. In this concert, we will learn to follow instructions. Seattle First Baptist Church. [Details Here] Sunday, March 17 @ 2:30 PM: East of the River—Sultana: Music of the Sephardic Diaspora Founded by woodwind virtuosos Nina Stern and Daphna Mor, East of the River braids together the rich musical traditions of the Sephardic diaspora, inflecting the music with infectious Eastern rhythms, and steeping their performance in the art of improvisation. Langston Hughes Performing Arts Center—SOLD OUT Sunday, March 17 @ 7:30 PM: East of the River—Sultana: Music of the Sephardic Diaspora Same as above, but at Temple Beth Am in Seattle. [For Tickets Click Here] Friday, March 22 @ 7:30 PM: Blue Heron performs Remede de Fortune by Guillaume de Machaut 2018 Grammophone Award winning ensemble Blue Heron performs Remede de Fortune by Guillaume de Machaut. Gethsemane Lutheran Church, Seattle. [Details Here] Saturday, March 23 @ 2:00 PM: Recorder Orchestra of Puget Sound ROPS will share the music of Mouton, Respighi, Sören Sieg, and others. This promises to be an especially fun concert. Free of charge, at Maple Leaf Lutheran Church in Seattle Sunday, April 7 @ 3:00 PM: Recorder Duo Concert with Laura Faber and Mike Woolf Please join Laura and Mike for a recital of music spanning the music of the 14th through 21st centuries, including music of the Medieval, Renaissance, Baroque, and modern eras. Sand Point Community United Methodist Church, Seattle. Saturday, April 13 @ 9:30 AM - 5:15 PM: Moss Bay Recorder Society Meet Maple Leaf Lutheran Church in Seattle. Three sessions with three great conductors plus potluck lunch. Details Here Saturday, April 13 @ 7:30 PM: Gallery Concerts Next Generation Competition Winner’s Concert Rachell Wong, violinist extraordinaire won our national juried competition for young artists! She will perform music of Bach, Biber, LeClair, Tartini and Veracini, accompanied by Byron Schenkman, harpsichord. Join us to hear a star of tomorrow featured with a star of today! Queen Anne Christian Church in Seattle. Details (including a great recording of the soloist) Here Sunday, April 14 @ 7:00 PM: Schenkman & Friends—Leclair and Rameau: The Age of Enlightenment An evening of decadent and delicious music from the late French Baroque, including Couperin’s La Paix du Parnasse (“Peace on Parnassus”), Leclair’s second Récréation de Musique, and selections from Rameau’s works for harpsichord, solo and accompanied. Monica Hugget, Toma Iliev, Joanna Blendulf, and Byron Schenkman. Nordstrom Recital Hall at Benaroya Hall, Seattle. Details Here Sunday, April 14 @ 3:00 PM: Pacific MusicWorks/Underground—International Woman of Mystery Born in Venice, Antonia Padoani Bembo showed prodigious talent as a singer, staged a daring escape from a violent marriage with the help of a globetrotting guitar virtuoso, and made her way to Paris, where she lived and composed under the protection of King Louis XIV. Soprano Danielle Sampson joins violinist Romaric Pokorny, cellist Caroline Nicolas, and harpsichordist Henry Lebedinsky. Resonance at SOMA Towers, Bellevue. Details Here Sunday, April 14 @ 8:00 PM: Pacific MusicWorks/Underground—International Woman of Mystery Same as above, but at The Royal Room in Columbia City, Seattle. Tuesday, April 16 @ 7:00 PM: Pacific MusicWorks/Underground—International Woman of Mystery Same as above, but at Capitol Cider in Seattle (ages 21+) Tuesday, April 23 @ 7:00 PM: Baroque Winds: chamber music for recorder, oboe, bassoon and flute Presented by the Salish Sea Music Festival, with Vicki Boeckman (recorder), Sand Dalton (oboe), Anna Marsh (bassoon), Jeffrey Cohan (baroque flute) and Jonathan Oddie (harpsichord). Christ Episcopal Church in Seattle. For additional dates and venues around the Puget Sound area, see the description in “Local Recorder Happenings” or at Details Here Friday, April 26 @ 7:30 PM: Seattle Baroque Orchestra and Byrd Ensemble—Handel’s Messiah Bastyre University Chapel in Kenmore. Details Here Saturday, April 27 @ 7:30 PM: Seattle Baroque Orchestra and Byrd Ensemble—Handel’s Messiah St. Mark’s Cathedral in Seattle. Details Here At the February meeting we had some younger people in attendance, including a home-schooling family or two. President Nancy Gorbman announced the March 10 Play-the-Recorder playing session and concert. See the calendar. You can still sign up for the Port Townsend Workshop (in Tacoma at University of Puget Sound)! The web page went live February 1st. Two scholarships are available on the Tuition page. Our President-Elect, Michael Bancroft, announced that Members' Night will be May 10th this year. Consort with your consort and you may present a piece of five minutes or less. (At least one consort member must be an SRS member.) Or you can play solo! It's fun playing for such a supportive audience. You may send performance info (title and composer of piece, names of consort members) to President Nancy Gorbman (email@example.com). A number of members went to the "Back Room" with Miyo Aoki to play in a smaller group. They worked on three tunes: a "La Parma", a "Gagliarde" of Mainerio, and "Putta Nera Ballo Furlano". We may well hear a couple of them at Members' Night in May! Charles Coldwell directed our playing session this evening. We benefitted from his careful study of Ottorino Respighi's Suites of Ancient Airs and Dances, playing three movements Charles orchestrated from Respighi's works. We also enjoyed playing earlier versions of the Renaissance tunes Respighi orchestrated for his suites. We began with the "Aria del Gran Duca" by Peter Philips (~1560 – 1628), first conducted in half notes, then again in whole notes. Both its top and its bottom voices were Renaissance pop tunes we encountered again later. "If you can't hear yourself—and you ARE blowing," Charles told us, "then you're probably playing in tune." We went on to "Oche nuovo miracolo", composed and choreographed by Emilio de Cavalieri for a spectacular performance at the 1589 wedding in Florence of the Grand Duke Ferdinand de' Medici and the French princess Christine of Lorraine. Its bass line is the same as the Philips we had just played. And then we played Charles' recorder orchestration of Respighi's use of the tune. Respighi was making Italian cultural heritage available to be played by orchestras of his own time. In this case he didn't change the tune; we heard a recording of Fabrizio Coroso's arrangement, then played the same tune as Respighi used it. I especially enjoyed the way it was brightened by Charles' use of sopranino. Charles demonstrated a sort of über-staccato technique for recorders to use in rendering lute/plucked string lines. We were pretty successful with it. We played Charles' orchestration of a Siciliana used by Respighi. Here the Italian did add his own touches to the "Spagnolette" by Caroubel from Terpsichore (of 1612). We played the Caroubel too. I enjoyed playing Charles' colorful orchestration of the suites much more than I have ever enjoyed listening to Respighi's work. This was especially true in the last movement we played, whose middle melody (B of ABA) we also tootled in a "Volte" from Terpsichore. Charles' orchestration combined drones and sopranino in a way I found magical. Thank you for a delightful time, Charles! Playing Session with Cléa Galhano (Kathleen Arends) Saturday morning, February 2nd, Seattle Recorder Society members had a special treat: two hours with Brazilian (now Minnesotan) recorderist Cléa Galhano! Energetic Cléa was in the area to play several concerts with Vicki Boeckman and company. We began with a three-part Ma fin est mon commencement ("My end is my beginning; My beginning is my end") of Guillaume de Machaut. The voices were quite independent, with lots of syncopation, but did occasionally meet. Cléa helped us keep the voices moving, not plodding: "Act on the line, to push it forward." It was simultaneously important to exaggerate the beginning of each note, to make the rhythms clearly heard. The piece is also a perfect palindrome, perhaps explaining the title. Next we played a double choir Ave Maria by Tomas Luis de Victoria. Again, horizontal thinking was important to the polyphony. "It's about the gesture of the line", Cléa told us. After working on it, we stood to render this gorgeous choral piece. Our third selection was another Ave Maria, this one by Gustav Holst. Cléa kept a strict beat and we stood, again, to play this beautiful piece written near the end of Holst's life. And then we played "The Shadow of Your Smile", written by Johnny Mandel (b. 1925) and arranged for Cléa by Paul Leenhouts. We skipped the florid introduction to begin at the main melody, enjoying a panoply of delicious flats in the harmony. It was a bossa nova, whose syncopation fulfilled the theme of the morning; again, we used space to clarify the rhythms, and made sure to keep the music moving along. Some of us were pleased that the arrangement had us flutter tongue a couple of the notes. Thanks to Cléa for the best Saturday morning this SRS member has had in a long time! Playing Brazilian music with Cléa Galhano (Vicki Boeckman, photos Bill Stickney) I met Cléa for the first time in 1999 at the pre-workshop faculty gathering for the PT early music workshop at Peter Seibert’s house. We became friends in less than 5 minutes, sharing stories and laughter. I was still living in Denmark at that time and delighted in meeting up at workshops and playing together in faculty concerts where and whenever we happened to be teaching at the same workshop. Cléa is a fountain of knowledge and inspiration, intelligent, caring, passionate and completely present and engaged. It was an absolute pleasure to play full-length concerts together as opposed to just one piece here and there on a workshop faculty concert. Thank you, Bill, for capturing the spirit in these wonderful photos!
Gathering Annual Report 2022 The Eagle’s Nest The Eagle’s Nest is a 10,000-acre wildlife sanctuary in the heart of Alaska’s Brooks Range. It is home to a variety of wildlife, including eagles, moose, caribou, and wolves. The sanctuary is also a popular destination for birdwatchers and nature lovers. The Eagle’s Nest is located in the Arctic National Wildlife Refuge, which is one of the largest protected areas in the world. The refuge is home to a diverse range of plant and animal species, including the endangered whooping crane. The Eagle’s Nest is managed by the Alaska Department of Fish and Game, which works to protect and conserve the area’s natural resources. Visitors can explore the sanctuary on guided tours or by renting a cabin and exploring the area on their own. The Eagle’s Nest is a unique and special place, offering visitors a chance to experience the beauty and majesty of Alaska’s wilderness. \| Section \| Page \| \|-------------------------------\|------\| \| Our Mission \| 4 \| \| Board Message \| 5 \| \| President’s Message \| 6 \| \| Highlights \| 7 \| \| Financial Summary \| 9 \| \| Strategic Priorities \| 10 \| \| Community Fisheries \| 10 \| \| Climate Innovation \| 15 \| \| Food Systems \| 19 \| \| Indigenous Homelands \| 26 \| \| Community Energy \| 30 \| \| 2022 Friends & Supporters \| 35 \| \| Individual Donors \| 35 \| \| 2022 Staff & Volunteers \| 36 \| \| Appendices \| 37 \| Mission Building an economy that provides for life. Vision A society where all people are able to enjoy healthy lives and livelihoods, are culturally grounded, connected to their environment, and working for the collective benefit of both current and future generations. We know that our economy can be structured to achieve these things. Approach We are building on our 28-year history of partnering with rural, remote, and Indigenous communities to create economic solutions that advance social and environmental well-being. Our innovative, on-the-ground approach focuses on Climate Innovation, Indigenous Homelands, Community Fisheries, Community Energy, and Food Systems initiatives. Message from the Board Chairs In 2022, Ecotrust Canada enjoyed the benefits of once again being able to gather in person to renew the close professional and personal ties that fully flourish when we are together. It was true of our organization, as well as our community partnerships across Canada — in coming together we grew stronger, bolder, more creative, and more determined than ever to succeed. We took stock of our vision this year and our future direction, along with our commitments to Reconciliation, all through the lens of strategic planning. We reviewed where we have made important strides in our commitment to co-creating innovative place-based economies with rural, remote, and Indigenous communities in Canada. We have clarified our programmatic priorities around our five central initiatives — Climate, Energy, Fisheries, Food, and Housing — each of which resonate with the needs and priorities of the communities we work with. We also developed our first ever Reconciliation Framework. In everything we do, we seek economic solutions that are more sustainable, resilient, and equitable, and our planning work continues to reflect this as we prepare to release our next five-year strategic plan later in 2023. We are invigorated by the work of 2022 and the joy and creativity of gathering again in person. We look ahead to 2023 as a year to deepen the implementation of our work, to prove the possible. Jacqueline L. Koerner CO-CHAIR Velma McColl CO-CHAIR In the summer of 2022, the North Coast of British Columbia was the site of a much-needed and long-anticipated gathering, as the rivers of the region were once again teeming with sockeye salmon. Meanwhile, Ecotrust Canada was also returning to rural, remote, and Indigenous communities where we gathered with our partners and once again worked side by side to build an economy that provides for life. This was also a year that our organization was able to come together in person to plan, strategize, learn, and celebrate. And indeed, there has been much to celebrate. A quick look at our accomplishments in 2022 includes, • Our partnering with the Metlakatla First Nation in launching a Regenerative Ocean Farm that provides sustainable livelihoods, food security, and new entrepreneurial opportunities for the Metlakatla people and surrounding communities. • Undertaking technical training and certification for local community members as energy advisors and heat pump technicians, helping them step into new futures in the green energy sector. • The launching of the Indigenous Housing and Homelands Toolkit, which supports First Nations in meeting their housing needs in ways that are culturally appropriate and meaningful to their communities. • Authoring the First Nations Carbon discussion paper with the BC Assembly of First Nations. The report, published online, provides First Nations with insights on their rights with respect to carbon, and how carbon finance can work for them and the planet. • In response to the record-breaking sockeye salmon return on the Skeena River, our North Coast fisheries team worked around the clock in three different sockeye fisheries, supporting nearly 50 fishing vessels from July to August. The effort was essential to meeting the data-collection needs of our local commercial and Indigenous fisheries partners, as well as the federal government. • As part of our strategic planning process, we developed Ecotrust Canada’s Reconciliation Framework, which articulates the structural, policy, and everyday changes that we will make at our organization to advance Indigenous Reconciliation. These and many more achievements are further described in this annual report. Additionally, this year, we have added appendices that describe our progress towards meeting programmatic objectives and goals. In the coming years, watch for continued improvements in how we develop our approach to impact evaluation. I wish it was safe to say that last summer’s sockeye runs on the North Coast were a “new normal,” or that the abundance was shared evenly across Canada. Unfortunately, this is not the case, and such events are increasingly the exception, not the rule. Nonetheless, we are grateful for where and when these great gatherings take place. They also highlight the imperative that we work even harder to cultivate the conditions by which nature and people can come together to create a more abundant, diverse, and equitable future. Chuck Rumsey PRESIDENT AND CEO The Energy Advisor Training Program launched in the spring with seven Indigenous participants. Working with the Regional District of Mount Waddington, we helped design a program that will bring residential home energy upgrades to 100–200 households in the region annually. Installed 436 heat pumps across four communities, which has led to $11 million in cost savings for homeowners and eliminated 20,000 tonnes of greenhouse gasses. Authored a First Nations Carbon discussion paper with BC Assembly of First Nations. Landed a five-year agreement with the Nature Smart Climate Solutions Fund, a 10-year, $1.4 billion federal program to directly invest in nature to achieve climate impact and address biodiversity loss. Provided technical support to ~120 crab harvesters to acquire fishing licences. 18 fisheries monitoring jobs in the Five Nations Fishery provided for local community members on the South Coast of Vancouver Island. 340kg of produce grown, donated to various individuals and organizations in Prince Rupert, BC and surrounding area. Harvested 1,560lb of kelp, which was distributed to Metlakatla members and the local community and incorporated into local food products like sourdough bread and beer. This year’s Annual Report summarizes our programs and some of the key stories that encapsulate the opportunities and challenges, as well as partners and people, involved with our work. In addition, we have also included a more extensive set of appendices, which take a closer look at program impacts, as measured against our internal goals. In the coming years, we expect to further refine and expand this approach to evaluation and learning. TOTAL REVENUE $4,007,134 - Fee for Service: $1,798,187 - Grants & Contributions: $2,149,098 - Investment Income: $58,780 TOTAL EXPENSES $3,959,069 - Programs: $3,444,852 - Administration: $514,217 \| Expenses by Program \| Amount \| Percentage \| \|--------------------------------------\|------------\|------------\| \| Community Fisheries \| $1,229,300 \| 31% \| \| Food Systems \| $588,570 \| 15% \| \| Community Energy \| $470,971 \| 12% \| \| Climate Innovation \| $374,790 \| 9% \| \| Indigenous Homelands \| $267,734 \| 7% \| \| Strategy and Community Development \| $286,924 \| 7% \| \| Administration \| $514,217 \| 13% \| \| Communication, IT and Social Enterprise \| $207,345 \| 5% \| \| Fundraising and Business Development \| $19,218 \| 0.50% \| STRATEGIC PRIORITIES Community Fisheries About the Program Our vision is for resilient fishery systems where fisheries and marine resource use meet the immediate social and economic needs of society without compromising ecological integrity or the ability of future generations to meet their needs. Adjacent communities are the critical locus of action and stewardship; they co-manage and are the primary benefactors of their fishery resources. Our work falls across three core strategies including: 1. Advancing fisheries policy to better serve the social, cultural, and economic needs of fish harvesters, First Nations, and coastal communities on the Pacific Coast of Canada. 2. Enhancing community capacity for fisheries monitoring and management. 3. Creating transparency around Illegal, Underreported, and Unregulated Fishing (IUU). Providing data collection for one of the largest Skeena sockeye salmon runs in recent history In 2022, the North Coast of BC saw a record-breaking sockeye salmon return on the Skeena River. Returns were estimated at about 4.3 million fish, the highest numbers the North Coast has seen in almost 15 years. Many people in the industry had to gear up and work overtime to meet the sudden demands of the gillnet fishery while it was open. Our North Coast fisheries team, based in Prince Rupert, BC, on Coast Ts’msyen Territory, stepped up to the task and provided dockside and at-sea monitoring services for fish harvesters as they hauled in their nets or offloaded their catch. The team worked around the clock in three different sockeye fisheries. They saw nearly 50 fishing vessels from July to August to ensure that we met the data-collection needs of our local commercial and Indigenous fisheries partners and the federal fisheries data standards. The return of sockeye salmon this year was great for coastal communities in BC. The wild salmon industry employs over 6,600 people made up of over 4,000 fish harvesters and crew and provides approximately 2,600 positions in the salmon processing sector in BC. Creating a compass for fisheries policy change through research, analysis, and consultation In 2022, Tasha Sutcliffe, our senior policy advisor, shared compelling testimony with FOPO on the value of including social sciences in the Department of Fisheries and Oceans’ decision-making process. Then, our director of fisheries, Racheal Weymer, travelled to Newfoundland for the fourth World Small-Scale Fisheries Conference. She presented the need for the federal government’s Blue Economy Strategy to create and support policies that protect and enhance local economic benefits and build more sustainable socioeconomic systems in coastal fishing communities. In the fall, the fisheries policy team travelled to Italy as part of the Slow Fish Canada delegation, an International Slow Food Conference. Our team hosted a workshop on how to protect local food systems from rampant corporatization and vertical integration — focusing on the socioeconomic impacts on local seafood availability, fishing communities, and healthy ecosystems. We dug into what has worked (and not worked) in Canada, and how like-minded groups doing small local projects around the world can make an impact. Much of our policy work involved supporting the Fisheries for Communities Network. The Network is a grassroots movement working to ensure the many values of BC fisheries flow to the people on the water, on the dock, and in adjacent communities. Last year, we supported the Network in developing its new website, and we began gearing up for the third Fisheries for Communities Gathering in 2023. The gatherings brings together over 150 First Nations leaders, fish harvesters, industry associations, NGOs, academics, policy experts, and federal politicians. It’s essential that this diverse group of stakeholders meets to find a consensus, ensuring we create the compass for the sustainable future of West Coast fisheries policy. Collaborating with Ha’oom Fisheries Society and the Five Nations Fishery to strengthen fisheries monitoring and management systems From the West Coast of Vancouver Island, our South Coast team works on the traditional territory of the Ahousaht Nation and Ehettesaht, Mowachaht/Muchalaht, Hesquiaht and Tla-o-qui-aht First Nations — or the Five Nations. The team supports the implementation of commercial rights-based fisheries for the Five Nations based on their inherent and constitutionally protected Indigenous Right to harvest and sell fish. In 2022, we hired a new fisheries project coordinator and deployment supervisor for the Five Nations Fishery Monitoring Program. Shelby Huebner is from Ahousaht Nation and has previously worked as a dockside monitor and fisheries liaison in the Five Nations Fishery. Her local knowledge of the region, the fish harvesters, and data collection made her a perfect fit for our mission. Last year, the team conducted two training courses, resulting in 18 federally designated monitors. These local dockside monitors collected fisheries data with care and respect, following the rules and regulations set by the Five Nations and federal government. “Since 2017, Ecotrust Canada has delivered monitoring services to Ha’oom Fisheries Society. Working with the Five Nations and Ha’oom Fisheries Society, Ecotrust Canada has developed a monitoring program that reflects the unique composition and nature of the Five Nations Fisheries. The five Nations value this relationship and see it as integral to the implementation of their fishery.” – Howie Wright, Executive Director, Ha’oom Fisheries Society Creating transparency around Illegal, Underreported, and Unregulated Fishing Our principal investigator, Dyhia Belhabib, founded the online fisheries platform Spyglass, the largest international public database of information on illegal crimes committed at sea by vessels and their companies. With over 7,400 entries in the Spyglass database, marine enforcement agencies, governments, journalists, and researchers have open access to transparent data that can help improve a country’s ability to protect its waters, local livelihoods, and the well-being of coastal communities. In 2022, Dyhia shared her expertise on illegal fishing, maritime crime, and socially just conservation and enforcement globally. In Southeast Asia, she offered Illegal, Underreported, and Unregulated (IUU) Fishing training to enforcement agencies in the Philippines, Malaysia, Thailand, Brunei, and Vietnam. She was invited by the World Bank Inspection Panel to conduct accountability research on small-scale fisheries in Togo, West Africa. She also published a paper in Science Advances on crime transversality, which describes the links between two or more crimes as they happen at sea. By analyzing over 8,000 incidents, she uncovered links between different types of crimes in the fishing sector and what would be the likelihood of crimes happening together. Her paper revealed the need for more inter-agency collaborations as individual agencies typically specialize in one category of crimes. STRATEGIC PRIORITIES Climate Innovation About the Program Our Climate Innovation program exists to build, use, and communicate climate finance tools to empower rural, remote, and Indigenous communities to achieve community priorities for the land. It’s our assertion that this approach will ultimately lead to land use decisions and stewardship that will benefit local people and improve biodiversity health, while significantly increasing the power of carbon-rich landscapes to contribute to global climate change mitigation. Our work is applied across the following four strategies: 1. We engage all rights holders and stakeholders to advance establishment of carbon finance projects. 2. We work directly with Indigenous communities to support successful forest carbon offset projects that increase options for less extractive economic development on the land. 3. We develop and deliver tools to quantify the climate impact of nature-based climate solutions, spurring increased Canadian government investment in nature. 4. Enable (alongside Blockchain for Climate Foundation) the issuance and exchange of climate mitigation outcomes at the global level and demonstrate how Canada could best integrate blockchain technology to support climate action at home. Growing potential for Indigenous-led carbon projects There is a growing interest among Indigenous communities and Nations interested in developing land-based carbon projects that respect and affirm Indigenous Rights. We have partnered with the BC Assembly of First Nations (BCAFN) to explore this potential, and in 2022, project manager Michelle Connolly authored the First Nations Carbon discussion paper with BCAFN. The report, published online, provides information on carbon, First Nations’ rights with respect to carbon, how carbon offsets work, and how First Nations can benefit from them. The information was then shared in a session with BCAFN, the Coastal First Nations Great Bear Initiative, the Government of British Columbia, and the Assembly of First Nations. To help First Nations explore opportunities in their territories, we are also developing the First Nations Carbon Toolkit. The toolkit will be a free educational resource built for First Nations communities in BC interested in learning more about carbon, climate change, and developing land-based carbon offset projects, while exercising First Nations’ inherent and constitutionally protected title and rights. The online toolkit will be released in the summer of 2023. Building policy pathways to carbon finance Contributing to provincial and federal policy development in Canada enables our Indigenous partners to have carbon finance pathways to get their projects off the ground. Our policy work also allows us to keep a pulse on the development of key carbon finance regulations on a provincial, national, and international level, which is critical to help us advise our partners and envision the future. In 2022, Ecotrust Canada was selected to support Environment Climate Change Canada (ECCC) in building tools for the new federal Nature Smart Climate Solutions Fund. This is a 10-year, $1.4 billion program to directly invest in nature to achieve climate impact and address biodiversity loss. The creation of this federal initiative was significantly influenced by Ecotrust Canada’s policy outreach from 2018 to 2021 when we proposed the concept of a Forest Carbon Economy Fund. We have a five-year agreement with the Nature Smart Climate Solutions Fund supporting our work to 1) deliver capacity-building tools for communities to understand and better engage with the fund; 2) develop project applications and reporting tools that support the selection of the most effective projects and accurately report their climate impact; and 3) directly work with community applicants to develop their Nature Smart Climate Solutions fund backed project. Supporting climate action in Northeast Superior Ontario For over 10 years, we’ve been partners with Wahkohtowin Development, an organization owned and managed by First Nations in Ontario’s Northeast Superior region. Together, we co-launched the Northeast Superior Chief’s forum in 2012 for five First Nations in Ontario to build a conservation economy. In 2022, we worked with Wahkohtowin on developing a project proposal that the First Nations of the region can use to influence forest companies and the provincial government to adopt more climate-friendly forest projects in the 1.5-million-hectare Missinaibi forest. Our work with our partner is constantly evolving based on Wahkohtowin’s needs. In 2022, we focused on conducting information sessions on climate and carbon stewardship for Wahkohtowin’s youth Guardian Program. “BC and Canada are the only place worldwide where we are implementing the UN Declaration on the Rights of Indigenous Peoples (UNDRIP), which must include provisions for upholding First Nations’ rights to free prior and informed consent, sovereignty and self-determination as well as distinctions-based recognition of governance. BCAFN has been exploring options on how to support First Nations carbon offset projects aligned with UNDRIP. We believe that land-based carbon offsets led by Indigenous peoples could represent a real opportunity to address climate change while dealing with other urgent issues, including biodiversity loss and the economic injustice that First Nations have historically experienced in this Province and often continue to experience. We are proud to partner with Ecotrust Canada to advance this work, and we look forward to the innovative tools that are being developed through our project together.” – Regional Chief Terry Teegee STRATEGIC PRIORITIES Food Systems About the Program Our Food Systems program partners with local communities to address food insecurity, improve food sovereignty, and increase local food access in Prince Rupert and the Pacific Northwest of BC. Through this effort, we seek to contribute to a collaborative, vibrant, and innovative local food economy built by and for communities in the North Coast and Skeena Bulkley Valley regions. We pursue our Food Systems work across the following two strategies: 1. Grow - Urban agriculture: maintain urban farm in downtown Prince Rupert. - Regenerative Ocean Farming: launch of a regenerative ocean farm that supports marine livelihoods and a community food program with Metlakatla First Nation and GreenWave. 2. Community Convening - Policy change: Build political will to enable the City of Prince Rupert to enact policy change in line with their own Official Community Plan. - Collaboration with area growing programs and food producers to increase community interest and investment in local food systems. - Connect with community members and local food knowledge holders in various ways to learn and engage in knowledge sharing to enhance food literacy and collective capacity. The Regenerative Ocean Farm’s first year A pathway to sustainably harvest and sell kelp and shellfish in Northwest BC Off the coast of Northwest BC, in Metlakatla waters, kelp and scallops grow in a nascent Regenerative Ocean Farm (ROF). After two years of research, we secured funding and formed partnerships with Metlakatla First Nation and GreenWave, a non-profit that trains and supports ocean farmers, to build a sustainable community regenerative ocean farm that will one day sell seafood to local and provincial markets, improve food access to over 12,000 community members, while creating training and education opportunities for emerging regenerative ocean farmers throughout the North and Central Coast of BC. In 2022, our first year, we planted two long lines of kelp alongside an existing scallop operation. Combining kelp with shellfish is transforming the conventional aquaculture operation into a regenerative one. In the spring, we harvested 1,560lbs of kelp, which was distributed to Metlakatla members and the local community and incorporated into local food products like sourdough bread and beer. For example, the Wheelhouse Brewing Company brewed two batches of latissimi Gose beer for a total of 3,400 litres, each batch used 5kg of kelp. The excess kelp from the harvest will be brewed into 900lbs of seaweed fertilizer available for local growers the following spring. In the fall of 2022, the ROF team planted 5,000 metres of sugar and winged kelp for the 2023 season that will be licenced to distribute to community members and local markets. Recovering “ghost gear” Lost or abandoned industrial infrastructure and fishing gear, known colloquially as “ghost gear,” is a major risk to ocean health, as well as to the coastal fishing communities on the North Coast of BC. In addition to being a significant navigational hazard, ghost gear threatens to entangle whales, other marine mammals, and sensitive fish species. In 2022, in partnership with Metlakatla’s Aquaculture crew, we began a massive effort to reclaim and recover ghost gear from a former scallop farm operation that was no longer in operation. Recovery efforts resulted in a total of 22,300kg of ghost gear removal, including 13,300kg of waste, and approximately 9,000kg of material to be stored onsite for reuse or future recycling. “It’s nice using my boat and safety skills in a new way, learning how to make kelp farming practices safer and easier to work and sharing that with the crew. It’s a chance to teach and learn.” – Henry Clifton, Captain, Metlakatla Development Corporation, Regenerative Ocean Farm Urban farm’s last year in its downtown location The Sndoyntga Lax Kx’een ada Maxłaxaala urban farm was established in 2021 as an experiment to revitalize a vacant space in Prince Rupert’s downtown core to grow fresh produce for those in need, and to invite the community of over 12,000 people to plant, grow, harvest, cook, and preserve fresh and local foods. In 2022, we developed a partnership with the local school district and Farm to School BC. Complementing the schools’ growing programs, we collaborated with regional food experts and farmers, and together offered educational workshops with students on planting garlic and growing seeds for a fledgling Northwest BC seed library. The local high school generously gave us access to their heated greenhouse, and we were able to more than double the amount of produce we grew in the first season. In 2021, using only our downtown farm’s greenhouse, we grew 130kg of produce, and in 2022, we grew 340kg using the two greenhouses. We donated most of the fresh produce to those in need of healthy foods, including Metlakatla’s community, a senior’s housing centre, a youth centre, an Indigenous friendship centre, and the local settlement centre for newcomers. Despite this success in the urban farm’s second season, we hit two roadblocks that are leading to the closure of the program. The first challenge has been securing a permanent location for the urban farm. The leased property where the beds and greenhouse were established was never meant to be permanent. In 2022, we explored options with the City of Prince Rupert and we were unable to acquire a space that suited the size and scope of the urban farm before we ended our downtown lease. After the fall harvest, we found a solution with the school district, and we moved the greenhouse and beds to one of the school lots to be shared with the students and the community at large. We are especially grateful to Metlakatla Development Corporation who generously forgave the costs of the lease while we searched for a permanent location. Without their contribution, we would not have been able to produce food in 2022. The second challenge involved finding sustainable funding to support the management of the urban farm. The silver lining here is that as we progressed in this work, we realized that all around us new community growing and gardening initiatives, many Indigenous-led, were emerging in the region. We concluded that it was time for us to step aside and let existing resources and capacity flow directly to these local organizations. Indeed, we are thrilled to have played a role in helping catalyze this work and look forward to others leading the way from here. Discovering there’s an appetite for a local market In August, we teamed up with two community organizations and the local craft brewery to host a seaside pop-up market in Prince Rupert, BC, on Coast Ts’msyen Territory. Outdoor markets are not common in Prince Rupert, where there are more rainy days than sunny ones. But since the weather didn’t stop the urban farm from flourishing, we decided to test out an event for ourselves. We wanted to offer the community an opportunity to buy fresh, locally grown, and harvested produce, as well as other local products, like craft beer made with kelp from the Regenerative Ocean Farm. Proceeds from the vendor fees went back into the high school’s food program and was donated to Oots’n Reconnection, a Ts’msyen organization that brings youth out on the land and water. Twenty-seven vendors signed up to take part in the pop-up market. Over 92.5kg of local produce was sold, such as cucumbers, zucchini, peas and beans, and tomatoes. With a non-stop lineup, the two bakers sold their goods within the first hour. More than 250 residents came to the market, despite the rain and wind, and shared their reflections with Tourism Prince Rupert, who handed out surveys. When asked what stood out, they said things like: “It is a fantastic idea. Love the fresh produce, baked goods, and collaboration with surrounding communities” and “really impressed with the local agricultural products.” There was an overwhelming response from residents saying they would shop at a permanent outdoor market. The pop-up market would not have run so smoothly without the volunteers, vendors, musicians, local farmers, harvesters, and craft brewers! We learned from this event that it takes a village to host an outdoor market and cooperative weather to encourage higher attendance. In 2023, we will test the success of one more pop-up market before a more permanent one is established. Top left: Oyster harvest at the University of Maine’s Oyster Hatchery in Rockland. Top right: A student examines pea plants in the greenhouse at the University of Maine’s Orono campus. Bottom left: Students and staff at the University of Maine’s Orono campus harvest lettuce from the university’s organic garden. Bottom right: Pea plants grow in the greenhouse at the University of Maine’s Orono campus. STRATEGIC PRIORITIES Indigenous Homelands About the Program The long-term goal of our Indigenous Homelands program is to increase the number of Indigenous groups advancing alternative systems-based approaches to housing and lands governance, in ways that are culturally, environmentally, and economically resilient — approaches that directly address community goals around self-determination and the need for healthy, sustainable, and culturally appropriate homes. We advance self-determination and territorial self-governance of Indigenous groups by working in partnership to implement innovative solutions that strengthen the social, economic, and institutional connections between Indigenous housing and lands governance. In this work we pursue the following four strategies: 1. We build long-term and comprehensive partnerships with Indigenous groups. 2. We develop alternative ways to implement, monitor, and evaluate housing and lands governance. 3. We identify practical ways to operationalize local values into economic and governance processes. 4. We create publicly available knowledge products that can easily be accessed and utilized by Indigenous groups and those working with them. Addressing challenges and seeking solutions at the T̓ə́ɬı̨hqot̓ın Nation housing retreat While housing challenges are pervasive and similar across many Indigenous communities in BC and Canada, the solutions required must arise from the communities themselves if they are to be successful. In this spirit, we’ve partnered with the T̓ə́ɬı̨hqot̓ın National Government to help tackle their specific housing challenges. The T̓ə́ɬı̨hqot̓ın Nation is comprised of approximately 4,000 people across the six communities of Yuneɬit’in, Tl’etinqox, ?Esdilagh, T̓sideldel, Tl’esqox, and Xeni Gwet’in, located west and north of Williams Lake in the Central Interior of British Columbia. The T̓ə́ɬı̨hqot̓ın are leading the way in enacting new Indigenous institutions to govern their lands in line with their traditional laws and values, which supports the T̓ə́ɬı̨hqot̓ın vision for an economic future, including the creation of a self-determined housing system. In 2022, the Indigenous Homelands team led the planning and facilitation of a two-day T̓ə́ɬı̨hqot̓ın Nation housing retreat, with select representatives from the six T̓ə́ɬı̨hqot̓ın communities and the T̓ə́ɬı̨hqot̓ın National Government. This engagement aimed to build upon the findings of previous Housing Solutions Labs (a structured, community-driven approach to identify challenges, test ideas, and evaluate the potential for housing solutions) carried out over the spring/summer of 2021. The housing retreat represented the first opportunity to bring housing representatives together from all six of the communities to address the challenges faced to date with implementing an investment strategy and to collectively develop solutions toward a long-term Nation-level approach to T̓ə́ɬı̨hqot̓ın housing. Launching the Indigenous Housing and Homelands Toolkit In July of 2022, we shared the Indigenous Housing and Homelands Toolkit on our website. The toolkit is designed to support First Nations in exploring how to address housing in ways that are culturally appropriate and meaningful to their communities. There are 10 downloadable modules and worksheets, as well as a contact form if you need to reach out to our team. Our goal over the next year is to share the toolkit with Indigenous leaders, governments, and councils and housing managers within the 200 distinct First Nations in BC and beyond, as well as to expand the toolkit with new modules as needed. This toolkit has the potential to reach approximately 200,000 Indigenous Peoples in British Columbia who have open access to its modules and learning materials. “Six T’Silhqot’in communities were here, and it brings me back to my Grandpa who would always tell me it doesn’t matter if you’re from Yunešit’in, Xeni Gwet’in, Tl’etinqox, ?Esdilagh, T’Sideldel, or Tl’esqox — we are T’Silhqot’in. We are one of the strongest Nations in the world, and people know us for it. So it was amazing for us to get together like this and work together.” – Ashley Quilt, Housing Manager, Yunešit’in First Nation, took part in the first T’Silhqot’in Nation housing retreat Developing a new partnership with the Nuxalk Nation In 2022, the Indigenous Homelands team visited the Nuxalk Nation, in Bella Coola, on the Central Coast of BC, to discuss a new partnership in exploring and implementing solutions that address housing and homelands challenges. We were able to synthesize quantitative data about the amount of residential units on-reserve, including the amount in need of repair, and the required number of units needed to accommodate all Nuxalk individuals and families who wish to return home. Following our visit, we prepared a report to provide an overview and foundation for the Nuxalk Nation to develop a housing ecosystem strategy. The report offers a comprehensive and practical plan for addressing housing needs in conjunction with individual and collective goals for cultural, social, ecological, and economic self-determination. To help grow this relationship and better support our housing work with the T’Silhqot’in Nation, we hired Carrigan Tallio as our new regional coordinator. Carrigan is a former housing manager from the Nuxalk Nation who is passionate about finding innovative ways to improve housing on reserve. STRATEGIC PRIORITIES Community Energy About the Program Having access to affordable clean energy should not be a luxury in Canada. Yet, rural, remote, and Indigenous communities often face energy costs that are up to three times the Canadian household average. Our Community Energy program is committed to a future in which energy justice is achieved in Canada — where everyone has affordable access to essential home energy services while living in comfortable, healthy homes. This transition will also catalyze a future in which communities use localized, climate safe, and resilient energy systems. We are employing the following 5 strategies to bring about this transition: 1. Implementing home energy retrofits in BC communities that advance energy security, health, and climate resilience. 2. Using effective public education, policy development, and advocacy campaigns on energy security and energy justice to bring about changes to government policy, specifically those related to energy pricing, rebate programs, and retrofit financing. 3. Localizing project benefits through education, training, and regional planning. 4. Enabling community leaders to implement retrofit projects by sharing meaningful resources and providing training and support. 5. Supporting community aspirations around place-based energy systems and energy sovereignty. Home energy retrofits with Indigenous communities In 2022, we continued partnering with Indigenous communities experiencing energy affordability challenges, including the Hupacasath, Haíł-zaqv (Heiltsuk), Quatsino, and ’Namgis First Nations. This community-led work seeks to advance deep retrofit projects that can effectively address the root causes of energy insecurity, which is when families face difficulties accessing adequate energy services for their homes, leading to negative effects on their health and well-being. In remote regions, energy insecurity also involves transporting costly diesel fuel through ecologically sensitive areas. In our retrofit work, we primarily work with electric heat pumps. They can reduce energy bills, cut greenhouse gasses and fuel reliance, improve the health and safety of a home by reducing instances of mould and inefficient heating systems, and they have a cooling feature, which we have learned is necessary for a changing climate. By moving households off inefficient heating systems, like oil furnaces or baseboard heaters, to electric heat pumps, communities are collectively realizing millions of dollars in energy cost savings for their residents, while contributing to community health and resilience. In total, we have installed 436 heat pumps across four communities, which has led to $11 million in cost savings for homeowners and eliminated 20,000 tonnes of greenhouse gasses. This is equivalent to removing 4,451 gas-powered passenger vehicles off the road for one year. “I love this heat pump. In the winter, it keeps me nice and warm, and in the summer, the air conditioner keeps me nice and cool, especially during the heat waves. It’s a good investment that our band has made for us.” – Yvonne Lawson, Received a New Heat Pump for her Home in the Haíł-zaqv Nation Striving for energy justice through policy engagement In BC, there are over 270,000 households facing energy insecurity as a daily reality, meaning they lack affordable access to basic energy services that contribute to their quality of life. Rural, remote, and Indigenous communities in the province are hit particularly hard, with some communities spending up to three times the provincial average to heat their homes. Despite the scale of this problem, the BC government has no unified, clear policy direction for addressing energy insecurity. What is needed is a shift to equitable electrification and enable deeper retrofits for low- and moderate-income households, or those experiencing energy insecurity. That’s why we’ve joined a network of anti-poverty and climate justice partners, to work extensively with government. Our joint recommendations delivered to the government in November 2022 were instrumental in affecting policy changes to end incentives for natural gas furnaces and boilers, responsible for approximately 7.6 megatonnes of emissions in BC. Again, with our partners, we delivered another set of recommendations to the BC Government on replacing the Customer Crisis Fund, a program for customers facing a temporary financial emergency, and other opportunities to strengthen bill protections for lower-income customers. Following our submission, the government has committed to keeping the fund around in its current form but hasn’t announced what they’re planning to do yet in terms of changes and improvements. Developing supportive ecosystems through education, training, and regional planning Introducing clean, energy-efficient heating and cooling systems in homes in rural and Indigenous communities involves a full ecosystem approach. We are working with local and regional governments on the Central and North Coast of British Columbia to systematically review and develop strategies to address financing and capacity-building gaps. One shortfall is that these regions are critically underserved by energy advisors and heat pump technicians. We have been supporting local people in receiving technical training and certification, so they can step into green energy jobs and work directly on the projects our partner communities need them for, such as the heat pump project in Wáglísla (Bella Bella, BC). In 2022, with funding from Natural Resources Canada, Ecotrust Canada recruited, trained, and mentored Indigenous Peoples from rural communities across Coastal BC to become certified Energy Advisors. Energy Advisors are certified professionals who gather data from a house and use a software program that provides valuable information about the home’s energy performance and how it can improve. Their assessment helps unlock up to $6,000 in government rebate programs for undertaking energy retrofits. The Energy Advisor Training Program launched in the spring with seven Indigenous participants. The first in-person class training was in Port Hardy, within the traditional territory of the Kwakiutl First Nations, and six months later, they met on Coast Ts’msyen Territory in Prince Rupert, BC, to conduct their first home energy audits, with support from their trainers. While the program is designed to be adaptive to work with the participant’s strengths, not everyone has been able to commit to the training. Our goal is to have at least four Energy Advisors pass their certification in 2023. Equipping regions with data and recommendations To help municipal and regional governments develop solutions and pathways for residential energy-efficient retrofit programs, we completed two feasibility studies for the qathet Regional District (Powell River, BC) and for the Regional District of Mount Waddington (RDMW) on North Vancouver Island. These studies explored retrofit opportunities, barriers, and financing options for residents in each region. In the RDMW, we built on the feasibility study by designing a program that will bring residential home energy upgrades to 100–200 households in the region annually. Expanding our support, we formed a partnership with the City of Prince Rupert to find funding and coordinate a feasibility study in 2023. The study will help us find ways to make home energy upgrades easier and more affordable for residents living on Coast Ts’msyen Territory in Northern BC. ## 2022 Friends & Supporters ### First Nations - Ahousaht First Nation - Aishihik First Nation - Champagne First Nation - Hattesaht First Nation - Haítsaq̓n Nation - Hesquiaht First Nation - Hupáčasáth First Nation - Huu’ay-aht First Nations - Lax Kwéwał - Metakwala First Nation - Mowachaht/Muchalaht First Nation - ‘Namgis First Nation - Nuu-chah-nulth Tribal Council - Nuxalk Nation - Quatsino First Nation - Squamish Nation - Tla’amin Nation - Tla-o-qui-aht First Nations - T’eesqox First Nation - T’lę́xingox First Nation - Ts’deldeł First Nation - Tsihlqot’in National Government - White River First Nation - Xeni Gwet’in First Nations - Yunesit’in First Nation - ʔEsdilagh First Nation ### Foundations - Aqueduct Foundation - Burton Charitable Foundation - Charities Aid Foundation of Canada - Connor, Clark and Lunn Foundation - Donner Canadian Foundation - First West Foundation - George Eric Metcalf Foundation - Gift Funds Canada Foundation - Gluskin Sheff Foundation of Philanthropy - Gordon and Betty Moore Foundation - Illahie Foundation ### Government - Canada Mortgage and Housing Corporation - Canada Summer Jobs - City of Powell River - City of Prince Rupert - District of Port Hardy - Eco Canada - Environment and Climate Change Canada - Environment Climate Change Canada - Federation of Canadian Municipalities - Fisheries and Oceans Canada - Government of Canada - National Housing Strategy ### Organizations - 2849470 Ontario Inc. - Addenda Capital Inc. - Advocis Financial Advisors Ass. of Canada - Area A Crab Association - Area C Harvest Committee - BC Housing - BC Hydro - BC Property Reduction Coalition - Benevity - Blockchain for Climate Foundation - British Columbia Assembly of First Nations - Brookfield - Canada Helps - Canada Mortgage and Housing Corporation - Canada Urban Sustainability Practitioners - Centraide Du Grand Montreal Charitable Impact - Charles Hays Secondary School - Coast Funds - Codfather’s Seafood Market - Coefficient Building Sciences - Commercial Fishing Caucus - Conrad Elementary School - CPAM - Create Climate Equity - David Charitable Trust - École Roosevelt Elementary School - Efficiency Canada - Environment Funders Canada - Evercity - Farm to School BC - Fisheries and Oceans Canada (DFO) - Fisheries for Communities Network - Five Nations Fishery - Fukusaku of Prince Rupert - Gitmaxmak’ay Nisg̱a’a Society - Green Shield - GreenWave - Ha’oom Fisheries Society - hcma Architecture + Design - Hecate Strait Employment Development Society - IIAIA Norad Capacity Building Stipend Programme - Insurance Institute of Southern Alberta - Kambo Energy Group - Kluane First Nation Community Development Corporation - KPMG impact award donations - Marley Memorial Fund for Education - Meadowvale Secondary School donation from SAC Fundraising - Metakwala Development Corporation - Metakwala Stewardship Society - Microsoft Canada - MK Disability Lawyers LLP - Native Fishing Association - Natural Element Interior Design - Nature United - Nifty Dogs - North Coast Skeena First Nations Stewardship Society (NCSFNSS) - North Granville District High School donation - Northern Savings Credit Union - Oakbank United Church - OFB Enterprises Corp. Corporation - Okanagan Mission Secondary School - Paracas Investments Inc. - Patagonia - PayPal Giving Fund - Pearl Consulting - Pembina Corporation - People Talent Ops - Pilotfish Networks - Prince Rupert Lions Club - Prince Rupert Port Authority - Prince Rupert Seamen Rugby Football Club - Provincial Employees Community Services Fund - Public Health Association of British Columbia - Rafis Family Fund - Rotary Club of Prince Rupert - Routine Wholesale Canada - Royal Roads University - School District 52 - Short Season Seeds - Skipper Otto - Slow Fish Canada - Slow Fish USA - Slow Food - Social Innovation Canada - Special Events Prince Rupert - Spryberry Creative Strategy - Still Water Alchemy Corporation - Sun Life Financial - T. B. Tseleukui Foundation - Teem Fish Monitoring - The Agency for Co-operative Housing - The Printing House Ltd. - ThisFish - Tourism Prince Rupert - Trigon Pacific Terminals Limited - UNIFOR/UFAWU - United Way Society of Yukon - Waiyu Community Foundation - Vancity Credit Union - Wahktohtown Development GP - Welfact - WellDunn Consulting Ltd. - West Coast Environmental Law - Wheelhouse Brewing Co. ### Individual Donors #### Monthly - Aaron Fife - Adrian Paradis - Aida Thomas - Amna Singh - Andrew Han - Benji Wiebe - Bettina Mallari - Cameron Dunkin - Cassandra Morton - Catherine Villeneuve - Clara Luca - Connor Clark - Cullen Johnston - Daniel Vandersteen - Dave Caloia - Gary Gerbrandt - Hélène Frohard-Doulent - Ian Cromwell - Jason Harvey - Jillian Dean - Joanna Karimiecka - Josee DeBoer - Josh Granovsky - Julia Stothart - Kate Siemiatycki - Kathryn Binemma - Kenneth O’Neill - Konrad Harley - Kyla Warren - Lauren Kresowaty - Linda Rasmussen - Lubert Jeyakumar - Mary Kavanagh - Meghan Smith - Michael Sigrist - Michele Palkovits - Miles Ransaw - Michael Stuart - Peter Labou - Preston McIntyre - Robert Selles - Romil Dharia - Rosy Lee - Sarah Leeves - S. E. Macdonald - Sarah Hocevar - Sarah Tarnowsky - Shane & Christine Jordanan - Troy Greer - Tyler Williams - Vasanthi Pendakur #### up to $1,000 - Aaron Fife - Abbe Nielsen - Adam Green - Aditya Kshatriya - Adrian Paradis - Alan Rosselet - Alex Lee - Alex McCormick - Alexander Chang - Alexandre Lacasse - Alida Thomas - Allan Beharry - Alysa Kim - Amanda Murdoch - Ambra Halcovitch - Amelia Ferguson - Anna Sigh - Amy Ferguson - Andrea Levy - Andrew Campbell - Andrew Han - Andy Gin - Angel Fillette - Annaka Webber - Anne Lemieux Barsetti - Anne Hamilton - Anthony Leaning - Antonios Tsigounis - April Albertson - Armin Najafpour - Baxiton Schreiber - Benji Wiebe - Bettina Mallari - Bonnie Penfold - Brent Reist - Brian Morris - Bridget Pilon - Brigitte Wagner-Yates - Bryce Edwards - Cameron Dunkin - Cameron Teixeira - Carlo Vigliatore - Carol Mitchell - Carolyn Arnfin - Cassandre Morton - Catherine Villeneuve - Catriona Forbes - Cecilia Skarupa - Charlotte Mason - Chris Tonn - Chris Trothen - Christianna Facey-Crowther - Christina Chan - Cinyl Haw - Claire Massard - Clara Luca - Clayton Wowk - Cole Bisson - Colin Byrne - Connor Clark - Corrine Harris - Cullen Johnston - Dan Balzerzon - Dana Jordaan Knox - Dana Russell - Daniel Doan - Daniel Griffith - Daniel Lee - Daniel Vandersteen - Danielle Dmytry - Danny Clark - Dave Caloia - David Schwartz - David Tings - Debbie Devgan - Deborah Wills - Diana Daghofer - Dion Roseman - Dixon Weir - Dominic Trottier - Dominique Mailloux - Don & Cheryl Weaver - Donald Cockburn - Doug Blacher - Doug Barton - Doyle Bannerjee - Edward Arseneau - Elaine Reynolds - Elijah Fast - Elisa Du - Elizabeth Brownlie - Elizabeth Macdonald ## 2022 Staff & Volunteers ### Staff - Alaina Pyde - Anthony Persaud - Ashli Akins - August Johnson - Brooke Rollins - Brooklyn Colborn - Caroline Parnell - Carrigan Talio - Caterina Cociani - Caylin Sun - Celina Trojand - Charles Verein - Charles Rumsey - Clair Carter - Dale Robinson - Denby McDonnell - Dianne Villesèche - Douglas Ante - Dyhia Belhabib - Dylan Heerema - Graham Anderson - Gwen Bennett - Janessa Dornstauder - Jennifer Paton - Jordan Koe - Joseph Pallant - Josephine Schrott - Kathryn Bond - Kayley Hollyer - Keirstyn McLorie - Kia Dunn - Kirstyn Bruce - Lara York - Levi Robson - Lindsey Bodgener - Madison Bolt - Margaret Miller - Mary Williams - Michelle Connolly - Michelle Segal - Nathaniel Walker - Phil Clime - Philip Chow - Racheal Weymer - Rebecca Rogerson - Renee Samels - Robert Conn - Samuel Costa - Shannon Lough - Shelby Huebner - Tasha Sutcliffe - Tatiana Lyssoun - Taylor Reidlinger - Tayshaun Charleson - Thomas Mark - Westla Tom - Yumi Kosaka - Mark Valentine - Rick Williams - Ronald Grzywinski - Susanna Fuller - Tracey Clark - Velma McColl ### Board and Directors - Alexandra Loeb - Andy Rowe - Debbie DeLancey - Jacqueline Koerner - Lee Francoeur ### Associates - Alpine Devine Food Services - Alternate Future Design Group - BC Assembly of First Nations - Braden Etzerza - CoEfficient Building Science - Countable Web Productions - Finella Pescott - Greenwave Organization - Metlakatla Development - Corp Natural Resources Consultants - Ponderation (Kam Phung) - Praxis Research - Rainbow End Enterprises (Ken Shaw) - Roman Brochu - Rothkop Holdings - Russell Ross - Shantz Enterprises - Taylor Roads Photography - Taylor Van - Teem Fish - Troy Moth - Ts’myen Culture Society - Vacinity Visa - Wahkohtown Development GPI - West Coast Launch ### Over $1,000 - Alexandra Loeb - Brian Eby - David Bryson - David Estill - Dennis Perry - Elkan Waldman - Gordon Wong - Hannah Ellis - Ian Robinson - Jacquelin Del Rizzo - Jane Ramin - Jocelyn Kearney - Joseph Tanel - Shayne Stothart - Sherry Yano - Sienna Pandya-James - Siobhan de Graaf - Sophie Kessler - Stephanie Smith - Steve Tedder - Steven Dien - Susan Till - Sylvia Maria Petrone - Tara Lutchman - Tauna Staniland - Taylor Ramos - Taylor Simmons - Terazin Ruff - Thomas Bailey - Thomas Button - Tiah De Marni - Timothy Mills - TJ Sutter - Tom Deane - Tomothy Mills - Tracey Clark - Trevor Ball - Trevor Bebchuk - Trevor Houlden - Trevor Ramage - Troy Greer - Tyler Williams - Ume Kang - Vasanthi Chandakur - Velda Wong - Victoria Kondo - Victoria Murphy - Vivisan Liu - Vytais Fidleris - Walter Wayne - Yichen Yang - Yin-Hsuan Chen - Yoko Tsuyuki - Yumi Hori - Yunuri Martinez Sanchez - Zoha Zubari - Zosha Schelcher \| ANNUAL GOAL \| PARTNER / COMMUNITY / STAKEHOLDER \| ACTIVITIES \| OUTPUTS \| OUTCOMES \| DID WE ACHIEVE THE GOAL? \| \|-------------------------------------------------\|--------------------------------------------------------------------------------------------------\|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\|--------------------------\| \| Successful fisheries monitoring program delivery for the Five Nations Fishery \| Five Nations fish harvesters Ha’boom Fisheries Society Five Nations Fishery Leadership Fisheries and Oceans Canada (DFO) \| Delivered monitoring and observer services for the Five Nations. Worked with Ha’boom Fisheries Society to ensure monitoring services are being delivered in a culturally appropriate manner. \| EC monitored all offloads for the Salmon, Groundfish and Gooseneck Barnacle fisheries for the Five Nations Fishery in 2022. EC hired 18 local community members as observers, in Gold River, Zeballos, and Tofino. EC observers were available for a total of 305 days over the course of the fishing season. Exceeded our Coded Wire Tag targets by 17%, for Suuhaa (Chinook) landings occurring in Tofino. Conducted 2 observer training courses. \| Harvester were able to fish, supporting more financial security in the communities where they live. 18 monitoring jobs provided for local community members. In 2022, the South Coast monitoring team had a 50% staff retention level, and a total of 9 observers returned for the season. \| Yes, we continued to meet the needs of fish harvesters by providing the monitoring program for the Five Nations Fishery. \| \| Successful fisheries monitoring program delivery for the Area A Crab Association \| Area A Crab Association Fisheries and Oceans Canada (DFO) Area A harvesters Teem Fish Monitoring \| Delivered effective electronic monitoring services. Delivered effective biosampling and softshell at-sea observer services. \| 5 biosampling trips were conducted. 10 softshell surveys were conducted, 5 occurred in the Hecate Strait and 5 in McIntyre Bay. Employed 4 local community members. Provided technical support to ~120 crab harvesters to acquire fishing licences. Local hub for harvesters. \| Local community members had consistent employment and increased financial stability. Harvesters played an active role in collecting fisheries data for the purposes of fisheries management. Sense of connection and community felt between fish harvesters, community members, and staff. \| Yes, we achieved what we set out to do for the Area A Crab Association. \| \| Monitor North Coast Salmon Fishery \| North Coast Skeena First Nations Stewardship Society (NCSFSS) Metlakatla First Nation Lax Kw’alaams Area C Harvest Committee DFO Prince Rupert community members \| Delivered monitoring and observer services to partners/clients Ensured monitoring services are being delivered in a culturally appropriate manner \| Over the course of 30 days, EC staff monitored the Area C Commercial Gillnet fleet, NCSFSS, Lax Kw’alaams, and Metlakatla Demonstration Fisheries, inclusive of at-sea monitoring, biological sampling, and dockside monitoring. During the 30-day fishing season, three monitors worked nearly 300 hours on the docks of Prince Rupert / Port Edward or at-sea monitoring the Area C Gillnet Fleet, seeing nearly 50 vessels. Hired 3 returning observers. EC observers were available for a total of 30 days over the course of the fishing season. \| There was a record-breaking sockeye salmon return on the Skeena River in 2022 – estimated at about 4.3 million fish, the highest numbers the North Coast has seen in almost 15 years. 2022 North Coast sockeye returns were important to community members. In British Columbia, the wild salmon industry employs over 6,600 people made of over 4,000 fish harvesters and crew, and provides approximately 2,600 positions in the salmon processing sector. \| Yes – super challenging season, though! A lot of learnings. \| \| ANNUAL GOAL \| PARTNER / COMMUNITY / STAKEHOLDER \| ACTIVITIES \| OUTPUTS \| OUTCOMES \| DID WE ACHIEVE THE GOAL? \| \|-------------\|----------------------------------\|------------\|---------\|----------\|------------------------\| \| Build support to improve West Coast fisheries licencing policy \| TBuck Suzuki Foundation, Fisheries for Communities, Commercial Fishing Caucus, Native Fishing Association, UNIFOR/ UFAWU, Slow Fish Canada, Slow Fish USA, Slow Food, Skipper Otto, Nature United, Codfather’s Seafood Market, CPAWS, West Coast Environmental Law (WCEL) \| Produce reports and media that support communities and harvesters pressing for fisheries policy reform. Produce reports and media that support communities and harvesters pressing for fisheries policy reform. Encourage DFO to track and make ownership and socio-economic outcomes of fisheries licence ownership more transparent. Begin independent research on licence valuation and beneficial ownership. Strategic engagement with Coastal Marine Strategy partners (Provincial). Began planning Fisheries For Communities Gathering for February 2023. \| Gave compelling testimony with FOPO on the value of including social sciences in the DFO’s decision-making process. Presented on the federal government’s Blue Economy Strategy at World Small Scale Fisheries Conference. Hosted 1 workshop on how to protect local food systems from rampant corporatization and vertical integration at the International Slow Food Conference. Supported the Fisheries for Communities Network in developing its new website. \| A sense of hope built among fish harvesters and people living in coastal communities due to the momentum gained to bring that value of our marine resources back to the people on the deck, on the dock and in coastal communities. DFO sent out a survey to assess beneficial ownership of BC fishing licences. \| Progress has been made toward improved fisheries policy on the West Coast of Canada for the benefit of active fish harvesters and coastal communities. We will help facilitate a gathering in February 2023 to determine a more defined and specific policy ask now that the conditions for policy change have improved. \| \| ANNUAL GOAL MUST BE MEASURABLE \| PARTNER / COMMUNITY / STAKEHOLDER \| ACTIVITIES \| OUTPUTS \| OUTCOMES \| DID WE ACHIEVE THE GOAL? \| \|--------------------------------\|-----------------------------------\|------------\|---------\|----------\|------------------------\| \| Provide participant communities with high-quality, accurate and supportive tools \| Various community audiences Squamish Nation \| Knowledge sharing and report writing on natural climate solutions and exploring possibilities for BC First Nations communities. Feasibility assessment exercise for communities with a distinct land-based potential project. \| 1 joint presentation with British Columbia Assembly of First Nations (BCAFN) on the First Nations Carbon Portal Website. Published 1 “First Nations Carbon: A BCAFN Discussion Paper” Completed 1 feasibility assessment for the Squamish Nation \| Attendees at the First Nations Gathering for Climate Change engaged in rich and reflective conversations surrounding Natural Climate Solutions for protecting sacred landscapes and generating revenue, its applicability, as well as concerns. Readers of the paper gain clarity on carbon, First Nations’ rights with respect to carbon, how carbon offsets work, and how First Nations can benefit from them. \| Yes, our research presentations are equipping communities with the information they need to develop, communicate, and fund their projects. \| \| Support the development of government structures for investment in the Nature Smart Climate Solutions Fund (NSCSF) with maximum climate, community, and biodiversity benefits. \| Environment Climate Change Canada (ECCC) \| Develop educational and capacity-building content. Propose improvements to NSCSF application-related documents. Support communities to examine carbon finance pathways for their potential NCS/NSCSF projects. Began improving the NSCSF application form, GHG emissions calculators, reporting framework, good practice guidance, etc. \| A toolkit focused on Natural Climate Solutions. \| Communities feel supported with the right resources and tools to prepare a strong NSCSF application. \| This is a five-year project to continue improving NSCSF and related work. We are progressing on schedule and will observe the full outcomes of our work in the years to come. \| \| Empower First Nations communities to lead successful carbon offset projects for enhanced sovereignty through the development of the First Nations Carbon Portal. \| British Columbia Assembly of First Nations (BCAFN) Various participating communities \| Develop capacity-building content to support community readiness to deploy forest carbon offset projects. Host engagement sessions. \| Develop the Forest Carbon Community Toolkit that focuses on forest carbon offset projects in BC. Developed 1 Project Idea Note (PIN) builder as an “all-in-one” project document template for communities planning forest carbon projects. Develop a website to house the toolkit, the PIN, and other related resources on forest carbon. \| Communities feel equipped with the information needed to critically evaluate potential forest carbon projects, including saying ‘no’ to projects that don’t align with community interests. First Nation governments, band councils, Land Guardians Band Councils and department staff feel welcome and encouraged to use the toolkit and PIN builder through the First Nations Carbon Toolkit to explore the feasibility of forest carbon projects. See quote from Regional Chief Terry Teegee \| We successfully completed the first draft of the Forest Carbon Community Toolkit by December that will contribute to the First Nations Carbon Portal. \| \| ANNUAL GOAL \| PARTNER / COMMUNITY / STAKEHOLDER \| ACTIVITIES \| OUTPUTS \| OUTCOMES \| DID WE ACHIEVE THE GOAL? EX? \| \|-------------------------------------------------\|---------------------------------------------------\|-------------------------------------------------\|------------------------------------------------------------------------\|--------------------------------------------------------------------------\|------------------------------\| \| Expand output and donation from Kaien Island Urban Farm \| Metlakatla Development Corporation (MDC), City of Prince Rupert \| Urban agriculture \| 340kg of produce grown, donated to various individuals and organizations in Prince Rupert and the surrounding area. \| 5 community organizations received donations (Hecate Strait Settlement Society, Community of Metlakatla, K’oomtk Youth Centre, Cedar Village Housing Society, Friendship House), along with many individuals and smaller groups who visited the garden throughout the season. \| Yes, an increase of 100kg of produce grown and donated, from 140kg in Year One to 340kg in Year Two using two greenhouses, one on the urban farm, and one at Charles Hays Secondary School. \| \| Strengthen collaborative community growing programs \| Charles Hays Secondary School (CHSS), École Roosevelt Elementary School, Conrad Elementary School \| School garden collaboration \| Seedling donation: 4 community organizations received donations throughout season. Produce donation: 100kg of produce grown at CHSS garden, donated as well as sold through farmers’ market pop-up. Gardening workshops: 5-6 gardening workshops held with classes at various schools in various age ranges. \| CHSS garden and greenhouse brought to life, which wasn’t on the curriculum otherwise. Elementary school gardens received support throughout the growing season. \| Yes. Collaboration grew as evidenced by seedling donation, produce donation, and the invite to return the following season. \| \| Establish a Northwest Seed Library \| Short Season Seeds, Farm to School BC \| Establishing the Northwest Seed Library \| 15 varieties of regionally adapted seeds grown out and returned to seed library, 2 seed saving workshops helped: seed growing and seed saving, 4 school gardens across 3 Northern BC communities took part. \| Workshops taught seed saving to school classes and community members across Northwest BC, and area where seed saving currently happens on a mostly informal basis. A positive way to engage students in the gardening process. \| Yes and No. Seed library was established with a sustainable amount of seed stock. Required moving the library to the Terrace Public Library, and a workforce needs to be established to make the project sustainable. \| \| Host a Pop-up market to test the viability of a permanent community market \| Hecate Strait Employment Development Society Tourism Prince Rupert Wheelhouse Brewery \| First of two farmers’ market pop-ups. \| 250 market visitors, 24 vendors. \| Showed strong desire and support for a permanent market by the citizens of Prince Rupert. Showed strong support from a wide array of vendors in Prince Rupert and surrounding area. \| Yes. Positive metrics and engagement from the community. Built momentum for the second pop-up and a subsequent permanent container market. \| \| ANNUAL GOAL \| PARTNER / COMMUNITY / STAKEHOLDER \| ACTIVITIES \| OUTPUTS \| OUTCOMES \| DID WE ACHIEVE THE GOAL? EX? \| \|---------------------------------------------------------------------------\|-----------------------------------\|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\|-------------------------------\| \| Increase regenerative kelp production in alignment with Metlakatla values and stewardship goals \| Metlakatla Development Corporation (MDC) \| Harvested, processed, and stored kelp. Collected local sorus tissue from two kelp species. Traveled to Bamfield to learn and operate nursery technology and practices. Applied for commercial licences. \| Harvested 1,560lb of kelp. Produced 2km of kelp seed line for local use. Outplanted 2,000 metres (could see 10 times the yield) of sugar and winged kelp for the 2023 season. Employed 5 full-time staff at Metlakatla Development Corporation and Ecotrust Canada. MFN Guardian and 1 Metlakatla Stewardship Society staff participated in kelp outplanting. \| MDC and Ecotrust mariculture capacity has increased with more skills and knowledge around outplanting, growing, harvesting and processing kelp. \| Somewhat. We won’t see the full results of our efforts until 2023. \| \| Develop viable kelp products for local markets \| Metlakatla Development Corporation \| Experimented with primary processing methods. Participated in harvest with Rising Tide and Cascadia Seaweed on Vancouver Island to learn about harvesting methods. Connected with and toured multi-use food hubs in Vancouver (Commissary Connect) and Port Alberni (The Dock+). Connected with various actors who are using, selling or developing products with kelp, including Canadian Kelp (Bamfield- food products) UBC (B12 development from alginate), Barnacle Foods (Alaska based food producer), Beaver Meats and Farmlands (cattle feed), Canadian Seaweed (foods, biostimulants, agrifeed), Canadian Pacifico Seaweeds \| Wheelhouse Brewery sold out 400 litres of Artissimi Gose beer. Sourdough YPR created Special edition kelp powered sourdough bread. Stored product for 900lb of liquid seaweed fertilizer to be brewed in spring 2023. \| Community awareness and support for kelp products increasing. Wheelhouse has requested more kelp in 2023, Coast Mountain Community College has requested to bring their culinary program out to the Ocean Farm. Farms in Skeena/Bulkley valley region showed interest in kelp as a soil amendment. Began to identify initial, easy entry kelp products to focus on (fertilizer) while continuing to perform R&D on food products. \| Somewhat. We won’t see the full results of our efforts until 2023. \| \| Strengthen supporting conditions for ROF on the North Coast \| Metlakatla Stewardship Society \| Ongoing discovery conversations and idea development with Ts’msyen Nations and other coastal First Nations and organizations. Kelp restoration research project with OceanWise and MSS conceptualized and planning begun. Build relationships with kelp and shellfish actors (i.e. Bamfield Marine Sciences Centre, Nova Harvest among already noted organizations) \| 5 Social Media posts on Instagram, reaching 540 accounts, with 77 engagements. Kelp restoration project agreement with OceanWise. Team has determined 5 supporting conditions that will enable a ROF movement on the North Coast and have submitted 4 funding applications in collaboration with partners. \| New emergent partnerships and supportive projects such as developing a regional hatchery, shellfish testing lab and processing facility are on the horizon. More community groups and nations are engaged and interested in project development. Increased interest and capacity being built to collect data and understand the broader impacts of kelp farming. \| Somewhat. We won’t see the full results of our efforts until 2023. \| \| ANNUAL GOAL \| PARTNER / COMMUNITY / STAKEHOLDER \| ACTIVITIES \| OUTPUTS \| OUTCOMES \| DID WE ACHIEVE THE GOAL? EX? \| \|-------------\|----------------------------------\|------------\|---------\|----------\|-----------------------------\| \| Restore abandoned scallop farm sites \| Metlakatla Development Corporation \| 126 days spent cleaning up abandoned ghost gear from farm sites, and performing regular farm and vessel maintenance. Salvaged 162 nets of juvenile scallops to grow out to market size (approximately 40,000 scallops). \| 42,000kg of waste disposed of from farm sites and land-based aquaculture facility, 13,300kg of which was waste, and 9,000kg stored onsite for reuse or recycling. \| Ghost gear partially cleaned at Wolfe tenure site and mostly cleaned Digby tenure site, leading to safer waterways, work sites and more space to pursue new mariculture opportunities. Local businesses supported: Northwest Fuels, Seasport, Rupert Disposal, Marinex, Tenaquip, Bridgeview Marine, Franes Construction Ltd, Chucky’s Labour Services. \| In progress. So much more needs to be done. \| ![Image of person working with seaweed](image-url) \| ANNUAL GOAL \| PARTNER / COMMUNITY / STAKEHOLDER \| ACTIVITIES \| OUTPUTS \| OUTCOMES \| DID WE ACHIEVE THE GOAL? EX? \| \|---------------------------------------------------------------------------\|-----------------------------------\|----------------------------------------------------------------------------\|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\|-------------------------------\| \| An increase in the number of Indigenous groups utilizing integrated, systems-based approaches to housing, land use and community economic development processes. \| T'Silhqot'in National Government (TNG) Yunešit'in Nuxalk Nation \| Carried out a Housing Retreat and delivered a report that detailed the T'Silhqot'in Housing System. Further developed monitoring and evaluation tools with Yunešit'in First Nation. Visited Nuxalk Nation to develop an understanding of the Nuxalk housing system. \| Approximately 30 people representing the T'Silhqot'in National Government of the six communities of T'letinqox, ʔEsdilagh, Yunešit'in, Ts'isdeldel, Tl'esqox and Xeni Gwet'in, participated in a two-day housing retreat workshop led by Indigenous Homelands (IHL). Produced a report on findings and a roadmap for the TNG Housing Retreat, which is being used as the basis for housing strategic planning within TNG. Delivered updated and streamlined housing monitoring and evaluation tools for Yunešit'in. Delivered a Housing Ecosystem Overview report with Nuxalk Nation that will be used as the basis for project planning and support moving forward. \| Increased sense of solidarity between the T'Silhqot'in communities and with the T'Silhqot'in National Government. \| Indigenous groups utilizing systems-based approaches increased by 1 (Nuxalk) in 2022 but our work is in early stages. \| \| Facilitate, develop, and implement one alternative institutional framework for Indigenous housing and lands governance. \| Xeni Gwet'in First Nation \| Carried out research to elaborate Xeni Gwet'in values and principles and how these might apply to a culturally appropriate land tenure regime premised on T'Silhqot'in Aboriginal Title. Carried out a comprehensive and broad-based research program investigating Indigenous housing governance and land tenure opportunities. Began researching and drafting the Forest to Frame guide for First Nation communities. \| Delivered 1 presentation to Xeni Gwet'in and the Title Transition Table outlining previously articulated values and principles, and their potential application to new land tenures. Published an online and interactive toolkit offering numerous modules related to Indigenous housing and lands governance, available on the Ecotrust Canada website, accessible to more than 200 First Nations in BC and beyond. 65 website visits to the toolkit. Forest to Frame report drafts completed and due to be released in early 2023. \| Supported an alternative way for Xeni Gwet'in to begin to think about Title and Land Governance, leading to continued research and development along these lines. Increased knowledge and awareness of alternative housing and lands governance options for Indigenous communities in British Columbia and Canada. Increased awareness for alternative housing needs-based forestry models, which connect forests to frames. \| We have achieved the development phase of this work, but the actual implementation will take time. \| \| ANNUAL GOAL \| PARTNER / COMMUNITY / STAKEHOLDER \| ACTIVITIES \| OUTPUTS \| OUTCOMES \| DID WE ACHIEVE THE GOAL? EX? \| \|---------------------------------------------------------------------------\|------------------------------------------------------------------------\|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\|--------------------------------------------------------------------------------------------------\|------------------------------------------------------------------------------------------------\|---------------------------------------------------------------------------------------------\| \| Enable regional coordination and collaboration on housing and lands governance, indigenous supply chains, and consultation and consent decision-making systems in at least two regions. \| TL’etinqox, ?Esdilagh, Yunesiit’in, Tsídieldeł, Tl’Esqox and Xeni Gwét’in \| Carried out the TNG Housing Retreat, which brought together six different Tsilhqot’in communities. Started research examining a housing supply chain cooperative in Southwest Yukon. \| Produced a [housing retreat findings report](#). Convened an Indigenous Advisory group that is a first step toward regional coordination on housing for First Nations in the Southwest Yukon. \| Increased coordination and unity across all six Tsilhqot’in communities. \| TNG and Southwest Yukon are on a path toward developing innovative regional collaboration and coordination on housing and land governance; however, both are at the early stages and have not fully operationalized their strategies. Our team will continue to support both regions in furthering and formalizing this work. \| \| Develop new partnerships and strengthen existing ones. \| Champagne and Aishihik First Nations \| Developed a formal relationship with Nuxalk Nation. \| Partnership agreement with Nuxalk Nation. Research contract in place with Xeni Gwét’in. Signed Indigenous Advisory Group Terms of Reference. \| Indigenous Homeland’s network of partners and practitioners has grown throughout 2022. \| Although we developed new partnerships, some existing relationships (e.g. Yunesiit’in and TNG) are not being strengthened enough. \| ![Image of a road with houses and mountains in the background] \| ANNUAL GOAL MUST BE MEASURABLE \| PARTNER / COMMUNITY / STAKEHOLDER \| ACTIVITIES \| OUTPUTS \| OUTCOMES \| DID WE ACHIEVE THE GOAL? EX? \| \|--------------------------------\|-----------------------------------\|------------\|---------\|----------\|-----------------------------\| \| Directly advance energy security in communities that face uniquely high energy cost burdens. \| Heiltsuk Nation Quatsino First Nation ‘Namgis First Nation \| Supported fundraising and project implementation across community projects. \| 191 heat pump retrofits installed across partner communities. 155 home energy evaluations completed by certified Energy Advisors. \| Roughly $5.1 Million in estimated cost savings from 2022 installations alone, and $11.5 Million in total impact from retrofits to date (household impact). 8,700 tonnes of CO2eq will be eliminated over the lifetime of equipment installed in 2022; 21,700 tonnes of total GHG reductions from all projects to date. Positive health impacts are also expected due to the new ability to heat and cool homes appropriately, as well as improved air circulation and ventilation in some homes (based on external research). Households benefit from air conditioning, providing safety and comfort during extreme heat events. \| Yes, through community projects and household retrofits. \| \| Shift the policy environment from one that holds people in energy insecurity to one that enables households to realize energy security. \| Households across British Columbia facing high energy cost burdens. Low- and moderate-income households. Coalition partners and allied organizations. \| Led a joint submission to the BC Government’s Energy Affordability Working Group. Engaged with policymakers directly approximately 6 times, as well as through BC Hydro regulator and low-income advisory committees. Engaged coalition to advocate effectively to policymakers about the need for stronger income-qualified retrofit programs and bill protections. Engaged media about the need for new programs. Initiated planning for Home Energy Justice Forum (event in April 2023). \| Improved low income and tenant-focused efficiency programming was included in the BC Energy Minister’s mandate letter. British Columbia Utilities Commission (BCUC) reform was included in the BC Energy Minister’s mandate letter. \| Low- and moderate-income households across BC are expected to receive enhanced support for retrofits. Changes to legislation governing BCUC would support BC in more effectively achieving its poverty reduction and climate action goals. \| Making progress but more formalized or legislated reform is still needed. \| \| ANNUAL GOAL MUST BE MEASURABLE \| PARTNER / COMMUNITY / STAKEHOLDER \| ACTIVITIES \| OUTPUTS \| OUTCOMES \| DID WE ACHIEVE THE GOAL? EX? \| \|--------------------------------\|-----------------------------------\|------------\|---------\|----------\|-----------------------------\| \| Enable households in rural communities to accelerate their transition to affordable, clean home energy systems. \| Regional District of Mount Waddington (RDMW) qathet Regional District (City of Powell River) City of Prince Rupert \| Community Efficiency Studies with Community and Regional Partners. Energy Advisor (EA) training with Indigenous candidates from across Coastal BC. \| 2 Community Efficiency Financing (CEF) Feasibility studies completed and published with RDMW and Powell River. RDMW Design study completed, implementation funding applied for. CEF Feasibility study with Prince Rupert is ready to begin. EA candidates have not yet passed the first exam. They’re working toward full certification in 2023. \| Partner regions are equipped with clear data and clear recommendations about options to move forward with financing and capacity-building programs across their communities. \| This is a multi-year project that will see more conclusive outcomes (greater economic security, improved health outcomes, and reduced pollution and fossil fuel) in 2023. \| Community Fisheries Learnings - Struggled with staffing for the North Coast sockeye fishery and South Coast summer fisheries monitoring programs. Returns were much higher than we anticipated for the North Coast, which required additional staff to monitor offloads at the docks and at-sea monitoring, and the workload for the South Coast fisheries have been steadily increasing over the years. - Attempted to host a fisheries policy event for Members of the Legislative Assembly (politicians in the BC Government) in November, but the new BC Premier was elected, and the Legislative Assembly was given time off. Due to this unexpected closure of the Legislative Assembly, we were forced to cancel our event and lose the planning and coordination hours. - The revolution in fisheries must include joy and pleasure — why are we doing all this work if not for a better life? We need to prioritize incorporating more joy into this work. What will we change as a result? - In 2023, we are focusing on providing more stable and supportive employment to our part-time fisheries observer staff. In 2023, we plan to offer two senior observers’ full-time roles for their coordination and supervision skills in the South Coast fisheries monitoring programs. - We redistributed tasks and responsibilities across the fisheries program, focusing on relieving stress on the fisheries monitoring and policy teams by way of reducing overtime, increasing workflow, and maximizing skill and knowledge sets. One aspect of this redistribution was ensuring that the administrative burden of our corporate and individual designations does not lie on our North and South Coast monitoring project and program managers. - When hosting a fisheries policy event, plan to have the event during times when there isn’t a government change. - Incorporate joy into the work by connecting with the team more — sharing more joyful experiences. Shifting to a four-day work week. Have more staff to lighten individual loads. We still need to connect in person as a team. Climate Innovation Learnings • Project management: Throughout 2022, Climate Innovation had multiple ongoing projects with different deadlines to manage. We recognized the importance of a more comprehensive project management strategy, staying more organized, and being diligent in managing our time and resources. • Partner relations: We recognized that different partners have different levels of capacity and interests. We recognize the value of a strong and trusting relationship with our partner organizations and communities can greatly enhance the outcome of the project, as well as our impact. It is also important to allocate extra time to work collaboratively with our partners. • Knowledge sharing: We recognized that when key team members leave, they could take with them key working knowledge, project insights, and progress, especially if they had been the key holder of that relationship. If the information is not captured and shared with other team members effectively, it could significantly impact the progress and project continuity. What will change as a result? • In 2023, as we proceed with ongoing projects that we are deep in the works with, and preparing for taking on new work, we understand the need to incorporate these learnings into our future work. • We are using a new online project management tool to manage existing projects, the status of key deliverables, upcoming deadlines, and prospects. • We understand that we need to proactively manage our relationships with our partners and continue to create space for conversation and areas of improvement and make sure that we are supporting the shared aspirations of the partnership. • We continue to have a project relationship lead who is responsible for different projects, but we also have dedicated team member(s) who is/are in supportive roles to the lead. The expectation of the lead is not to be the sole person responsible for the delivery of the project but to remain as the point contact and keep everyone on track with the key outputs or deadlines that are upcoming. Communications and updates with our partners are shared with the team. In our most recent example, we created “Nations profiles” for each partner community we work with, and a place to store all relevant information about them. A priority is to make sure that knowledge of partners and projects is shared within the team, rather than sitting with one person. Another experiment is creating data rooms to store emerging and working research on a topic or organization, accessible to the entire team. Food Systems Learnings COMMUNITY GARDENING - Need to learn the ins and outs of the municipal process. With greater understanding and more forward-thinking processes, we would possibly have more effectively relocated the urban farm and created new community gardens. - Don’t spread efforts too thin, focus on aspects of the program that are working, and what collaborators are showing up for. A collaboration that fizzled: City of Prince Rupert. Collaboration that grew: School District 52 in Prince Rupert. - A project will be more sustainable over the long term with greater buy-in from community members and organizations — don’t try to carry the load yourself! REGENERATIVE OCEAN FARMING - Change doesn’t happen overnight. The scope of work and timelines that we set for ourselves were too ambitious and didn’t take into account how long it takes to become in good relationship with the community and partners. 2022 became about building a foundation rather than taking off to the races. - The best-laid plans don’t survive contact with reality. In our first year, so many things changed, and areas of growth that we thought should be prioritized didn’t work or fell flat, while other areas (such as hatchery development) appear now to be critical to our path forward. What will change as a result? COMMUNITY GARDENING - Dig deep into Official Community Plan and similar public documents (Redesign Rupert: Prince Rupert 2030) to glean language and planning specific to food systems to better meet the City at their stated goals. Start the process early and be persistent. - Foster the relationships that are established. Show up and do the dirty work consistently, and then move on to growing and expanding the collaboration. • Is urban agriculture the path forward? Should we be pursuing other strategies/avenues? Hydroponics, expanded aquaculture, food rescue, etc. REGENERATIVE OCEAN FARMING • In 2023, our team will be bringing in as many new partners as possible. With each partnership, we will strengthen our collective capacity and desire to see the Regenerative Ocean Farm a success. • In 2023, we will be approaching the project more like a startup — flexible, nimble, and responsive — we will experiment as much as possible and take an iterative, design-thinking approach. Indigenous Homelands Learnings • Long-term commitment to partnerships, even during times of dormancy, is key to building strong relationships that lead to impactful projects and change. • Homelands is still in a growth stage, and much of the community-based work remains broad and all-encompassing. This has its advantages, but it also can lead to uncertainty about how Homelands can support a specific challenge. Work needs to continue to determine where and how Homelands provides focused value and support to First Nations partners. • Having a regional coordinator is critical in the communities where Homelands works, but there needs to be greater attention to keeping that person involved and engaged. What will change as a result? • Leadership has changed in IHL, and with this a different set of skills and focus areas will help guide IHL to determine its niche and role, but still with a focus on system-based decolonial governance models. • IHL will more clearly identify its mission, expertise, and program offerings, to better assess aligned projects and to be able to provide more clarity on our work to potential partners and funders. • The IHL team will grow, with more unity, communication, and transparency, as well as more capacity to take on larger long-term projects. • Attention will be given to building more core funding for IHL, so that we can better support our partner communities’ goals on a long-term basis. Community Energy Learnings • We focused on established regulatory pathways for policy change — and the regulatory calendar kept getting pushed and then cancelled. • The Federation of Canadian Municipalities (FCM) funding process (for Community Efficiency Financing projects) is repetitive, slow, and time-consuming, making it very challenging to maintain momentum to project execution across local electoral cycles. What will change as a result? • We are focused more on collaborating with a wider range of aligned groups and building relationships directly with policymakers and political leaders in government. • We are diversifying our partnerships for our regional capacity-building work to include Natural Resources Canada as a valued partner going forward. • We see an opportunity to deepen our work in the Northwest Area of the province, where natural gas rates are considerably higher and there appears to be strong interest among communities in this region. Vancouver Office 225 West 8th Avenue, Suite #300 Vancouver, BC, V5Y 1N3 604.682.4141 Prince Rupert Office 425-309 2nd Avenue West Prince Rupert, BC V8J 3T1 250.624.4191 ecotrust.ca
Asylum Seeker’s Guide to Health, Legal Services & Life in Boston © BCRHHR 2013 One Boston Medical Center Place • Dowling 7 • Boston, MA 02118 Phone 617.414.4794 • Fax 617.414.4796 www.bcrhhhr.org About this Guide If you are an immigrant who is seeking asylum and you live in or near Boston, then this guide is for you. If you are not seeking asylum, and are simply new to Boston (or the United States) you may still find some of this information to be useful. Please note: The information presented here is intended only as a guide, and is subject to change at any time. Every effort has been made to ensure that it is accurate and current. We reserve the right to correct errors. We may provide links to third-party web sites. We do not recommend and or endorse the content on any third-party websites. We are not responsible for the content of linked third-party sites and we do not make any representations regarding their content or accuracy. Your use of third-party websites is at your own risk and subject to the terms and conditions of use for such sites. We do not endorse any product, service, or treatment advertised on this Site. The contents of this site are for informational purposes only. The content is not intended to be a substitute for professional medical advice, diagnosis, or treatment. Always seek the advice of your physician or other qualified health provider with any questions you may have regarding a medical condition. Never disregard professional medical advice or delay in seeking it because of something you have read on our site. # TABLE OF CONTENTS Part 1: Health, Legal and Social Services - Your Health and Health Care Services ................................................................. 5 - Paying for Your Healthcare .................................................................................. 5 - Visiting Your Doctor ............................................................................................. 6 - Health and Safety Emergencies ........................................................................... 9 - Stress Management and Knowing When to Seek Help ...................................... 11 - Legal Resources .................................................................................................. 12 - Other Resources for Refugees and Immigrants .................................................. 14 - Temporary Housing and Shelters ........................................................................ 17 - Food Pantries and Food Stamps .......................................................................... 18 Part 2: General Information on Life in Boston and the United States - Life in Boston ....................................................................................................... 19 - Boston Weather .................................................................................................... 20 - Things to do in Boston .......................................................................................... 21 - Libraries ............................................................................................................... 21 - American Culture and Holidays ........................................................................... 22 - Law and Government in the United States .......................................................... 24 - City Life and Staying Safe .................................................................................... 28 - Transportation and Finding Your Way ................................................................. 29 - Communication: Email, Mail and Telephone ...................................................... 34 - Shopping .............................................................................................................. 37 - Money and Finance .............................................................................................. 41 - Conclusion ........................................................................................................... 42 If you are a refugee, an asylum seeker, asylee, or planning to seek asylum and have a question or are having trouble in your life, please call us at 617.414-4794. About the Boston Center for Refugee Health & Human Rights Difficult life events can affect our health, our emotions, and our sense of identity and purpose. We offer help and support to members of Boston’s refugee communities and torture survivors by providing medical, mental health and social services. We help people from many different countries, and we are here to help you get the services you need so you can adjust to life in the United States. Services Offered: - Mental Health – Help to heal emotionally - Medical Care – Professional treatment for illness or injury, to stay healthy, and prevent illness - Dental Referrals – Care for teeth - Evaluations for Asylum Cases – Doctors will examine you to see if you have any evidence of the physical or emotional effects of torture, write affidavits in support of your case, and perhaps testify - Legal Referrals – Referral to a lawyer that may provide immigration advice - Social Services & Case Management – Social workers can help connect you with services - Career Development – Training and information on how to find work, get an education, or get recertified in your profession in the U.S. - Interpreters – People who can speak your language and help you communicate with people at BMC who do not speak your language - English Classes – Help learning English - Support Groups – A group of people with common experiences and concerns that meet to share stories, advice, and encouragement - Referrals to local food pantries – You may be referred to places where you can get free food - Patient Navigators – People who can help you make appointments, fill out forms, and find your way around BMC New Words Affidavits – a sworn statement made by an expert that can be used in court. Example: The court asked the doctor to look at me and give an affidavit that shows I have a back injury. In times of trouble, it is important to find places where you feel safe, and people you can trust. Here at the Boston Center for Refugee Health & Human Rights (BCRHHR), we recognize the importance of a healthy body, mind, and soul. We are located in a hospital called Boston Medical Center (BMC), and we welcome you to contact us. We are open Monday through Friday from 9 AM to 5 PM. We are closed on Saturday and Sunday. To make an appointment please call the main number at (617) 414-4794. We recommend you call and make an appointment before coming. Your Health and Health Care Services Taking care of your health and getting the health care services you need in Boston will probably be different from what you were used to in your country. In this section you will find information on how to pay for your health care, what to expect when you visit the doctor, and what you should do in an emergency. Paying for your health care How do I pay for my health care? - In the U.S., you must pay for medicine and for each visit to the doctor. Health insurance may be able to help you cover these costs. Some people get private health insurance through their employers. Others get health insurance through the state of Massachusetts. - Applying for health insurance will not affect your immigration status. - There are a few different types of health insurance in Massachusetts. - Health Safety Net - MassHealth - Commonwealth Care To learn more about health insurance in Massachusetts or to see if you are eligible for state health insurance, visit Health Connector. New Words Medicine/medications – any type of substance that the doctor gives you to help make you well when you are sick. Example: I had a rash, so the doctor gave me two types of medicine – a cream to put on my skin every morning and a pill to swallow once a day for a week. Health insurance – a program that helps you pay for your health care bills. Example: Massachusetts has several types of health insurance available for immigrants, no matter what their status is. Visiting Your Doctor What is a primary care doctor and why should I have one? A primary care provider/physician is your doctor. He or she will begin to know you and understand you and provide for your general health needs. A primary care doctor will refer you to a specialist if you need a doctor that works in a particular area of medicine. Why should I visit my doctor if I am not sick? - Health has different meanings in different cultures. Here in the U.S. we want to encourage you to think about going to the doctor each year, even when you are feeling well to prevent sickness. At least once a year, you’ll see your primary care doctor. These visits are called preventative care. - Sometimes people may be sick but not have signs or symptoms. Your primary care doctor may do lab tests to make sure you are healthy. These tests will help the doctor to see if you have a health problem that you do not know about. How can I prepare before I see the doctor? - Make a list of any past and present medical problems. This is your medical history. - Write a list of medications you take now. If you can, bring your medications with you. - Write a list of questions you want to ask the doctor about your health. - Confirm your appointment day and time. - Ask for directions if you do not know where your appointment is. - Carry a pen and paper to your appointment to write down any important information. - Relax before your appointment. Doctors are here to help you. What should I expect at my doctor’s appointment? - You should come 15 minutes before your scheduled appointment to register and fill out paperwork. - You will often see a nurse or other medical staff person before you see the doctor. They work together as a medical team to help you. - Everything you tell your medical team (doctors, nurses, social workers) will be kept private unless you give written permission for the information to be shared. This is the law in the U.S. - You have the right to have a medical interpreter in your language – if you need an interpreter, tell the doctor or medical team. - The medical staff will ask about you and your family’s medical history. - The medical staff will ask you about any medicines you take – if you can, bring your medicines with you. - Your doctor may order tests. Often a doctor will not call you about test results unless there is a problem. - Ask questions if you do not understand. What questions should I ask my doctor? If the doctor gives you a prescription you might ask: - How and when do I take the medicine? - Do I take this medicine with food? - For how long do I take this medicine? - Are there reactions to the medicine or side effects? - What do I do if I forget to take this medicine? If the doctor gives you a test you might ask: - What is this test for? - How and when will I find out the results? If the doctor says you have a medical condition or problem you might ask: - What caused this problem? - Can you please explain this problem to me? - How will this affect my daily life? - How will we treat this problem? How do I contact my doctor if I have questions after the appointment? - The best way to contact your doctor is to call the front desk of their office. - You may not be able to speak directly to the doctor but usually you will speak to the nurse who helps the doctor and is part of your medical team. What should I do if I am late or can’t come to an appointment? - If you are going to be late for your appointment, call the doctor’s office. The doctor may not be able to see you that day, so you may need to reschedule your appointment. - If you can not come to a scheduled appointment, you must call the doctor’s office as soon as possible and reschedule your appointment. How do I get my medicine? - Your doctor may tell you to take medicine if you have a health problem. This is called a prescription. - There may be specific pharmacies where you can get your prescription depending on your health insurance. - Tell your doctor where you can go to get your medicine. - Ask your doctor how much medicine to take, how often to take it, and if there are any special instructions (some medicine works best when taken on an empty stomach, while other medications are better taken with food). Be sure follow the doctor’s instructions when taking your medicine. - Tell your doctor as soon as possible if you have trouble taking the medicine. What do I do if I need to get more medicine? - Some medicines should be taken for a short time and some medicines should be taken until your doctor tells you to stop. You should read the instructions on your medicine bottle and ask the doctor or nurse if you have a question. If the doctor wants to you take the medicine every day the doctor may give you a refill. - If your doctor gave you a refill, you must go back to the same pharmacy where you first got your medicine and ask for your refill. - If you have any questions about refills please ask your doctor or pharmacist. Your pharmacist is the person who gives you the medicine at the pharmacy. ### New Words Preventative care – things that you and your doctor can both do to keep you from getting sick or if you are already sick, to catch the disease early and keep you from feeling worse. Symptoms – signs of illness. Examples: coughing, pain. Primary care provider/physician – the name for the main doctor that you go to when you are feeling sick. He or she will give you a referral to see a specialist if you need a doctor that works in a particular type of medicine. Example: I went to my primary care provider because I felt sick. She told me that something was wrong with my stomach, so she sent me to a stomach specialist. Referral - a request from one office that will ask another office help you. Example: I told my social worker that I needed food and she gave me a referral to a food pantry to get free food. Specialist – a doctor who works in one particular area of medicine. Example: I have a rash on my arm, so I will go see a skin specialist. Medical history – a record your doctor will keep that contains information about your health and illnesses you’ve had during your life. Medical team – the group of healthcare professionals at Boston Medical Center who will work together to keep you healthy. Doctors (including your primary care physician), nurses, and social workers are all part of your medical team. Prescription – doctors order for medicine from a pharmacy so you can purchase it. Example: I had an infection so my doctor gave me a prescription for antibiotics. Refill – when you finish your medication, your doctor may tell you to get more of the same medication. Example: I finished all my medication but I still felt sick so the doctor told me I needed to refill my prescription. Health and Safety Emergencies Medical Emergencies An emergency is a dangerous or life-threatening situation. If you have a medical emergency, it is important to go to the Emergency Department instead of waiting to visit your regular doctor. If you have a medical problem that is not an emergency, make an appointment with your primary care physician. Most hospitals have an Emergency Department that is open all the time for people with medical emergencies. If you cannot get to the Emergency Department on your own, call 911 from any telephone and ask for an ambulance. If you experience any of the following symptoms, you should go to the Emergency Department as quickly as possible: - Sudden, severe pain with no known cause, particularly in the chest or stomach - Unconsciousness - Severe bleeding - Broken bone - Extreme fever or shaking in a child - Major injury, such as a blow to the head - Weakness or loss of feeling on one side of the body - Loss of vision - Worst imaginable headache or dizziness - Severe allergic reaction - Shortness of breath - Coughing or vomiting blood - Feeling like you want to harm yourself or others - Feeling suicidal or like you want to end your life The Emergency Department at the BMC is located at: 751 Albany Street Boston, MA 02118 If you are unable to come to Boston Medical Center, go to the Emergency Room closest to you. Calling 911 If you have an emergency, call 911 on any telephone. A person, called a dispatcher, will answer the phone. You should explain what is happening, and they will send the emergency services (fire department, police department, and emergency medical services) that will be most helpful. This number is free and it is available to anyone - you do not have to be a citizen in order to use it. This number should only be called in very serious situations. Here are some examples of situations when you should call 911: - A medical emergency, such as someone who is unconscious, gasping for air or not breathing, experiencing an allergic reaction, having chest pain, having uncontrollable bleeding, or any other symptoms that require immediate medical attention - A car crash, especially if someone is injured - If there is a fire - If you see or are experiencing physical violence - If you see or are the victim of a crime Learn more about 911. In a medical emergency, remember: - Hospital Emergency Departments are open 24 hours a day, 7 days a week - Go to the Emergency Department of the hospital closest to you - Call 911 for an ambulance if you cannot get yourself to the Emergency Department - Carry your passport or identification - Carry your insurance information - Carry a list of the medications you take. People who respond to emergencies must help and protect people no matter who they are or what their immigration status is. Stress Management & Knowing When to Seek Help Stress can affect a person physically and mentally. It is important to understand and manage stress to live a healthy and successful life. Here are some tips for managing stress: - Care for yourself by eating well, exercising, and resting when needed. - Talk to someone who is supportive and helpful. - Find a place where you feel comfortable, like a church, library, or support group. - Do not spend too much time alone. - Remember that trouble sleeping, nightmares, flashbacks, and feelings of being very alert are common for most people after being exposed to traumatic events. - Give yourself time to recover. - Remember that each person’s experience is unique and personal. - Know that anniversary dates or a specific holiday may bring feelings related to the trauma. It is helpful during these times to surround yourself with people, places, or things that comfort you. - If you are feeling very stressed you should talk to your doctor. Do I need a lawyer if I am thinking of applying for asylum? - We strongly recommend that if you have any immigration related questions you talk to an experienced immigration lawyer. - If you are thinking of seeking asylum is important to get a lawyer or legal advice as soon as possible because there is a rule that you must apply for asylum within 1 year of entering the U.S. - Immigration law is very complicated and changes often. For the latest information and updates, visit U.S. Citizenship and Immigration Services online. - Below is a list of free or low-cost organizations in Boston that may help you with immigration related legal questions, including how to apply for asylum. Legal Resources Boston College Immigration and Asylum Project 885 Centre Street Newton, MA 02159 (617) 552-0593 - Represents only clients in jail or in Department of Homeland Security (DHS) custody - Must meet income guidelines, but they will refer elsewhere if they cannot help Catholic Charities Refugee Immigration Services 275 W. Broadway South Boston, MA 02127 (617) 464-8100 www.ccab.org - Represents clients in asylum hearings - Charges small fee for legal services - Phone-in legal clinic - Does not represent criminal clients - Helps with family visas and abused immigrant spouse petitions Catholic Charities Archdiocese of Boston 275 West Broadway South Boston, MA 02127 (617) 464-8100 - Family-based immigration (visas) - Family reunification - Green cards for refugees and asylees - Takes criminal cases on a case-by-case basis (domestic violence) - Does not take asylum cases Community Legal Services Counseling Center 1 West Street Cambridge, MA 02139 (617) 661-1010 www.clsacc.org - Represents clients in asylum cases - Represents victims of domestic violence who are seeking permanent residence - Clients must meet income guidelines \| Organization \| Address and Contact Information \| Services \| \|--------------------------------------------------\|-------------------------------------------------------------------------------------------------\|--------------------------------------------------------------------------\| \| Greater Boston Legal Services \| 197 Friend Street Boston, MA 02114 (617) 371-1234 www.gbls.org \| - Represents clients in asylum cases - Does not represent criminal clients - Offers walk-in service 9 AM -11:30 AM Monday-Thursday \| \| International Institute of New England \| 1 Milk Street, 4th Floor Boston, MA 02109 (617) 695-9990 www.iine.us \| - Represents clients in asylum cases - Charges a small fee for legal services - Does not do detainee cases \| \| Irish International Immigrant Center \| 100 Franklin Street, Lower Level 1 Boston, MA 02110 (617) 342-7654 www.iilcenter.org \| - Family reunification assistance - Represents immigrants in citizenship proceedings - Vocational rehabilitation and housing services - Family Counseling \| \| Lutheran Social Services of New England \| 14 East Worcester Street, Suite 300 Worcester, MA 01604 (877) 500-8263 www.lssne.org \| - Legal representation for asylees - Family reunification services - Preparation for citizenship - Resettlement - Interpretation services available - Vocational rehabilitation services/skills training - Housing, health care, and education arrangements - Case management \| \| National Immigration Project \| 14 Beacon Street, Suite 602 Boston, MA 02108 (617) 227-9727 www.nationalimmigrationproject.org \| - Criminal & deportation defense - Victims of crimes & intimate partner violence - Raids and immigration enforcement - Noncitizens living with HIV/AIDS - Defending political rights \| Other Resources for Refugees and Immigrants These organizations may be able to provide services such as refugee resettlement, training, employment services, English language classes, food and shelter referrals, computer, and more. We encourage you to visit their websites for specific information about each organization. BOSTON \| Organization \| Address \| Phone \| Website \| \|------------------------------------------------------------------------------\|-------------------------------------------------------------------------\|------------------------\|----------------------------------------------\| \| Asian-American Civic Association \| 87 Tyler Street, 5th Floor \| (617) 426-9492 \| http://aaca-boston.org/ \| \| Boston Welcome Back Center for Internationally Educated Nurses \| Bunker Hill Community College, Charlestown Campus, Room B206B \| (617) 228-4226 \| www.bhec.mass.edu/inside/18 \| \| Massachusetts Immigrant and Refugee Advocacy Coalition \| 105 Chauncy Street \| (617) 350-5480 \| www.miracoalition.org \| \| Boston Center for Adult Education \| 122 Arlington Street \| (617) 267-4430 \| www.bcae.org \| \| Jewish Vocational Services (Central Office) \| 29 Winter Street \| (617) 399-3131 \| www.jvs-boston.org \| \| ASA College Planning Center \| Boston Public Library, Lower Level \| (617) 536-0200 \| http://www.asa.org/plan/ \| BRAINTREE \| Organization \| Address \| Phone \| Website \| \|------------------------------------------------------------------------------\|-------------------------------------------------------------------------\|------------------------\|----------------------------------------------\| \| Muslim Community Support & Services, Inc. \| 1 (970) 462-7763 \| http://www.mcssnewengland.org/ \| CAMBRIDGE \| Organization \| Address \| Phone \| Website \| \|------------------------------------------------------------------------------\|-------------------------------------------------------------------------\|------------------------\|----------------------------------------------\| \| Boston Area Rape Crisis Center (Main Office) \| 99 Bishop Allen Drive \| (617) 492-8306 \| www.barcc.org \| \| Ethiopian Community Mutual Assistance Association \| 552 Massachusetts Avenue \| (617) 492-4232 \| \| \| DORCHESTER \| Vietnamese-American Civic Association \| \|------------\|--------------------------------------\| \| Catholic Charities of Greater Boston/Haitian Multi-Service Center 185 Columbia Road, Dorchester, MA 02121 (617) 506-6600 www.ccab.org/HMSC/index.html \| 42 Charles St, Suite E Dorchester, MA 02122 (617) 288-7344 www.vacaboston.org \| \| IPSWICH \| House of Peace \| \|---------\|----------------\| \| \| John and Carrie Schwardt, 1 High Street, Ipswich, MA 01938 (978) 356-9395 \| \| JAMAICA PLAIN \| Refugee & Immigrant Assistance Center (RIAC) 31 Heath Street, Jamaica Plain, MA 02130 (617) 238-2430 http://www.riacboston.org/ \| Somali Development Center, Inc. 205 Green Street, Jamaica Plain, MA 02130 (617) 522-0700 http://www.sdcboston.org \| \| LOWELL \| Cambodian Mutual Assistance Association 120 Cross Street, Lowell, MA 01854 (978) 454-6200 www.cmaalowell.org \| \| LYNN \| The New American Center 20 Wheeler Street 4th Floor, Lynn, MA 01902 (781) 593-0100 \| \| --- \| --- \| \| Bosnian Community Center for Resource Development, Inc. www.bccrd.org \| \| Haitian-American Public Health Initiative http://www.haphi.org/ \| \| Jewish Family & Children’s Services www.jfcsboston.org/ \| \| Refugee and Immigrant Assistance Center \| \| Russian Community Association of Massachusetts \| \| Southern Sudanese Solidarity Organization \| Congolese Women’s Association of New England (CWANE) 271 Western Avenue, Suite 111-C, Lynn, MA 01904 http://cwane.cfsites.org \| ### MALDEN \| Organization \| Address \| Phone \| Website \| \|---------------------------------------------------\|----------------------------------\|----------------\|--------------------------\| \| The Immigrant Learning Center \| 442 Main Street \| (781) 322-9777 \| [http://ilctr.org/](http://ilctr.org/) \| \| Tri-City Community Action Program, Inc. \| 110 Pleasant Street \| (781) 322-4125 \| [www.tri-cap.org](http://www.tri-cap.org) \| \| Refugee Immigration Ministry \| 142 Pleasant Street, Suite 203 \| (781) 322-1011 \| [http://www.r-i-m.net/](http://www.r-i-m.net/) \| ### MATTAPAN \| Organization \| Address \| Phone \| Website \| \|---------------------------------------------------\|----------------------------------\|----------------\|--------------------------\| \| Haitian American Public Health Initiatives \| 1464 Blue Hill Ave. \| (617) 298-8076 \| [www.haphi.org](http://www.haphi.org) \| Temporary Housing and Shelters If you do not have a place to live, you can go to a shelter until you can find a more permanent place to live. Shelters do not cost money, and will often serve a free meal. There are different shelters who will take different types of people. Tell your doctor or social worker if you do not have a place to live. These shelters will take individual men and women \| Name of Shelter \| Location \| Telephone Number \| Important to remember: \| \|--------------------------\|---------------------------\|------------------------\|------------------------\| \| Pine Street Inn \| 444 Harrison Avenue, Boston \| Men: (617) 892-9100 Women:(617) 892-9100 \| \| \| Shattuck \| 170 Morton St. Jamaica Plain \| (617) 983-0351 \| No children \| \| Long Island Shelter Clinic \| 1 Blackstone St. Boston \| (617) 534-6100 \| No children \| \| St. Francis House \| 39 Boylston St. Boston, MA \| (617) 542-4211 \| Daytime shelter only \| These shelters are only for women \| Name of Shelter \| Location \| Telephone number \| Important to Remember \| \|--------------------------\|---------------------------\|------------------------\|-----------------------\| \| Rosie's Place \| 889 Harrison Avenue, Boston \| (617) 442-9322 \| Children are allowed \| \| Sancta Maria \| 11 Waltham St. Boston MA \| (617) 423-4366 \| \| \| Bristol Lodge Women's Shelter \| 205 Bacon St, Waltham, MA \| (781) 894-1225 \| Long-term shelter \| \| Transition House \| 77 Massachusetts Ave. Cambridge, MA \| 1 (877) 644-3847 \| For women who are victims of domestic violence \| \| Women's Lunch Place \| 67 Newbury St. Boston, MA \| (617) 262-1722 \| Daytime shelter only \| These shelters are only for men \| Name of Shelter \| Location \| Telephone Number \| Important to Remember \| \|--------------------------\|---------------------------\|------------------------\|-----------------------\| \| United Homes Shelter \| 540 Columbia Rd. Dorchester, MA \| (617) 282-0456 \| \| \| Bristol Lodge Men's Shelter \| 27 Lexington St, Waltham, MA \| (781) 893-0108 \| Long-term shelter \| Family Shelters - The Department of Transitional Assistance (DTA) is an agency that may provide referrals to shelters if you have children, or legal status (you have legal status if you are an asylee or refugee). - You can call the DTA and they can tell you which shelter you can go to. The DTA’s telephone number is (617) 989-2200. Subsidized Housing - To be able to get public housing (also called Section 8), you must have legal status (again, you have legal status if you are an asylee or refugee). - Once you’re on a housing waiting list, it can take up to several years to receive housing. - If you have legal status in the U.S. and are in the Boston area, there are agencies that can help you. \| Metropolitan Boston Housing Partnership \| Action for Boston Community Development (ABCD) \| \|----------------------------------------\|---------------------------------------------\| \| 125 Lincoln Street, 5th Floor, Boston \| 105 Clancy Street, Boston \| \| (800) 272-0990 \| (877) 418-3308 \| \| http://www.mbhp.org/ \| http://www.bostonabcd.org/housing.aspx \| Food Pantries A food pantry will give food to those in need, free of charge. If you are in need of food assistance, talk to your doctor or social worker. You can also contact the [Greater Boston Food Bank](http://www.bostonabcd.org/housing.aspx) and they can help you find a pantry that is close to you. Visit their website or call them at: (617) 427-5200. Food Stamps Food Stamps are created with money from the government that is given to people who cannot afford to buy food. You do not have to be a citizen to qualify. Here are some of the people who may be able to get food stamps: - U.S. Citizens - Refugees - Asylees - People with green cards over the age of 18 that have been in the U.S. for more than 5 years - People with green cards under the age of 18 To apply for food stamps, you must fill out an application and bring it to the DTA office. You can also mail the application or fax it to the DTA. A caseworker will be assigned to you to help you complete your application and answer any questions. If you are thinking of applying for food stamps, or want to know more about it, talk to your doctor or social worker. The city of Boston was founded by Puritan immigrants from England in the early 1600s. Boston plays an important part in the history of the United States because it is where much of the country’s fight for independence from England happened. Since then, Boston has grown to become a city with many well-known universities, hospitals, and museums. More than one quarter of Boston’s population was born outside of the United States, and one of the reasons for the success of the city is that there is a diverse range of people from all parts of the world, just like you! Boston Weather Here in Boston we have four different seasons: Winter, Spring, Summer and Fall. Weather in New England can be quite unpredictable and change rapidly. It is a good idea to be prepared and carry extra layers of clothing in case temperatures drop suddenly, particularly in the spring and fall months. Winter - The first day of winter is December 21st and the last day is March 19th. Temperatures may vary but it is typically very cold in the winter with an average temperature of 6°C/22 F. Be aware that when it is windy it can feel much colder than it actually is. - You need to dress warmly in the winter. Wear a hat, gloves or mittens, boots, scarf, and a winter coat. - It may snow often and the ice on the streets and sidewalks can be slippery, so it is important to be careful when walking outside. Spring - Spring starts on March 20th and ends in June. During this time of year the temperature begins to get warmer, flowers start to bloom and things begin to grow again after winter. Expect a lot of rain in spring. “April showers bring May flowers” is a common expression in New England. Summer - Summer officially begins June 21st and ends in September. The summer is typically hot and humid with an average temperature of 28°C/82°F. - It is important to drink a lot of water to stay hydrated in the summer (at least six-eight glasses a day). - Having a fan or an air conditioner will help keep you cool on hot days. It is a good idea to avoid strenuous activity in the afternoon heat of the sun. Fall - Fall starts in September and ends in December. Temperatures begin to drop in late September and early October. It is a good idea to prepare by getting winter clothes at this time of year. - New England is known for its vibrant foliage and visitors come from around the world to see the spectacular views. Things to Do in Boston - Boston is a city with a lot of culture and it is home to nine beautiful parks. Together, they are called the Emerald Necklace and include the Boston Common, the Public Garden, Jamaica Pond, the Arnold Arboretum, and Franklin Park. [Learn more about the Emerald Necklace](#) - There are lots of different museums to visit and much to discover in Boston. [View a list of free (and almost free) things to do in Boston](#) - There are many programs and cultural events happening in Boston every day. [Learn more about musical, theatrical, and dance performances in Boston](#) - Sports are very important in Boston culture and you will hear and see many things about these sports teams - Boston Celtics – Basketball - New England Patriots – American football - Boston Red Sox – Baseball - Bruins – Hockey - New England Revolution – Soccer or Football [Click here for more information on living in the city of Boston](#) Libraries Boston has many public libraries where you can borrow books, videos, and music for free, and use the internet. You must use your library card to borrow from the library. Library cards are free, but you will be charged a fee if you return books or videos late or damaged. You can apply for a library card when you visit the library. To apply for a library card, you must have identification that shows your name and the address where you are living (a letter that came in the mail, a health card, or a student ID). The Boston Public Library is the main library in the city of Boston and it has locations all over the city. You can use your Boston library card at any one of the library’s locations. To find a library close to where you live, you can contact the main Boston Public Library by telephone at this number: (617) 536-5400. American Culture The United States is an ethnically and racially diverse country as a result of many waves of immigration throughout its history. Early influences came from England, Ireland, Germany, France and Italy. While American culture is complex and diverse, there are some aspects that may affect your social interactions which you should be aware of. Holidays Celebrated in the United States - In the U.S. there are many different holidays that may not be celebrated elsewhere in the world - There are national holidays, that are celebrated throughout the U.S., and some states have their own holidays as well - If you have religious and cultural holidays that you celebrate in your home country, you can feel free to celebrate those holidays in the U.S. as well - Here is a list of some of the holidays that are commonly celebrated in the U.S.: \| January \| February \| March \| \|---------\|----------\|-------\| \| New Year's Day Martin Luther King, Jr. Day \| Presidents Day Valentine's Day \| St. Patrick's Day \| \| April \| May \| June \| \|-------\|-----\|------\| \| Patriots' Day (MA only) Tax Day Earth Day Easter \| Mother's Day Memorial Day \| Father's Day \| \| July \| September \| October \| \|------\|-----------\|---------\| \| Independence Day (also called the 4th of July) \| Labor Day \| Columbus Day Halloween \| \| November \| December \| \|----------\|---------\| \| Veterans Day Thanksgiving \| Hanukkah Christmas Kwanzaa \| - Businesses are often closed on holidays. - We at BCRHHR are closed on: New Year's Day, Martin Luther King, Jr. Day, Presidents Day, Memorial Day, Independence Day, Labor Day, Thanksgiving, and Christmas Day. The Importance of Time - American society, especially in Boston and the rest of the Northeastern part of the United States (also called “New England”) is very fast paced. In other parts of the world, people move at a more relaxed pace, so you might find the importance of time to be an adjustment for you. - Arriving at your appointments on time is very important. If you know that you will not be able to keep an appointment or may be late, it is polite to call before and tell the person you are going to meet that you will need to reschedule. Equality - The laws of the U.S. are based on the idea that “all men are created equal.” This means that it is not okay to treat others differently based on their gender, race, ethnicity, religion, sexual orientation, or disability. - By law in the U.S., women are equal to and share the same rights as men. - Unfortunately, there are some people in this country who may not believe that everyone is equal, but in general, people’s differences are accepted and a part of what makes American culture so interesting. Family Life - The typical family arrangement is called the ‘nuclear family’ and is made up of mother, father, and children. Grandparents may not live in the same house as their children, and it is not unusual for family members to live very far away from each other. This is very different from family life in many other countries. - In many American families, both mothers and fathers work outside the home to support their families. When parents are working, children may be cared for by other people, such as a nanny, daycare center, or afterschool program. - It is not uncommon to see both fathers and mothers caring for their children in the home. - Parents are responsible for giving their children food and clothing and sending them to school until at least age 16. If parents do not do this, it is called neglect and can be reported to social service agencies. Even if you are not yet a citizen of the United States, you have rights here. For more information on your rights as an immigrant and asylum seeker in the United States visit the American Civil Liberties Union or the Massachusetts Immigrant and Refugee Advocacy Coalition. The Political System The political system in the United States is a stable democracy, which means that during elections, the citizens of the United States vote to keep the same leaders or elect new leaders into power. There are different levels of government that people can get involved with, from the local level (for example, Boston) to the state level (Massachusetts) to the national level (the entire United States). There are many different small political parties in American politics, but the two main parties that most politicians belong to are the Democrats and the Republicans. Democratic Party You will hear the word “liberal” or “left wing” used to describe Democrats. The symbol of the Democratic Party is the donkey, shown on the left. Republican Party You will hear the word “conservative” or “right wing” used to describe Republicans. The symbol of the party is an elephant, shown on the right. --- New Words Democracy – a government system where the people make decisions by a popular vote. Example: I live in a democracy and I believe in universal health care, so I vote for leaders who believe in the same thing. Election – the process through which people vote for leaders. Example: Every four years, we hold elections so that we can choose a new state governor. Citizen – a person who is legally recognized by a state and therefore has certain rights that must be protected by that state. Example: I just became a citizen of the U.S., which means that now I can vote in U.S. elections. The country’s leaders are elected through the votes of citizens of the country. The U.S. Constitution was written by the founders of the United States. It describes the powers of the government and the rights of all citizens of the United States. The Bill of Rights is the part of the Constitution that describes the rights of these citizens. A few examples are: - The government cannot tell a person to stop believing in a religion, or what religion to believe in. - The government cannot punish someone for saying or writing what they believe, even if it against the government. - No person can search through private property unless they have permission from a U.S. judge who says that the citizen is suspected of committing a crime. - If a citizen is arrested, he or she should have a trial as soon as possible. In the trial, a jury of regular people will decide whether he or she is innocent or guilty based on the facts that they are told. Laws It is important to have a basic understanding of the laws of the U.S. so you can make sure you do not disobey them. Not knowing the law is not an excuse to break the law. If you break the law, you may be fined, which means paying money to the government, or you may have to spend time in jail. It is not possible to cover all the laws but these are some important laws you should know about. Be aware that some laws may differ by state. [Learn more about the laws of Massachusetts](#). Violence - It is illegal to punch or hit another person for any reason. - It is illegal to threaten another person or say you are going to hurt them. - One form of violence, called domestic violence, can take many forms including physical aggression or threats such as hitting, kicking, biting, shoving, restraining, and throwing objects), sexual abuse; emotional abuse, intimidation; stalking; neglect and economic deprivation. If you are currently experiencing domestic violence and you are an immigrant, [Click here for information on finding safety and support if you think you might be a victim of domestic violence.](#) Or call the [National Domestic Violence Hotline](#) at 1-800-799-SAFE, with 170 languages available (TTY 1-800-787-3224). Driving - It is illegal to drive without a state driver’s license. - In order to get a driver’s license, you must take a test at the [Massachusetts Registry of Motor Vehicles](#). - Make sure that the car you are driving is insured, even if the care does not belong to you. Alcohol - You must be 21 years or older to buy alcohol. - If you are caught buying alcohol for people who are under 21, you can be arrested. - It is illegal to drive after you drink alcohol. - You can be arrested for being noticeably drunk and/or disruptive in public. Drugs - You are never allowed to possess, buy, or sell illegal drugs. Here are some of the most common illegal drugs: marijuana, khat, quat, cocaine, heroin, ecstasy, LSD, and certain prescription medications (particularly sleeping pills or pain medication) that are not prescribed to you by a doctor. - If you have any medications prescribed to you by your doctor, it is a good idea to always carry them in the original prescription bottle with your name on it. Public Behavior - Urinating in public is illegal – public bathrooms are available in many places. - Being naked in public is illegal. You must wear a shirt, pants, and shoes when you enter a store or business. - Throwing trash on the street is illegal – you should put trash in the trash cans. - Smoking is illegal in any public building in Massachusetts, including restaurants and bars. Stealing - As in most countries, it is illegal in the U.S. to take something from a store without paying for it. - It is illegal to take something from a person unless they give you permission to keep it. Consent and Sexual Relations - It is not acceptable to take any sexual actions or make any sexual comments towards a man or woman unless he or she has made it clear that she is okay with it. This is called sexual harassment and it is a crime. - Rape and sexual crimes are taken very seriously in the United States, so make sure your sexual partners are always age 18 or older and that they give you consent to do what you are doing. Consent is when a person gives another person their permission to do something. If you are involved sexually with someone, it is always good to ask, “Is this okay?” and if the person says “Yes”, they have given their consent. If they do not answer, or say, “No,” they have not given their consent and you should stop what you are doing right away. - In the United States, children can never give consent to adults and sexual advances towards children are considered abuse. The age at which consent can be given varies by jurisdiction but is usually 16 or 18 years of age. Any sexual actions between adults and children under the age of 16, with or without consent of the child, are considered rape and will result in jail time. As a general rule, it is a good idea to avoid any sexual involvement with persons under the age of 18. New Words Neglect – to hurt or injure through carelessness or thoughtlessness. Example: He was accused of neglect when he allowed his child to go outside without warm clothing during the winter. Abuse – to hurt or injure through purposeful bad treatment. Example: She was arrested for abuse when she kicked her elderly mother. Domestic violence - negative behaviors, both physical and emotional, that are used by one person to control another person in a relationship. Example: I experience domestic violence because I live with a man who slaps me, and he tells me I’m too stupid to get a job. Sexual harassment – unwanted sexual or physical contact or remarks that make you feel uncomfortable, in the workplace, in a store, or on the street. Example: Diana’s boss sexually harassed her by telling her how sexy her skirt looked, even though she had asked him not to say things like that. City Life and Staying Safe While Boston is generally a safe city, violence and robbery can happen. You should always pay attention to what is going on around you, and try to develop your “street smarts.” Here are some tips on staying safe: - Avoid walking alone at night. - If you must walk somewhere at night, make sure you are walking in an area that is well-lit with many people around. - Keep any valuables you are carrying in a safe place, like in a bag that closes, or in the front pocket of your pants or jacket. Learn more about crime prevention You must be careful around cars, trucks, and bicycles. - People that drive in Boston do not always drive safely and do not always pay attention to other people on the street. - Be sure to cross the street only at intersections (the corners where two or more roads meet) and crosswalks (painted paths on the street where people should cross – see diagram below). - Some intersections have a walk signal, which will tell you when it is safe to walk, but you should still be careful. If there are a lot of people crossing the street, it is usually a good idea to cross at the same time. This sign means that it is okay to walk. Be sure to look both ways before crossing. Do not assume that all the cars will stop. Transportation and Finding Your Way Maps - In a large city like Boston, it may take you some time to learn how to find your way around. - The best way to get to where you need to go is to use a map. - In order to use a map, you need to know where you are, and where you want to go. Once you find both those points on the map, you can use the map as a guide as you make your way to your destination. - If you need help, just ask someone. People who live in Boston know that newcomers sometimes have difficulty finding their way around the city, and are usually happy to help. Public Transportation MBTA The MBTA is Boston’s public transportation system. - The MBTA operates four (4) train lines and a bus system, commuter trains, and commuter boats. - The subway system is called the T and it is the most inexpensive way to get around the city. - “Fare” is the word that means the amount of money it costs to use any of the MBTA’s services. - Fare prices change sometimes, so it is most convenient to buy a Charlie Card – a reusable ticket that can be used on the T or bus and you can add money to it. - You can get a Charlie Card at many T stations. Charlie Cards are also sold at some corner stores and grocery stores. [View a list of locations that sell Charlie Cards](#). - The web address for the MBTA website is [http://www.mbta.com](http://www.mbta.com). The phone number for the MBTA is (617) 222-3200. You can call with any questions or ask a MBTA employee at any of the stations. - The MBTA website has a tool you can use called Trip Planner. To plan a trip, all you have to do is enter where your trip will start, where you want to go, and what time you would like to leave, and the website will help you find the best way to get there using public transportation. Inbound and Outbound - You may see signs on public transportation that say “Inbound” and “Outbound.” Generally, “Inbound” takes you into Downtown Boston and “Outbound” takes you away from Downtown Boston, but this can be confusing. - Every train or bus will have a sign that tells you the last stop on its route; this is usually the best way to find which direction to go in. - You should use the train or bus map to decide which direction you want to go. - If you have any questions, ask the driver of the train or the bus. Subway or T There are four main lines in the T subway system, green, red, orange and blue. You can transfer in between these lines for no additional cost as long as you stay in the stations and do not exit through the station gates. The subway trains normally start running at 5:30 AM and finish running at 12:30 AM during the week, but these times may change, so be sure to check before you plan your trip. The Green Line: Lechmere to Boston College (B), Cleveland Circle (C), Riverside (D), Heath Street (E). The Red Line: Alewife to Mattapan and Braintree. The Orange Line: Forest Hills to Oak Grove. The Blue Line: Bowdoin to Wonderland. Bus - There are almost 200 bus routes in Boston. [View a list of bus routes.](#) - Buses can help connect you to the T. - Some buses go within the city while you can take others to the subway or train station if you live in the suburbs of Boston. Commuter Rail - This train travels to locations farther outside of Boston. [View Commuter Rail Maps and Schedules.](#) The commuter rail routes are represented by the purple lines on the map. - You cannot use your CharlieCard on the commuter rail. You will need a ticket for the commuter rail, or a commuter rail pass. You can buy a ticket or a pass where CharlieCards are sold. - Fares are more expensive than the T, and the cost of your trip depends on how far you are going outside of Boston. Every stop along the train routes are assigned to specific zones, and the cost of your fare will depend on the ticket price for the zone in which your stop is located. When you are buying your ticket, make sure you know the name of your stop. If you know the name of your stop, the ticket seller can tell you the zone. - Many commuter rail stations have parking lots, where you can pay to park your car. Boat - If you need to cross over water to get where you are going, it may be quicker to take a boat. [View boat maps and schedules.](#) - The MBTA runs ferries to Boston from South Boston, Chelsea, Charlestown, Hingham, Hull, and Quincy. Taxi Cabs - If you need to go somewhere while the T is not running, you may have to take a taxi cab. Taxi cabs can also be called cabs or taxis. They can be expensive, but are very helpful at times. - Before getting into a taxi, you can ask what the about how much the trip would cost. - Most people use them if travelling by public transportation is difficult, or if they do not have time to wait for public transportation. - It is not difficult to get a taxi in the city, but if you live outside of the city, you will have to call the company and ask them to pick you up. - If you call a taxi, you must know the address where you are in order for the taxi driver to be able to find you. - [View phone numbers for some local taxi companies.](#) Private Transportation Traveling by Car and Car Rental - Driving in Boston can be difficult as the streets can be quite confusing. It can be expensive to own a car, especially in the city because of car insurance, high gas prices, and parking costs. - To drive, you need a driver’s license and car insurance; otherwise, it is against the law. - In Massachusetts, you must wear your seatbelt when driving or you will have to pay a fine. - If you need a car for a short time you can rent a car. To do this you must have a driver’s license and you may need a credit card. - View a list of car rental companies. Park and Ride - If you live outside the city and want to go into Boston, a Park and Ride is a place for you to park your car and then use public transportation for the rest of your trip. - Learn more about Park and Ride. Bicycling - Biking is a popular way to get around Boston. Remember to always wear a helmet. - Learn more about bike safety and Laws. - If you would like to bike and ride the T as well, bikes are allowed on the Red, Orange, and Blue Lines of the T during off-peak hours. Off-peak hours are weekdays from 10 AM -2 PM and after 7:30 PM, and all day during the weekends. - Bikes are never allowed on all Green Lines, and at Mattapan Station, Park Street Station, or Government Center Station. - You can find bike racks on cross-town buses. If you would like more information about biking in the city, here are some places you can contact to get more information: \| Name of contact \| Website \| Telephone number \| \|----------------------------------\|-----------------------\|--------------------\| \| Caravan Commuters \| www.commute.com \| 1 (888) 426-6688 \| \| Massachusetts Bicycle Coalition \| www.Massbike.org \| (617) 542-2543 \| \| Mass Highway \| www.state.ma.us/mhd \| (617) 973-7329 \| Communication: Email, Mail and Telephone Email is a great way to communicate with people who live near or far away, and it is much less expensive than sending letters or making telephone calls. Email can be accessed from any computer with the Internet. You can use the internet for free at the public libraries in and around Boston. If you do not have an email account, you can create one for free. It’s easy! 1. Choose an email website like hotmail.com, yahoo.com, or gmail.com. Any one of these sites will work. 2. Choose a username as well as a password to get into your account. Keep your username and password in a safe place so you do not forget them. 3. If you have any questions, the library staff can help you, so don’t be afraid to ask. New Words Username and password - these are two pieces of information you will be asked to provide with any online account you may have. The username is a way of identifying yourself with that account. A password is a combination of letters and numbers that only you know and that you will have to use to access the account. You should make sure that you will be able to remember both your username and your password. Example: My name is Shauna Birch and I like to cook, so I chose sbirch as my username and love2cook as my password. Mail - The post office is open between the hours of 8 AM and 5 PM in most locations, but smaller branch offices may have limited hours. - If you do not live in one place permanently, you can get a Post Office Box, or P.O. Box. This is a box that is located at the post office that your mail will be sent to instead of being delivered to the place where you live. You will have to pay for a post office box, so ask for prices at your local post office. - You can buy stamps at the post office or pay for postage. The cost of mailing will depend on the weight of the letter or package and where you are sending it. - If you are planning to send a small envelope somewhere in the U.S., one stamp is enough, but if you are sending a larger envelope or sending something out of the country, the cost of postage is higher. Changing Your Mailing Address - If you move to another home, you should complete and submit a “change of address” form. This will help ensure that you continue to receive your mail. - Here is what a change of address form looks like. You can find it at your local post office. The post office will make sure that your mail gets to your new address (even if the mail is sent to your old address) for 6 months. After 6 months, mail sent to your old address will be returned to the sender. - If you prefer, you can [complete your “change of address” form online](#), but you will need a credit card to do so. There is a small fee to change your address online and it is only payable by credit card. - If you are seeking asylum, you MUST report a change of address to USCIS. Talk to your lawyer or [Visit USCIS online for more details](#). Making Phone Calls Finding Phone Numbers - The telephone book lists telephone numbers and addresses of companies and people in the area. In the beginning of each book you’ll find useful information, like maps of the city, and important phone numbers to be used in case of an emergency. - Your telephone company will send you a telephone book after you have set up service. You can also order a telephone book online or by calling 1-(800)-YB-YELLOW. - Your local post office may have a telephone book they can give you. - You can also find telephone numbers online. Calling - Local calls - When you call a person who lives nearby use the three-digit area code followed by the seven-digit phone number. Example: To call BCRHHR, press (617) 414-4794 - Long-distance calls - If you want to call someone who lives far away in another state, or even in another country, this type of call is called a long-distance call and may cost more money, especially from a land line. - When you call long distance within the United States, press 1 followed by the three-digit area code and then the seven-digit phone number. Example: To call BCRHHR from California, press 1-617-414-4794 - When calling internationally from the United States, you should press 011, followed by the three-digit country code for the country you are calling, then the phone number. - Toll-free calls - You will not be charged for these types of calls. The fee is paid by the company being called. - When you call a business with a telephone number that begins with 1 (800), 1 (888), 1 (877), 1 (866), or 1 (855), you will not be charged for the call. Cell Phones or Mobile Phones - Cell phones and mobile phones are different names for the same thing. - If you need a cell phone, you’ll need to choose a payment method. Most cell phone companies allow you to choose to have a plan or to pay-as-you-go. Phones that are bought with a plan are under a contract. The cell phone company will send a bill to your address every month. If you purchase a “pay-as-you-go” phone, you just have to pay for the cost of the phone, and then you can buy minutes that allow you to talk on your phone for a certain amount of time. Phone Cards - If you are calling internationally, it is a good idea to buy a phone card because long-distance rates can be expensive. - Before you buy the card, make sure that it can be used to call your country because different phone cards are used to call different countries. - With most cards, minutes will be used up whether or not anyone answers the phone at the other end. Once you realize that no one is going to answer, it is best to hang up. - Most phone cards expire so be sure to use it before the date shown on your card. Shopping Sales Tax When you buy certain items in the United States, you may have to pay a little more money than the price listed on the item you want to buy. This extra cost is called a tax. Different items are taxed at different rates in different parts of the country. For example, there is no tax on food purchased in a grocery store in Massachusetts, but this might change if you go to another state in the United States. Also, be aware that sales tax laws can change from year to year. [Click here for current information on sales tax in Massachusetts.](#) Guidelines for Shopping When shopping, please remember these things: - In most stores you cannot ask to buy something at a lower price than the store asks. This is called bartering. It is okay at a farmers’ market, but not okay in a big store. You may negotiate for some large purchases such as a car or home. - You can usually use cash, check, credit card or money order to pay. Some stores do not accept all of these but cash is accepted almost everywhere. - Some stores may allow you to return an item if you do not want to keep what you bought. They usually require you to return the item within 30 days with your sales receipt. When shopping, check the store’s return policy before purchasing an item. Discount Department Stores: These stores offer low prices on a variety of things you might need to buy: \| Store \| Products \| \|-------------\|-----------------------------------------------\| \| Macy’s \| Clothing, shoes, house wares, linens \| \| Kmart \| Clothing, shoes, groceries, electronics, toys, sports items \| \| Marshall’s \| Clothing, shoes, house wares, linens \| \| Target \| Clothing, house wares, food, toys, electronics, linens, more \| \| TJ Maxx \| Clothing, shoes, house wares, linens \| \| IKEA \| House wares, furniture, linens \| \| Wal-Mart \| Clothing, shoes, electronics, games, CDs, books, house wares, food \| Second-hand Stores: People donate their used clothes and house wares to second hand stores when they do not wish to keep them anymore. The clothes sold at these stores are used, but in good condition and you can buy them for very low prices. The most common second-hand stores are Goodwill and Salvation Army. [Click here to find a Goodwill near you.](#) [Click here to find a Salvation Army Store near you:](#) Supermarkets These are stores where you can buy the everyday items that you need, like food, bath and personal care products, and cleaning supplies. Each week, supermarkets will sell certain items for cheaper than usual. This is called a sale or bargain, and most supermarkets publish a flyer that lists their weekly sales. You can get a flyer at the front of the store, and many stores advertise their sales online. Below are some popular supermarket chains in Boston. You can find a store near you using the “store locator” feature on each website: \| Stop & Shop \| Shaw’s \| \|-------------\|--------\| \| [http://www.stopandshop.com/](http://www.stopandshop.com/) \| [http://www.shaws.com](http://www.shaws.com) \| \| Trader Joe’s \| Market Basket \| \|-------------\|---------------\| \| [www.traderjoes.com](http://www.traderjoes.com) \| [http://mydemoulas.com](http://mydemoulas.com) \| \| Johnnie’s Foodmaster \| Save-A-Lot \| \|----------------------\|------------\| \| [http://www.foodmasterinc.com](http://www.foodmasterinc.com) \| [http://save-a-lot.com/](http://save-a-lot.com/) \| At many supermarkets, there are ethnic sections that offer food items commonly found in other countries. There are also specialty food stores in and around Boston that have products from particular regions of the world: Specialty Food Stores \| Tropical Foods \| African Market \| \|----------------\|----------------\| \| 2101 Washington St \| 481 Moody St \| \| Roxbury, MA 02119 \| Waltham, MA \| \| African, Caribbean, Hispanic \| African, Caribbean \| \| Cruz Market \| Hi-Lo Foods \| \|-------------\|-------------\| \| 146 Felton Street \| 415 Center St. \| \| Waltham, MA \| Jamaica Plain \| \| Puerto Rican & African specialties \| Caribbean, Hispanic \| \| El Coloso Market \| Chung Wah Hong C \| \|------------------\|------------------\| \| 102 Columbia St, Cambridge \| 55 Beacon St., Chinatown \| \| Caribbean, Hispanic \| Chinese \| \| Super 88 \| India Bazaar \| \|----------\|-------------\| \| 1095 Commonwealth Ave, Brighton; 101 Allstate Rd, Dorchester \| 517 Main Street Malden, MA \| \| Asian Food Store \| South Asian, Middle Eastern, African, Caribbean \| Kashmir Food and Spices 234 Harvard St., Coolidge Corner South Asian, Middle Eastern, African, Caribbean Farmers’ Markets: Farmers’ markets are where farmers bring their fresh fruits, vegetables, and other foods to sell to the public. You may ask the farmer to sell their products to you at a lower price and if they agree, you can buy these fresh products at a very low price. Farmers’ markets are normally open only in the summer, and many are open on weekends. From mid-July through the beginning of October, there is a farmers’ market at Boston Medical Center. At the Haymarket T stop (on the Orange and Green lines), there is an open market every Friday and Saturday. There are many other markets located in and around Boston. If you wish to find out more about these markets, contact the [Massachusetts Department of Food and Agriculture](#). Their telephone number is: (617) 626-1700. Or, boston.com has a [farmers’ market database](#) with details on each market. Food Safety Food and water is usually safe in the United States, whether it is purchased in a restaurant, on the street, or from the grocery store. Water that comes from the faucet and the shower is generally safe to drink and does not need to be boiled or treated. You should still be careful when purchasing and handling things like fruits, vegetables, meat, and dairy products. Be sure to wash fruits and vegetables before you eat them, as many farms use pesticides that are not good for you to ingest. Fish and meat should be cooked well before you eat them, and should be refrigerated if you are not going to eat them immediately. One of the greatest health problems in the United States is obesity, which can be linked to eating processed foods, which have a lot of fat and sugar. Fresh fruits and vegetables, lean meats, and dairy products are much better for you than processed foods, but they can be more expensive. Eating Out In restaurants, it is normal to leave a tip for your server. A good amount for a tip is usually 15%-18% of what the total cost of your bill was. Many servers get paid below minimum wage and they depend on tips to make up the rest of their wages. New Words Pesticide – a poisonous chemical that is used to keep bugs away from crops and other plants, but that can be bad if eaten by human or animals. Example: It is against the law to use some pesticides because they are so bad for people and animals. Obesity – a medical condition when a person’s body has so much fat on it that it causes major health problems. Example: many people are obese because they eat lots of fast food and do not exercise. Processed food – food that has chemicals and other substances added to it to make it last longer or taste a certain way. Example: Potatoes grow naturally, but when you add flavoring and salt to them, they become potato chips, a processed food. Tip – extra amount of money that you pay to service workers who have done a good job. Example: the waitress was very friendly and helpful when I had questions about how the food was prepared, so I left her a tip that was 20% of my bill. Minimum wage – the smallest amount of money a person can be paid for a job, according to state and national laws. Example: the minimum wage in Massachusetts is $8.00 per hour. Money and Finance Banking You need a mailing address and other documents in order to open a bank account in the U.S. When you go to the bank to open an account, remember to bring: - Your Social Security number or alien registration number - Valid photo ID, such as a driver’s license, U.S. Passport, or state identification card - Proof of address, such as a bill or copy of your lease - Current email address Income Tax Income tax is money the government deducts from what you earn at your job to support its programs. This money pays for the roads you drive on, schools, public transportation, health programs (like Medicaid), public safety, housing, assistance, and many other things. There are two types of income tax, federal and state. Federal taxes support country-wide programs. State taxes support programs in the state where you live, and so these taxes are different in each state. There is a government organization called the Internal Revenue Service (IRS) that is in charge of collecting taxes. The amount of money that you must give to the government is based on how much money you earn each year, so you must report your earnings to the government. It is a crime if you do not tell the government how much money you earned. If your income is low or you have a lot of deductions you may be eligible for a tax refund. That means that the government will give you back some of the money you paid in taxes throughout the year. If you have spent a lot of money related to your job throughout the year, there could be other ways to claim deductions, and lower the amount of money you owe. You may also get a deduction if you are married, own property, have dependent children, or spent part of your income on university tuition or interest charges. It is your responsibility as a taxpayer to find out what you owe the government for the year and report it to the IRS by the annual April 15th deadline. This means filling out a lot of forms which you can do online or on paper. You can file federal taxes online at www.irs.gov and state taxes at www.mass.gov/dor. You can also print out forms from these websites. Paper copies of federal income tax forms are available at public libraries or post offices. - For state tax information visit www.mass.gov/dor or call either (617) 887-MDOR or 1 (800) 392-6089. - For federal tax information visit www.irs.gov or call 1 (800) 829-1040. Conclusion We hope that this guide has helped to answer some of your questions about life in Boston and how to get the assistance you need. As you spend more time here, we hope that you will become more comfortable and be able to call the Boston area home. Please let us know if there is anything here that you find confusing or if there is information you feel it would be helpful to include. We value your opinion.
ST-773 Dissolved Oxygen Sensor User Manual Pyxis Lab® Inc. 1729 Majestic Drive Suite 05 Lafayette, Colorado 80026 www.pyxis-lab.com ST-773 Dissolved Oxygen Sensor User Manual August 11, 2021 Rev. 1.0 Pyxis Lab, Inc. 1729 Majestic Dr. Suite 5 Lafayette, CO 80026 USA www.pyxis-lab.com © 2017 Pyxis Lab, Inc. Pyxis Lab Proprietary and Confidential # Table of Contents 1. Introduction .................................................. 2 1.1 Main Features ............................................. 3 2. Specifications ............................................... 4 3. Unpacking Instrument ....................................... 5 3.1 Standard Accessories .................................... 5 3.2 Optional Accessories .................................... 6 4. Installation .................................................. 7 4.1 MA-150-1 Submersed Floating Installation .............. 7 4.2 MA-120-B Submersed Fixed Installation .................. 8 4.3 Pipeline Installation .................................... 9 4.4 Wiring ................................................... 10 4.5 Connecting via Bluetooth ................................ 10 5. Setup and Calibration with uPyxis® Mobile App .......... 11 5.1 Download uPyxis® Mobile App ............................ 11 5.2 Connecting to uPyxis® Mobile App ....................... 12 5.3 Calibration Screen and Reading .......................... 13 5.4 Diagnosis Screen ....................................... 15 5.5 Device Info Screen ..................................... 15 6. Setup and Calibration with uPyxis® Desktop App .......... 16 6.1 Install uPyxis® Desktop App ............................. 16 6.2 Connecting to uPyxis® Desktop App ...................... 17 6.3 Information Screen ..................................... 18 6.4 Calibration Screen ..................................... 19 6.5 Diagnosis Screen ....................................... 21 7. Outputs .................................................... 21 7.1 4–20mA Output Setup .................................... 21 7.2 Adjusting 4–20mA Span .................................. 22 7.3 Communication using Modbus RTU ......................... 22 8. Sensor Maintenance and Precaution ........................ 23 8.1 Methods to Cleaning the ST-773 Sensor .................. 23 9. Troubleshooting ........................................... 24 10. Contact Us ................................................ 24 Warranty Information Confidentiality The information contained in this manual may be confidential and proprietary and is the property of Pyxis Lab, Inc. Information disclosed herein shall not be used to manufacture, construct, or otherwise reproduce the goods described. Information disclosed herein shall not be disclosed to others or made public in any manner without the express written consent of Pyxis Lab, Inc. Standard Limited Warranty Pyxis Lab warrants its products for defects in materials and workmanship. Pyxis Lab will, at its option, repair or replace instrument components that prove to be defective with new or remanufactured components (i.e., equivalent to new). The warranty set forth is exclusive and no other warranty, whether written or oral, is expressed or implied. Warranty Term The Pyxis warranty term is thirteen (13) months ex-works. In no event shall the standard limited warranty coverage extend beyond thirteen (13) months from original shipment date. Warranty Service Damaged or dysfunctional instruments may be returned to Pyxis for repair or replacement. In some instances, replacement instruments may be available for short duration loan or lease. Pyxis warrants that any labor services provided shall conform to the reasonable standards of technical competency and performance effective at the time of delivery. All service interventions are to be reviewed and authorized as correct and complete at the completion of the service by a customer representative, or designate. Pyxis warrants these services for 30 days after the authorization and will correct any qualifying deficiency in labor provided that the labor service deficiency is exactly related to the originating event. No other remedy, other than the provision of labor services, may be applicable. Repair components (parts and materials), but not consumables, provided during a repair, or purchased individually, are warranted for 90 days ex-works for materials and workmanship. In no event will the incorporation of a warranted repair component into an instrument extend the whole instrument’s warranty beyond its original term. Warranty Shipping A Repair Authorization (RA) Number must be obtained from Pyxis Technical Support before any product can be returned to the factory. Pyxis will pay freight charges to ship replacement or repaired products to the customer. The customer shall pay freight charges for returning products to Pyxis. Any product returned to the factory without an RA number will be returned to the customer. To receive an RMA you can generate a request on our website at https://pyxis-lab.com/request-tech-support/. Pyxis Technical Support Contact Pyxis Technical Support at +1 (866) 203-8397, email@example.com, or by filling out a request for support at https://pyxis-lab.com/request-tech-support/. 1 Introduction The Pyxis ST-773 optical luminescent dissolved oxygen (DO) sensor is based on the principle of ‘fluorescence quenching’ to determine the dissolved oxygen content in water. It incorporates Pyxis’ advanced technology in the field of fluorescence detection and uses dual Blue/Red light detection technology with excitation and reference light sources, offering a wide detection range and very low detection limit. The sensor also integrates a temperature sensor for compensation of the measurement of dissolved oxygen based on environmental conditions. The ST-773 offers an easily replaceable, front loading DO membrane cap that has been independently developed by Pyxis Lab, with a typical service life of up to two years. This unique DO membrane cap design incorporates a black microporous PTFE membrane material designed to provide extreme scratch resistance, extended life span and simple replacement. The flat front-end design of the ST-773 makes this platform less prone to contamination or fouling and is very easy to clean and brushable. The sensor body is composed of CPVC and is well suited for aggressive industrial application use. The ST-773 may be utilized in a submersed fixed/floating application or inline with the Pyxis submersion assembly and inline thread/tee accessory options. The ST-773 comes with a 10-meter bulkhead cable as well as 1.5-meter flying lead cable each with 7Pin quick adapters. The sensor output offers both 4-20mA and RS-485 Modbus communication which is Bluetooth enabled when used in conjunction with the MA-WB (7-Pin Bluetooth Adapter). The ST-773 series measures the partial pressure of the dissolved oxygen (DO) in water. In most applications, the source of DO is oxygen in the air. In other application such as in aquaculture, the source of DO is photosynthesis. The concentration of dissolved oxygen is a derived value from the measured oxygen partial pressure. The relationship between the DO concentration and the oxygen partial pressure is governed by the law of thermodynamics. The ST-773 series uses the latest USGS equation to convert the oxygen partial pressure to DO in units of ppm or mg/L. Through setup using the uPyxis® Mobile of Desktop App, the ST-773 series sensor can output the measured oxygen partial pressure in other units such as percentage of oxygen saturation. 1.1 Main Features The ST-773 sensor includes the following features: - 0.004–20.0 mg/L measurement range - Built-in temperature sensor with automatic compensation - Accurate and stable measurement with ultra-low drift - Built-in transmitter without preamplifier or meter head - Dual Outputs both 4-20mA isolated signal or RS-485 Modbus (7-Pin Format) - Long-distance transmission with higher stability & accuracy - Wireless Calibration, Diagnostics and Trend via uPyxis® App when used with MA-WB Adapter - The sensor can be Slope calibrated with air or air saturated water - Zero-point calibration with 5% Sodium Sulfite solution or Nitrogen gas - Suitable for dissolved oxygen monitoring of: - Activated Sludge - Aerated Basin - Wastewater & Sewage Processing - Chemical & Process Water - Domestic Water Applications - Filtration Applications - Aquaculture - Agriculture ## Specifications ### Table 1. ST-773 Specifications \| Specification* \| ST-773 \| \|----------------\|--------\| \| Part Number (P/N) \| 53709 \| \| Body Material \| CPVC \| \| Installation Method \| Submerged and Inline Installation \| \| Measuring Range (4-20mA Output Scale) \| 0.004–20.0 mg/L or 0–200% Saturation \| \| Resolution \| 0.01 mg/L \| \| Accuracy \| ±0.3 mg/L or ±3%, whichever is greater \| \| Response Time \| <60 Seconds \| \| Operational Temperature \| 0–45 °C (32–113 °F) \| \| Signal Output \| 4-20mA analog output / RS-485 digital output \| \| Dimension (L × D) \| 206 × 24.6 mm (8.11 × 0.97 inch) \| \| Weight \| 188 g (0.41 lbs) cable excluded \| \| Working Pressure \| 75 psi \| \| Wet Material \| CPVC and Polycarbonate \| \| Cables Provided \| 1 x 4.9ft/1.5m Flying Lead Cable — 7Pin Female Adapter 1 x 30ft/15m Bulkhead Cable — 7Pin Male Adapter (Interconnecting Extension Cables Purchased Separately) \| \| Calibration \| Slope calibration Air or Air Saturated Water Zero calibration: 5% Sodium Sulfite or Nitrogen Gas \| \| DO Membrane Cap Life \| 1.5 years \| \| Protection Grade \| IP-67 \| \| Regulation \| CE / RoHS \| \| Compliance \| USEPA 40CFR Part 136.3 / ISO 17289:2014 \| * With Pyxis’s continuous improvement policy, these specifications are subject to change without notice. 3 Unpacking Instrument Remove the instrument and accessories from the shipping container and inspect each item for any damage that may have occurred during shipping. Verify that all accessory items are included. If any item is missing or damaged, please contact Pyxis Lab Customer Service at firstname.lastname@example.org. 3.1 Standard Accessories ST-773 Shipped with Standard Accessories (P/N 53709) The following accessories are included in the ST-773 probe for submersed or inline installations. Please note submersion or inline adapters are purchased separately. Please see optional accessories for details. - One ST-773 Dissolved Oxygen Probe w 30ft/10m Bulkhead Cable (Male Adapter-7Pin) - One DCC-6 DO Membrane Cap for ST-773 - One MA-1100 1.5 Meter/4.9 ft Cable (Female Adapter/Flying Lead-7Pin) - One MA-WB Bluetooth Adapter for 7Pin Sensors - One MA-NEB Bluetooth/USB Adapter for use with Desktop uPyxis APP - User Manual available online at https://pyxis-lab.com/support/ Figure 1. ST-773 / MA-1100 Flying Lead / MA-WB Bluetooth Adapter / MA-NEB USB Adapter / DCC-6 Membrane Cap] 3.2 Optional Accessories The following optional accessories can be ordered from Pyxis Customer Service (email@example.com) or Pyxis E-Store at https://pyxis-lab.com/shop/. Table 2. Optional Accessories \| Optional / Replacement Accessories \| Part Number (P/N) \| \|----------------------------------------------------------------------------------------------------\|-------------------\| \| MA-WB Bluetooth Adapter for 7-Pin Pyxis Sensors \| MA-WB \| \| MA-150-1 Floating Submersion Adapter Kit \| 53705 \| \| MA-120-B Fixed Submersion Adapter Kit \| 50783 \| \| ST-773 Threaded Adapter for Inline Installation (1inch NPT) \| 50700-A04 \| \| ST-001 and Collar Tee Assembly for Non-Threaded Inline Installation (3/4 inch NPT) \| 53726 \| \| DCC-6 Dissolved Oxygen Membrane Cap — Replacement \| 53723 \| \| MA-C50 (50’ Extension Cable w/7Pin Adapters) \| 50705 \| \| MA-C100 (100’ Extension Cable w/7Pin Adapters) \| 50706 \| 4 Installation 4.1 MA-150-1 Submersed Floating Installation The ST-773 may be installed in a submersed/floating application using the MA-150-1 Submersed Floating Adapter Kit. This kit contains a swiveling conduit mounting bracket and ball float-probe adapter assembly in 1-inch FNPT. (Please note the ST773 outer diameter is 3/4 - inch NPT. A 3/4 to 1-inch NPT bushing is required for installation) The ST-773 dissolved oxygen sensor needs to be installed as shown in Figure 2. For installation, users only need to purchase the MA-150-1 from Pyxis Lab and may obtain water-tight conduit and cable seal adapter from their supplier of choice. For sensor replacement and maintenance, users only need to pull the MA-150-1 and DO sensor from fixing bracket vertically (upward). Figure 2. ST-773 in a submersed floating installation 4.2 MA-120-B Submersed Fixed Installation The ST-773 may be installed in a submersed/fixed application using the MA-120-B Submersion Adapter Mounting Bracket and probe adapter coupler in 1-inch FNPT. (Please note the ST773 outer diameter is 3/4 - inch NPT. A 3/4 to 1-inch NPT bushing is required for installation) The ST-773 dissolved oxygen sensor needs to be installed as shown in Figure 3. For installation, users only need to purchase the MA-120-B from Pyxis Lab and may obtain water-tight conduit and cable seal adapter from their supplier of choice. For sensor replacement and maintenance, users only need to pull the MA-120-B and DO sensor from fixing bracket vertically (upwards). Figure 3. ST-773 in a submersed fixed installation 4.3 Pipeline Installation The ST-773 may be installed in a pressurized inline flow application as high as 75 psi (5Bar) using optional accessories (Pyxis ST-001/Collar Kit or ST-771 1-inch Threaded Adapter Kit). Pyxis recommends installation in a vertical flow format from bottom up to reduce the impact of air bubbles. Install the probe collar on the sensor and then install the sensor into the ST-001 tee assembly and ensure the DCC-6 membrane cap is in the direction of water flow as shown in Figure 4. BELOW - Inline installation using ST-001 Tee Assembly and Sensor Collar Kit BELOW - Inline installation using optional 1-inch Threaded Adapter Kit Figure 4. ST-773 in a pipeline installation using optional ST-001 Tee Assembly Kit (P/N -53726) or 1-inch Thread Adapter Kit (50700-A04) 4.4 Wiring If the power ground terminal and the negative 4–20mA terminal in the controller are internally connected (non-isolated 4–20mA input), it is unnecessary to connect the 4–20mA negative wire (green) to the 4–20mA negative terminal in the controller. If a separate DC power supply other than that from the controller is used, make sure that the output from the power supply is rated for 22–26 VDC @ 65 mA. NOTE The negative 24V power terminal (power ground) and the negative 4–20mA terminal on the ST-773 sensor are internally connected. Follow the wiring table below to connect the ST-773 sensor to a controller: \| Wire Color \| Designation \| \|------------\|----------------------\| \| Red \| 24V + \| \| Black \| 24V Power ground \| \| Green* \| 4–20mA - \| \| White \| 4–20mA + \| \| Blue \| RS-485 A \| \| Yellow \| RS-485 B \| \| Silver \| GNDD \| * Internally connected to the power ground 4.5 Connecting via Bluetooth A Bluetooth adapter (P/N: MA-WB) can be used to connect a ST-773 sensor to a smart phone with the uPyxis® Mobile App or a computer with a Bluetooth/USB Adapter (P/N: MA-NEB) and the uPyxis® Desktop App. Figure 5. Bluetooth connection to ST-773 sensor 5 Setup and Calibration with uPyxis® Mobile App 5.1 Download uPyxis® Mobile App Download uPyxis® Mobile App from Apple App Store or Google Play. Figure 6. uPyxis® Mobile App installation 5.2 Connecting to uPyxis® Mobile App Connect the ST-773 sensor to a mobile smart phone according to the following steps: 1. Open uPyxis® Mobile App. 2. On uPyxis® Mobile App, pull down to refresh the list of available Pyxis devices. 3. If the connection is successful, the ST-773 and its Serial Number (SN) will be displayed (Figure 7). 4. Press on the ST-773 sensor image. ![Figure 7](image) ST-773 User Manual \| firstname.lastname@example.org \| +1 (866) 203-8397 5.3 Calibration Screen and Reading When connected, the uPyxis® Mobile App will default to the Calibration screen. From the Calibration screen, you can perform calibrations by pressing on Zero Calibration, Air Calibration, and 4–20mA Span. NOTE Before calibrating, remove the ST-773 sensor from the water and wipe it with a damp cloth to remove debris and any biofouling. If there is water on the membrane, dry it with a soft cloth, taking special care not to damage the membrane. ![Figure 8.](image) 5.3.1 Zero Calibration 1. Place the sensor in Nitrogen Gas or 5% Sodium Sulfite solution (anaerobic water). 2. Let the ST-773 sensor stand for a minimum of 15 minutes. Observe the values being displayed on the Calibration screen. 3. Once the displayed oxygen and temperature values are stable, press Zero Calibration to perform a zero calibration. 4. If the calibration is successful, the interface will return a message “Calibration Succeeded”. If the calibration fails, press Zero Calibration again and repeat. 5.3.2 Air (Slope) Calibration 1. Place the ST-773 sensor in the air with a stable temperature or in air-saturated water. 2. Let the ST-773 sensor stand for a minimum of 6 minutes. Observe the values being displayed on the Calibration screen. 3. Once the displayed oxygen and temperature values are stable, press Air Calibration to perform an air (slope) calibration. 4. Enter the local, real-time atmospheric pressure value in mbar. If a value is not entered the sensor will default to 101.1 mbar. 5. Enter the humidity value: - If you are using air for calibration, you will need to enter the real-time (current) humidity value. - If you are using air-saturated water for calibration, you will need to enter a humidity value of “1”. 6. If the air (slope) calibration was successful, the interface will return a message “Calibration Succeeded”. If the calibration fails, press Air Calibration again and repeat. 5.4 Diagnosis Screen From the Diagnosis screen, you can check the diagnosis condition as well as Export & Upload. This feature may be used for technical support when communicating with email@example.com. To preform a Cleanliness and Selflife Check, first select the Diagnosis Condition which defines the fluid type that the ST-773 sensor in currently measuring, then press Cleanliness and Selflife Check. If the sensor is clean, a Clean message will be shown. If the sensor is severely fouled, a Please replace the DO membrane cap message will be shown. In this case, follow the procedure in the Methods to Cleaning the ST-773Sensor section of this manual. Figure 9. 5.5 Device Info Screen From the Device Info screen. You can name the Device or Product as well as set the Modbus address. 6 Setup and Calibration with uPyxis® Desktop App 6.1 Install uPyxis® Desktop App Download the latest version of uPyxis® Desktop software package from: https://pyxis-lab.com/upyxis/ this setup package will download and install the Microsoft.Net Framework 4.5 (if not previously installed on the PC), the USB driver for the USB-Bluetooth adapter (MA-NEB), the USB-RS485 adapter (MA-485), and the main uPyxis® Desktop application. Double click the uPyxis.Setup.exe file to install. Click Install to start the installation process. Follow the screen instructions to complete the USB driver and uPyxis® installation. 6.2 Connecting to uPyxis® Desktop App Connect the ST-773 sensor to a Windows computer using a Bluetooth/USB adapter (P/N: MA-NEB) according to the following steps: 1. Plug the Bluetooth/USB adapter into a USB port in the computer. 2. Launch uPyxis® Desktop App. 3. On uPyxis® Desktop App, click Device → Connect via USB-Bluetooth (Figure 11). 4. If the connection is successful, the ST-773 and its Serial Number (SN) will be displayed in the left pane of the uPyxis® window. NOTE After the sensor and Bluetooth is powered up, it may take up to 10 seconds for the adapter to establish the wireless signal for communication. 6.3 Information Screen Once connected to the device, a picture of the device will appear on the top left corner of the window and the uPyxis® Desktop App will default to the Information screen. On the Information screen you can set the information description for Device Name, Product Name, and Modbus Address, then click Apply Settings to save. Figure 12. 6.4 Calibration Screen From the Calibration screen, you can perform calibrations by pressing on Zero Calibration, Air Calibration, and 4–20mA Span. NOTE Before calibrating, remove the ST-773 sensor from the water and wipe it with a damp cloth to remove debris and any biofouling. If there is water on the membrane, dry it with a soft cloth, taking special care not to damage the membrane. ![Figure 13.](image) 6.4.1 Zero Calibration 1. Place the sensor in Nitrogen Gas or 5% Sodium Sulfite solution (anaerobic water). 2. Let the ST-773 sensor stand for a minimum of 15 minutes. Observe the values being displayed on the Calibration screen. 3. Once the displayed oxygen and temperature values are stable, click Zero Calibration to perform a zero calibration. 4. If the calibration is successful, the interface will return a message “Calibration Succeeded”. If the calibration fails, click Zero Calibration again and repeat. 6.4.2 Air (Slope) Calibration 1. Place the ST-773 sensor in the air with a stable temperature or in air-saturated water. 2. Let the ST-773 sensor stand for a minimum of 6 minutes. Observe the values being displayed on the Calibration screen. 3. Once the displayed oxygen and temperature values are stable, click Air Calibration to perform an air (slope) calibration. 4. Enter the local, real-time atmospheric pressure value in mbar. If a value is not entered the sensor will default to 101.1 mbar. 5. Enter the humidity value: - If you are using air for calibration, you will need to enter the real-time (current) humidity value. - If you are using air-saturated water for calibration, you will need to enter a humidity value of “1”. 6. If the air (slope) calibration was successful, the interface will return a message “Calibration Succeeded”. If the calibration fails, click Air Calibration again and repeat. 6.5 Diagnosis Screen After the device has been calibrated and installation has been completed, to check diagnosis, click on Diagnosis. When in the Diagnosis screen you can view the Diagnosis Condition of the device. This feature may be used for technical support when communicating with firstname.lastname@example.org. To preform a Cleanliness and Selflife Check, first select the Diagnosis Condition which defines the fluid type that the ST-773 sensor is currently measuring, then click Cleanliness and Selflife Check. If the sensor is clean, a Clean message will be shown. If the sensor is fouled, a Please replace the DO membrane cap message will be shown. In this case, follow the procedure in the Methods to Cleaning the ST-773 section of this manual. Figure 14. 7 Outputs 7.1 4–20mA Output Setup The 4–20mA output of the ST-773 sensor is scaled as: - Dissolved Oxygen: - 4 mA = 0 ppm - 20 mA = 20 ppm 7.2 Adjusting 4–20mA Span Users may adjust the output scale using 4–20mA Span to change the dissolved oxygen ppm value corresponding to the 20 mA output via uPyxis®. For the uPyxis® Mobile App, press 4-20mA Span found on the Calibration and Reading Screen, shown in Figure 15. For the uPyxis® Desktop App, click 4-20mA Span found on the Calibration Screen, shown in Figure 16. ![Figure 15](image) Figure 15. ![Figure 16](image) Figure 16. 7.3 Communication using Modbus RTU The ST-773 sensor is configured as a Modbus slave device. In addition to the dissolved oxygen ppm value, many operational parameters, including warning and error messages, are available via a Modbus RTU connection. Contact Pyxis Lab Customer Service ([email@example.com](mailto:firstname.lastname@example.org)) for more information. 8 Sensor Maintenance and Precaution The ST-773 sensor is designed to provide reliable and continuous dissolved oxygen readings even when installed in moderately contaminated industrial waters. Although the optics are compensated for the effects of moderate fouling, heavy fouling will prevent the light from reaching the sensor, resulting in low readings and the potential for product overfeed if the ST-773 sensor is used as part of an automated control system. When used to control product dosing, it is suggested that the automation system be configured to provide backup to limit potential product overfeed, for example by limiting pump size or duration, or by alarming if the pumping rate exceeds a desired maximum limit. The ST-773 sensor is designed to be easily removed, inspected, and cleaned if required. It is suggested that the ST-773 sensor be checked for fouling and cleaned/calibrated on a monthly basis. Heavily contaminated waters may require more frequent cleanings. Cleaner water sources with less contamination may not require cleaning for several months. The need to clean the ST-773 sensor can be determined by the Cleanliness and Selflife Check using either the uPyxis® Mobile App (see the Mobile Diagnosis Screen section) or the uPyxis® Desktop App (see the Desktop Diagnosis Screen section). If the Cleanliness and Selflife Check continues to return a Please replace the DO membrane cap, use an Allen wrench to remove the protective cover, unscrew the current membrane cap, check whether the inside of the ST-773 sensor flashes blue and red light, then screw on a new membrane cap and re-fasten the protective cover. 8.1 Methods to Cleaning the ST-773 Sensor Any equipment in contact with industrial cooling systems is subject to many potential foulants and contaminants. Our inline sensor cleaning solutions below have been shown to remove most common foulants and contaminants. The surface of the DCC-6 Dissolved Oxygen Membrane Cap can be cleaned with a cotton swab. Please do not use sharp instruments to clean the membrane cap. In addition, the Pyxis Inline Probe Cleaning Solution Kit may also be used to removal of heavy deposits, especially inorganics, and can be purchased at our online E-Store https://pyxis-lab.com/product/probe-cleaning-kit/. To clean the ST-773 sensor, remove the sensor and the DO membrane cap from the water in use, wipe it with a damp cloth to remove debris and growing organisms, and use a cotton swab dipped in water to clean up the dirt on the membrane surface. Unscrew the membrane cap, check whether the inside of the ST-773 sensor flashes blue and red light; after the inspection, screw the DO membrane cap back onto the sensor. 9 Troubleshooting If the ST-773 sensor output signal is not stable and fluctuates significantly, make an additional ground connection — connect the clear (GNDD) wire to a conductor that contacts the sample water electrically such as a metal pipe adjacent to the ST-773 tee. 10 Contact Us Pyxis Lab, Inc 1729 Majestic Dr. Suite 5 Lafayette, CO 80026 USA www.pyxis-lab.com Phone: +1 (866) 203-8397 Email: email@example.com
A house-shaped shrine in a Carolingian setting, as depicted in the oldest portrait of St Columba in Cod Sang 555 Peter Yeoman$^1$ ABSTRACT This paper will consider the oldest known image of St Columba, contained within a copy of Adomnán’s Vita sancti Columbae, created around the middle of the 9th century in the monastery at St Gallen in Switzerland. Columba established a confederation of monasteries in Britain and Ireland, centred on his great foundation at Iona, before his death in AD 597. His fame spread to the Continent, in relation to a network of Carolingian monasteries with Scotto-Irish links, resulting in a persistent devotion to certain Irish saints, the context for which is outlined here. Rather than simply being an illustration in support of the manuscript, the image affirms the significance of Columba to the culture of St Gallen more than 200 years after his death. Most remarkably, a ‘house-shaped’ shrine – of possible Insular origin – features in the church setting of this image, and this is discussed in relation to the possible origins and identification of this object, possibly as a Columban reliquary. Whereas this paper focuses on the materiality of the image and especially on the extraordinary representation of the reliquary, an art historical assessment of the image is also essential to achieving a full understanding. As this is outwith the skills of the present author, the art historical significance will be fully explored in a forthcoming, accompanying paper by Prof Jane Geddes. THE EUROPEAN CULTS AND LEGACY OF SS COLUMBANUS AND GALL By sometime soon after 850, the monks of the St Gallen scriptorium created a new copy of Adomnán’s Vita sancti Columbae (Life of St Columba), copied from an original possibly made on Iona a few years after he (d 704) authored this work in about 697, possibly as a centennial memorial to his illustrious predecessor. The strong and persistent devotion of the Carolingian monks of St Gallen to Columba can be traced back to the mission to Europe led by his namesake Columbanus (c 543–615). ‘Little Columba’ had left his monastery at Bangor, Co Down, around 590. He founded monasteries governed under his own austere Irish rule at Annegray, Luxeuil, and Fontaines in France, and latterly at Bobbio in Lombardy, where he died in 615. During the 7th century, the disciples of Columbanus founded other monasteries in what is now France, Germany, Belgium and Switzerland (Farmer 2011). The Columbanians were set apart from their contemporary brethren in the monasteries of Merovingian France and in the Cisalpine area, with their peculiar tonsure and strongly penitential lifestyle. This brought Columbanus into conflict with Pope Gregory, especially over the computation of the date of Easter (Medieval Histories 2015). When Columbanus moved to Bobbio in 614, his disciple Gall stayed behind in Switzerland, living as a hermit until he died c 650. A monastery was founded c 719 dedicated to St Gall on the site of his hermitage and place of burial, where he was venerated as the evangelist of the region. The city of St Gallen is located in north-east Switzerland, where the later cathedral and its ILLUS 1 Map of key places mentioned in the text remarkable high Baroque library of about 1760 are now a World Heritage Site. The earliest treasures of the library include a large body of Irish manuscripts of the 7th–9th centuries, along with the illuminated manuscripts of the St Gallen School of the 9th and 11th centuries. It became one of the great centres of learning of the early medieval period, attracting monks from all over Europe (Tremp et al 2007: 77). The library today houses the famous Plan of St Gall, created for Abbot Gozbert between 819–30, which depicts an idealised Benedictine monastic complex (ibid: 12). The Plan promotes the strong contemporary interest in how architecture could best serve the liturgical veneration of the cult of saints and their relics, as shown below in how the St Columba image demonstrates a concern for the reality of worship (Palazzo 2011: 100 and J Geddes pers comm). The real – rather than idealised – church of St Gallen had been rebuilt c 830 by Abbot Gozbert to include a new reliquary crypt for the relics of their patron saint (Crook 2000: 137). By the mid-700s the abbey had abandoned Irish strictures in favour of the Benedictine rule, but the special relationship with Irish monastic culture continued (Duft & Meyer 1954: 12). The early sources related to the monastery reveal a mingling of Irish and Continental names among the monks. Monks from Ireland and what is now Scotland participated in this cultural movement, to revitalise what they considered to be the debased practices of some Continental monasteries. Once established, new waves came as pilgrims to the tombs of their saintly predecessors, some en route to Rome, while others were attracted as scholars (ibid: 29). Their numbers were periodically swollen by refugees escaping the Viking raids which targeted Insular monasteries from the 790s onwards, bringing with them books of Irish origin. This helped engender an awareness of Columba as an important saint, along with a strong interest in and knowledge of Columba’s Iona as another great monastery. This can be seen in the poem written c 825 by Walahfrid Strabo (d 849), when dean of St Gallen, concerning the martyrdom of Abbot Blathmac of Iona, in which Strabo had a first-hand account of the massacre from one or more of the monks who had escaped the carnage, and in which he expressed a knowledge of Columba’s relics. And, at St Gallen it was believed that there were only three degrees of separation between Columba and Gall – Columba was Comgall’s teacher, Comgall taught Columbanus, who in turn was Gall’s superior (Sharpe 1995: note 205). That Columba was the spiritual ancestor of Gallus is considered by Picard to be the key to understanding the significance of Columba’s cult at St Gallen (Picard 2002: 98). Insular manuscripts continued to be deposited at St Gallen; for instance, in 841, Marcus, an Irish bishop returning from a pilgrimage to Rome, visited and decided to remain at St Gallen, gifting them a number of books (Reeves 1857: xxii). ADOMNÁN’S VITA COLUMBAE AT ST GALLEN Among the books carried abroad was the earliest surviving copy of Adomnán’s Vita Columbae, the Life of St Columba, created by Abbot Dorbbéne in the Iona scriptorium c 700, originally held at the early monastery of Reichenau on Lake Constance in Germany, 32 miles (52km) north-west of St Gallen, now preserved in the Stadtbibliothek, Schaffhausen, Switzerland. The Schaffhausen manuscript is conventionally designated as MS A (Sharpe 1995: 236), and is considered to be the source of all the Continental versions, possibly having arrived on the Continent in the 8th century via the monasteries of Péronne and Fosses in northern France, which were part of the familia of monasteries related to the Irish saint Fursa (Picard 1998: 4). MS A reached Reichenau c 850, and soon after was copied in the St Gallen monastic scriptorium, where it is catalogued today as St Gallen, Stiftsbibliothek, Cod Sang 555: Vita sancti Columbae (e-codices 2015). Here the St Gallen scribes created the ‘oldest witness’ to the shorter (abridged) recension, removing episodes specific to the Irish context, proper names and geographical data, while retaining chapters with universal appeal for the edification of the St Gallen monks (Picard 2001: 222). The text of this ILLUS 2 The image labelled as St Columba on the last page, page 166, of the St Gallen copy of Vita sancti Columbae created in the mid-9th century, Cod Sang 555 (© Stiftsbibliothek St Gallen) copy was further disseminated through Germany and Austria to become the most popular version of the Vita (ibid: 221). THE OLDEST PORTRAIT OF ST COLUMBA This manuscript contains an image of Columba on the last page (166, see Illus 2), which was first reproduced by Reeves in his major edition of the A text published in Dublin in 1857, who designated the St Gallen copy as Codex S (Reeves 1857: plate 5 facing xxviii). It is important to note that, as the illustration is on the last page, two pages after the end of the manuscript, it could have been added at a later date. The oldest catalogue of the St Gallen library, created in the time of Abbot Grimald between 841–72, lists a copy of the Vita sancti Columbae in codice uno, then a newly created work (Duft & Meyer 1954: 13). The fact that Cod Sang 555 fills the whole of the codex makes this identification likely (Picard 2002: 96). The St Gallen manuscript is written in Latin in Carolingian script, and seems to have been well used in the library, being mentioned repeatedly in later catalogues (Duft & Meyer 1954: 53). It is a small quarto parchment manuscript, originally of 81 folios (Esposito 1910: 75). To date there has been little discussion of this image, being simply described by von Euw (2009: 357–8) in the e-codices entry. The image was well-drawn in pen and black ink, now faded with some localised damage, filling most of the page which measures 1900mm × 1400mm. This may have been a sketch which was never fully worked up, and could even have been copied from another image (R Sharpe & R Gempers comm). The saint stands central to and almost filling a round-headed arch, presumably representing a chancel arch or the arched entry to a side chapel. The arch is supported on a pair of polygonal columns, with rounded bases and capitals, all festooned with a fluttering fabric drape, like a ribbon, wound loosely around and uniting the arch and columns. The foliage forms carved on the capitals could be the artist’s take on the acanthus leaf motifs commonly found on Carolingian capitals. ILLUS 3 Ivory panel from a book cover, Carolingian 10th century, depicting a bishop about to celebrate Mass among his Choir. M 12-1904 (© The Fitzwilliam Museum, Cambridge) Columba is shown without an aura, with a coronal tonsure and a cluster of three curls on his wrinkled forehead, standing with arms raised to either side in the Orans position, addressing a congregation who are located in the foreground, in front of the chancel arch, represented simply by about 20 egg-shaped outline heads. A useful parallel for this scene may be the 10th-century Carolingian ivory book panel from Lotharingia (the area of modern Lorraine in France), now in the Fitzwilliam Museum (see Illus 3). This shows a bishop officiating at what may be the introit at the beginning of Mass; here no altar is in sight and the bishop stands among the clergy in the choir, with his right hand raised while with the left he is holding a book on a lectern, facing a monastic choir who seem to be chanting or singing. The St Gallen image may similarly represent a stage in the celebration of the Mass. Columba is dressed in a full-length alb, which comes down to his protruding feet, over which he wears a knee-length tunic or dalmatic, with a straight lower hem, such as might be worn more appropriately by a deacon, rather than the chasuble which would normally be worn by a priest celebrating Mass (Miller 2014: 247; R Gem pers comm). These un-ornamented vestments are simply delineated to represent deep folds of light cloth in a classicising Carolingian style. He is named in display capitals written above his head – S. COLVMBAE. It has been suggested that these words are in the genitive case ‘of Columba’, and therefore a preceding word, such as VITA, is missing (R Gem pers comm), although there is no sign of this on the drawing. The identification of the subject is reiterated in a later minuscule script as Scs Coluba ‘with both words having a long horizontal stroke indicating that they are abbreviations of sanctus and Columba respectively’ (Dr P Lenz pers comm), added to the drawing c 1200, which demonstrates the prolonged nature of the interest of St Gallen monks in the cult of Columba. Close examination of the page appears to show the ghost of further writing above and to the left of the arched enclosure. At the author’s request this has been examined under ultra-violet light by Dr Lenz at Stiftsbibliothek, St Gallen; the results were inconclusive (Dr P Lenz pers comm). HOUSE-SHAPED SHRINES IN THE IMAGE Of particular interest, on the right hand side of page 166 (Illus 4), is the depiction of a pair of what seem to be small reliquary containers, one of which at least appears to be a house-shaped shrine (HSS). This is a rare if not unique image from this time of a HSS shown within a liturgical context. The pair of reliquaries sit atop a lectern-shaped stand, which itself sits on a tiered base, immediately to the left of the saint, which the viewer sees partly side-on. The two reliquaries stand just above Columba’s head height, occupying the same space as him within a chapel or the presbytery of a church. The HSS is the larger of the two and is viewed face-on, with hipped gables visible at either end. There are three tiers of decoration; the lower of which features three applied mounts, each with a central dot likely to represent a glass stud. A row of what seems to be three smaller mounts is indicated above this on the sloping roof-lid, surmounted by a ridge topped with a row of possibly five upright, oval decorative fittings. A hinged carry-strap fitting may be indicated at the left end. There is an inaccuracy in the drawing, however, in that the ‘hips’ rise from the lower register and should properly belong with the sloping roof of the middle register (C Bourke pers comm). A vertical object, which could be a candle (or a later mark), separates the HSS from the smaller casket to the right. This object is less distinct, and seems to be have a rounded top with a square shaped handle above. This could even be another HSS. A total of at least 12 complete or almost complete HSSs of Irish and Pictish manufacture survive, along with fragments of others, dating from the 7th to 9th centuries (Blindheim 1984; Quast 2012: 59), as ‘an Insular version of a common continental form’ (Ryan 1989: 129). In the north Alpine area, Quast has defined a further two groups of these caskets, namely an Anglo-Saxon group, along with a third being a Mediterranean-Gallic-Frankish group (Quast 2012: 119). House-shaped shrines are representations in miniature of the tomb or shrine of a saint, and were generally small enough to be held in the palm of one hand. The HSSs were made in monastic workshops like those tentatively identified at Iona Abbey from the excavated evidence of moulds and other metalworking debris (Campbell & Maldonado 2016: 90), their very act of creation being a form of religious devotion. They are usually interpreted as portable shrines, designed for carrying small pieces of a saint’s bones in procession, or out into the community for the sanctification of laws and oaths (Caldwell 2001: 269). The precious materials used in making these boxes honoured and emphasised the sacred nature of their contents (Smith 2012: 156). Alternatively, a small casket like this could have served as a portable chrismal containing holy oil, or else as a pyx for the consecrated host brought to the sick and dying. Lacking any precise evidence of function, such as the inscription on the Anglo-Saxon casket from Mortain, France, which states that it was indeed a chrismal (O’Donoghue 2011: 86), it is otherwise impossible to be definite about function, and of course they may have had multiple uses over a long life. These complex composite objects were usually fabricated around the core of a wooden box covered with gilded metal plates, with applied metalwork decoration, and prominent gable finials joined by a roof ridge bar with inturned animal head terminals. Sometimes only the front was decorated as they were designed to be carried hung around the neck on a strap, which was attached to either end of the box, and the back not seen (Ryan 1989: 129). The trapezoidal roofs were hinged for opening to give access to the objects contained therein. PARALLELS FOR THE SHRINES SHOWN IN THE IMAGE This form of portable shrine may have originated in western Europe, where Quast (2012: 59) has listed at least 19 surviving examples in his Mediterranean-Gallic-Frankish group, including for example the 7th-century Merovingian reliquary casket from Saint-Maurice d’Agaune (Rudenbach 2013: 91). However, they are distinctively different in design, in that they lack the distinctive circular and rectangular applied mounts and ridge treatment, commonly used on the Insular examples. The development of HSSs in different regions was taking place in parallel, and further study of this inter-relationship is required. The 7th-century early HSS from Bobbio, a monastery of the Columbanus familia, is remarkably similar to the example from Clonmore, however, aspects of the manufacture of the Bobbio example caused Ryan to conclude that ‘this was made abroad under Irish direction’ (Ryan 1990: 110). An unprovenanced Carolingian reliquary from the upper Rhine has a ridge formed of interlocking animal heads, which, when sketched, could possibly resemble the ridge on the larger HSS in the St Gallen illustration (Quast 2012: Tafel 12), as, at a push, can also be said regarding the ornate interlocking ridge on the HSS from Enger (ibid: Tafel 14). However, the fronts of these are decorated with geometric arrangements of multiple cabochons which in no way resemble the object in the Columba sketch. As far as the three-over-three arrangement of possibly circular mounts is concerned, a broad similarity can be seen in the front of the Ennabeuren HSS (ibid: Tafel 1), although this features stamped multiple roundels, displaying heads similar to Roman Illus 5 The Monymusk reliquary (© Trustees of the National Museums of Scotland) emperors, rather than applied mounts common to the Insular examples. Lacking convincing Continental parallels, there are two Insular HSSs that might provide parallels to the one in the St Gallen illustration. The three-over-three arrangement of mounts is also seen in the Monymusk reliquary, as well as in the reliquary now in the University Museum in Bologna, Italy. Both of these have alternating circular and rectangular applied mounts, decorated with coloured enamel work which originally contained glass studs (Youngs 1989: 140). Another Insular HSS which found its way to Italy is in Abbadia San Salvatore in Tuscany, which still contains bones attributed to Columbanus (ibid: 134). This has only a pair of circular mounts on the front side, and a single mount on the roof. DISCUSSION The illustration on the last page of the Cod Sang 555 is important in its own right as the oldest known illustration of St Columba, helping us understand the lasting devotion to him, as well as to other Irish saints, in central Europe, resulting from waves of immigration by peregrini monks originating from Irish and Pictish monasteries. Due to the filial link, Columba was seen as the spiritual ancestor of Columbanus and Gallus; and, thanks to the powerful influence of the monastery of St Gallen, the cult of Columba was spread further through the region, where he was commemorated in the liturgical texts of some great churches (Picard 1998: 11). Adomnán may not have been overstating the case when he claimed that Columba’s cult had reached beyond the Alps (Vita III: 23), even in his biographer’s lifetime. In terms of dating the portrait, Jane Geddes has commented that a ‘survey of the St Gallen illustrations shows that [the] St Columba [portrait] clearly belongs to this scriptorium environment, with several strong comparisons from the 9th–10th centuries’ (Geddes pers comm). It is therefore possible that the sketch could have been added up to a 100 years after the completion of the Vita manuscript in the mid-9th century. The Irish manuscripts at St Gallen and Reichenau, together with the Insular HSSs now held at San Salvatore and Bologna (as well as a 7th-century HSS at Bobbio) (ibid: 134–40; Columbanus 2015), show that the Irish monks travelled not only with books but also with other liturgical objects, together with precious relics, in their satchels. This has been demonstrated by the discovery of an inscribed parchment fragment originally used to wrap small corporeal relics of Columba, Adomnán and Columba’s teacher, Finnian, found at the abbey of Saint-Maurice d’Agaune, which is close to one of the main Alpine passes on the borders of Switzerland, France and Italy. The wrapping was inscribed with the names of the three saints written in Irish minuscule text dated to the 8th century (Smith 2015: 241). The artist of the sketch was a monk who would have drawn on inspiration from things around him. The architectural setting in which he placed the saint may be derived from his own church of St Gallen, and the same applies to his depiction of the pair of reliquaries placed atop the altar in what could even be the chapel dedicated to St Columba in that church. The idealised church of the St Gallen Plan features a proliferation of altars and side chapels, much of this being driven by the need to accommodate the cults of saints as an essential component of the architecture of the Carolingian Renaissance (Crook 2000: 80). If Columba is shown celebrating Mass in a church or chapel facing the congregation, then the relic stand would have been located on the right-hand side of the altar, in a place often reserved for relics or burials of great distinction. It may be that the scene records the display of relics on a special feast day – that of Columba himself – as it would have been only on such a day that these relics would have been displayed, either on an altar or else on a raised horizontal beam (Smith 2012: 158). An arrangement of Continental house-shaped shrines and other reliquaries are shown suspended from a beam in the frontispiece to the c 1100 manuscript of Thiofrid of Echternach’s Flores epytaphii sanctorum (a discussion of the cult of relics) (Ó Cróinín 2013: 240). In the St Gallen image, the reliquaries seem to be perched uncomfortably on the apex of a sloping lectern top, however, difficulties in interpretation may arise here due to non-representational perspective, where a surface which appears to slope may in fact be horizontal – and in that case it is more likely that what appears as a lectern is actually an altar. Jane Geddes has pointed out how this is graphically illustrated in the earliest image of an altar reproduced at St Gallen, 820–30, in the St Gallen Psalter, Zurich Zentralbibliothek, MS C 12, f53v (e-codices 2017). Because of the incorrect perspective in this image, the top of the altar appears to slope, while the framework underneath is covered with embroidered cloths, which may well correspond to what is being expressed in the Cod Sang 555 image. This product of the same scriptorium, using similar artistic techniques, explains the appearance of the altar in the Columba picture (Geddes pers comm). The artist monk is likely to have been depicting real objects, relics and reliquaries which formed part of the monastic treasury of St Gallen specifically related to Columba, familiar to the artist, and of such liturgical importance as to warrant their inclusion in the drawing. There was nothing random or accidental in his selection of objects to be included in the scene, which strongly indicates a link between them and the saint. And here we see a perfect example of the concept of presentia, whereby the saint was considered to be simultaneously present in his relics as well as being in Heaven (Crook 2000: 17). It can therefore be suggested that amongst the treasures of the monastery was at least one HSS, bearing a similarity to the one of Insular origin that ended up in Bologna. There is mention in Cod Sang 339 p6, in an entry in a Calendar and Sacramentary dated to around 1100, that the abbey church of St Gallen possessed relics of Columba (Duft & Meyer 1954: 30). Were it true that the reliquaries shown in the image contained relics of the saint featured in this devotional image, it is certainly the case that the shrine is no longer to be found at St Gallen. This author considers that the closest parallel for the HSS in the image is the Bologna shrine. This reliquary was created in a monastic workshop in Ireland or Pictland sometime around 800, and was eventually carried to the Cisalpine area by monks seeking a new home, where there was an interest in their native ascetic monastic culture and in the familiar cults of their saintly fathers. The original Continental home of the Bologna HSS is unknown; could it once have held a relic of St Columba, treasured in the sanctuary of the abbey church of St Gallen? The luxurious quality of the Bologna shrine would certainly befit its association with one of the greatest saints of the age. While this is speculation, one thing that this image allows us to be certain of is that the saint of Iona was fully absorbed into the culture of the Carolingian monastery of St Gallen. And from an archaeological perspective, this image is helpful in informing our impoverished understanding of the contemporary liturgical use of HSSs within the Irish and Pictish Church, where these sacred objects may have been displayed in a similar manner within the now long-lost sanctuaries of the earliest important churches. ACKNOWLEDGEMENTS The author is pleased to acknowledge the support of the Society of Antiquaries of Scotland who kindly provided an Angus Graham Award, which enabled the travel and research for this paper. The examination of the image at the St Gallen Stiftsbibliothek was kindly facilitated by the Stiftsbibliothekar Dr Cornel Dora. The author is most grateful to Dr Cormac Bourke, Dr Richard Gem, Dr Philipp Lenz, Prof Richard Sharpe and to Dr Julia Smith, for providing expert comments on this paper. Essential improvements and advice were generously given by Prof Jane Geddes and another anonymous reviewer. REFERENCES Andenmatten, B, Ripart, L, Mariaux, P-A & Brero, T (eds) 2015 L’abbaye de Saint-Maurice d’Agaune 515–2015. Gollion: Editions Infolio. Bagnoli, M, Klein, H, Mann, C & Robinson, J (eds) 2011 Treasures of Heaven: Saints, Relics and Devotion in Medieval Europe. London: British Museum Press. Blindheim, M 1984 ‘A house-shaped Irish-Scots reliquary in Bologna’, Acta Archaeologica 55: 1–54. Caldwell, D 2001 ‘The Monymusk Reliquary: the Breccbennach of St Columba?’, Proc Soc Antiq Scot 131: 267–82. Campbell, E & Maldonado, A 2016 Russell Trust Excavations on Iona led by Charles Thomas, 1956–63. Unpublished data structure report. University of Glasgow. Carey, J, Herbert, M & Ó Riain, P (eds) 2001 Studies in Irish Hagiography: Saints and Scholars. Dublin: Four Courts Press. Columbanus 2015 Examination of the Bobbio Reliquary/Chrismal. https://columbanus2015.wordpress.com/2013/06/28/examination-of-the-bobbio-reliquarychrismal/. Accessed August 2017. 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From Neural Certificates to Certificate-based RL in Large-Scale Autonomy Design Chuchu Fan Assistant Professor of AeroAstro and LIDS REALM Lab: REliable Autonomous systems Lab at MIT email@example.com IFAC Workshop on Data-Driven Verification and Control of Cyber-Physical Systems Challenges in autonomous safe navigation A large fleet of agents High-dimensional state and input spaces Unknown or imprecise system and environment models Interactions with other uncontrolled agents What can ML and control theory help with solving the above challenges? Control certificate informed control Certificate functions are from control theory to prove desired system properties. - Lyapunov Function - Certifies stability of a fixed point - Barrier Function - Certifies invariance of a region - Contraction Metric - Certifies ability to track arbitrary trajectories Control certificate informed control Certificate functions are from control theory to prove desired system properties. How can we prove that the drone can reach the goal while avoiding the obstacles? If we have a semi-perfect state estimation, many approaches can prove the success of a reach-avoid problem: MPC, HJ, reachability-based control etc. Uncertainties: - Wind - Mass - Inertia - Rotor power ... Control certificate informed control From a control certificate point of view, a robust Control Lyapunov Barrier function (rCLBF) can serve the purpose of certifying stabilize-avoid problems. \[ V(x_{\text{goal}}) = 0 \] \[ V(x) > 0, \forall x \in X \setminus x_{\text{goal}} \] \[ V(x) \leq c, \forall x \in X_{\text{safe}} \] \[ V(x) > c, \forall x \in X_{\text{unsafe}} \] \[ \inf_u L_{f_\theta} V + L_{g_\theta} Vu + \lambda V(x) \leq 0, \forall x \in X \setminus x_{\text{goal}} \] Theorem: If we can find such a $ V $ for a control policy $ u $, then the closed-loop system is robustly safe and stable in terms of goal-reaching. There are many approaches to find such a $ V $, such as SoS, Simulation-guided synthesis. But the computational complexity has been a bottleneck so far. Proposed approach: Neural certificate functions From a control certificate point of view, a robust Control Lyapunov Barrier function (rCLBF) can serve the purpose of certifying stabilize-avoid problems. \[ V(x_{goal}) = 0 \\ V(x) > 0, \forall x \in X \setminus x_{goal} \\ V(x) \leq c, \forall x \in X_{safe} \\ V(x) > c, \forall x \in X_{unsafe} \\ \inf_u L_{f_\theta} V + L_{g_\theta} Vu + \lambda V(x) \leq 0, \forall x \in X \setminus x_{goal} \] [Dawson 21] $u$ and $V$ can be represented as NNs, with loss $L$ being \[ \inf_{V,u} \sup_{x \in X} \left( V^2(x_{goal}) + a_1 \frac{1}{N_{safe}} \sum_{x \in X_{safe}} \max(V(x) - c, 0) + a_2 \frac{1}{N_{unsafe}} \sum_{x \in X_{safe}} \max(V(x) - c, 0) \right. \\ + a_3 \frac{1}{N_{train}} \sum_{x \in X} r(x) \sum_i \max(L_{f_{\theta_i}} V + L_{g_{\theta_i}} Vu + \lambda V(x), 0) \left. \right) \] Proposed approach: Neural certificate functions From a control certificate point of view, a robust Control Lyapunov Barrier function (rCLBF) can serve the purpose of certifying stabilize-avoid problems. Training samples $x$ rCLBF $V(x)$ NN Controller $u(x)$ NN Loss function: $\mathcal{L}$ $[Dawson 21]$ $u$ and $V$ can be represented as NNs, with loss $\mathcal{L}$ being $$\inf_{V,u} \sup_{x \in X} \left( V^2(x_{goal}) + a_1 \frac{1}{N_{safe}} \sum_{x \in X_{safe}} \max(V(x) - c, 0) + a_2 \frac{1}{N_{unsafe}} \sum_{x \in X_{safe}} \max(V(x) - c, 0) \right.$$ $$+ a_3 \frac{1}{N_{train}} \sum_{x \in X} r(x) \sum_i \max(L_{f_{\theta_i}} V + L_{g_{\theta_i}} Vu + \lambda V(x), 0) \right)$$ Proposed approach: Neural certificate functions $V(x) = c$ Unsafe Region $max(dV/dt, 0)$ Neural control certificates can help with - Single-agent certified learning-based control (robust, online) - Generalization in a large fleet of agents - Handle high-dimensional state and input spaces - Combined with RL for unknown or imprecise models - Provide insights on other uncontrolled agents react to autonomous agents Neural certificates for multi-agent systems To handle multi-agent systems and generalize well to different settings, we must use decentralized certificates. Example: decentralize barrier certificate 1. A decentralized barrier certificates with a decentralized controller is defined with observations $o_i$ (e.g., LiDAR measurements, images). \[ h_i(x_i, o_i) \leq 0 \text{ for } (x_i, o_i) \in X_{\text{safe}} \] \[ h_i(x_i, o_i) > 0 \text{ for } (x_i, o_i) \in X_{\text{unsafe}} \] \[ \inf_{u_i} [\nabla_{x_i} h_i \cdot \dot{x}_i + \nabla_{o_i} h_i \cdot \dot{o}_i + \alpha(h_i)] \leq 0 \] $h_i$ can be parameterized using Graph Neural Networks with local information and communications. Example: decentralize barrier certificate 1. A decentralized barrier certificates with a decentralized controller is defined with observations $o_i$ (e.g., LiDAR measurements, images). \[ h_i(x_i, o_i) \leq 0 \text{ for } (x_i, o_i) \in X_{\text{safe}} \] \[ h_i(x_i, o_i) > 0 \text{ for } (x_i, o_i) \in X_{\text{unsafe}} \] \[ \inf_{u_i} \left[ \nabla_{x_i} h_i \cdot \dot{x}_i + \nabla_{o_i} h_i \cdot \dot{o}_i + \alpha(h_i) \right] \leq 0 \] $h_i$ can be parameterized using Graph Neural Networks with local information and communications. In fact, $h = \max\{h_1, h_2, \cdots\}$ is a big global barrier certificate for safety. Example: decentralize barrier certificate 1. A decentralized barrier certificates with a decentralized controller is defined with observations $o_i$ (e.g., LiDAR measurements, images). 2. To handle the time-varying observation $o_i$, use a permutation-invariant embedding (e.g., PointNet). Example: decentralize barrier certificate 1. A decentralized barrier certificates with a decentralized controller is defined with observations $o_i$ (e.g., LiDAR measurements, images). \[ h_i(x_i, o_i) \leq 0 \text{ for } (x_i, o_i) \in X_{\text{safe}} \] \[ h_i(x_i, o_i) > 0 \text{ for } (x_i, o_i) \in X_{\text{unsafe}} \] \[ \inf_{u_i} [\nabla_{x_i} h_i \cdot \dot{x}_i + \nabla_{o_i} h_i \cdot \dot{o}_i + \alpha(h_i)] \leq 0 \] 2. To handle the time-varying observation $o_i$, use a permutation-invariant embedding (e.g., PointNet). 3. Approximate lookahead for estimating $\dot{o}_i$. Approximate lookahead for $\dot{o}_i$ control inputs $\downarrow$ workspace translation + rotation affine update to lidar observations search over control inputs Generative models like NeRF can be used for camera image inputs [Tong ICRA 23]. Example: decentralize barrier certificate 1. A decentralized barrier certificates with a decentralized controller is defined with observations $o_i$ (e.g., LiDAR measurements, images). 2. To handle the time-varying observation $o_i$, use a permutation-invariant embedding (e.g., PointNet). 3. Approximate lookahead for estimating $\dot{o}_i$. Each step can cause some loss on the guarantees that the learned candidate certificates can provide. Additional verification steps are needed. But we will see that empirically neural certificates can achieve great performance! Trained with 16 Dubin cars, the resulting controller can be deployed on an arbitrary number of agents with the same dynamics. GNN-based neural CBF-based control Trained with 16 Dubin cars, the resulting controller can be deployed on an arbitrary number of agents with the same dynamics, even with increased density. GNN-based neural CBF-based control With LiDAR inputs, the decentralized controller can handle unseen (uncontrolled) obstacles of varying sizes and speed. Figure 1: Examples of the four different scenarios in our dataset. Top left: Drone delivery to a building. Top right: Drone delivery to a container yard. Bottom left: Drone delivery to a ship. Bottom right: Drone delivery to a city. Comparison with state-of-the-art All environments contain 1024 agents. Our neural certified control policies can achieve nearly 100% task completion rate and safety rate, outperforming all leading safe RL methods. References: CPO [Achiam 2017] PPO-Safe [Schulman 2017], TRPO-Safe [Tessler 2019] Limitations of current neural certificates - Uniformly collecting samples in the state space is not feasible for high-dim systems. - Collecting samples only along trajectories may not have good coverage. We have to learn a new rCLBF if the environment changes. Separate CLF and CBF can lead to deadlocks (because CBF is myopic). So far, neural certificates need dynamics information. But dynamics can be hard to accurately estimate. Stabilize-avoid as constrained optimization problem Let $ \mathcal{X}_{\text{unsafe}} = \{x : h(x) > 0\} $ \[ \min_{\pi} J(\pi) = \sum_{k=0}^{\infty} l(x_k) \] s.t. $ h(x_k) \leq 0, \quad k \geq 0 $ $ x_{k+1} = f(x_k, \pi(x_k)) $ The policy value function \[ V(x_k) = \min_u l(x_k, u) + V(x_{k+1}) \] is a Lyapunov function $ h(x_k) $ is a barrier function for infinite horizon! Standard approach: Lagrangian duality Instead, we use the epigraph form. Stabilize Reach and stay within the goal region Avoid Avoid entering unsafe Stabilize-avoid as constrained optimization problem Standard form \[ \begin{align} \min_x J(x) \\ \text{s.t. } h(x) \leq 0 \end{align} \] Epigraph form \[ \begin{align} \min_{x,z} z \\ \text{s.t. } h(x) \leq 0 \\ J(x) \leq z \end{align} \] z is a “cost budget” (with units of J) for satisfying h This is a two-stage optimization problem! Stabilize-avoid constrained OCP \[ \begin{align} \min_\pi J(\pi) = \sum_{k=0}^{\infty} l(x_k) \\ \text{s.t. } h(x_k) \leq 0, \quad k \geq 0 \\ x_{k+1} = f(x_k, \pi(x_k)) \end{align} \] Epigraph form Constrained OCP \[ \begin{align} \min_z z \\ \text{s.t. } \min_\pi \tilde{V}^\pi(x_0, z) \leq 0 \end{align} \] Where \[ \tilde{V}^\pi(x_0, z) = \max \left\{ \max_k h(x_k), \sum_{k=0}^{\infty} l(x_k) - z \right\} \] Why epigraph form? The gradient for Lagrangian duality-based methods scales linearly with $\lambda$, which can cause optimization problems when $\lambda$ grows large as states are unsafe. The gradient for the epigraph form does not scale with $z$. Varying $\lambda$ and $z$ on the same cost function and constraint function at a given point, the gradient norms (right) of the objective grow for Lagrangian duality but not for the epigraph form. Solve epigraph form constrained OCP via DeepRL EFPPPO for EF-COCP [So RSS23] Epigraph form constrained OCP (EF-COCP) \[ \min_{z} \quad z \\ \text{s.t.} \quad \min_{\pi} \tilde{V}^{\pi}(x_0, z) \leq 0 \] Where \[ \tilde{V}^{\pi}(x_0, z) = \max \left\{ \max_k h(x_k), \sum_{k=0}^{\infty} l(x_k) - z \right\} \] 1. Solve inner problem over $[z_{\min}, z_{\max}]$ → $V^{\pi}(x, z)$ and $\pi(x, z)$ over the state space 2. Solve outer problem for each $x_0$ → $z^(x_0)$ 3. The final policy is then obtained as $\pi(x, z^)$. Hopper Average Example Stabilize to the green region Avoid torso dropping into red region Avoid torso tilting too far Model: An F-16 Simulink (black-box) model developed by AFRL with a 17-d state space and a 4-d input space [Heidlauf 18]. We further enhanced the model with a 3D-LiDAR for traveling through valleys (Top Gun!) A fighter jet is flying through a canyon, with green lines indicating its speed and direction. Lagrangian Duality-based PPO EFPPO (Ours) Other applications of neural certificates [Caltech Neural Lander] Video by Caltech CAST Precise drone control against prop wash using neural control contraction metrics. [Sun CoRL20] Other applications of neural certificates Hybrid system certificates with region-of-attraction planner [Meng L4DC23] Control a bipedal robot Drive on a partially slippery road Control a jumping robot through a passageway Other applications of neural certificates To stabilize Only need to learn neural ISS-Lyapunov-based control for some nodes in Compositional Neural Certificates for Networked Dynamical Systems [Zhang 23] L4DC Oral, June 2023 References Z. Qin, K. Zhang, Y. Chen, J. Chen, C. Fan, “Learning Safe Multi-agent Control with Decentralized Neural Barrier Certificates”, International Conference on Learning Representations, 2021. C. Dawson, B. Lowenkamp, D. Goff, C. Fan. “Learning Safe, Generalizable Perception-based Hybrid Control with Certificates”, IEEE Robotics and Automation Letters, 2022. O. So, C. Fan. “Solving Stabilize-Avoid Optimal Control via Epigraph Form and Deep Reinforcement Learning”, Robotics: Science and Systems, 2023 C. Dawson, S. Gao, C. Fan. “Safe Control with Learned Certificates: A Survey of Neural Lyapunov, Barrier, and Contraction Methods for Robotics and Control”, IEEE Transactions on Robotics, 2023 Summary Single-agent certified learning-based control Generalization in a large fleet of agents Handle high-dimensional state and input spaces Combined with RL for unknown or imprecise models Provide insights on other uncontrolled agents react to autonomous agents
Innovations to culturing the uncultured microbial majority William H. Lewis, Guillaume Tahon, Patricia Geesink, Diana Z. Sousa and Thijs J. G. Ettema Abstract \| Despite the surge of microbial genome data, experimental testing is important to confirm inferences about the cell biology, ecological roles and evolution of microorganisms. As the majority of archaeal and bacterial diversity remains uncultured and poorly characterized, culturing is a priority. The growing interest in and need for efficient cultivation strategies has led to many rapid methodological and technological advances. In this Review, we discuss common barriers that can hamper the isolation and culturing of novel microorganisms and review emerging, innovative methods for targeted or high-throughput cultivation. We also highlight recent examples of successful cultivation of novel archaea and bacteria, and suggest key microorganisms for future cultivation attempts. Advances in genome-sequencing technologies and sophisticated metagenomics and phylogenetic methods have contributed to drastically change our views on the diversity of microbial life, including the very shape of the tree of life$^1–^3$. Yet the marked expansion of genomic data, which has led to an improved understanding of archaeal and bacterial diversity, is contrasted by our inability to culture representatives for many of the novel lineages. Consequently, most of what we currently know about archaea and bacteria is either derived from a minority of well-studied cultured lineages or from reconstructed genomes belonging to uncultured lineages. Although this period of rapid, genome-driven discovery has provided numerous important new insights into microbial life on our planet, it is essential to isolate and culture species from these uncultured lineages to test genome-based predictions about their cell biology and physiology and to properly understand their ecological roles. Such a need is emphasized by examples of completely novel enzymatic reactions and pathways that have been discovered through experimental testing of microbial enrichments or cultures$^4–^6$, and some of these pathways were undetectable by genomic methods alone$^7$. Microbial cultivation can be used to generate pure cultures, which provide a continuous supply of cells from the same species or strain. Such cultures can be used to investigate microbial traits in experiments performed in replicates, which improves reproducibility and statistical confidence. Without pure cultures (or, in some cases, highly enriched co-cultures that contain a small number of species that depend on each other to grow) it is difficult to accurately determine microbial features such as growth characteristics, metabolism, physiology and cell biology for a single organism. These features are also difficult to infer from genome sequences alone because genomic data provide no indication of which genes are functionally expressed, and therefore no indication of how the active proteome adapts under certain conditions. Although metatranscriptomics and metaproteomics can provide some insights, the data that these approaches generate are still difficult to interpret without fundamental knowledge of the underlying physiology. Thus, without cultivation, many questions about the role of organisms in their natural settings remain unanswered. To improve our understanding of the uncultured archaeal and bacterial diversity, it is essential to increase our capacity for bringing microorganisms from the environment into culture$^8–^9$. To achieve this task in a more efficient manner, prioritizing cultivation efforts for microorganisms that are thought to be the most interesting (for example, because they represent a poorly characterized group) or are most likely to improve our understanding of a particular process (TABLE 1) is ultimately required$^10$. Traditional microbiological methods (BOX 1) are hugely important and indispensable assets for cultivation, and are continually used to successfully isolate numerous microorganisms of interest. However, these approaches often require substantial amounts of time and patience to succeed, as well as painstaking and meticulous testing of media combinations and of different physicochemical conditions. To circumvent or at least minimize these potential limitations, innovative new technologies (some of which incorporate and expand on classical methods) have broadened the ### Table 1 \| Key targets for cultivation \| Target microorganism or group<sup>a</sup> \| Common environments \| Superphylum or phylum \| Reasons they are of interest for cultivation \| \|------------------------------------------\|----------------------\|-----------------------\|---------------------------------------------\| \| Archaea \| \| \| \| \| Anaerobic methanotroph clades 1, 2 and 3 \| Sediments \| Euryarchaeota \| They function as an important sink for the greenhouse gas methane, which they metabolize as it seeps out from methane reservoirs beneath marine sediments. They therefore help to limit the amount of methane that is released into the atmosphere and are the only known organisms capable of oxidizing methane under anaerobic conditions<sup>7–9</sup>. \| \| Bathyarchaeota \| Sediments \| TACK archaea \| They are a group of globally widespread metabolic generalists that are abundant in anoxic sediments. They contain some of the few known putative methanogen lineages from outside the Euryarchaeota<sup>10</sup>. \| \| Verstraetearchaeota \| Sediments \| TACK archaea \| Some of the few known putative methanogens from outside the Euryarchaeota belong to this phylum<sup>11</sup>. \| \| Candidate phyla Heimdallarchaeota, Helarchaeota, Lokiarchaeota, Odinarchaeota and Thorarchaeota \| Marine sediments and hydrothermal vents \| Candidate superphylum Asgard archaea \| These archaea belonging to the Asgard superphylum are important for understanding the origin of eukaryotes. The Heimdallarchaeota are currently the best-supported sister lineage of eukaryotes, and are therefore the most important target for cultivation. Some lineages are also abundant in some marine sediments<sup>12,13</sup>. \| \| DPANN archaea \| Assorted \| DPANN archaea \| They are a major archaeal group, currently thought to consist of at least 12 different phyla, with 6 cultured representatives across the entire group. They typically have small cell and genome sizes, limited metabolic capabilities and are likely to be symbionts or parasites of other microorganisms<sup>14</sup>. \| \| Marine Group II, III and IV archaea \| Marine \| Euryarchaeota \| Marine Group II are abundant in some marine environments and are thought to be important for the degradation of organic carbon<sup>15</sup>. Marine Groups III and IV are abundant and widespread in some marine environments, and there are currently no cultured representatives for any of these clades<sup>16</sup>. \| \| Water column B Thaumarchaeota \| Marine \| Thaumarchaeota \| They have a key role in biogeochemistry by participating in carbon and nitrogen cycling in the deeper layers of oceans<sup>17</sup>. \| \| Bacteria \| \| \| \| \| Acidobacteria \| Soil \| Acidobacteria \| They are a widespread and abundant phylum of versatile heterotrophs, thought to have a major impact on the ecology of some terrestrial environments<sup>18</sup>. \| \| Candidate phylum Rokubacteria \| Soil \| Candidate phylum Rokubacteria \| They are a novel phylum with unusually small cell sizes but large genomes and are widespread in terrestrial ecosystems<sup>19,20</sup>. \| \| Candidatus Actinomarinidae \| Marine \| Actinobacteria (OM1) \| A class with no cultured representatives in the Actinobacteria (which otherwise have numerous cultured representatives (FIG. 1)). They have streamlined genomes, ultra-small cell sizes and are putative photoheterotrophs as their genomes encode genes for rhodopsins<sup>21,22</sup>. \| \| Candidatus Atribacteria \| Sediments \| Candidate phylum Atribacteria (OP9/JS1) \| They are globally distributed, and in some environments are abundant, and contain species that are thought to be anaerobic hydrocarbon degraders<sup>23</sup> as well as some that are thought to be syntrophic propionate oxidizers<sup>24</sup>. \| \| Candidatus Dormibacteraeota and Candidatus Eremiobacteraeota \| Soil \| Candidate phylum AD3 and Candidate phylum WPS-2, respectively \| These novel phyla contain species that are thought to survive on the consumption of trace atmospheric gases. Their cultivation could provide wider insight into the growth strategies used by bacteria that are abundant in oligotrophic soils<sup>18</sup>. \| \| Candidatus Marinimicrobia \| Marine \| Candidate phylum marine group A \| They are an abundant and highly diverse group, participating in sulfur and nitrogen cycles, driving the biogeochemistry of oceans, and might also function as a potential sink for the greenhouse gas nitrous oxide<sup>25,26</sup>. \| \| Candidatus Poribacteria \| Marine \| Candidate phylum Poribacteria \| They are often dominant and widespread members of microbial communities associated with marine sponges<sup>27</sup>. \| \| ‘Candidatus Udaebacter copiosus’ \| Soil \| Verrucomicrobia \| They are metabolically efficient heterotrophs with unusually small genomes, which are widespread and abundant in many soils<sup>28</sup>. \| \| Dehalogenating bacteria \| Assorted \| Chloroflexi, Firmicutes and others \| Some of these bacteria have been shown to respire anthropogenic chemicals that are common environmental contaminants, suggesting they could be useful for bioremediation<sup>29,30</sup>. \| \| CL500-11 \| Aquatic \| Chloroflexi \| Members of this clade are abundant globally in the low-temperature layers of deep freshwater lakes<sup>31</sup>. \| \| SAR202 \| Marine \| Chloroflexi \| They are abundant in mesopelagic and bathypelagic marine layers, where they are thought to have major roles in sulfur cycles<sup>32</sup>. \| ### Table 1 (cont.) \| Key targets for cultivation \| Target microorganism or group<sup>a</sup> \| Common environments \| Superphylum or phylum \| Reasons they are of interest for cultivation \| \|------------------------------------------\|----------------------\|-----------------------\|---------------------------------------------\| \| Bacteria (cont.) \| \| \| \| \| Most wanted taxa from the Human Microbiome Project<sup>40</sup> \| Human \| Assorted \| These are bacteria recognized based on 119 OTUs that have been prioritized owing to their evolutionary distance from already characterized strains and their frequency among healthy human-derived samples. Cultivation of such microorganisms is thought to be essential for providing a better understanding of human health and diseases<sup>41</sup>, and for example include bacteria belonging to the phyla Bacteroidetes, Firmicutes and TM7. \| \| SAR324 \| Marine \| Deltaproteobacteria \| They are metabolically diverse and globally distributed throughout the deeper layers of the oceans<sup>42,43</sup>. \| \| SAR86 \| Marine \| Gammaproteobacteria \| They are abundant in the surface layers of oceans and widespread globally<sup>44,45</sup>. \| \| Most wanted taxa in soil<sup>46</sup> \| Soil \| Assorted \| These bacteria are thought to be crucial for accurately forecasting the ecological consequences of ongoing global environmental change, and are important for better understanding soil bacterial communities<sup>46</sup>. The most ubiquitous and globally abundant of these include bacteria belonging to the phyla Alphaproteobacteria, Betaproteobacteria, Actinobacteria, Acidobacteria and Planctomycetes. \| \| Candidate Phyla Radiation \| Assorted \| Candidate Phyla Radiation \| This is a major group in Bacteria, currently thought to consist of at least 74 different phyla, for which there are an extremely limited number of cultured representatives. \| \| Most wanted taxa in wastewater treatment plants<sup>47</sup> \| Wastewater treatments \| Assorted \| They are essential for municipal and industrial wastewater purification, by removal of pollutants, to protect public and environmental health and have importance for improving the performance of wastewater treatment plants<sup>47</sup>. The most globally abundant and ubiquitous of these include bacteria belonging to the phyla Betaproteobacteria, Gammaproteobacteria and Bacteroidetes. \| \| Others \| \| \| \| \| Most-wanted chemolithoautotrophic ‘spookmicrobes’<sup>48</sup> \| Assorted \| Assorted \| These microorganisms from various taxonomic groups are thought to have important roles in global methane, sulfur and nitrogen cycles. They also participate in recently discovered processes, including complete ammonia oxidation (comammox) and as yet undiscovered processes, such as iron and manganese-dependent methane and ammonium oxidation<sup>48</sup>. \| \| ‘Candidatus Parakaryon myojinensis’<sup>7149</sup> \| Hydrothermal vent \| Unknown \| This microorganism is represented by an unusual microscopically investigated cell without molecular data, which is interesting as it has structural similarities to both prokaryotes and eukaryotes yet is seemingly distinct from both<sup>71</sup>. \| <sup>a</sup>A subjective overview of microorganisms that could be considered as key targets for cultivation. Although this summary is far from exhaustive, given that every researcher has different interests, the organisms presented here were selected owing to wide general interest in them or because they bear significant relevance to particular scientific questions. The table is updated and expanded from previous work<sup>10</sup>. --- Isolation The physical separation of a single cell, strain or species from others found in the same sample or habitat. Fluorescence in situ hybridization (FISH): A method of labelling cells with a fluorescent signal by binding fluorophore-coupled oligonucleotide probes to complementary target molecules (usually 16S rRNA) in biological samples. Probes can be designed to be highly taxon-specific, making it possible to taxonomically identify microorganisms on the single-cell level. --- toolkit for microbial isolation and the efficient determination of suitable culture conditions. Although many of these technologies remain in their infancy, with wide-ranging applicability having not yet been demonstrated for diverse species and environments, other technologies are already used widely by researchers and are starting to have a positive impact on microbiological research. In this Review, we revisit the capabilities and limitations of traditional isolation and cultivation methods, and provide an overview and discussion of more recent innovative technologies that have potential to improve our ability to isolate, culture and characterize microorganisms from poorly studied groups. We also highlight recent successes in culturing elusive microorganisms and present a list of some examples of microorganisms to prioritize in future cultivation attempts. Recent successes in cultivation In recent years there have been a number of important cultivation successes, some of which have garnered considerable far-reaching interest from different fields. In most cases, the interest lies in the novelty of the microorganisms that were cultured, or because the cultured microorganisms provided insights and an improved understanding of certain natural processes. Among archaea, a notable example is the first representative of the Asgard archaea superphylum, ‘Candidatus Prometheoarchaeum syntrophicum’, representing the closest archaeal relative of eukaryotes cultured to date, which was highly enriched in a co-culture containing two species. This feat was achieved using an innovative bioreactor system and traditional enrichment methods over the course of 12 years, partially owing to this organism having extremely slow growth rates<sup>1</sup>. The first representative of the Nanohaloarchaeaota phylum, ‘Candidatus Nanohaloarchaeum antarcticus’, was recently co-cultured with a Euryarchaeota host, Halorubrum lacusprofundi, by combining classical enrichment methods with single-cell sorting selecting for cells of appropriate sizes, as inferred from fluorescence in situ hybridization (FISH) experiments<sup>12</sup>. Two archaea belonging to closely related genera, ‘Candidatus Argoarchaeum ethanivorans’<sup>13</sup> and ‘Candidatus Ethanoperedens thermophilum’<sup>14</sup>, are the first organisms shown to oxidize ethane in Box 1 \| Classical cultivation strategies and methods The origins of microbial cultivation can be traced back to the middle of the nineteenth century, and many modern-day cultivation efforts rely on some of the same early principles introduced more than a century ago\textsuperscript{14}. Several strategies can be applied to enrich and later isolate specific microorganisms, many of which rely on direct observation of the physiological behaviour of the culture and the phenotypic and genotypic characteristics of the microorganisms it contains (see the figure). Experience of the researcher with microbial isolation is also important when it comes to the selection of the most appropriate measure for isolation. Examples of techniques to enrich specific taxa include the design of selective nutrient media (for example, with specific substrates), application of selective physicochemical conditions (for example, temperature, pH, salinity and gas-phase composition), addition of selective inhibitors (for example, antibiotics, toxic compounds and metabolic inhibitors) and the addition or omission of specific growth factors (for example, amino acids, vitamins and metals). The effect that each of these strategies has on the growth and number of a specific population of microorganisms can be monitored and used to define further isolation methods. Observing cultures under the microscope can be a useful way to define strategies for isolation. For example, when the target microorganism has a substantial difference in size or shape from others in the culture, size fractionation by filters with various pore sizes and mass-based separation by gradient centrifugation can be used to separate them. Microscopic observation over time sometimes enables the detection of different growth rates for microorganisms, which can then be used to inform subculture periods to select for faster-growing microorganisms (by transferring cultures at an earlier incubation stage). Growing cultures on a surface of solid media, commonly agar, and colony picking is a common way to isolate organisms, and using alternative solidifying agents such as gellan gum and agarose can target different microorganisms\textsuperscript{15,16}. It is also possible to isolate microorganisms in liquid media by dilution-to-extinction and design experiments for the selection of motility phenotypes (such as phototaxis, aerotaxis, chemotaxis, galvanotaxis or magnetotaxis)\textsuperscript{17–18}. Another consideration is the method used to sterilize growth medium, the most common being autoclaving. However, besides the risk of degradation of certain components, the presence of certain components during autoclaving can lead to the formation of toxic by-products, such as hydrogen peroxide\textsuperscript{19}, that can inhibit growth. Autoclaving media components separately or, instead, using filter sterilization has been shown to avoid these problems\textsuperscript{19}. Dilution-to-extinction A method of serially diluting a mixed community culture with the aim of isolating single cells that will grow and divide to establish monoclonal and axenic cultures. Can also be called limited dilution. Among bacteria, 79 different isolates belonging to diverse lineages of Planctomycetes were recently cultured using several traditional methods, including selective enrichment, antibiotic treatment and solid media streaking combined with colony picking\textsuperscript{15}. The first freshwater representative of the widely abundant SAR11 Alphaproteobacteria clade, ‘Candidatus Fonsibacter ubiquis’, was cultured by high-throughput dilution-to-extinction in an oligotrophic medium\textsuperscript{16}. Three species belonging to the phylum Saccharibacteria (TM7) of the Candidate Phyla Radiation (CPR), a broad clade that has few cultured representatives, were isolated together with their host Actinobacteria from human saliva samples in the first demonstration of the reverse genomics\textsuperscript{17} method. ‘Candidatus Manganitrophus nuduliformans’ is the first organism shown to be capable of manganese oxidation in syntrophic interaction with a betaproteobacterium, and was cultured using selective substrate enrichment and dilution-to-extinction\textsuperscript{18}. Casimicrobium hufangaee, the first isolate of a novel family in the Betaproteobacteria with the potential to support improved understanding of and processing in wastewater treatment plants, was cultured using traditional methods\textsuperscript{19}. Although the examples mentioned above are far from an exhaustive list of all microorganisms that were successfully cultured in recent years, the total combined strains that are currently maintained in culture in various laboratories or culture collections around the world represent only a miniscule fraction of the total microbial diversity that exists. The uncultured majority The tree of life, arguably one of the most important concepts in biology, has been vastly expanded with several archaeal and bacterial groups of high taxonomic rank over the past decades\textsuperscript{1,20–25}. Contemporary best-supported ideas for the structure of the tree of life divide prokaryotes into two primary domains, Archaea and Bacteria, which together are estimated to comprise anywhere from hundreds to even thousands of phyla\textsuperscript{1,21–26} — a figure that has increased as genome data have accumulated, but can differ substantially depending on the estimation method. Based on 16S rRNA gene sequence data, the total number of archaean and bacterial species has been calculated to be around 400,000, comprising around 60,000 genera\textsuperscript{23}, although estimates of the actual number of archaean and bacterial species on Earth potentially exceeds this by several orders of magnitude\textsuperscript{27–30}. However, only ~14,000 archaean and bacterial species — distributed over 3,500 genera and 38 phyla — have been cultivated and validly described\textsuperscript{31–33}. Of these species, ~97% belong to just four bacterial phyla (Bacteroidetes, Proteobacteria, Firmicutes and Actinobacteria)\textsuperscript{34} (FIG. 1). Conversely, all other bacterial phyla, and Archaea as a whole, are poorly represented by comparatively few cultivated species (FIGS 1, 2). Nevertheless, uncultivated or under-represented phyla are known to dominate various environments, where they are likely to have pivotal ecological roles\textsuperscript{34}. Therefore, cultivation of representative members of these groups is important to uncover their physiological and metabolic properties. Given the huge breadth in diversity of microbial life, cultivating every microbial species inhabiting our planet is practically impossible. Therefore, in order to maximize effectiveness, attempts to grow archaea and bacteria should prioritize representatives of the most interesting or useful groups, or those... Growth factors Any substance that can be used by an organism to facilitate growth. Symbiosis The association, usually a physical or metabolic interaction, of two or more organisms, which typically has an influence on the fitness of one or more of the partners involved. Syntrophy An interspecies relationship in which metabolites produced by one species are used as growth substrates by another species. without any cultured representatives, and take advantage of the most recent and innovative technologies to do so. Factors influencing culturability Identification of substrates and growth conditions. The difficulties associated with the isolation and cultivation of archaea and bacteria have long been recognized. In the mid 1980s, 16S rRNA gene sequencing of environmental samples revealed large numbers of uncultured taxa\textsuperscript{3}. From then on, the discrepancy between microorganisms present in a given environment and those that could be cultured in the laboratory was referred to as the ‘great plate count anomaly’\textsuperscript{36}. Since then, our understanding of microbial physiology has improved substantially. The necessary substrates, electron donors and acceptors, or other media components for growing particular microorganisms can, in some cases, be used to enrich and/or isolate specific strains. However, cultivation of many microorganisms strictly depends on specific environmental conditions and on the presence of various growth factors (such as vitamins, amino acids, nucleotides, inorganic compounds, humic acids or other external electron shuttles), which are often difficult to identify and therefore challenging to mimic in the laboratory\textsuperscript{37–39}. Additionally, several inorganic compounds (metals, sulfur and nitrogen compounds) are involved in cryptic cycles and can be present at concentrations below the detection limit in the environment, despite their importance in biogeochemical cycles\textsuperscript{40}. Although for some microorganisms the broad category of substrates that they use can be inferred from genome sequences, it is possible that each uses a highly specific subset of substrates from those categories, which can be difficult to determine without functional data. For example, genomic data suggest that Bathyarchaeota and Asgard archaea commonly have heterotrophic pathways for energy conservation and the ability to degrade various organic substrates, including complex carbohydrates, peptides, amino acids, alcohols, fatty acids and hydrocarbons\textsuperscript{40,41}. This variability could perhaps partially explain why there is currently only one cultured representative\textsuperscript{1} from these two diverse groups of archaea. Resuscitation of dormancy. Microbial populations can include persisters, which are phenotypic variants of the wild-type cells whose function is survival\textsuperscript{42}. Persisting microorganisms are dormant, non-dividing cells, and in conditions of low nutrient and energy availability, such as in the deep biosphere, dormancy might represent the default state of prokaryotic life\textsuperscript{43,44}. As a large proportion of microorganisms that currently remain uncultured reside in environments that are potentially dominated by persisters, resuscitation of dormancy represents an essential hurdle in microbial cultivation efforts. Although a substantial body of literature exists on microbial dormancy, relatively little is known about the potential mechanisms that underpin how microorganisms transition between dormant and active states. Resuscitation of dormancy has been proposed to be a stochastic process\textsuperscript{45}, which might be influenced by certain signalling compounds\textsuperscript{46,47}. Still, microorganisms have probably evolved different mechanisms to regulate dormancy, which deems it unlikely that a unified solution exists to resuscitate them from dormant states. Hence, this potential variability might represent a further complication for cultivation studies. Symbiotic interdependencies. In some cases, essential molecules or electrons (including microbially produced electron shuttles, such as H\textsubscript{2} and formate) are directly exchanged between members of a microbial community\textsuperscript{1,48–51}, in an interspecies dependency commonly known as symbiosis (or ‘syntrophy’) if the two organisms depend on each other for the degradation of a substrate to overcome thermodynamic limitations). In the case of mutualistic or syntrophic microorganisms, using methods that can co-isolate both microbial partners, such as cell sorting in a combinatorial fashion, could be advantageous for establishing a stable co-culture. Given their (sometimes obligate) interdependence, separating symbiotic or syntrophic partners and growing them in monocultures can be challenging. However, attempts have been made to demonstrate that one syntrophic partner can be abiotically replaced, by investigating co-cultures of H\textsubscript{2}-producing bacteria and H\textsubscript{2}-consuming methanogens\textsuperscript{52,53}. In one study, a H\textsubscript{2}-stripping bioreactor system was used to enrich ethanol-oxidizing bacteria from a methanogenic enrichment\textsuperscript{54}. However, methanogenic activity was not inhibited completely, suggesting that the H\textsubscript{2} consumption by the methanogen was not entirely replaced\textsuperscript{54}. Similar results were obtained in another study that used a bioelectrochemical system to mimic H\textsubscript{2} consumption by methanogens in a co-culture, thereby greatly enriching an ‘obligately’ syntrophic bacterium (\textit{Syntrophomonas zeihnderi})\textsuperscript{55}. However, the bacterium was not separated from the methanogens completely or maintained in a monoculture. Another option for the enrichment or isolation of H\textsubscript{2}-producing syntrophs could be the catalytic removal of H\textsubscript{2}. Previous studies have demonstrated the hydrogenation of fatty acids using a palladium catalyst (both fatty acids and H\textsubscript{2} were produced through fermentation of cellulose)\textsuperscript{56}. However, hydrogenation rates in the liquid phase of these experiments were low, and the effect of the catalytically formed compounds on the growth of H\textsubscript{2}-producing bacteria are not known, as this approach was never tested for the purpose of microbial isolation. Some microorganisms, such as the DPANN archaea and the CPR bacteria, commonly have small genomes and small cell sizes, which combined with an understanding of the lifestyles of the few cultured representatives of these clades suggests that DPANN archaea and CPR bacteria are predominantly dependent on other host organisms to some degree, either in the form of symbiosis or parasitism\textsuperscript{5}. As such, this requirement provides additional complications for cultivation as appropriate conditions must be identified that satisfy both microbial partners, which will likely require an understanding of the basis for the relationship between the partners. Physical contact or spatial proximity. Physical contact or spatial proximity between symbiotic or syntrophic partners seems to be an important element for microbial growth, as indicated by lower growth rates of microbial partners grown in compartments separated by dialysis membranes than for those grown together\textsuperscript{65}, which limits the application of such systems for microbial isolation. Some researchers have applied Percoll gradient techniques to separate syntrophic partners\textsuperscript{66,67}, but trials to further grow the segregated microorganisms often fail, likely owing to the lack of growth factors typically provided by other microorganisms. However, such segregated fractions could still be used, for example, for enzyme assays, giving further insights into the activity of the separate microorganisms. Physicochemical environmental conditions. Physicochemical environmental conditions, such as temperature, pH, salinity and redox conditions, are also important determinants for microbial cultivation, and all of these factors can vary sharply in natural environments across microscale distances. In a microbial community, some microorganisms contribute to making the environmental conditions amenable for others, which complicates the isolation of the microorganisms that depend on these effects. Similarly, the cultivation of strictly anaerobic microorganisms is also technically demanding, in particular with modern high-throughput techniques involving cell sorting and growth in microtitre plates (see below). Working in anaerobic tents or glove boxes is often the most convenient solution for enrichment and cultivation of anaerobic microorganisms (for example, for plating and sorting of cells and transferring enrichment cultures). However, aseptic conditions can be difficult to maintain in these settings, although the possibility of contamination can be reduced by incorporating an air filtration unit. Low abundance and competition. Many prokaryotes exist in nature at low abundance in complex microbial communities, yet may still exert substantial influences on certain processes$^{38}$. A possible reason for this is that metabolic rates of substrate degradation and growth rates are not necessarily linked. This means that, in some cases, a low-abundance microorganism might metabolize a substrate at a faster rate than another, more abundant, microorganism with higher growth rates found in the same environment. To have the best chance of isolating such rare, yet ecologically relevant microorganisms, identifying environments in which these cells are naturally present at the highest relative abundance would benefit further enrichment efforts. One way to identify such environments is by analysing publicly available 16S rRNA gene data, or generating such data de novo for uncharacterized sites, to select the best locations to sample. However, even if a microorganism is obtained at a high relative abundance, cultivation attempts can still fail if faster-growing microorganisms are also present. Faster-growing microorganisms have the potential to quickly outcompete slow-growing target microorganisms, meaning that even if a microorganism is initially enriched in a sample, its relative abundance can soon be diminished when both of these types of microorganisms are co-inoculated. Such competition often happens when cultivation media are supplemented with rich substrates (for example, yeast extract or peptone) or when easily fermentable substrates are used as carbon sources. Likewise, some microorganisms can have a high affinity for a particular substrate, consuming it efficiently when the substrate is present in limited concentrations. Thereby, these microorganisms can prevent the growth of other microorganisms that are able to use the same substrate but have a lower affinity for it$^{39}$. To tackle these problems, several recent methods$^{40–43}$ focus on isolating single cells from environmental samples and using these as inocula, rather than gradually enriching microorganisms from mixed communities. Additionally, for oligotrophs that are poorly adapted to a nutrient-rich environment, the use of low-nutrient media has proven successful for their cultivation$^{44,45}$. An additional difficulty for the targeted cultivation of slow-growing microorganisms involves the long timescales of research, which has both practical and economic$^{46}$ implications for researchers. Microbial growth rates can be affected by suboptimal conditions provided in the laboratory, and substantially differ from the ‘natural’ growth rates in the environment. Although growth rates might be improved by attempting to optimize growth conditions, slow-growing microorganisms might represent less appealing targets for many researchers given the extended timescales and increased associated research costs. Innovative techniques Most current methods that aim to increase the rate at which microorganisms of interest are isolated broadly follow at least one of two main strategies (FIG. 3). They either rely on scaling-up the number of cell isolations to increase the chance of isolating a species that is interesting (high-throughput isolation and cultivation), or aim to selectively isolate organisms with specific functional characteristics or that belong to a specific taxonomic group (targeted isolation). Methods that fall into these two categories (FIG. 4) are described in the sections below. Membrane diffusion-based cultivation. Our inability to produce culture media that sufficiently replicate all of the necessary growth factors present in natural habitats remains a limitation for many cultivation experiments$^{47,48}$. With this limitation in mind, several cultivation technologies centre on the principle of physically separating... cells, while allowing them limited contact with their natural habitats. Typically, separation is achieved by a filter or membrane, with a pore size small enough to enable the diffusion of growth factors but not cells. In these set-ups, cells maintain access to essential growth factors from their natural environments or syntrophic partners, while replicating in isolation, forming ideally axenic cultures or colonies\textsuperscript{56}. Furthermore, potential growth-suppressing metabolites produced by the isolated microorganisms can freely diffuse away rather than accumulate locally\textsuperscript{57,58}. Mimicking environmental \textit{in situ} growth conditions in this way avoids the meticulous development of suitable artificial conditions, in particular avoiding excessive quantities of nutrients typically provided by classical media, which can be detrimental to the growth of some species\textsuperscript{59}. One such method is the hollow-fibre membrane chamber device\textsuperscript{60}, which consists of numerous hollow fibres (porous tubes) connected to syringes that function as cell isolation chambers. The fibres are each inoculated with a single cell, by serially diluting environmental cell suspensions, and are then submerged in an environmental water sample that provides the cells with growth factors. The hollow fibres are inoculated using the syringes, which can also be used to subsample the chambers while still incubating the remaining sample \textit{in situ}. Another membrane diffusion-based technology with the capacity to perform high-throughput cultivation experiments is the i(isolation)Chip\textsuperscript{61} (and derivatives\textsuperscript{62,63}), which consists of a plate accommodating an array of small holes that function as micro-chambers to capture and isolate single cells from environmental samples. These holes are sealed with a membrane, and the whole device is then incubated in the environment from which the cells were originally sampled, providing \textit{in situ} conditions for isolated cells to grow. One notable success of this technology was the discovery of a novel antibiotic from bacteria inhabiting soil\textsuperscript{64}. The soil substrate membrane system\textsuperscript{65,67} (and related methods\textsuperscript{71,72}) is another membrane diffusion method that specifically targets archaea and bacteria inhabiting soils. This system involves dispensing cells from an environmental (soil) extract on the upper side of a membrane. The membrane is then placed on top of a sample of the soil, which the cells can then access and use as a growth substrate. The system is then incubated, enabling clonal colonies to form, which can be screened for... species of interest or to inoculate media for continued cultivation. Other, similar techniques have isolated bacteria by growing them on the surface of filters floating on liquid media, which enabled colonies to form for species that did not grow on more conventional solid media\textsuperscript{63,76}. For larger-volume cultivations, a previous study\textsuperscript{77} described the diffusion bioreactor, which provides cells access to their natural growth factors. This device consists of an inner chamber containing inoculated growth medium and an outer chamber containing a substrate, such as soil or sediment, which are connected by several holes sealed by membranes. This set-up enables cells to grow and proliferate in conditions resembling their natural environment before isolating single strains using classical methods, such as dilution-to-extinction and spread-plate colony picking (BOX 1). Many of these diffusion cultivation devices have been used to facilitate the growth of phylogenetically novel species, beyond those that were recovered from the same environment using traditional cultivation methods alone\textsuperscript{60,61,71,76,77}. Microfluidic systems for cultivation. Microfluidic systems are widely used for various biological research applications, including cultivation. Generally, the benefits of these systems include increased scalability, and therefore throughput, by miniaturizing overall experimental set-ups\textsuperscript{78}, as well as the ability to manipulate large numbers of single cells from environmental samples in parallel and in the presence of a range of substrates or under different physicochemical conditions\textsuperscript{79}. In some cases, these benefits can also be extended to the cultivation of anaerobic microorganisms, as some systems can maintain low levels or an absence of O\textsubscript{2} (REF\textsuperscript{80}). One example of these microfluidic systems is the SlipChip\textsuperscript{81}, which was originally designed for use in chemistry but was later repurposed for high-throughput cultivation of bacteria\textsuperscript{82}. The repurposed version works by incubating single cells separately in thousands of microcompartments, which can contain various media and substrates. The microcompartments are formed by co-aligned wells present in the interfacing surfaces of two adjoining plates (that together form the chip). Once inoculated, the chip is incubated, giving the cells time to multiply and form micro-sized cultures. The plates are then ‘slipped’ apart, dividing each microcompartment in two, thereby forming two identical replicate microcultures for each compartment. The replicates in the wells of one plate can then be individually screened for growth and/or taxonomic identification (which is typically destructive) and the corresponding wells of the other plate preserve live cells for continued cultivation. Additionally, multiple SlipChips can also be used to screen a range of different growth conditions in parallel. To do this, the contents of all cell-containing wells from one plate are pooled. Pooling is done separately for multiple chips, which have all been incubated in separate conditions. These pools are then genetically assayed (for example, by PCR) to screen for the presence of species of interest, indicating growth of that species under a particular condition. The data this generates can be used to narrow down the number of potential culture conditions, thereby efficiently tailoring a suitable subset for growing a target microorganism\textsuperscript{83}. A previous study\textsuperscript{84} demonstrated the effectiveness of this approach for culturing the first representative of a \textit{Ruminococcaceae} genus corresponding to one of the ‘most wanted’ taxa in the Human Microbiome Project\textsuperscript{85}. As discussed in the sections above, many microorganisms rely on products of syntrophic partners for growth. In such cases, the use of microfluidic chips that grow single microorganisms in isolation, in fully sealed chambers, likely prohibit successful cultivation. To overcome this limitation, a previous study designed the nanoporous microscale microbial incubator system\textsuperscript{86}, which incorporates both microfluidic and membrane diffusion-based technologies. Nanoporous microscale microbial incubator chips comprise an array of thousands of micro-scale diffusion chambers organized on a microfluidic slide\textsuperscript{86}. Once sealed, the chambers physically isolate individual cells, but facilitate the transfer of --- Fig. 3 \| Workflows for isolating novel microorganisms for cultivation using high-throughput or targeted approaches. a \| Sequencing-based screening of habitats can be used to identify locations with high relative abundance of target organisms, followed by collection of cell samples from these sites. b \| High-throughput approaches can be achieved by inoculating media with single cells to establish large numbers of monocultures, incubating cultures and then screening for growth, followed by screening of viable cultures for those containing species of interest. c \| Targeted approaches rely on isolation of cells belonging to specific taxonomic or functional groups. d \| Cultured isolates can be used for downstream characterization and experimentation to investigate their biology. recover more phylogenetically diverse microorganisms than were recovered using traditional cultivation methods for the same samples\textsuperscript{83}. Furthermore, as the number of simultaneous cultivation experiments can be vastly increased by manipulating millions of individual droplets in parallel, these techniques offer extremely high rates of experimental throughput\textsuperscript{89}. Isolation of cells by sorting and selection for taxonomy or function. Cell-sorting technologies are a mainstay for many areas of biological research, and can be used to isolate single cells from cell suspensions of mixed communities. Cell sorting can be performed with many different technologies, some of which perform at high speed, such as droplet-based\textsuperscript{101} and microfluidic-based\textsuperscript{102} sorters, that are available commercially. Other technologies, such as microscopically guided optical tweezers\textsuperscript{103}, can precisely manoeuvre and isolate single cells but with a lower rate of throughput. Such an approach was used for the isolation and co-cultivation of the nanosized hyperthermophilic archaeon Nanoarchaeum equitans and its host Ignicoccus hospitalis\textsuperscript{5}. However, unlike droplet sorters, which can expose cells to considerable pressure, optical tweezers typically exert less pressure, so are less detrimental (although, in some cases, they can cause photodamage\textsuperscript{104}). Many cell sorters can sort cells stochastically, which is useful for high-throughput cultivation experiments, as large numbers of single cells can be distributed into separate wells containing growth media. However, the likelihood of isolating particular target cells can be increased by selectively sorting cells based on detectable distinguishing phenotypes. Fluorescence-activated cell sorting (FACS) is a common method for sorting cells based on fluorescence signals. Whereas some organisms have intrinsic fluorescence properties (autofluorescence), some low-toxicity or non-toxic fluorescent dyes can also be used to stain different cellular targets, such as DNA and phospholipid membranes, making cells more distinguishable from background levels of fluorescence. In addition, if only a subset of species autofluoresce when excited at a certain wavelength of light or are better stained than other species by a particular dye, FACS could be used to separate cells based on these properties, and enrich a fraction of the community. However, more sophisticated labelling methods can be applied to increase the taxonomic or functional specificity of isolated microorganisms. FISH is a widely used fluorescent labelling method, which can be used to identify and quantify cells belonging to specific taxonomic groups in a given sample\textsuperscript{95}. FISH-labelled cell samples can also be sorted with FACS to enrich cells belonging to selected taxonomic groups for sequencing-based studies\textsuperscript{96}. In the vast majority of FISH protocols, cell viability is not maintained, because cells are chemically fixed and their membranes permeabilized to give molecular probes access to their intracellular target, while also maintaining the structure of the cells. However, a recent study\textsuperscript{97} has demonstrated a ‘live-FISH’ method, which avoids cell fixation and permeabilization, and instead incorporates probes into living cells by chemical transformation. Using this technique, living Alphaproteobacteria from natural --- Optical tweezers A method for isolating single cells from cellular suspensions by microscopy and laser capture. Many optical tweezer set-ups are now automated and operate in microfluidic chips. Cells are passed through these chips in a suspension, and those with a detectable phenotype are captured, relocated from the main flow to a sterile outlet and collected. seawater were first labelled with FISH probes, sorted by FACS and, subsequently, cultivated. Despite optimizing the protocol to maximize cellular viability during the live–FISH procedure, the best survival rates of cells in this study were relatively low (1.24–2.82%, depending on the strain tested), and therefore, in its current form, live–FISH would most likely be unsuitable for isolating microorganisms found in low abundance. A recent technique that bridges the gap between non-taxa-specific cellular stains that can label cells while maintaining their viability and highly taxa-specific but usually destructive FISH is reverse genomics$^{37}$ (FIG. 5). This technique takes advantage of the ease with which near-complete genome sequences for uncultured microorganisms can be reconstructed from environmental samples using genome-resolved metagenomics. From these genomes, membrane proteins with extracellularly exposed domains that are conserved only among target microorganisms are then predicted in silico, and used as epitopes for the production of antibodies, which are then tagged fluorescently. When used in complex environmental cell suspensions, the raised antibodies should bind to the matching protein epitopes of the target cells, thereby marking the cells with fluorescent labels. Provided the selected epitopes have low sequence conservation with other microorganisms, labelling should be taxa-specific, enabling detection of target cells and separation from the remaining sample by FACS. Single cells labelled using this method were shown to retain viability after being sorted and were successfully used as inocula to establish new cultures$^{37}$. Raman-activated cell sorting$^{60}$ offers an alternative to fluorescence-based labelling and a way of isolating viable cells, while selecting for those that are most active under certain conditions, thereby corresponding to particular ecological functions. For Raman-activated cell sorting, cells are incubated in the presence of deuterium ($D_2O$) under growth conditions that are likely to favour the activity of target microorganisms$^{60}$. Deuterium is proportionally incorporated into the synthesized lipids of more active cells, thereby conferring those cells with a chemical label$^{60}$. The deuterium labels can then be detected using Raman microspectroscopy in a microfluidic device, with the corresponding cells then captured and immediately sorted with optical tweezers$^{60}$. The isolated cells can then be used as inocula for downstream cultivation. Limitations. Although many of the techniques discussed above have potential for increasing rates of species isolation, their success might not be consistent across the existing diversity of microbial life. Theoretically these methods could be applied to target many taxa, but in some cases their practical application could be much more challenging. For example, microorganisms that form biofilms could be more challenging to separate for cell sorting$^{61}$. Likewise, many microorganisms are sampled from environments, such as sands, soils, sediments and faecal material, that contain non-biological particles that can interfere with molecular labelling and flow-based methods. In these cases, cells need to be separated from the particles before isolation, and procedures to achieve separation are often not trivial$^{61,62}$. --- Fig. 5 \| Reverse genomics for targeted isolation and cultivation of novel microorganisms. Reverse genomics$^{37}$ can be used for targeted cultivation of novel lineages. a First, the target microorganism belonging to novel or important clades is identified. b The genome of the target microorganism can be reconstructed from metagenomic data. c Based on these data, proteins can be predicted and highly expressed membrane proteins with extracellular domains can be identified. d This is followed by the synthesis of a target-protein domain antigen and inoculation into a suitable animal for antibody production. e The raised antibodies are then purified and coupled to a fluorescent dye. f Antibodies are added to environmental cell samples. g The antibodies label the target cells. h Cells can then be sorted by fluorescence-activated cell sorting based on the antibody-conferred signal. i Cells are sorted onto liquid or solid growth media. If the targets are symbionts that physically associate with each other and if one cell is labelled, both microorganisms could be co-sorted together and used to inoculate a syntrophic co-culture. Another limitation of many of these methods, particularly if working with anaerobic microorganisms, is that isolation experiments must be performed in anoxic conditions. Although anaerobic chambers have been used for traditional microbial culturing methods for many decades, newer techniques such as those involving cell sorters typically require much larger equipment, which is difficult to fit and operate in a typical anaerobic chamber. The use of larger and more accessible chambers could be a solution; another option is to adapt the cell isolation equipment in such a way that cells can be manipulated under anoxic conditions. Indeed, several companies have developed fluorescence-based cell sorters that are either small enough to fit into typical anaerobic chambers or, otherwise, perform cell sorting in an enclosed flow cell, which can be loaded into an anaerobic chamber before being removed and loaded into the sorter. Another difficulty for high-throughput cultivation methods is the supply of gaseous substrates, such as H₂, CO₂, CO and CH₄. Currently, devices to supply gas to microtitre plates are unavailable, with the main challenge being the complete isolation of the headspace of the individual wells. Furthermore, cultivation at high temperatures has its own intrinsic challenge owing to liquid evaporation, which is particularly problematic when cultivating cells in a small volumes as evaporation can lead to cultures drying out. In addition, evaporation can also cause condensation build-up inside well lids or seals, which can prevent the monitoring of growth by automatic optical density measurement. It must also be recognized that the isolation of cells is typically just the first part of a two-part puzzle. To then culture a microorganism that has been isolated, maintaining its growth continuously, a suitable medium and physicochemical conditions must be found. One way of finding optimal conditions is by inferring phenotypic features from metagenome-assembled genomes (complemented by proteomic and transcriptomic data) from uncultured target microorganisms, and selecting the medium and conditions based on this information. Numerous published strategies and tools are available for estimating physiological and ecological traits, such as the optimum growth temperature and antibiotic susceptibility, from genome sequences. Such strategies could help provide clues for ways in which a microorganism can be successfully grown or enriched in cultures. However, a genome sequence alone often provides insufficient data for accurately determining all necessary culture conditions to grow a particular microorganism successfully. As an alternative, or in addition to genome-based methods, sophisticated ‘next-generation’ physiology approaches can be used to more accurately determine metabolic and physiological properties for target microorganisms in enrichments or environmental samples. These approaches include techniques such as bioorthogonal non-canonical amino acid tagging, stable isotope probing and the detection of substrates incorporated at the single-cell level by technologies such as NanoSIMS, Raman microspectroscopy and BrdU staining. Combining the insights that these methods provide with careful observation of microorganisms in their natural environments, while being particularly attentive to their physical and metabolic traits, can inspire ingenuity and help researchers to find a successful way of isolating and culturing a particular microorganism. Likewise, complementing modern innovative methods with traditional methods will also help researchers to achieve cultivation. Screening methods For experiments that generate several enrichments, cultures or colonies, one must determine which of these enrichments contain cells that are actively growing and which contain organisms of interest. If done efficiently, such screening will help researchers determine cultures to prioritize for further study, because maintaining vast numbers of cultures, including those in which cells are not viable or contain microorganisms of limited interest, is costly and will decrease the overall effectiveness of research. Screening is particularly important for high-throughput cultivation experiments, which therefore require equally high-throughput screening methods. The following sections outline various such methods, but ultimately researchers must determine which methods are most appropriate for their particular experimental setting. Direct visualization. The observable formation of a colony on solid media indicates the presence of active cells and the use of commercial colony-picking robots can increase the rate at which colonies are taxonomically screened and reinoculated. However, many microbial strains grow very slowly on solid media or stop growing after their colonies reach a small size. These ‘microcolonies’ can be invisible to the human eye without magnification. For cases such as these, it is unclear whether current commercially available colony-picking robots are sufficiently sophisticated and precise. Therefore, without improvements to this technology, manually picking microcolonies, while observing them under a microscope, might be a more efficient method. Alternatively, one technological solution avoids these difficulties by growing single cells in individual liquid droplets arranged on the surface of solid media, which are easier to manipulate in an automated fashion. For experiments with inoculated liquid medium cultures, visible turbidity can sometimes be observed, indicating microbial growth. However, some archaea and bacteria cultivated in the laboratory may only reach such low maximum cell densities that they defy visible detection by eye. Attempts to visualize cells by light microscopy could also fail if cells are very small and/or transparent, and can be laborious for a high-throughput set-up. Cells can be made more conspicuous by staining them with fluorescent live stains and visualizing them with a fluorescence microscope; however, it is still difficult to confidently rule out microbial growth in a sample if no cells are visualized. Optical detection of growth. Photospectrometer plate-readers can be used to perform optical density measurements for liquid samples in separate wells of a multiwell plate, thereby determining increased cell Flow cytometry A technique used to detect and count cells based on physical or chemical properties. MALDI-TOF mass spectrometry MALDI is an ionization technique used in mass spectrometric analysis based on embedding samples in a special matrix from which they are desorbed by laser light. The technique allows the analysis of biomolecules and organic molecules. Density indicating growth in a scalable, high-throughput manner. However, this method can be unsuitable for species that have a low per-cell density or that only grow to low population densities. Optical density measurements also do not provide an accurate indication of the number of cells present in a liquid sample. An alternative and more sensitive method is flow cytometry, which can be used to efficiently screen for growth and also quantify cell numbers from as little as tens of microlitres of a culture, thereby retaining greater volumes for further experiments. Many flow cytometers are automated so that they can screen and quantify several cultures grown in separate wells of multiwell plates, making them suitable for processing large numbers of liquid samples such as those generated by high-throughput dilution-to-extinction experiments\textsuperscript{10}. PCR and sequencing-based screening. Once viable colonies or cultures in a large-scale experiment are identified, they can be screened for species of interest. If a limited number of species are targeted, performing PCR with primers specific for target species is an effective and scalable screening method. In some cases, PCR can be performed using just a small subsample of a culture as the input, with cells being lysed and DNA released for amplification by the initial (typically $\sim95–98^\circ$C) denaturation step of the PCR. However, more sophisticated lysis methods are required for many robust cell types. For cultures containing naturally occurring PCR inhibitors (many of which exist\textsuperscript{11}), direct PCR often is unsuccessful. Although the effects of some inhibitors can be mitigated\textsuperscript{11}, carefully designed controls are needed to determine whether a negative result is really caused by the absence of target microorganisms in a sample (although this is inherently difficult to conclusively determine) or whether PCR inhibition or failure has occurred (a false negative). Alternatively, there are vast numbers of protocols and commercial kits available to extract and purify DNA from cells, helping to remove most inhibitors. However, a proportion of the cell material or extracted DNA is typically lost during most of these protocols, meaning they could be unsuitable for small and precious samples. Furthermore, DNA extraction can be time consuming and costly at a large scale. Another widely used PCR-based identification method is 16S rRNA gene amplicon sequencing, which can also help to determine the relative abundance and species diversity in a sample. 16S rRNA genes are present in all archaeal and bacterial genomes, and contain several variable regions that can be used for taxonomic discrimination, as well as highly conserved regions. Against these conserved regions, ‘universal’ primers can be designed that capture large swathes of the total known diversity of archaea and bacteria, while also discriminating between different species\textsuperscript{12}. Indeed, various primer sets targeting conserved regions of this gene are described in the scientific literature and are widely used in diversity studies\textsuperscript{13–15}. The amplified PCR products from several different samples can be sequenced in multiplex using various contemporary high-throughput technologies. The resulting data can be used to infer diversity and the relative abundances from different samples. 16S rRNA amplicon sequencing can therefore be particularly useful to screen or continually monitor enrichment cultures in which a mixed community is present\textsuperscript{16}. Amplicon sequencing can suffer from primer biases, however, which in some cases lead to substantial portions of the known microbial diversity being missed\textsuperscript{17}. Especially, microorganisms of as yet uncultivated phyla such as the CPR and novel groups of archaea are frequently overlooked by amplicon sequencing approaches because insertions in their 16S rRNA genes\textsuperscript{25} or mismatches with commonly used primer sets impede their detection\textsuperscript{17}. If a specific taxonomic group is being targeted for cultivation, primers that better capture the total breadth of diversity in that group could be advantageous for screening both sampling sites and enrichments. With the increased availability of cheap sequencing technologies, 16S rRNA gene amplicon sequencing is now quick and more affordable, which shortens the duration between sampling and data analysis, meaning that enrichment cultures can be monitored on finer timescales. Although amplicon sequencing provides insight into relative abundances, these measurements do not provide absolute abundances or total cell quantities. To achieve absolute measurements, sequencing data can be complemented with cell enumeration data generated (for example, by flow cytometry) for the same sample, thereby providing a more complete understanding of microbial community composition in a culture or enrichment\textsuperscript{16,19}. Furthermore, one recently developed platform has used affordable sequencing technologies and microfluidics to automate DNA preparation and whole-genome sequencing for screening large numbers of samples in parallel, such as those generate by high-throughput cultivation experiments\textsuperscript{20}. This platform was also shown to obtain high-quality genomic data for low biomass samples, making it suitable for screening isolates that grow to low population densities in cultures or form microcolonies on solid media. MALDI-TOF mass spectrometry. An alternative method of taxonomic identification, for which media composition and the presence of inhibitors are less of a consideration, is MALDI-TOF mass spectrometry. This method has proven to be both fast and cost-effective for identifying isolates while filtering out conspecifics and non-target taxa. As MALDI-TOF mass spectrometry is highly sensitive, only a relatively low cell mass is needed to record a mass profile for taxonomic identification\textsuperscript{21}. Commercially available systems typically provide profile databases that make identification possible at the genus to species level for a query isolate. Currently, however, these systems are mostly used to identify microorganisms from clinical or food-associated environments, rendering their databases unsuited for the identification of taxa from other environments, as well as novel isolates\textsuperscript{12}. Therefore, to become a useful taxonomic identification platform for large-scale cultivation experiments, databases would need to be complemented with profiles of a wide diversity of microorganisms. Broadening of databases could be achieved by including profiles of novel cultured taxa with confirmed identity (for example, by 16S rRNA gene sequencing$^{11}$). Although databases are likely to improve in the future, another limitation is that MALDI–TOF mass spectrometry identification currently cannot be used for samples in which several species are present, as these will not produce a clear profile. Targets for culturing What qualifies as an interesting microorganism differs depending on the researcher, according to their own interests and motivations. TABLE 1 lists groups of microorganisms for which a strong case could be made that it would be interesting to culture them, based on, for example, their inferred functions and/or ecology, or because they so far have no cultured representative. Groups that are highly abundant in an environment likely have an important role in the biogeochemistry of that environment, as exemplified by Bathyarchaeota, various Marine Group archaea, Acidobacteria, SAR202 and SAR86 (TABLE 1). Therefore, such groups are interesting to culture to help better understand their functions. Identifying microorganisms that fit this profile can be relatively straightforward, as abundances can be estimated for particular groups from publicly available 16S rRNA gene amplicon data (for example, from data in the Sequence Read Archive$^{12}$) or can be generated for individual environments de novo. Microorganisms also could be deemed interesting to culture if they belong to a large group with no, or few, previously cultured representatives, with key examples including the CPR bacteria and DPANN archaea (FIGS 1, 2; TABLE 1). Furthermore, microorganisms that shed light on evolutionary processes owing to their proximity in the tree of life to an important evolutionary event are also interesting to culture. One clear example of this is the Asgard archaea, in particular the Heimdallarchaeota, which are thought to be the closest archaean relatives of eukaryotes$^{13–16}$. Culturing further representatives of this group will facilitate comparisons between their cellular features and those of eukaryotes, thereby potentially helping to establish the major evolutionary changes that occurred during early eukaryotic evolution (eukaryogeny) (TABLE 1). Ultimately, in-depth knowledge and topic-specific priorities will help researchers to identify the targets that are likely to be the most rewarding for cultivation efforts. Conclusions The wide-scale need for microbial isolation and cultivation has led to the development of numerous innovative methods. Most of these methods adopt either a targeted (for example, reverse genomics$^{17}$, Raman-activated cell sorting$^{18}$ and live-FISH$^{19}$) or a high-throughput (for example, iChip$^{20}$, SlipChip$^{21}$ and nanoporous microscale microbial incubators$^{22}$) strategy to isolate cells from communities and environments, although some methods incorporate both strategies to varying degrees. Some of these methods, such as reverse genomics$^{17}$, have proven to be viable and accessible options for bringing interesting microorganisms belonging to poorly sampled clades into culture, while circumventing the traditionally long time spans that can be associated with culturing. Other approaches, however, although theoretically appealing, have not yet been successful beyond isolating members of mock or low-complexity communities (FIG. 4). There are two main, generally opposing, possible explanations for why this might be the case. For one, these methods currently fail to overcome poorly understood yet limiting biological processes (such as microbial dormancy), and are therefore only capable of culturing a certain range of microorganisms. Alternatively, the other explanation is that these methods have not yet been applied widely enough, or developed to the point at which they will be most effective. With current available methods, we are only able to culture microorganisms that represent a small fraction of the existing landscape of microbial diversity. To culture new microorganisms, the further development and maturation of advanced cultivation technologies will be required. The innovative methods discussed in this Review may well represent avenues for a future revolution in successful cultivation efforts. Published online 22 October 2020 --- 1. Hug, L. A. et al. A new view of the tree of life. Nat. Microbiol. 1, 16048 (2016). 2. Castelle, C. J. & Banfield, J. F. A new microbial group, the Oceanarchaea, and their role in the tree of life. Cell 172, 1181–1197 (2018). 3. Mulder, A., Van de Graaf, A. A., Robertson, L. & Kuenen, J. Anaerobic ammonium oxidation discovered in a denitrifying fluidized bed reactor. FEBS Microbiol. Ecol. 16, 177–183 (1995). 4. Nunoura, T. et al. A prokaryotic and reversible TCA cycle in a facultative chemolithoautotrophic thermophile. Science 359, 559–563 (2018). 5. Daims, H. et al. Complete nitrification by Nitrosospira bacteria. Nature 528, 504–509 (2015). 6. Thrash, J. C. Culturing the uncultured: risk versus reward. mSystems 4, e00130–e00219 (2019). 7. Stewart, E. J. et al. Culturing the uncultured bacteria. J. Bacteriol. 194, 4151–4160 (2012). 8. Overmann, J., Abt, B. & Sikorski, J. Present and future of culturing bacteria. Annu. Rev. Microbiol. 71, 711–730 (2017). 9. Tyson, G. W. & Banfield, J. F. Cultivating the uncultivated: a community genomics perspective. Trends Microbiol. 13, 411–415 (2005). 10. Carini, P. A. “Cultural” renaissance: genomics breathes new life into an old craft. mSystems [https://doi.org/10.1128/mSystems.00092-19](https://doi.org/10.1128/mSystems.00092-19) (2019). 11. Ikenishi, H. et al. Isolation of an archaeon at the prokaryote–eukaryote interface. Nature 577, 519–525 (2020). This study is the first to culture a member of the Asgard archaea group, the closest prokaryotic relatives of the eukaryote nuclear lineage, providing key insights into the evolutionary process of eukaryogenesis. 12. Hug, L. A. et al. Unexpected host dependency of Antarctic Nanoarchaeaoarchea. Proc. Natl Acad. Sci. USA 116, 14661–14670 (2019). This study uses traditional enrichment techniques and single-cell sorting to isolate a novel Nanoarchaeaoarchaeota, related to the poorly characterized DPANN archaea group. 13. Chen, S.-C. et al. Anaerobic oxidation of ethane by archaea from a marine hydrocarbon seep. Nature 568, 108–111 (2019). 14. Hahn, C. J. et al. “Candidatus Ethanoperedens,” a thermophilic genus of Archaea mediating the anaerobic oxidation of ethane. mBio 11, e00600–e00620 (2020). 15. Wiegrand, S. et al. Cultivation and functional characterization of 79 planctomycetes uncovers their unique biology. Nat. Microbiol. 5, 126–140 (2019). 16. Herndon, M. N., Larios, V. C., Faircloth, B. C. & Tringe, S. G. Cultivation and genomics of the first freshwater SAR11 (LD12) isolate. ISME J. 12, 1846–1860 (2018). 17. Cross, K. L. et al. Targeted isolation and cultivation of uncultivated bacteria by reverse genomics. Nat. Biotechnol. 37, 1514–1521 (2019). This study demonstrates a novel targeted isolation method, using taxon-specific antibody labelling combined with FACS sorting, to culture a bacterium from a poorly characterized bacterial phylum with few cultured representatives. 18. Yu, H. & Leadbetter, J. R. Bacterial chemolithoautotrophy by manganese oxidation. Nature 593, 451–458 (2020). 19. Song, Y. et al. Casimiroaemum huifangae gen. nov., sp. nov., a ubiquitous “most-wanted” core bacterial taxon from municipal wastewater treatment plants. Appl. Environ. Microbiol. 86, 1038 (2019). 20. Parks, D. H. et al. Recovery of nearly 8,000 metagenome-assembled genomes substantially
From these experiments, you’ll be able to see that removing any one of the bulbs in a series circuit makes all the bulbs go out, but removing one or more of the bulbs in a parallel circuit has no effect on the remaining bulbs. You’ll also discover that the more bulbs you place in series, the dimmer each one gets, whereas adding more bulbs in parallel has no effect on the brightness of any of the bulbs. Do you think the circuits in your house are wired in series or in parallel? If you have a toaster and radio plugged into the same outlet, does the radio go off when the toast is done? The fact that you can turn electrical items in your house on and off individually tells you that your circuits are wired in parallel. If this were not the case, then one burned-out lightbulb would mean all the other lights on the same circuit would go off, too. In some textbooks, the direction of flow of electric current is defined as the direction positive charge would flow, which would be through the circuit from the positive terminal of the battery to the negative terminal. In reality, however, positive charges do not move in wires. It’s the negatively charged electrons that move, and they flow through a circuit from the negative terminal of the battery to the positive terminal. The definition of current as movement of positive charge has historical roots, and continues in use; current defined in this way is often called “conventional current.” In some situations (e.g., movement of charged particles in semiconductors, solutions, and gases), positive charges do actually move and contribute to electric current. For beginning work with simple circuits, however, it’s easier to deal with electron flow. In this activity, we’ve used the terms “current” and “electron flow” interchangeably. This simple circuit board lets you easily connect small holiday lights in a variety of ways and learn some of the characteristics of series and parallel circuits. Guiding Questions 1. What happens to the bulb when you make the final connection? Is it shining with a bright or dim light? 2. How does the brightness of the single bulb compare with the brightness of each of the two bulbs? 3. How does the behavior of the two bulbs differ from that of the three bulbs that were connected differently? Materials/Preparation 1. Hammer 2. Eleven 1.5-inch (4-cm) finishing nails 3. Wooden board about 5 1/2 x 9 inches (14 x 23 cm) 4. Needle-nose pliers 5. Twelve mini alligator clips 6. Four flat washers, SAE 10 7. Four 5/8-inch (1.6-cm) Phillips pan head sheet-metal screws (#8) 8. Phillips screwdriver 9. Two AA batteries 10. Short string of incandescent (not LED) miniature holiday lights 11. Wire strippers 12. Three pieces of wire, each about 6 inches (15 cm) long; you can use #20 or #22 solid or stranded wire, or cut extra pieces from the lightbulb string 13. Several metal paper clips 14. Pencil or marker (not shown) 15. Optional: small labels Tasks/Procedure 1. Set down the board horizontally and begin by working on the lower half. Use the hammer and one of the nails to make four small pilot holes where the screws will go. The exact position of the screws is not crucial as long as there’s plenty of room for the alligator clips that will be attached. 2 Take eight of the alligator clips (the last four will be needed in Step 9), and use the needle-nose pliers to bend the two small tabs at the ends of each clip outward. When you’re done, the end of each clip should be flattened. 3 Put a washer on each of the screws, and screw the screws about halfway into the pilot holes. 4 Put the flattened ends of two alligator clips under one of the washers. Position the clips so that they point in opposite directions, parallel to the length of the board, as shown in the photo in Step 1. Tighten all the screws until the clips are held firmly in place between the washers and the board. 5 Now, working on the top half of the board, hammer all eleven nails about 1/2 inch (1.2 cm) into the board, surrounding the two batteries and keeping them in place as shown. Adding a nail between the batteries will let you choose whether to use one battery or two to power the lightbulbs as you explore. Point the negative ends of the batteries (the flat ends) toward the left. 6 Cut three individual bulbs from the string. Cut the wire halfway between adjacent bulbs so that each bulb ends up with two reasonably long wire leads that are equal in length. You’ll end up with three separate lightbulbs, each with wire leads at both ends. 7 Use the wire strippers to strip about 1/2 inch (1.2 cm) of insulation from the ends of the wires coming from each of the lightbulbs. Set them aside for use in the activities below. 8 Now strip the insulation from the ends of the three additional pieces of wire. Set one piece of wire aside for use in the activities below. The other two will be attached to alligator clips in Step 9. 9 Use the needle-nose pliers to firmly attach the four remaining alligator clips to two of the pieces of wire you stripped in Step 8. A good way to do this is to poke the stripped end of the wire down through the hole near the back of the clip, so the insulated part lays in the curve of the clip between the two tabs. Then bring the stripped end of the wire up around the clip and lay it on top of the insulated part of the wire. Finally, bend the two tabs down on top of both the stripped and the insulated lengths of wire to hold them tightly in place (click to enlarge the photo below). This should ensure both a good electrical connection and a good physical connection. Finally, use a marker or pencil to number the clips 1 through 8 (see photo) to help you keep track of your observations. Investigation 2: Connecting Bulbs in Series Keep a bulb between clips 6 and 7. Replace the wire between clips 1 and 5 with a second bulb. Then replace the paper clips between clip 4 and 8 with the third bulb. All three bulbs should light and glow with approximately the same brightness. (If one of the bulbs is very much brighter or dimmer than the other two, remove it and replace it with another bulb.) How does the brightness of these bulbs compare to the brightness of the single bulb in the initial setup? Remove one of the bulbs from the circuit without replacing it with a wire or paper clip. What happens to the other two bulbs? Try replacing the bulb you removed, and removing another one instead. Does it matter which one of the bulbs you remove? Investigation 3: Changing the Voltage Set up the circuit in its original form with just one bulb. Move one of the alligator clips from a nail at the end of the battery holder to the nail between the batteries. What happens? Investigation 4: Connecting Bulbs in Parallel Remove all bulbs, wires, and paper clips. Connect one of the alligator clip leads from the end of the battery holder to clip 1, and the lead from the other end of the battery holder to clip 6. Connect bulbs between clips 1 and 5 and between clips 2 and 6. What happens? Remove one of the bulbs. What happens now? Put back the bulb and remove the other one. What happens? Does it make any difference if you remove one bulb or the other? How does the brightness of the single bulb compare with the brightness of each of the two bulbs? How does the behavior of the two bulbs differ from that of the three bulbs that were connected differently? Helpful Hints If the bulb doesn’t light, check to see that the nails are in firm contact with the ends of the batteries, and that all the connections are secure. The most common problem in a circuit is a bad connection. Also, be sure that the batteries are not dead! While you try to figure out what’s wrong, unhook the leads from the batteries. It’s possible that you’ve hooked things up in a way that will cause the batteries to go dead quickly if left connected. (If this is the case, the batteries may get noticeably hot in the process.) Both wires and paper clips act as good electrical conductors. You can use whichever is most convenient whenever you want to connect two clips. Creating a Circuit In Investigation 1, which uses one bulb, electrons come out of the negative end of the left battery to begin their journey through the circuit. They travel through clips 2 and 1, the wire, clips 5 and 6, the bulb, clips 7 and 8, the paper clip, clips 4 and 3, and back into the positive end of the right battery. This path is called a complete electrical circuit. Batteries are rated in volts, and volts are a measure of the energy that electrons have when they leave the battery. As electrons travel through the complete electrical circuit, we’ll assume that the only place they lose energy is in the bulb, where their energy is transformed to the light and heat given off by the bulb. The process of energy transformation resists the electron flow through the bulb, and the bulb is said to have electrical resistance. It is very important to realize that while an electron loses energy on its trip around the circuit, the electron itself doesn’t leak out of the circuit or disappear. For every electron leaving the battery to enter the circuit, another enters the battery from the circuit. Connecting Bulbs in Series In Investigation 2, three bulbs are connected in a way that forces electrons to pass through all the bulbs to get back to the battery. This is referred to as a series connection. When three bulbs are connected in series, each bulb glows less brightly than one bulb alone. This is because three bulbs provide more total resistance than one bulb. This decreases the total flow of electrons, called the current, and results in a smaller amount of energy being transformed to light and heat. Additionally, each bulb only gets one-third of this reduced amount of energy. When you remove one bulb in a series circuit, the others go out. It doesn’t matter which one you remove. When you create a gap in the circuit the electrons can no longer flow. Changing the Voltage When you move one of the battery clips to the nail between the batteries in Investigation 3, the circuit is powered by one battery instead of two. The total amount of energy available is cut in half, so the bulb gets dimmer. Connecting Bulbs in Parallel In Investigation 4, the configuration is changed so that the electrons arriving at clip 1 now have two alternative paths to get to clip 6. Bulbs connected in this fashion are said to be connected in parallel. If the two lightbulbs are identical, half the electrons will go through one bulb and half through the other. The electrons will then recombine into one flow at clip 6 and return to the battery. When two or more bulbs are connected in parallel, all the bulbs will be as bright as a single bulb. This is because each additional bulb provides another path for electron flow, and each electron only moves through and loses energy in one bulb. The alternative paths actually reduce the total resistance in the circuit. In fact, the resistance of two identical bulbs in parallel is half the resistance of a single bulb, allowing twice as much current to flow in the circuit. When one of the bulbs in the parallel circuit is removed, there is still a closed loop, so current flows through the other bulb and it stays lit. Possible Extensions Experiment further with your circuit board. How many bulbs can you connect in series? How many in parallel? Try putting a bulb in series with two bulbs that are in parallel. This is called a series-parallel circuit. Try to think of a way to connect a third bulb in the circuit so that all three bulbs will retain their maximum brightness, and any one or two of them can be removed without the third one going out. Try some arrangements of your own design. Notice the paths that the electrons can take in the circuits you set up, and see if you can understand the behavior of the bulbs in these circuits. Use a multimeter (a meter that measures both voltage and current) to measure the voltage and current in the various circuits you set up.
Future Direction of the Quality Payment Program (QPP) The Quality Payment Program (QPP) policies finalized in the CY2022 Physician Fee Schedule (PFS) Final Rule will continue moving the program forward, toward more meaningful participation for clinicians and improved outcomes for patients. We’re also looking for ways to leverage this program to advance health equity and address social determinants of health. The MIPS Value Pathways (MVPs) and the Alternative Payment Model (APM) Performance Pathway (APP) will be key program changes that support our efforts to move the needle forward on value. In 2022, we’re implementing certain statutory requirements, including setting the performance threshold at either the mean or median of the final scores for all Merit-based Incentive Payment System (MIPS) eligible clinicians for a prior period. As a result, we anticipate clinicians will start to see greater returns on their investment in the program. Additionally, changes from the rule will result in a more equitable distribution within our scoring system, with small practices no longer bearing the greatest share of the negative payment adjustments. MIPS aims to drive value through the collection, assessment, and public reporting of data that informs and rewards the delivery of high-value care. Within MIPS, we intend to pay for healthcare services in a way that drives value by linking performance on cost, quality, and the patients’ experiences of care. We’ve heard from clinicians that traditional MIPS requirements are confusing as well as burdensome. Additionally, it’s difficult to choose measures that are meaningful to how... they practice and directly benefit patients from the several hundred MIPS and qualified clinical data registry (QCDR) quality measures. We’ve also heard concerns from stakeholders that MIPS doesn’t allow for sufficient differentiation of performance across practices, due in part to clinician quality measure selection bias. These aspects detract from the program’s ability to effectively measure and compare performance across clinician types, provide meaningful feedback, and incentivize quality. To address this and simplify the MIPS clinician experience, improve value, reduce burden, and better inform patient choice in selecting clinicians, we intend to focus the future of MIPS on development and implementation of MVPs. In the CY 2022 PFS Final Rule, we’ve finalized 7 MVPs along with policies that support implementation beginning in the 2023 performance year. We believe this delayed timeframe will provide clinicians the time needed to understand MVP requirements and plan for any operational considerations. Quality Payment Program CY 2022 Overview To help us progress toward the future state of MIPS, we focused the majority of our policies on MVPs. With the balance, we aim to reduce burden, respond to feedback that we have heard from clinicians and stakeholders, and align with statutory requirements. - MIPS Value Pathways (MVPs) - Timeline - MVP Registration (Participant and Subgroup) - Third Party Intermediary Support - Finalized MVPs - Reporting Requirements - Subgroups - Scoring - Performance Feedback and Public Reporting - APM Performance Pathway (APP) - Traditional MIPS Policies - MIPS Eligible Clinician Definition - Performance Threshold - Performance Category Weights - Performance Category Requirements - Care Compare (Public Reporting) - Advanced APM Policies - Medicare Shared Savings Program Policies This section provides a highlight of our finalized policies on these topics. For more details, refer to the QPP Proposals Comparison Table, MVP Guide, and MVP Proposals Table in the [CY 2022 PFS Final Rule Resources (ZIP)](https://www.cms.gov/files/document/cy-2022-pfs-final-rule-resources.zip). MIPS Value Pathways (MVPs) MVPs allow for a more cohesive participation experience by connecting activities and measures from the 4 MIPS performance categories that are relevant to a specialty, medical condition, or episode of care. The MVPs include the Promoting Interoperability performance category and population health claims-based measures as foundational elements, along with relevant measures and activities for the quality, cost, and improvement activities performance categories. The MVP framework aims to provide meaningful data and feedback to clinicians and patients by comparing the performance of like clinicians who report on the same MVP and enhancing information provided to patients through public reporting. In the CY 2021 PFS Final Rule, we established a set of criteria for use in the development and selection of MVPs. Specifically, we finalized that we aren’t prescriptive on the number of quality measures that are included in an MVP. In the CY 2022 PFS Final Rule, we finalized the reporting requirements for MVPs and discussed the allowance of clinician choice in selecting which quality measures and improvement activities to report. We believe that it’s important to provide clarity in our expectations on the number of quality measures and improvement activities that are available for an MVP Participant to choose. We finalized the following additions to the MVP development criteria beginning with the 2022 performance year/2024 payment year: - MVPs must include at least one outcome measure that’s relevant to the MVP topic, so MVP Participants are measured on outcomes that are meaningful to the care they provide. - Each MVP that’s applicable to more than one clinician specialty should include at least one outcome measure that’s relevant to each clinician specialty included. - In instances when outcome measures aren’t available, each MVP must include at least one high-priority measure that’s relevant to the MVP topic, so MVP Participants are measured on high-priority measures that are meaningful to the care they provide. - Each MVP that is applicable to more than one clinician specialty must include at least one high priority measure that is relevant to each clinician specialty included, if an outcome measure is not available. - Allow the inclusion of outcomes-based administrative claims measures within the quality component of an MVP. - To be included in an MVP, a qualified clinical data registry (QCDR) measure must be fully tested at the clinician level. - In order to determine whether a QCDR measure may be finalized within an MVP, we will need to receive QCDR measure testing data for review by the end of the self-nomination period, that is no later than September 1 of the year prior to the applicable performance period. To the extent feasible, we encourage QCDRs to share testing data for their fully tested QCDR measures at the time of MVP candidate submission which may be prior to the September 1st deadline. Timeline To provide clinicians and third party intermediaries with sufficient time to prepare for a shift to this new participation framework, we’ll begin transitioning to MVPs in the 2023 MIPS performance year. Our intent is to provide practices, health care organizations, and third party intermediaries with the time they need to review requirements, update workflows, and prepare their systems as needed to report MVPs. For the 2023, 2024, and 2025 performance years, MVP Participants are identified as individual clinicians, single specialty groups, multispecialty groups, subgroups, and APM entities that are assessed on an MVP for all MIPS performance categories. Beginning in the 2026 performance year, multispecialty groups will be required to form subgroups in order to report MVPs. We recognize that there are many types of MVPs we need to develop, and that the traditional MIPS framework is needed until we have a sufficient number of MVPs available. Through the MVP development work, we’ll gradually implement MVPs for more specialties and subspecialties that participate in the program. We understand that the transition to MVPs will take time and we’ll continue to evaluate the readiness of clinicians in making this transition, while balancing our strong interest in improving measurement, making MIPS more focused on value, and providing relevant, more granular data to patients to help them choose a clinician. MVP Registration (Participant and Subgroup) To report an MVP, an MVP Participant and subgroup must register for the MVP between April 1 and November 30 of the performance year, or a later date as specified by CMS. To report the Consumer Assessment of Healthcare Providers and Systems (CAHPS) for MIPS Survey associated with an MVP, a group, subgroup, or APM Entity must complete their MVP registration by June 30 of the performance year to align with the CAHPS for MIPS Survey registration deadline. At the time of MVP registration, an MVP Participant would select: - The MVP they intend to report. - One population health measure included in the MVP. - Any outcomes-based administrative claims measure on which the MVP Participant intends to be scored, if available within the MVP. An MVP Participant won’t be: - Able to submit or make changes to the MVP they select after the close of the registration period (November 30 of the performance year). - Allowed to report on an MVP for which they didn’t register. To participate as a subgroup, each subgroup will be required to: - Identify the MVP the subgroup will report (along with one population health measure included in the MVP and any outcomes-based administrative claims measure on which the subgroup intends to be scored, if available). - Identify the clinicians in the subgroup by Taxpayer Identification Number (TIN) / National Provider Identifier (NPI). - Provide a plain language name for the subgroup for purposes of public reporting. Upon successful registration submission, we’ll assign a unique subgroup identifier that will be separate from the individual NPI identifier, the group TIN identifier, and the MVP identifier. Appendix A provides an overview of MVP reporting requirements, Appendix B provides an overview of the registration timeline, and Appendix C presents a crosswalk of the various clinician types, the information expected at the time of registration, and a reminder of the MVP reporting requirements. Third Party Intermediary Support For third party intermediaries, we’ll: - Require that QCDRs, Qualified Registries, and Health IT vendors support: - MVPs relevant to the specialties they support, beginning with the 2023 performance year. - Subgroup reporting, beginning with the 2023 performance year. - Require that CAHPS for MIPS Survey vendors support subgroup reporting for the CAHPS for MIPS measure associated with an MVP, beginning with the 2023 performance year. Finalized MVPs We finalized 7 MVPs that will be available, beginning with the 2023 performance year. Each MVP includes complementary measures and activities and supports patient-centered care and a continued emphasis on the importance of patient outcomes, population health, health equity (including measures and activities that assess health disparities and socioeconomic factors), interoperability, and reduced reporting burden for clinicians. The 7 MVPs for the 2023 performance year are the following: 1. Advancing Rheumatology Patient Care 2. Coordinating Stroke Care to Promote Prevention and Cultivate Positive Outcomes 3. Advancing Care for Heart Disease 4. Optimizing Chronic Disease Management 5. Adopting Best Practices and Promoting Patient Safety within Emergency Medicine (finalized with modification) 6. Improving Care for Lower Extremity Joint Repair (finalized with modification) 7. Support of Positive Experiences with Anesthesia (finalized with modification) Reporting Requirements MVP reporting requirements for all MVP Participants (individual eligible clinicians, groups, subgroups, and APM Entities) include: - Quality Performance Category - MVP Participants will select 4 quality measures available. One measure must be an outcome measure (or a high-priority measure if an outcome measure isn’t available or applicable). This can include an outcome measure calculated by CMS through administrative claims, if available in the MVP. - Improvement Activities Performance Category - MVP Participants will select 2 medium-weighted improvement activities OR one high-weighted improvement activity OR IA_PCMH (participation in a patient-centered medical home (PCMH)), if the activity is available in the MVP. - Cost Performance Category - MVP Participants will be calculated on the cost measures included in the MVP. - Foundational Layer (MVP agnostic) - Population Health Measures MVP Participants will select, at the time of MVP Participant registration, one population health measure to be calculated on. The results will be added to the quality score. For the 2023 performance year, we anticipate 2 population health measures will be available for selection. - Hospital-Wide, 30-day, All-Cause Unplanned Readmission (HWR) Rate for the Merit-Based Incentive Payment System Program (MIPS) Eligible Clinician Groups (finalized in CY 2021 Final Rule) - Clinician and Clinician Group Risk-standardized Hospital Admission Rates for Patients with Multiple Chronic Conditions (finalized) Promoting Interoperability Performance Category - MVP Participants will report on the same Promoting Interoperability measures required under traditional MIPS, unless they qualify for reweighting of the Promoting Interoperability performance category due to clinician type, special status, or an approved Promoting Interoperability Hardship Exception Application. Note: Subgroups will submit Promoting Interoperability data at the group level, not the subgroup level. Subgroups We’ve heard from patients, clinicians, and other stakeholders that they would like more comprehensive and granular reporting from the MIPS program. To that end, we’re establishing subgroup reporting to provide patients and clinicians with information that’s clinically meaningful at a more granular level. To support clinicians in their transition to subgroup reporting, subgroup reporting will be voluntary for the 2023, 2024, and 2025 performance years. Subgroups are defined as “a subset of a group which contains at least one MIPS eligible clinician and is identified by a combination of the group TIN, the subgroup identifier, and each eligible clinician’s NPI.” Subgroups will inherit the eligibility and special status determinations of the affiliated group (identified by TIN). To participate as a subgroup, the TIN will have to exceed the low-volume threshold at the group level, and the subgroup will inherit any special statuses held by the group, even if the subgroup composition doesn’t meet the criteria. We’ll limit subgroup reporting only to clinicians reporting through MVPs or the APP. Voluntary reporters, opt-in eligible clinicians, and virtual groups won’t be able to report through an MVP for the 2023 performance year, due to implementation challenges. Scoring MVP scoring policies generally will align with those used in traditional MIPS across all performance categories, with a few exceptions noted below. Performance category weights will be consistent with traditional MIPS performance category weights. Reweighting policies for the redistribution of category weights will also align with traditional MIPS, with the exception that we won’t reweight the quality performance category if we can’t calculate a score for the MIPS eligible clinician because there isn’t at least one quality measure applicable and available to the clinician. The MVP scoring policies by performance category are listed below. - Quality Performance Category - The following scoring policy changes were finalized for the quality performance category, which will also apply to MVPs. - Beginning with the 2023 performance period, remove the 3-point floor for quality scoring from traditional MIPS. Except as noted below, no 3-point floor will be available under MVPs. - Measures without a benchmark or that don’t meet case minimum will earn zero points. (This includes outcome-based administrative claims measures, if available and selected by the MVP Participant.) - Exception: Small practices will continue to earn 3 points for these measures under traditional MIPS and MVPs. - Measures that can be scored against a benchmark will earn 1-10 points. - Beginning with the 2022 performance period, we’re introducing a new policy for scoring new measures without a benchmark: - In the first year in MIPS, there will be a 7-point scoring floor (they’ll receive 7 to 10 points), - In the second year in MIPS, there will be a 5-point scoring floor (they’ll receive 5 to 10 points). - Beginning with the 2022 performance period, there are no bonus points for reporting additional outcome and high-priority measures, beyond the one required. - Beginning with the 2022 performance period, there are no bonus points for measures that meet end-to-end electronic reporting criteria. - Similar to our quality scoring policies for traditional MIPS: - If an MVP Participant reported more than the required number of quality measures, we’ll use the 4 highest scoring measures. - An MVP Participant will receive zero achievement points for the quality performance category for any required measures that weren’t reported. If an outcome-based administrative claims measure is available and selected by the MVP Participant to fulfill the outcome measure requirement, the measure will receive zero achievement points when the measure doesn’t have a benchmark or meet the case minimum. - Note: If an MVP Participant is unsure whether a selected outcomes-based administrative claims measure score is attainable, we encourage the selection and reporting of an additional outcome measure to decrease the likelihood that they receive a score of zero for an unreported outcome measure. - Improvement Activities Performance Category - Assign 20 points for each medium-weighted improvement activity and 40 points for each high-weighted improvement activity. - Cost Performance Category - Score only the cost measures included in the MVP. - Foundational Layer (MVP agnostic) - The population health measures selected by MVP Participants will be included in the quality performance category score. - Similar to our policies for administrative claims measures in traditional MIPS, these measures will be excluded from scoring if the measure doesn’t have a benchmark or meet the case minimum. - Exception: Subgroups will receive the score of the population health measure of their affiliated group, if applicable, in the event that the measure selected by the subgroup doesn’t have a benchmark or meet the case minimum. - Measures in the Promoting Interoperability performance category will be scored in alignment with traditional MIPS scoring policies. Subgroups will submit the Promoting Interoperability performance category data of their affiliated group. Subgroup performance will be assessed at the: - Subgroup level for 3 performance categories (quality, cost, and improvement activities). - Group level for the Promoting Interoperability performance category. Additionally, clinicians in a subgroup will continue to be included in group-level reporting if the practice also chooses to participate in traditional MIPS as a group. Lastly, we finalized the update of the scoring hierarchy to include subgroups. This means that a MIPS eligible clinician will receive the highest final score that can be attributed to their TIN/NPI combination from any reporting option (traditional MIPS, APP reporting, or MVP reporting) and participation option (as an individual, group, subgroup, or APM Entity) with the exception of virtual groups; clinicians that participate as a virtual group will always receive the virtual group’s final score. We believe that including subgroups in the scoring hierarchy will allow for meaningful data collection and assessment under MVPs, while applying our existing policy of allowing clinicians to receive the highest final score and payment adjustment that can be attributed to them. Performance Feedback and Public Reporting To provide meaningful feedback to MVP Participants, we’ll provide comparative performance feedback within the annual performance feedback to show the performance of like clinicians who report on the same MVP. To give MIPS eligible clinicians time to familiarize themselves with MVPs and subgroup reporting, we’ll delay public reporting of new improvement activities and Promoting Interoperability measures and attestations reported via MVPs by one year. We’ll publicly report subgroup-level performance information, beginning with PY 2024, on the [compare tool](#) hosted by CMS. We’ll create a separate subgroup workflow that will allow subgroup performance information to be publicly reported in an online location that can be navigated to from an individual clinician or group profile page. This process aligns with the historical approach to report performance information at the level that it’s submitted. APM Performance Pathway (APP) We’ll allow MIPS eligible clinicians to report the APP as a subgroup, beginning with the 2023 performance year. The definition of a subgroup and eligibility to participate as a subgroup are the same for MVP and APP reporting. - Subgroups will consist of “a subset of a group which contains at least one MIPS eligible clinician and is identified by a combination of the group TIN, the subgroup identifier, and each eligible clinician’s NPI.” - Subgroups will inherit the eligibility and special status determinations of the affiliated group (identified by TIN). To participate as a subgroup, the TIN will have to exceed the low-volume threshold at the group level, and the subgroup will inherit any special statuses held by the group, even if the subgroup composition won’t meet the criteria. We note that subgroups won’t be required to register for reporting the APP. Traditional MIPS Policies MIPS Eligible Clinician Definition We’re revising the definition of a MIPS eligible clinician to include: - Clinical social workers. - Certified nurse mid-wives. This update aligns with the APM eligible clinician definition and is responsive to stakeholder requests to be included in the program. We believe that both the clinical social workers and certified nurse mid-wives will have an appropriate level of quality measures to report in performance year 2022, including an existing Clinical Social Worker Specialty Measure Set and a newly finalized Certified Nurse Midwife Specialty Measure Set. Improvement activities for both clinician types will be applicable and available. - Note: We’ll automatically reweight the Promoting Interoperability performance category to 0% for clinical social workers. Performance Threshold The Bipartisan Budget Act of 2018 requires a “gradual and incremental transition” for raising the performance threshold during the first 5 years of the MIPS program. The performance threshold must be the “mean or median of the composite performance scores for all MIPS eligible professionals” from a prior period beginning in Year 6, which is the 2022 performance year/2024 payment year. We’re establishing the performance threshold for the 2022 performance year/2024 payment year using the mean final score from the 2017 performance year/2019 MIPS payment year. - The performance threshold is set at 75 points. - This is an increase of 15 points from the previous year, which is in line with prior year increases. The statute requires that an additional performance threshold be set at (1) the 25th percentile of the range of possible final scores above the performance threshold or (2) the 25th percentile of the actual final scores for MIPS eligible clinicians with final scores at or above the performance threshold with respect to a prior period (Social Security Act § 1848(q)(6)(D)(ii)). - The additional performance threshold is set at 89 points. - This is the 25th percentile of actual 2017 final scores above 75 points. We note that under section 1848(q)(6)(C) of the Act, the additional MIPS adjustment factors for exceptional performance are available through the 2022 performance year/2024 MIPS payment year, making this the last year of the additional performance threshold and the associated additional MIPS adjustment factors for exceptional performance. Performance Category Weights For the 2022 performance year/2024 payment year, the performance category weights are: - 30% for the quality performance category. - 30% for the cost performance category. - 15% for the improvement activities performance category. - 25% for the Promoting Interoperability performance category. The performance category weights are specified in statute, and we codified them in prior rulemaking. As a result, they weren’t proposals available for comment. Performance Category Requirements For the quality performance category, we’re finalizing our proposals to: - Update quality measure scoring to remove end-to-end electronic reporting and high priority/outcome measure bonus points, beginning with the 2022 performance period. - Remove the 3-point floor for scoring measures (with some exceptions for small practices), beginning with the 2023 performance period. - These changes help us move away from the policies established for the transitional period of MIPS and toward a more simplified scoring standard focused on measure achievement. - Extend the CMS Web Interface as a quality reporting option for registered groups, virtual groups, or other APM Entities for the 2022 performance period. (Please refer to the [Medicare Shared Savings Program Policies](#) section of this resource for information about CMS Web Interface reporting under the APP.) - Update the quality measure inventory so that there will be a total of 200 quality measures available for the 2022 performance period. We didn’t finalize the following quality proposals: - Use of performance period benchmarks, or a different baseline period, such as calendar year 2019, for scoring quality measures in the 2022 performance period. - Based on our analysis, we can create reliable historical benchmarks using 2020 performance period data. - Increase in the data completeness requirement to 80%, beginning with the 2023 performance period. - We’re maintaining the 70% data completeness requirement in the 2023 performance period in response to stakeholder comments. For the cost performance category, we’re adding 5 new episode-based cost measures: - 2 procedural measures - Melanoma Resection - Colon and Rectal Resection - 1 acute inpatient measure - Sepsis - 2 chronic condition measures - Diabetes - Asthma/Chronic Obstructive Pulmonary Disease [COPD] The 5 new episode-based cost measures have the following case minimums (calculated using administrative claims data): - Asthma/COPD: 20 episodes - Colon and Rectal Resection: 20 episodes - Diabetes: 20 episodes - Melanoma Resection: 10 episodes - Sepsis: 20 episodes We’re also establishing a new cost measure development process. Under the current measure development process, all cost measures are developed by CMS’s measure development contractor. Under the new process, stakeholders can develop cost measures to expand the inventory of episode-based cost measures. As part of this process, we are adding a measure call for cost measures, beginning in CY2022 for earliest adoption into the MIPS program by the 2024 performance period. Expanding the range of procedures and the acute and chronic conditions covered will enable more MIPS eligible clinicians from different specialties and subspecialties to have their cost performance assessed under clinically relevant episode-based measures. Due to COVID-19, we couldn’t reliably calculate the cost measure scores for the 2020 MIPS performance year/CY2022 payment year, so we’ve assigned a weight of 0% to the cost performance category. We sought comments on additional circumstances which may limit our ability to reliably calculate cost measure scores that adequately capture and reflect performance (such as those due to external factors beyond the control of MIPS clinicians and groups), and which may inform our decision to reweight the cost performance category to provide scoring flexibility in the future. For the improvement activities performance category, we’re updating the improvement activities inventory for the 2022 performance year by adding new improvement activities about health equity and standardizing language related to equity across the improvement activities inventory: - We’re adding 7 new improvement activities, 3 of which are related to promoting health equity. - We’re modifying 15 current improvement activities, 11 of which address health equity. - These modifications allow the activities to focus more explicitly on addressing health equity and, in some cases, specifically add requirements to address racial equity. - We’re also removing 6 previously adopted improvement activities. For the Promoting Interoperability performance category, we’re: - Applying automatic reweighting to clinical social workers and small practices. - Revising reporting requirements in the following ways: - Revise reporting requirements for the Public Health and Clinical Data Exchange objective to support public health agencies (PHAs) during future health threats and the long-term COVID-19 recovery process. - Add a 4th exclusion for the Electronic Case Reporting measure, available for the 2022 performance period only. - Require MIPS eligible clinicians to attest to conducting an annual assessment of the High-Priority Guide of the Safety Assurance Factors for EHR Resilience Guides (SAFER Guides), beginning with the CY 2022 performance period. - Modify the Prevention of Information Blocking attestation statements to distinguish this from separate information blocking policies under the Office of the National Coordinator for Health Information Technology (ONC) requirements established in the 21st Century Cures Act Final Rule. We didn’t finalize our proposal to add a requirement in the Provide Patients Electronic Access to Their Health Information measure that patients have access to their health information indefinitely, for encounters on or after January 1, 2016. Care Compare (Public Reporting) We’re adding affiliations with the following facility types on Care Compare individual clinician profile pages: - Long-Term Care Hospitals - Inpatient Rehabilitation Facilities - Inpatient Psychiatric Facilities - Skilled Nursing Facilities - Home Health Agencies Advanced APM Policies In the 2021 PFS Final Rule, we finalized a hierarchy that we use to identify potential payee Taxpayer Identification Numbers (TINs) using base year claims, in the event that the Qualifying APM Participant’s (QP) original TIN is no longer active and associated with the QP. This process has improved our ability to make more payments to TINs with which QPs have valid, up-to-date affiliations. In this year’s rule we’re finalizing a policy to extend the hierarchy to include billing TINs that are active only during the payment year. Because such TINs are active within the same year payments are to be made, adding this step to the processing hierarchy will make it easier for us to complete payments to more QPs in our first round of QP Incentive Payments. We’re finalizing our proposal to add this step to the current regulatory hierarchy for processing the QP Incentive Payment. This will enable us to look for payee TINs that are active in the base year or the payment year for each step of the hierarchy. Medicare Shared Savings Program Policies In response to Accountable Care Organizations’ (ACOs’) concerns regarding the transition to reporting on eCQMs/MIPS CQMs, which require the submission of all-payer quality data, we’re finalizing a longer transition for Shared Savings Program ACOs by extending the CMS Web Interface as a reporting option for 3 years through performance year 2024. ACOs will be required to report the 3 eCQMs/MIPS CQMs beginning in performance year 2025. Also, we’re finalizing an additional one-year delay in the phase-in of the increase in the Shared Savings Program ACO quality performance standard that ACOs must meet to share in savings and avoid maximum losses (if applicable) and an additional incentive to encourage ACOs to report all-payer measures. These finalized policies, in addition to existing policies, provide 4 years for ACOs to transition to reporting the 3 eCQMs/MIPS CQMs under the APP and to meet the increased Shared Savings Program quality performance standard. APP Reporting Options For the 2022 to 2024 performance years: - ACOs will be required to either report the 10 CMS Web Interface measures or the 3 eCQMs/MIPS CQMs. - Under the APP, all ACOs are required to administer the CAHPS for MIPS Survey and be scored on 2 administrative claims-based measures (calculated by CMS). - Based on the ACO’s chosen reporting option (CMS Web Interface or the eCQMs/MIPS CQMs), either 6 (3 eCQM/MIPS CQMs, 1 CAHPS for MIPS Survey measure, and 2 administrative claims-based measures) or 10 measures (7 CMS Web Interface measures, 1 CAHPS for MIPS Survey measure, and 2 administrative claims-based measures) will be included in the calculation of the ACO’s quality performance score. - If an ACO chooses to report both the 10 CMS Web Interface measures and the 3 eCQMs/MIPS CQMs, it will receive the higher of the 2 quality scores for purposes of the MIPS quality performance category. - For more information on the APP measure set that will be reported by Shared Savings Program ACOs for the 2022 and subsequent performance years, please refer to Table 25 in section III.J.c.(4) in the 2022 PFS Final Rule. 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For the 2022 and 2023 performance years: - An ACO will meet the quality performance standard used to determine shared savings and losses if the ACO: - Achieves a quality performance score equivalent to or higher than the 30th percentile across all MIPS quality performance category scores, excluding entities/providers eligible for facility-based scoring; or - Reports the 3 eCQMs/MIPS CQMs (meeting data completeness and case minimum requirements) and achieves a quality performance score equivalent to or higher than the 10th percentile of the performance benchmark on at least 1 of the 4 outcome measures in the APP measure set and achieves a quality performance score equivalent to or higher than the 30th percentile of the performance benchmark on at least 1 of the remaining 5 measures in the APP measure set. 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For the 2024 performance year and subsequent performance years: - An ACO will meet the quality performance standard used to determine shared savings and losses if the ACO: - Achieves a quality performance score equivalent to or higher than the 40th percentile across all MIPS quality performance category scores, excluding entities/providers eligible for facility-based scoring. - An ACO won’t meet the quality performance standard if the ACO (1) doesn’t report any of the 10 CMS Web Interface measures or any of the 3 eCQMs/MIPS CQMs and (2) doesn’t administer a CAHPS for MIPS survey. Contact Us We’ll continue to provide support to clinicians who need assistance. While our support offerings will reflect our efforts to streamline and simplify the QPP, we understand that clinicians will still need assistance to help them successfully participate. We encourage clinicians to contact the QPP at 1-866-288-8292, Monday through Friday, 8 a.m. - 8 p.m. ET, or by email at [firstname.lastname@example.org](mailto:email@example.com). To receive assistance more quickly, please consider calling during non-peak hours—before 10 a.m. and after 2 p.m. ET. - Customers who are hearing impaired can dial 711 to be connected to a TRS communications assistant. You can also visit the [Quality Payment Program website](http://www.cms.gov/qualitypaymentprogram) for educational resources, information, and upcoming webinars. \| Date \| Change Description \| \|------------\|--------------------\| \| 11/2/2021 \| Original posting \| Appendix A: MVP Reporting Requirements The table below provides an overview of the MVP reporting requirements. \| Quality Performance Category* \| Improvement Activities Performance Category* \| Cost Performance Category \| \|-------------------------------\|---------------------------------------------\|---------------------------\| \| A MVP Participant selects 4 quality measures. - One must be an outcome measure (or a high-priority measure if an outcome measure isn’t available or applicable). Note: As applicable, an outcome-based administrative claims measure may be selected at the time of MVP registration to meet the outcome measure requirement. \| A MVP Participant selects: 2 medium weighted improvement activities OR 1 high-weighted improvement activity OR IA_PCMH (participation in a PCMH), if the activity is available in the MVP. \| MVP Participants will be scored on the cost measures included in the MVP. \| Foundational Layer (MVP Agnostic) Population Health Measures* A MVP Participant selects one population health measure, at the time of MVP registration, on which to be scored. The results are added to the quality performance category score. Promoting Interoperability Performance Category A MVP Participant is required to meet the Promoting Interoperability performance category requirements at § 414.1375(b). Indicates a MVP Participant may select measures and/or improvement activities. Appendix B: MVP Participant Registration Timeline The table below provides an overview of the registration process and timeline for MVP and subgroup registration, beginning with the 2023 MIPS performance year. \| Date \| Description \| \|-----------------------------\|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------\| \| April 1st of the applicable performance year \| MVP Participants may begin to register for MVP reporting. \| \| June 30th of the applicable performance year (or a later date as specified by CMS) \| Groups, subgroups, and APM Entities who intend to report the CAHPS for MIPS Survey Measure through a MVP, must: - Submit their MVP selection and population health measure selection. - As applicable, select an outcomes-based administrative claims measure that’s associated with a MVP. - As applicable, each subgroup must submit a list of each TIN/NPI associated with the subgroup. - As applicable, each subgroup must submit a plain language name for the subgroup. - Separately register through the MIPS registration system by June 30th to participate in the CAHPS for MIPS Survey. \| \| November 30th of the applicable performance year \| The registration period closes. New registrations or changes to registration won’t be accepted after November 30th. MVP Participants can’t make any changes to their registration of: - MVP selection. - Population health measure selection. - As applicable, the selection of an outcomes-based administrative claims measure associated with the MVP. - As applicable, the list of each TIN/NPI associated with the subgroup. - As applicable, subgroup participation (including the subgroup’s plan language name). \| Appendix C: Information Required at the Time of MVP Registration and Reporting Expectations for MVP Participants The table below provides a crosswalk of the various clinician types, the information expected at the time of MVP registration, and a reminder of the MVP reporting requirements. \| Who Reports \| Information Required at the time of MVP Registration \| MVP Reporting Requirements \| \|-------------\|------------------------------------------------------\|----------------------------\| \| \| \| Years 1-2 (2023 and 2024) \| Year 3 and Future Years (2025 and beyond) \| \| Individual Clinicians \| MVP selection, Population Health Measure selection, and (as applicable) outcomes-based administrative claims measure selection, as finalized at § 414.1365(b)(2). \| Requirements in Appendix A. \| Requirements in Appendix A. \| \| Groups \| MVP selection, Population Health Measure selection, and (as applicable) administrative claims-based measure selection, as finalized at § 414.1365(b)(2). \| Requirements in Appendix A. Members of the group will be required to report on the same measures and activities within a MVP. \| Requirements in Appendix A. \| \| Subgroups \| MVP selection, Population Health Measure selection, (as applicable) the outcomes-based administrative claims measure selection, and the subgroup participant information described at § 414.1365(b)(2). Note:* Subgroups will also receive a subgroup identifier from CMS at the time of registration. \| Requirements in Appendix A. Members of the subgroup will be required to report on the same measures and activities within a MVP. \| Requirements in Appendix A. \| \| APM Entities \| MVP selection, Population Health Measure selection, and (as applicable) outcomes-based administrative claims selection, as finalized at § 414.1365(b)(2). \| Requirements in Appendix A. \| Requirements in Appendix A. \| Single Specialty Groups \| Group Type \| Requirements \| Additional Information \| \|------------------\|-------------------------------------------------------------------------------\|----------------------------------------------------------------------------------------\| \| APM Entities \| MVP selection, Population Health Measure selection, and (as applicable) outcomes-based administrative claims measure selection, as finalized at § 414.1365(b)(2). \| Requirements in Appendix A. \| \| Subgroups \| MVP selection, Population Health Measure selection, (as applicable) outcomes-based administrative claims measure selection, and the subgroup participant information described at § 414.1365(b)(2). Subgroups will also receive a subgroup identifier from CMS at the time of registration. \| Requirements in Appendix A. Members of the subgroup would be required to report on the same measures and activities within a MVP. \| †Multispecialty Groups will be required to form subgroups to report a MVP. We refer readers to § 414.1305 for the definitions of a MVP Participant, single specialty group, multispecialty group, and subgroup.
Chapter III In situ structure of the complete Treponema primitia flagellar motor Gavin E. Murphy\textsuperscript{1}, Jared R. Leadbetter\textsuperscript{2}, Grant J. Jensen\textsuperscript{1} Divisions of Biology\textsuperscript{1} and Environmental Science and Engineering\textsuperscript{2} California Institute of Technology, Pasadena, CA 91125 To whom correspondence should be addressed: 1200 E. California Blvd., Pasadena, CA 91125, 626-395-8827 (phone), 626-395-5730 (fax), firstname.lastname@example.org. Published in Nature 2006 Aug 31; 442 (7106): 1062-4. doi:10.1038/nature05015 Received 7 April 2006; Accepted 21 June 2006; Published online: 2 August 2006 http://www.nature.com/nature/journal/v442/n7106/full/nature05015.html The bacterial flagellar motor is an amazing nanomachine: built from about 25 different proteins, it uses an electrochemical ion gradient to drive rotation at speeds of up to 300 Hz$^1,^2$. The flagellar motor consists of a fixed, membrane-embedded, torque-generating stator and a typically bidirectional, spinning rotor that changes direction in response to chemotactic signals. While most structural work to date has targeted the purified rotor$^3,^4$, little is known about the stator and its interactions. Using electron cryotomography of whole cells, here we show the in situ structure of the complete flagellar motor from the spirochete Treponema primitia at 7 nm resolution. Twenty individual motor particles were computationally extracted from the reconstructions, aligned, and then averaged. The stator assembly, revealed for the first time, possessed 16-fold symmetry and was connected directly to the rotor, C ring, and a novel P-ring-like structure. The unusually large size of the motor suggested mechanisms for increasing torque and supported models wherein critical interactions occur atop the C ring, where our data suggest that both the C-terminal and middle domains of FliG are found. The bacterial flagellar motor excites considerable interest because of the ordered expression of its genes, its regulated self-assembly, the complex interactions of its many proteins, and its startling mechanical abilities. Stator proteins MotA and MotB form a ring of "studs" within and above the inner membrane that couple the passage of protons across the membrane to the generation of torque$^1,^2$. Above the membrane MotB has a peptidoglycan-binding domain that presumably holds the stator in place by binding to the globally cross-linked peptidoglycan layer$^1,^2$. Below the membrane, the cytoplasmic loops of MotA are believed to spin a wheel of FliG molecules, which, like radial spokes, extend roughly parallel to the membrane from the rotor in the middle to just below MotA on the periphery$^1$. Proteinaceous P and L rings serve as bearings to facilitate the rotation of the rod within the peptidoglycan and outer membranes, respectively$^1,^2$. Inside the cell and below FliG lies the C ring, which regulates the direction of rotation in response to the chemotactic system\textsuperscript{1, 2}. Flagellar basal bodies containing the rotor, rod, and sometimes the C ring have been purified and reconstructed by electron cryomicroscopy-based single particle analysis\textsuperscript{3, 5, 6}. The \textit{Salmonella} rotor possessed 26-fold symmetry\textsuperscript{7} while the \textit{Salmonella} C ring possessed a mean symmetry of 34\textsuperscript{8}. Because the stators do not co-purify with the rotor, however, little is known about their structure and interactions with the rest of the motor. Patterns of stator studs have been seen in 2D, freeze-etch images, but the interpretation of these images is difficult and the number of studs has been reported as either 12 or 16, depending on the species\textsuperscript{9–12}. 2-D cryo-EM images of purified PomA/PomB complexes (homologs of MotA and MotB) from \textit{V. alginolyticus} have revealed an $\sim$ 70 Å long, thin extension above the membrane\textsuperscript{13}. Here we report the complete structure of the flagellar motor, including the stators, obtained by electron cryotomography. Fifteen \textit{T. primitia} cells frozen within thin layers of vitreous ice were imaged (Fig. III-1a, and Methods section). \textit{T. primitia} was chosen for its narrow diameter and interesting periplasmic flagella that emerge from each pole. Twenty motor particles were computationally extracted from the reconstructions, mutually aligned, and averaged (Figures III-1b–e). In both individual maps (Fig. III-1d) and their average (Fig. III-1e), the stator studs were clearly sixteen-fold symmetric around the rod. We checked for symmetry computationally in the other components including the P-collar (the density above the stator as explained below), the rotor, the connections between the stators and C ring, and the C ring itself (Supplementary Fig. III-S1a and b). Presumably because of the limited resolution, only the symmetry of the stators and their connections to the C ring was apparent. This symmetry was therefore imposed on the entire motor, effectively smoothing the other components (Supp. Fig. III-S1c and d). For the first time, the 3-D structure of the stators was revealed in their natural position in contact with the membrane and other motor components (Fig. III-2 and Supplementary Movie). The 16 stator studs (two of which are identified by asterisks in Fig. III-2c) were 8 nm wide, which is similar to the reported values of 5–7 nm seen by other means\textsuperscript{9, 10, 12}. Surprisingly, the volume of each stud above the membrane was ~ 20 times larger than that expected for two MotB peptidoglycan binding domains and much thicker than PomA/PomB resuspended in liposomes\textsuperscript{13}. The identity of the rest of the stator density is unclear. The studs were spaced 7 nm apart, which is sufficient to accommodate hypothetical models for the 18 transmembrane helices in a MotA\textsubscript{4}MotB\textsubscript{2} torque-generating unit\textsuperscript{14}. The average stud was not vertical—instead, it leaned (dotted line in Fig. III-2a) such that its distal end was positioned clockwise relative to the proximal end as viewed from inside the cell. There were thin bridging densities connecting the stud heads around the ring (arrowhead in Fig. III-2c). Four bridging densities (numbered in Fig. III-2b) were seen connecting the stator ("S" in Fig. III-2b) to other components of the motor (see Supp. Fig. III-S2 for contour, variance, and statistical significance maps). Bridging density #1 connected the stator to the C ring ("C" in Fig. III-2b). It is thought that a series of charged residues in a cytoplasmic loop of MotA interacts here with complementary charges in the C-terminal domain of FliG\textsuperscript{1}. The stator-C-ring connections were also rotated with respect to the periplasmic studs, suggesting that they might perhaps be the terminus of a ~ 24 nm long and straight component that extended from the peptidoglycan layer all the way through the membrane to the C ring (see again dotted line in Fig. III-2a). Bridging densities #2 and #3 were finger-like extensions connecting the stator directly to the rotor. Bridging density #4 linked the stator to a contrast-rich ring of density ("P" in Fig. III-2b) encircling the rod above the rotor reminiscent of the P- and L-ring bushings in Salmonella and E. coli. Sequenced Treponema flagellar proteins are similar to the better known Salmonella and E. coli versions (see Supplementary Data), except that the genes for the P and L ring proteins FlgI and FlgH are missing$^{15}$. The absence of an L-ring is understandable because Treponema’s periplasmic flagella never exit the outer membrane, and not surprisingly, isolated Treponema basal bodies lack any ring structures$^{16}$. In our in situ reconstructions, however, an additional ring was seen just above the stators at the level of the peptidoglycan layer, but ~ 8 nm away (surface to surface) from the rod itself. We therefore refer to it as the "P-collar" to reflect its position and loose fit around the rod, though the gene responsible for this density is unknown. This structure may serve to limit the tilt of the flagellar hook and may also further stabilize the stators. The rotor itself ("R" in Fig. III-2b) was bowl-shaped. Unlike previous work on the isolated basal body, in which the membrane location was not certain$^{3,7}$, here the bulk of the rotor was seen to lie just beneath the inner membrane ("IM" in Fig. III-2b) submerged within the C ring. At the bottom of the rotor there was a small ring (arrow in Fig. III-2d) that formed a funnel-like pore, which may perhaps be the insertion apparatus through which flagellin monomers are exported. Another contrast-rich density with low variance (See Supplementary Figure III-S2) was visible 4 nm below the pore and because of its proximity, has been labeled an export bundle ("E" in Fig. III-2b). In comparison to isolated Salmonella basal bodies, which have been reconstructed to higher resolution by single particle analysis$^{3,5}$, the Treponema stud ring, C ring, and rotor are all much larger (Fig. III-3). The rotor is also located lower within the C ring and appears bowl-shaped rather than disk-like. Interestingly, by stereo-photogrammetry the Salmonella rotor also appeared bowl-shaped in situ$^{17}$, so the shape may depend on conditions lost during purification. The Caulobacter rotor has also appeared bowl-shaped in some reconstructions$^6$. Other structural details are remarkably conserved, such as the small gap between rotor and rod (arrows in Fig. III-3c and III-3d). These differences have important implications for current models of the functional and architectural relationships of the components. While the Salmonella motor spins just the flagellum, because Treponema flagella are periplasmic, it is thought that they cause the whole cell to gyrate$^{18}$. Thus each rotation may be much slower and require greater torque. The unusually large stud ring, C ring, and rotor in Treponema may serve to increase torque by increasing the length of the effective lever arm through which each stator stud acts. These larger rings may also accommodate more stator studs and FliG molecules around the ring, in effect "gearing down" the Treponema motor so that the passage of each proton across the membrane produces a smaller angular rotation. FliG is thought to have three domains: a C-terminal domain directly underneath the stator that forms the top of the C ring, a middle-domain whose location is uncertain, and an N-terminal region bound to the rotor$^{1, 2, 4, 19, 20}$. In our reconstructions, the stator-C-ring connection appears on the outside edge of the C ring, and the distance between the C ring and the rotor is too large to be spanned by the 2 nm long alpha helix connecting FliG’s C-terminal and middle domains (see Supplementary Data and starred gap in Fig. III-3). The simplest interpretation of these results is that the C-terminal domain forms the outside edge of the C ring; both the C-terminal and middle domains of FliG lie atop the C ring, and a portion of the N-terminus acts as an extended tether spanning the gap to the rotor, as argued elsewhere$^{19, 20}$. It is interesting to note that while the diameters of the stud and C rings in Treponema are unusually large, nevertheless they still match, so that the studs appear directly above the C ring. The available data suggest that the same relationship holds in other, smaller motors as well$^{3, 11}$, supporting the idea that this juxtaposition is important and that key functional interactions do indeed occur at this interface. Methods Exponential phase cultures of T. primitia strain ZAS-2$^{21}$ were plunge frozen with gold fiducial markers across EM grids in liquid ethane. T. primitia is an obligate anaerobe but can tolerate atmospheric conditions for about 20 minutes, so grids were frozen quickly in small batches. Single-axis tilt series were acquired automatically on a 300 keV FEI Polara FEG TEM. The 20 averaged motors were taken from tilt-series with underfocuses between 10 and 18 µm (first CTF zero between 4.5 and 6.0 nm$^{-1}$). Tomograms were low-pass filtered at the resolution of the first CTF zero and binned once (1.96 nm/pixel). No other CTF corrections were performed. Twenty motor particles were computationally extracted from the tomograms and aligned to an arbitrarily chosen reference particle. The aligned motors were then averaged and rotated so the rod axis corresponded to the z-axis. To detect the symmetry of the components, annular masks were generated for the five different motor regions (shown in Supp. Fig. III-S1b), and then applied separately to all twenty individual particles. The only detectable symmetry in the rotational power spectrum (16-fold) was found in the two stator regions (periplasmic and cytoplasmic), so this was applied to the entire averaged motor. This initial symmetrized average was used as a reference for a further alignment, and the process was iterated a total of five times. To test potential reference bias, two alternate particles were used as a reference, and the resulting average was essentially identical. A resolution of 7 nm was estimated by separately averaging and symmetrizing two halves of the data set and correlating them using Fourier shell correlation with a threshold of 0.5. The isosurface was contoured at a level that showed the connections between stator and C ring. References 1. Kojima, S. & Blair, D. F. The bacterial flagellar motor: structure and function of a complex molecular machine. Int. Rev. Cytol. 233, 93-134 (2004). 2. Berg, H. C. The rotary motor of bacterial flagella. Annu. Rev. Biochem. 72, 19-54 (2003). 3. Francis, N. R., Sosinsky, G. E., Thomas, D. & DeRosier, D. J. Isolation, characterization and structure of bacterial flagellar motors containing the switch complex. J. Mol. Biol. 235, 1261-70 (1994). 4. Thomas, D., Morgan, D. G. & DeRosier, D. J. Structures of bacterial flagellar motors from two FliF-FliG gene fusion mutants. J. Bacteriol. 183, 6404-12 (2001). 5. Sosinsky, G. E., Francis, N. R., Stallmeyer, M. J. & DeRosier, D. J. Substructure of the flagellar basal body of Salmonella typhimurium. J. Mol. Biol. 223, 171-84 (1992). 6. Stallmeyer, M. J., Hahnenberger, K. M., Sosinsky, G. E., Shapiro, L. & DeRosier, D. J. Image reconstruction of the flagellar basal body of Caulobacter crescentus. J. Mol. Biol. 205, 511-8 (1989). 7. Suzuki, H., Yonekura, K. & Namba, K. Structure of the rotor of the bacterial flagellar motor revealed by electron cryomicroscopy and single-particle image analysis. J. Mol. Biol. 337, 105-13 (2004). 8. Young, H. S., Dang, H., Lai, Y., DeRosier, D. J. & Khan, S. Variable symmetry in Salmonella typhimurium flagellar motors. Biophys. J. 84, 571-7 (2003). 9. Khan, S., Dapice, M. & Reese, T. S. Effects of mot gene expression on the structure of the flagellar motor. J. Mol. Biol. 202, 575-84 (1988). 10. Khan, S., Ivey, D. M. & Krulwich, T. A. Membrane ultrastructure of alkaliphilic Bacillus species studied by rapid-freeze electron microscopy. J. Bacteriol. 174, 5123-6 (1992). 11. Khan, S., Khan, I. H. & Reese, T. S. New structural features of the flagellar base in Salmonella typhimurium revealed by rapid-freeze electron microscopy. J. Bacteriol. 173, 2888-96 (1991). 12. Coulton, J. W. & Murray, R. G. Cell envelope associations of Aquaspirillum serpens flagella. J. Bacteriol. 136, 1037-49 (1978). 13. Yonekura, K. et al. Electron Cryomicroscopic Visualization of PomA/B Stator Units of the Sodium-driven Flagellar Motor in Liposomes. J. Mol. Biol. 357, 73-81 (2006). 14. Braun, T. F., Al-Mawsawi, L. Q., Kojima, S. & Blair, D. F. Arrangement of core membrane segments in the MotA/MotB proton-channel complex of Escherichia coli. Biochemistry 43, 35-45 (2004). 15. Limberger, R. J. The periplasmic flagellum of spirochetes. J. Mol. Microbiol. Biotechnol. 7, 30-40 (2004). 16. Jackson, S. & Black, S. H. Ultrastructure of Treponema pallidum Nichols following lysis by physical and chemical methods. II. Axial filaments. Arch. Mikrobiol. 76, 325-40 (1971). 17. Katayama, E., Shiraishi, T., Oosawa, K., Baba, N. & Aizawa, S. Geometry of the flagellar motor in the cytoplasmic membrane of Salmonella typhimurium as determined by stereo-photogrammetry of quick-freeze deep-etch replica images. J. Mol. Biol. 255, 458-75 (1996). 18. Charon, N. W. & Goldstein, S. F. Genetics of motility and chemotaxis of a fascinating group of bacteria: the spirochetes. Annu. Rev. Genet. 36, 47-73 (2002). 19. Brown, P. N., Hill, C. P. & Blair, D. F. Crystal structure of the middle and C-terminal domains of the flagellar rotor protein FliG. EMBO J. 21, 3225-34 (2002). 20. Lowder, B. J., Duyvesteyn, M. D. & Blair, D. F. FliG subunit arrangement in the flagellar rotor probed by targeted cross-linking. J. Bacteriol. 187, 5640-7 (2005). 21. Leadbetter, J. R., Schmidt, T. M., Graber, J. R. & Breznak, J. A. Acetogenesis from H$_2$ plus CO$_2$ by spirochetes from termite guts. Science 283, 686-9 (1999). Supplementary information is linked to online versions of the paper at [www.nature.com/nature](http://www.nature.com/nature). Acknowledgements We thank Eric Matson for growing the T. primitiva cultures. This work was supported in part by NIH grants P01 GM66521 and R01 AI067548 to G.J.J., DOE grant DE-FG02-04ER63785 to G.J.J., a Searle Scholar Award to G.J.J., NSF grant DEB-0321753 to J.R.L., NIH graduate fellowship F31 EB 004179 to G.E.M. and gifts to Caltech from the Ralph M. Parsons Foundation, the Agouron Institute, and the Gordon and Betty Moore Foundation. Author Contributions G.E.M. collected/analysed the data and drafted the text and figures; J.R.L. provided cells and discourse and G.J.J. guided the research and manuscript editing throughout. Author Information The averaged and symmetrized structure has been deposited in the EM Data Bank ([http://www.ebi.ac.uk/msd/index.html](http://www.ebi.ac.uk/msd/index.html)) with the accession code EMD-4663. Reprints and permissions information is available at [npg.nature.com/reprintsandpermissions](http://npg.nature.com/reprintsandpermissions). Address correspondence to G.J.J. at email@example.com. Figure III-1. Electron cryotomography of T. primitia and its periplasmic flagellar motor. a) 2 nm thick central section through a tomogram of an entire Treponema cell. A flagellar motor is located near each cell tip and the flagella rotate in the periplasm (scale bar 200 nm). b) Axial slice through the center of one extracted motor particle. c) Axial slice through the average of twenty motor particles. d) Radial slice through the stator region of the same particle shown in b, taken at the height indicated by the arrow. e) Radial slice through the average motor, taken at the height indicated by the arrow in c (scale bar 20 nm, for b-e). Figure III-2. Isosurface of the symmetrized average flagellar motor. a) Side view. The dotted line indicates the tilt of the stators with respect to the membrane. b) Cutaway of the motor in the same orientation. The stators (S) are embedded in the inner-membrane (IM) and directly contact the C ring (C) (#1), the rotor (R) (#2 and #3) and the P-collar (P) (#4). A rod extends from the rotor, and a bundle (E) lies under the rotor’s pore. c) Oblique view of the motor’s top from within the periplasm. Note the arrangement of the stator studs (asterisks) and their linkages (arrowhead). d) Oblique view of the motor’s bottom from within the cytoplasm, with the bundle removed to reveal the pore ring (arrow). Figure III-3. The Treponema motor and its comparison to the Salmonella basal body. All objects are at the same scale. a) Axial slice through the Treponema flagellar motor (scale bar 20 nm). b) Projection of the 3-D reconstruction of the Salmonella basal body (scale bar 20 nm). c) Cartoon interpretation of the Treponema motor with its components labeled. The arrows here and in panel d point to the gap between the rotor and rod, while the stars indicate the gap between the C ring and rotor. The location of the peptidoglycan layer (PG) is conjectured. The outlined objects' locations are approximate. The flagellum actually bends more gradually over the P-collar in presumably random directions but appears straight when averaged. The inner membrane and outer membrane (OM) both bulge more widely around the motor in situ than is pictured. d) Cartoon of the Salmonella basal body for comparison. e) Measurements of various motor features. Figure III-S1. Symmetry of the motor components and 3.9-nm thick serial sections. a) To detect the symmetry of the components in the average, annular masks were generated for the five different motor regions shown in the panel and then applied separately to all twenty individual particles. The regions that were not analyzed for symmetry are grey and transparent. The ruler on the left marks the heights of the radial sections shown in c and d. b) Rotational correlation coefficients were calculated by rotating each of the 100 objects (5 regions of 20 different motors) in $1^\circ$ steps $360^\circ$ around the z-axis and calculating the 3-D cross-correlation coefficient with the unrotated object. The results were Fourier transformed in 1-D to produce rotational power spectra (one for each component of each motor), and then the average power spectrum for each component was plotted, as shown in the panel. The only symmetry detected was the 16-fold symmetry within the stator ring, so this symmetry was imposed on the entire motor, effectively smoothing the other components. c) Sections through the average motor. (Section 9 is through the membrane.) d) Sections through the symmetrized average. Note the symmetry of the stators both below (sections 10–11) and above (sections 6–8) the membrane (scale bar 20 nm, for b and c). Figure III-S2. Significance maps. a) An axial cutaway of the symmetrized average map contoured at various levels. Because the connections are not all coplanar, the left and right halves of the figure actually show different planes. The left half shows the plane that bisects connection #4 (see Fig. III-2 for numbering), while the right half bisects connection #1. The density threshold at which surface renderings of electron cryotomography maps should be contoured is usually unclear. The isosurfaces in Fig. III-2 correspond to 0.95 standard deviations above the mean. This value was chosen as the tightest contour that still manifests the connection between the stator assembly and the C ring known to exist from previous work$^1$. Here four additional contours are shown as well. The colors red, yellow, green, blue and pink correspond to 0.45, 0.75, 0.95, 1.2, and 1.45 times the standard deviation, respectively. The steepest density gradients exist along the edges of the rod, while the most gradual occur at the edge of the stator assembly where the membranes of the individual motors continue outwards with somewhat variable curvature. The order of the connections in terms of density are, from largest to smallest, #2, #1 and #4, and finally #3. b) A 2 nm thick, axial section of the symmetrized variance map with the outline of the motor superimposed (at the favored, 0.95 standard deviation contour level, colored again in green). The highest variances occur around the rod, as expected, since the rods in each individual motor emerge at different angles, bending over against the P-collar and underneath the outer membrane. The next highest variances are in the cytoplasm underneath the rotor. Some variance is seen in the regions of the connections, as well as on the top face of the export bundle. The rotor and stator stud regions of the map have the least variance. c) An axial cutaway of a symmetrized significance map, generated by subtracting from the normally distributed average map the product of 2.093 times the standard error map, which corresponds to the lower boundary of the "95% confidence" interval of a two-tailed student t-test for a sample size of $20^{22}$. The colors red, yellow, green, blue, and pink correspond to thresholds of 0.31, 0.41, 0.51, 0.61, and 0.71 times this map’s standard deviation, respectively. The middle threshold (0.51, green) was chosen to again enclose the same favored volume as the isosurface in Fig. III-2. While the absolute numerical confidence level is not known because the "correct" threshold is still somewhat arbitrary, the order of the connections, in terms of significance from greatest to least, is #4, #1, #2, and finally #3, which alone lacks some connecting density at the favored threshold. Supplementary figures III-S3–S5 show sequence alignments for the three key motor proteins FliG, MotA, and MotB, which argue that their domain structure is conserved throughout bacteria. Though Treponema primitia strain ZAS-2 has not been sequenced, its 16S rRNA shares 86% and 85% sequence identity with that of T. pallidum and T. denticola, respectively. Thus the structural inferences about the positions, sizes, and interactions of their domains made here based on our T. primitia reconstruction are likely generally applicable. The organisms compared are the Gammaproteobacteria E. coli and Salmonella typhimurium; the Betaproteobacteria Bordetella bronchiseptica; the Spirochetes Treponema denticola, Treponema pallidum, Leptospira interrogans, and Borrelia burgdorferi; the Firmicute Bacillus subtilis; Thermotoga maritima; the Epsilonproteobacteria Helicobacter pylori; the Deltaproteobacteria Geobacter sulfurreducens; and the Alphaproteobacteria Agrobacterium tumefaciens, except that in Fig. III-S3, Agrobacterium tumefaciens has been replaced with Caulobacter crescentus. Amino acids with 50% conservation are shaded in gray while those with 100% identity are shaded in black. The sequences were aligned with ClustalW\textsuperscript{23} and presented using Alscript\textsuperscript{24}. Figure III-S3. Sequence alignment of FliG. The colored alpha-helices below the sequences are from the crystal structure of T. maritima’s middle and C-terminal domains of FliG$^{19}$. The pink region corresponds to the middle domain; the blue region corresponds to the 2 nm long helix that bridges the middle and C-terminal domains, and the orange and green regions correspond to the C-terminal domain. Amino acids shaded in cyan are those which, when mutated in E. coli, caused reduced binding to FliM in yeast 2-hybrid studies$^{25}$. Notice they occur in both domains. The blue-colored and red-colored arrowheads are the conserved positively or negatively charged amino acids that interact with the oppositely charged residues of MotA.$^1$ Figure III-S4. Sequence Alignment of MotA. The colored helices correspond to the predicted transmembrane helices (TMH) generated by the TMHMM Server\textsuperscript{26}. The blue helices correspond to the predicted helices of \textit{T. pallidum}, the orange helices to \textit{T. maritima}'s, and the green helices to \textit{Salmonella}'s. The blue-colored and red-colored arrowheads are the conserved positively or negatively charged amino acids that interact with the oppositely charged residues of FliG.\textsuperscript{1} Figure III-S5. Sequence Alignment of MotB. The colored helices are predicted and colored as in Figure III-S2. The pink arrowhead points to the conserved, protonatable aspartate residue.$^1$ The black line bounded by arrowheads delineates the OmpA-like domain that binds to the peptidoglycan layer. Also aligned are the chain sequences from the crystal structures of the E. coli Peptidoglycanassociated lipoprotein (PDB id: 1OAP) and the OmpA-like domain from N. meningitidis RmpM (PDB id: 1R1M). Supplementary Movie The movie first shows orthoslices from top to bottom through the reconstruction of one T. primitia cell and then displays the segmented surfaces of tip filaments (green), the outer membrane (brown), the inner membrane (pink), the two periplasmic flagella (blue and red), and the surfaces of the motors for each flagella (blue and orange). An isosurface of the averaged, symmetrized flagellar motor is shown next (yellow), and finally the components that are thought to spin are colored in blue, while the fixed stator region is shown in yellow and orange. Supplementary Methods Cell Growth and Grid Preparation. Cultures were grown to an OD of ~ 0.6 at room temperature in sealed culture tubes containing 4YACo medium under a headspace of 80% H$_2$ and 20% CO$_2$ as described previously$^{21}$. To prevent aggregation in high-salt solutions, 10 nm colloidal gold was pretreated with 5% BSA for 30 minutes. It was then concentrated five-fold and 5 ml was applied to glow-discharged, carbon-coated R 2/2 quantifoil grids, and then dried. Grids were plunge frozen in a Vitrobot (FEI Company) in 100% humidity. Electron Tomography Data Collection and 3-D Reconstruction. Tilt series were acquired using the UCSF Tomo software$^{27}$. Typically, tilts were incremented 1° from −63° to 63°. The magnification was 22,500 (0.98 nm/pixel) and the total dose was ~ 110 e$^-$/Å$^2$, distributed according to the 1/cos scheme. Tomograms were reconstructed using IMOD$^{28}$. Image Processing. Bsoft$^{29}$ and the Peach distributed computing system$^{30}$ were used for image processing. Visualization and surface map measurements were done with Amira (Mercury Computing Systems). The twenty extracted particles were bandpass-filtered between 200 nm and the first CTF zero. The missing wedge in reciprocal space was masked so that only measured regions of reciprocal space were used to align the particles, but no other object-specific mask was used. Course alignments were done in refine mode with an initial angular step size of 5° through all three Euler angles. Map averaging, symmetrization, and significance testing were done as described in the main text and supplementary figure legends. Supplementary Notes 22. Frank, J. Three-Dimensional Electron Microscopy of Macromolecular Assemblies (Academic Press, San Diego, 1996). 23. Thompson, J. D., Higgins, D. G. & Gibson, T. J. CLUSTAL W: improving the sensitivity of progressive multiple sequence alignment through sequence weighting, position-specific gap penalties and weight matrix choice. Nucleic Acids Res. 22, 4673-80 (1994). 24. Barton, G. J. ALSCRIPT: a tool to format multiple sequence alignments. Protein Eng. 6, 37-40 (1993). 25. Marykwas, D. L. & Berg, H. C. A mutational analysis of the interaction between FliG and FliM, two components of the flagellar motor of Escherichia coli. J. Bacteriol. 178, 1289-94 (1996). 26. Krogh, A., Larsson, B., von Heijne, G. & Sonnhammer, E. L. Predicting transmembrane protein topology with a hidden Markov model: application to complete genomes. J. Mol. Biol. 305, 567-80 (2001). 27. Zheng, Q. S., Braunfeld, M. B., Sedat, J. W. & Agard, D. A. An improved strategy for automated electron microscopic tomography. J. Struct. Biol. 147, 91-101 (2004). 28. Kremer, J. R., Mastronarde, D. N. & McIntosh, J. R. Computer visualization of three-dimensional image data using IMOD. J. Struct. Biol. 116, 71-6 (1996). 29. Heymann, J. B. Bsoft: image and molecular processing in electron microscopy. J. Struct. Biol. 133, 156-69 (2001). 30. Leong, P. A., Heymann, J. B. & Jensen, G. J. Peach: a simple Perl-based system for distributed computation and its application to cryo-EM data processing. Structure 13, 505-11 (2005).
Image in image Steganography Technique based on Arnold Transform and LSB Algorithms Sadik Ali Al-Taweel Information Systems Department University science & Technology Sana’a, Yemen Mohammed Husain Al-Hada Computer Science Department University science & Technology Sana’a, Yemen Ahmed Mahmoud Nasser Computer Science Department University science & Technology Sana’a, Yemen ABSTRACT Computer security, for quite a long time, was almost a limited field of study which was mainly the concern of theoretical computer scientists, electrical engineers, and applied mathematicians. The techniques of concealing data have taken an important role with the rapid growth of intensive transfer of multimedia content and secret communications. There are many techniques used for data hiding and the well-known technique is the Steganography. Steganography is the art of concealing information in ways that prevent detection. For hiding secret information in images, there exists a large variety of Steganography techniques, some are more complex than others and all of them have respective strong and weak points. This paper deals with encrypt and hiding an image in another gray image file using Least Significant Bit (LSB) based Steganography and Arnold's transformation algorithm based Cryptography. This algorithm will be against Noise, Sharpening and Contrast Attacks. Experimental results indicate that the algorithm has good security and imperceptibility in grayscale images. General Terms Digital Image Processing, Steganography, Security Keywords Image processing, Steganography, information hiding, Arnold Transform 1. INTRODUCTION Based on [1] it was stated that "Security through obscurity says that if you hide the inner workings of your system you will be secure. This philosophy does not work when it comes to security, and it does not work when it comes to cryptography". Most of the requirements of secret communication, sometimes in combination with other techniques, such as cryptography, and Steganography, complement each other. It is recommended to use these two techniques together to obtain a higher level of security. Information security is the protection of information and the systems and hardware that use, store, and transmit that information. It can be defined as measures adopted to prevent the unauthorized use or modification of using data or capabilities [2]. Image scrambling refers to some kind of transform, which makes the spatial location of the pixel become chaotic, and lose their original properties and meaning. However, the total number of pixels and histogram has not unchanged so as to achieve the purpose of encryption. In addition, the scrambling must be one kind of reversible transformation; otherwise it will not have any significance in the practical application. If anyone does not know the rules and keys of the transformation, it is impossible to retrieve the original image. During the process of scrambling, the loss of the hidden information is also dispersed into the whole hidden data, where it minimizes the loss of meaningful information so as to reach the purpose of improving robustness. Therefore, image scrambling technology has been widely applied in the image Steganography field [3]. Arnold transform is a type of image scrambling method. The transformation shifts pixel position from $(x, y)$ to $(x', y')$ without changing its gray value. It is cyclic which means the secret image repeats itself after a certain number of iteration. 2. RELATED WORK M. Mishra, et.al [4] propose a spatial domain LSB substitution method for information embedding and Arnold’s transform is applied twice in two different phases to ensure security. The proposed system is checked and validated against a series of standard images and it does not resist noise, as the lower order bit planes are generally affected by noises and compression techniques. P. Das, et al [5] suggested hiding multiple secret images in a single 24-bit cover image using LSB substitution based image steganography. They have encrypted a secret image before hiding in the cover image using Arnold Transform. S. Shankar, et al [6] proposed data hiding and image encryption scheme using random diffusion and two dimensional Arnold cat mapping transform. They also placed secret message bits in the least significant bit positions of the cover image. The shared key is used to generate 8 bit random integer stream and also added to the stego image in the random diffusion step. M. Mahdavi, et.al [7] suggested a new accurate steganalysis method for the LSB replacement Steganography. The proposed method is based on the changes that appear in the histogram of an image after the incorporating of data. Every pair of adjacent bins of a histogram are either inter-related or unrelated depending on whether embedding of a bit of data in the image could affect both bins or not. Chang, C.C et al [8] proposed an image Steganography technique which offers high embedding capacity and brings less distortion to the stego image. The process of embedding embeds bits of secret bit stream on the stego image pixels. Instead of replacing the LSB of every pixel, this method replaces the pixel intensity with a similar value. The range of modifiable pixel value is higher in edge areas than smooth areas to maintain good perceptual excellence. This method has a shortcoming which is a boundary problem; this means the pixel which is located for embedding will become unused; since it exceeds the maximum intensity level that is greater than 255 (maximum gray scale intensity). Wu, H.C et al [9] proposed an improvement in the capacity of the hidden secret data so as to provide an imperceptible Stego-image quality. This method is based on the least significant bit (LSB) replacement and the pixel-value differencing (PVD) method is also suggested in this paper. The limitation of this method is Low-hiding capacity which is attributed to mainly hiding in smooth areas. For example if a pixel value difference is 3 of the corresponding range width is 8, only 3 bits can be embedded in a pair of pixels. Y. K. Jain et al [10] proposed an adaptive least significant bit spatial domain embedding method. This method divides the image pixels ranges (0-255) and generates a stego-key. This private stego-key has 5 different gray level ranges of image and each range refers to substitute fixed number of bits to embed in least significant bits of image. The strength of this method is its integrity of secret hidden information in stego-image and high hidden capacity. This method could be weak for hiding extra bits of signature with a hidden message for its integrity purpose. This study also proposed a method for color image just to modify the blue channel with this scheme for information hiding. The purpose of this method is to achieve high hidden capacity plus security of a hidden message. According to Yang et al., in [11], an adaptive LSB substitution based data hiding method for image is proposed for achieving a better visual quality of stego-image. The noise sensitive area for embedding is taken care of by this method. The proposed method differentiates and takes advantage of normal texture and edges area for embedding. Using this method one can analyze the edges, brightness and texture masking of the cover image to calculate the number of k-bit LSB for secret data embedding. The value of k becomes high at non-sensitive image region and over sensitive image area (k) value remains small in order to balance the image overall visual quality. The LSB’s (k) for embedding is calculated by the high-order bits of the image. It also uses the pixel adjustment method for better stego-image visual quality through LSB substitution method. The overall result reveals a good high hidden capacity, but dataset for experimental results are limited. There is no single image which has many edges with noise region like ‘Baboon.tif’. C.-H. Yang et al [12] proposed that a Pixel Value Difference (PVD) and simple least significant bits scheme are used to achieve adaptive least significant bits data embedding. In PVD, the size of the hidden data bits can be estimated by the difference between the two consecutive pixels in cover image using simple relationship between two pixels. This method generally provides a good imperceptibility by calculating the difference of two consecutive pixels which determine the depth of the embedded bits. The proposed method hides large and adaptive k-LSB substitution at edge area of image and PVD for smooth region of image. In this way, therefore, the technique provides both larger capacity and high visual quality according to experimental results. However, the algorithm proposed by them seems complex because of adaptive (k) generation for substitution of LSB. K.-H. Jung et al [13] proposed a method of Multi-Pixel Differencing (MPD) which uses more than two pixels to estimate smoothness of each pixel for data embedding and it computes the sum of difference value of four pixels block. For a small difference value, it uses the LSB, whereas for a high difference value it uses the MPD method for data embedding. In this method the experimental dataset is too limited. In [14] the authors suggested another pixel value differencing method, which used three pixels for data embedding near the target pixel. Also, it uses the simple k-bit LSB method for secret data embedding where the number of k-bit is estimated by near three pixels with a high difference value. To keep better visual quality and high capacity, it simply uses the optimal pixel adjustment method on target pixels. In this method, the histogram of stego-image and cover-image are almost the same, but the dataset for experiments is too small. W. J. Chen et al [15] introduced a high capacity of hidden data utilizing the LSB and hybrid edge detection scheme. For edge calculation, two types of canny and fuzzy edges detection method were applied and simple LSB substitution was used to embed the hidden data. This scheme is successful to embed data with a higher peak signal to noise ratio (PSNR) with normal LSB based embedding. This method is tested on limited images dataset. Based on LSB substitution and selection of random pixel of required image area, Madhu et al., in [16] proposed an image steganography method. The purpose of this method is to improve the security where password is added by LSB of pixels. It also generates the random numbers and selects the region of interest where a secret message has to be hidden. The limitation of this method is that it does not consider any type of perceptual transparency. 3. PROPOSED ALGORITHM Based on [17] the methodology of proposed method is given as follows: 3.1 Arnold Transform and LSB Algorithms Before embedding, the secret message is implemented for block transformation using the Arnold image transformation. The Arnold image transformation is defined as the point $(x, y)$ in the unit square transforms into the other point $(x', y')$ [18]: \[ \begin{bmatrix} x' \\ y' \end{bmatrix} = \begin{bmatrix} 1 & 1 \\ 1 & 2 \end{bmatrix} \begin{bmatrix} x \\ y \end{bmatrix} \mod N \] Where, $(x', y') \in \{0,1,2,3..N-1\}$ are pixel coordinates of the secret image, $(x,y)$ is the transformed position of $(x', y')$ and $N$ is the order number of image matrix. Suppose the secret image has iterated for $K$ iterations then the “chaotic” secret image will be obtained; so $K$ can be saved as a key1. Figure 1 shows an example of Arnold transform with four iterations. ![Fig 1: Example of Arnold Transform. The first image is the secret image, which has been encrypted with four iterations separately as shown.](image) After the encryption step the secret will hide in cover image by using Least Significant Bit (LSB) Replacement. This is the simplest method of the steganography methods which are based on the use of LSB, and therefore the most vulnerable. The embedding process consists of the sequential replacement of each Least Significant Bit (LSB-1-2) of the image pixel for the bit-stream of secret image by bit-or function. The extracting process also consists of sequential extracting for bit-stream of secret image by concatenation method. For its simplicity, this method can hide a great volume of information. Figure 2 shows the diagram of the proposed method and the following algorithm steps illustrate how the proposed method works. 12. Finally, recover the secret image. 4. RESULT AND DISCUSSION In Steganography, the technique Peak Signal-to-Noise Ratio (PSNR), Normalized Correlation (NC) is a standard measure used in order to test the quality of the stego images. The PSNR is used to evaluate the imperceptibility of the Stego-image, the maximum value is (100) and the minimum value is (0), whenever the bigger, the better. It can be found in equation (2). MSE is the Mean Square Error. For imperceptible hiding, the stego-image should appear as similar as the cover-image, whenever was the youngest, the better. It can be found in equation (3). In this section, some experiments are carried out to demonstrate the efficiency of the proposed method without and with attack. Before the embedding process, the secret image was firstly encrypted using Arnold transform algorithm. Three of 8-bit grayscale images of size 512512 used as cover and shown in Figure 3. \[ MSE = \frac{1}{MN} \sum_{i=0}^{M} \sum_{j=0}^{N} (I_B(i,j) - I_H(i,j))^2 \quad (2) \] \[ PSNR = 10 \times \log_{10} \left( \frac{255^2}{MSE} \right) \text{ (db)} \quad (3) \] ![Fig 3: Cover Images: (A) Baboon (B) Lena (C) Airplane](image) 4.1 Results without Attack In this section, the proposed method has been tested in three experiments without attack by taking three standard 512512 gray scale images (Baboon, Lena and Airplane) as a cover and three secret images with different lengths. Figure 4 used "Baboon.bmp" as a Cover image and "Flower.bmp" as Secret image with size (128128). And Figure 5 used "Lena.bmp" as Cover and "Baboon.bmp" as Secret image with size (192192). Also Figure 6 used "Airplane.bmp" as a cover image and "Lena.bmp" as a Secret image with size (256256). ![Fig 4: First Embedding Experiment: (A) Cover image, (B) Secret Image, (C) Stego-Image](image) ![Fig 5: Second Embedding Experiment: (A) Cover image, (B) Secret Image, (C) Stego-Image.](image) 4.1.1 PSNR The results that are obtained from these experiments are recorded and compared with another method in [19]. It can be summarized in the following table: Table 1. Comparative Performance of MSE, PSNR without Attack* \| Methods \| Cover Image (512512) \| Number of Hidden Bits \| PSNR \| \|-------------\|-----------------------\|-----------------------\|------\| \| LSB SM \| Lena \| 164538 \| 38.56\| \| \| Baboon \| 298413 \| 48.18\| \| Proposed Method \| Lena \| 294912 \| 43.60\| \| \| Baboon \| 131072 \| 51.13\| \| \| Airplane \| 524288 \| 44.29\| As shown in the table the proposed method has been compared with another method, which is labeled (LSB SM) with different capacity for the embedding. The proposed Method has three experiments, while the other method has two experiments. Here PSNR is used for indicate the preference. The following histogram will show the different rate of the two methods. 126.96.36.199 The Simulation Results of Performance Measurement The measurement of the quality for a stego image, the Peak Signal to Noise Ratio (PSNR) was used in the performance measurement of the proposed method. The proposed method was compared with the existing methods and the quality of the stego image. ![Result of Performance](image) Fig 7: Comparative of PSNR* 4.1.2 NC The results of NC obtained from secret images are shown in Figures 8, 9 and 10 below and recorded in the next table: Table 2. Result of NC without Attack \| Secret Image \| Extracted Image \| NC \| \|--------------------\|-------------------\|----\| \| Flower (128128) \| Flower (128128) \| 1 \| \| Baboon (192192) \| Baboon (192192) \| 1 \| \| Lena (256256) \| Lena (256256) \| 1 \| The table shows the results that are similar to NC values which are obtained from the different experiments of cover-images in Figures 8, 9 and 10, which are graphed in the following histogram. 188.8.131.52 Histogram of NC ![Histogram of NC without Attack](image) Fig 11: Histogram of NC without Attack. 4.2 Results with Attack In this section, the proposed method was tested in three experiments by using three types of attacks with different values. Three gray scale 512512 images (Baboon, Lena and Airplane) were used as a cover and two gray scale images (Flower and Baboon) were used as secret images with different length for each. 4.2.1 Noise Attack This section will test the proposed method using noise attack with three values. Figure 12 shows ("Baboon.bmp", "Lena.bmp" and "Airplane.bmp") images before/after attack. Baboon was tested with value (0.03), Lena was tested with value (0.04) and Airplane was tested with value (0.05). Figure 12. Noise Attack: (A) Baboon before noise attack, (B) Baboon after noise attack, (C) Lena before noise attack, (D) Lena after noise attack, (E) Airplane before noise attack, (F) Airplane after noise attack. 4.2.2 Sharpening Attack This section will test the proposed method using sharpening attack with three values. Figure 13 shows ("Baboon.bmp", "Lena.bmp" and "Airplane.bmp") images before and after attack. Baboon tested with value (0.00001), Lena tested with value (0.00002) and Airplane tested with value (0.00003). Figure 13.:Sharpening Attack: (A) Baboon before sharpening attack, (B) Baboon after sharpening attack, (C) Lena before sharpening attack, (D) Lena after sharpening attack, (E) Airplane before sharpening attack, (F) Airplane after sharpening attack. 4.2.3 Contrast Attack This section will test the proposed method using sharpening attack with three values. Figure 14 Shows ("Baboon.bmp", "Lena.bmp" and "Airplane.bmp") images before/after attack. Figure 14: Contrast Attack: (A) Baboon before Contrast attack, (B) Baboon after Contrast attack, (C) Lena before Contrast attack, (D) Lena after Contrast attack, (E) Airplane before Contrast attack, (F) Airplane after Contrast attack. 4.2.4 MSE-PSNR with Attack Tables 3, 4 and 5. Figures 15, 16 and 17 show the results that similar PSNR values which obtained from the different experiments with three types of attacks in different cover and secret images. Table 3. Results of MSE and PSNR with Noise attack. \| Cover Image \| Ratio of Attack \| Size of Capacity \| MSE \| PSNR \| \|-------------\|-----------------\|------------------\|-------\|------\| \| Baboon \| 0.03 \| 32768 \| 533.602 \| 20.858 \| \| Lena \| 0.04 \| 131072 \| 746.753 \| 19.399 \| \| Airplane \| 0.05 \| 294912 \| 1084.763 \| 17.777 \| Figure 15: PSNR with Noise Attack Table 4. Results of MSE and PSNR with Sharpening attack. \| Cover Image \| Ratio of Attack \| Size of Capacity \| MSE \| PSNR \| \|-------------\|-----------------\|------------------\|-------\|------\| \| Baboon \| 0.00001 \| 32768 \| 533.602 \| 20.858 \| \| Lena \| 0.00002 \| 131072 \| 746.753 \| 19.399 \| \| Airplane \| 0.00003 \| 294912 \| 1084.763 \| 17.777 \| Figure 16: PSNR with Sharpening Attack Table 5. Results of MSE and PSNR with Contrast attack. \| Cover Image \| Ratio of Attack \| Size of Capacity \| MSE \| PSNR \| \|-------------\|-----------------\|------------------\|-------\|------\| \| Baboon \| 0 \| 32768 \| 1121.787 \| 17.631 \| \| Lena \| 0 \| 131072 \| 800.249 \| 19.098 \| \| Airplane \| 0 \| 294912 \| 4383.738 \| 11.712 \| Figure 17: PSNR with Contrast Attack From the above Tables and figures the results show that similar PSNR values were obtained from the different experiments with three types of attack in different cover and secret images. In the following the histogram of the obtained values is given. 184.108.40.206 NC Here, NC has been computed by using three types of attacks (Noise attack, Sharpening Attack and Contrast Attack). Two gray scale images (Flower and Baboon) were used as secret images. The first image (Flower) with size 6464, second (Baboon) with size 128128 and the third image (Baboon) with size 192192. The results of NC that were obtained from secret images are shown in Figures (18, 19, and 20) below and recorded in the next Table: (A) Flower before Noise attack, (B) Flower after Noise attack, (C) Baboon size 128128 before Noise attack, (D) Baboon size 128128 after Noise attack, (E) Baboon size 192192 before Noise attack, (F) Baboon size 192192 after Noise attack. Figure 18: Experiments (NC) Noise Attack. (A) Flower before Sharpening attack, (B) Flower after Sharpening attack, (C) Baboon size 128128 before Sharpening attack, (D) Baboon size 128128 after Noise Sharpening attack, (E) Baboon size 192192 before Sharpening attack, (F) Baboon size 192192 after Sharpening attack. Figure 19: Experiments (NC) Sharpening Attack. A) Flower before Contrast attack, (B) Flower after Contrast attack, (C) Baboon size 128128 before Contrast attack, (D) Baboon size 128128 after Contrast Sharpening attack, (E) Baboon size 192192 before Contrast attack, (F) Baboon size 192192 after Contrast attack. All experiments of NC with attack have been obtained with different values for each attack. The following Table and Figure show the type of attacks with three ratios for each attack and (secret & extracted) images size. Table 6. Result of NC with Attacks \| Attacks \| Ratio of Attack \| Secret Image \| Extracted Image \| NC \| \|---------\|-----------------\|--------------------\|---------------------\|------\| \| Noise \| 0.03 \| Flower (6464) \| Flower (6464) \| 0.970\| \| \| 0.04 \| Baboon (128128) \| Baboon (128128) \| 0.988\| \| \| 0.05 \| Baboon (192192) \| Baboon (192192) \| 0.983\| \| Sharpening \| 0.00001 \| Flower (6464) \| Flower (6464) \| 0.490\| \| \| 0.00002 \| Baboon (128128) \| Baboon (128128) \| 0.833\| \| \| 0.00003 \| Baboon (192192) \| Baboon (192192) \| 0.831\| \| Contrast \| \| Flower (6464) \| Flower (6464) \| 0.445\| \| \| \| Baboon (128128) \| Baboon (128128) \| 0.731\| \| \| \| Baboon (192192) \| Baboon (192192) \| 0.836\| Figure 21: Histogram of NC with Attacks. 5. CONCLUSION The proposed method described in this paper helps to successfully hide the secret image into the cover image, with minimum distortion made to the cover image. First, the secret image was scrambled using Arnold algorithm and embedded to the cover image by using LSB algorithm. This method is essential for the construction of accurate targeted and blind Steganalysis methods for BMP images. By using Arnold transform, the proposed method will be more secure. The main features of the proposed method are imperceptibility and security. One limitation of the proposed method is being slow in extracting algorithm when using a large size image higher than 160160. Also, it cannot use images which have different dimensions; it can only use a square array of image which has the same dimensions. 6. REFERENCES* [1] E. Cole. 2003. Hiding in Plain Sight: Steganography and the Art of Covert Communication. Indiana, John Wiley & Sons Inc. [2] M.E. Whitman & H.J. Mattord. 2007. Principles of information security. Thomson course technology. [3] Yinglan Fang, Lin Tian, "An Improved Blind Watermarking Algorithm for Image Based on DWT Domain", Journal of Theoretical and Applied Information Technology, 15th November 2012. Vol. 45 No.1. [4] M. Mishra, A. Ranjan, s. Kumar, " High Security Image Steganography with Modified Arnold’s Cat Map", International Journal of Computer Applications (0975 – 8887) Volume 37– No.9, January 2012 [5] P.Das, S.C.Kushwaha, M. Chakraborty. 2015. Multiple Embedding Secret Key Image Steganography Using Lsb Substitution And Arnold Transform. IEEE Sponsored 2nd International Conference On Electronics And Communication System (ICECS 2015) [6] S. Shankar, A. Rengarajan, "Data Hiding In Encrypted Images Using Arnold Transform ", ICTACT Journal On Image And Video Processing, August 2016, Volume: 07, ISSUE: 01 [7] M. Mahdavi, Sh. Samavi, N. Zaker and M. Modarres-Hashemi, "Steganalysis Method for LSB Replacement Based on Local Gradient of Image Histogram", Iranian Journal of Electrical & Electronic Engineering, Vol. 4, No. 3, July 2008. [8] C.C. Chang, H.W. Tseng. A Steganographic method for digital images using side match. Pattern Recognition Letters 25, 1431–1437, 2004. [9] H.C. Wu, N. I. Wu, C.S. Tsai, M.S. Hwang. 2004. An Image Steganographic Scheme Based on Pixel-Value Differencing and LSB Replacement Methods. IEEE Proceedings of visual image signal Process, November 7, 2004. [10] Y. K. Jain and R. R. Ahirwal, “A Novel Image Steganography Method With Adaptive Number of Least Significant Bits Modification Based on Private Stego-Keys” International Journal of Computer Science and Security (IJCSS), vol. 4, 2010 March 1, [11] H. Yang, X. Sun and G. Sun, “A High-Capacity Image Data Hiding Scheme Using Adaptive LSB Substitution”, Journal: Radioengineering, vol. 18, no. 4, 2009, pp. 509-516. [12] C.H. Yang, C.Y. Weng, S.J. Wang and H.M. Sun, “Adaptive Data Hiding in Edge Areas of Images with Spatial LSB Domain Systems”, IEEE Transactions on Information Forensics and Security, vol. 3, no. (2008, September 3, pp. 488-497. [13] K.H. Jung, K. J. Ha and K.Y. Yoo. 2008. Image data hiding method based on multi-pixel differencing and LSB substitution methods. Proc. 2008. International Conference on Convergence and Hybrid Information Technology (ICCHIT '08), Daejeon (Korea), (2008) August 28-30, pp. 355-358. [14] H. Zhang, G. Geng and C. Xiong. 2009. Image Steganography Using Pixel-Value Differencing. Electronic Commerce and Security, ISECS '09. Second International Symposium on 2009, May. [15] W. J. Chen, C. C. Chang and T. H. N. Le, “High Payload Steganography Mechanism Using Hybrid Edge Detector”, Expert Systems with Applications (ESWA 2010), vol. 37, pp. 3292-3301, 2010, April. [16] V. Madhu Viswanatham and J. Manikonda, “A Novel Technique for Embedding Data in Spatial Domain”, International Journal on Computer Science and Engineering, IJCSE, vol. 2, 2010. [17] Sadik. A. Al-Taweel, M. A-Hadam, A.M.Naser, M.Al-Thamary.2015. Hide Image in Image Based on LSB Replacement and Arnold Transform. The 7th International Conference on Information Technology (ICIT). [18] John Miano. Compressed image file formats: JPEG, PNG, GIF, XBM, BMP. First printing, July (1999), Copyright© 1999 by the ACM Press. [19] Chang, C.C., Tseng, H.W.; "A Steganographic method for digital images using side match", Pattern Recognition Letters 25, 1431–1437 (2004).
CAVEMAN CIRCUIT TRAINING BEGINNERS INTERMEDIATE ADVANCED www.cavemantraining.com.au \| Program #: \| CT201200858 \| \|---------------\|-------------\| \| Program name: \| Not Tyre-d (Yet)! \| \| Number of stations: \| 11 \| \| Participants exercise: \| in pairs \| \| Circuit allows for: \| 22 participants max \| \| Recommended time per station: \| 45 seconds \| \| Approximate number of rounds: \| 3 to 4 \| \| Total circuit time: \| 27 to 30 minutes \| \| Recommended break after each round: \| 10 to 15 seconds \| \| Program type: \| Agility & Cardio \| \| Level: \| Beginners \| \| Muscles: \| Glutes, Hamstrings, Quadriceps, Calves, Adductors, Abductors, Chest, Deltoids, Triceps, Biceps, Back, Core \| INTRODUCTION CT201200858 This effective workout is a great introduction to the Caveman style of training. It’s suitable for both beginners and more experienced exercisers, and is targeted at helping you improve agility and build cardiovascular endurance. These elements of fitness are especially important if you engage in sports, but are also handy if you want to feel like less of a klutz in your everyday life. The exercises are fairly easy to do, and there’s a minimum of equipment. We mostly just use tyres and kettlebells. If you’ve never used tyres in your workouts before, you’re in for a treat. You’ll be surprised at how versatile this everyday item can be in making your workout both fun and challenging. (Plus it allowed us to give this workout a cool name!) In the first half of each round, you’ll be moving almost constantly, jumping in and out of tyres, dodging around poles, and generally doing lots of plyometric (explosive) moves. Agility combines balance, coordination, speed, reflexes, among other things, and the movement patterns are likely to be quite unfamiliar to you. This will keep you on your toes literally (and mentally) and challenge your agility. At the same time, the constant movement will challenge your cardiovascular system. In the second half of the round, we change the focus a little bit to give you a breather from the constant running around. Don’t think that we’re making things easy for you though! You’ll be working on your muscular strength and endurance, with moves that challenge all the muscles in your body. It’s just as taxing as jumping in and out of tyres – just in a different way. Although there aren’t any exercises where we’ll be working your core specifically, you’ll find that your abs and lower back are getting a good workout as you’ll be using them continually during all the exercises to keep the body in perfect alignment. Do this circuit 3 to 4 times, spending 45 seconds at each station, with no breaks in between each station. We’ll give you a short 15-second break between each round to catch your breath. The exercises are challenging without being overly intimidating, and most beginners will be able to complete the circuit if they push themselves hard. Not “tyre-d” yet? You definitely will be when you’re done! See our YouTube channel for videos www.youtube.com/executiveresults THE CIRCUIT CT201200858 STATIONS 01. Side shuffle & ball toss 10lbs 02. Travelling squats 03. Tyre jumps 04. Agility pole weaving 05. Tyre shuffles 06. Kettlebell swing 10kg 07. Tyre push 08. Kettlebell alternating shoulder press 2 x 8Kg 09. Kettlebell high pull 10Kg 10. Kettlebell bent over row 2 x 6Kg 11. Hurdle jumps x 4 THE CHALLENGE No challenge in Beginners Side Shuffle and Ball Toss This is an agility exercise. Stand with your knees soft, feet about shoulder-width apart. Hold the slam ball in both hands at about chest level. Making sure that your head is in line with your shoulders, hips, and knees, toss the ball up into the air. There’s no need to go for a lot of height – just try to get the ball up to about 1 meter above your head. As far as possible don’t look at the ball, or stare at the ball waiting for it to drop back down. Instead, keep your gaze forward. Once you’ve tossed the ball up, immediately lower your body slightly by bending your knees and shuffle sideways to the end of the exercise area where there’ll be another slam ball on the ground. Make sure your knees remain soft, and your chest is up and facing forward as you move. Pick up the slam ball, toss it into the air and immediately shuffle back the way you came. Muscles: Calves, Abductors, Adductors, Glutes, Hamstrings, Quads, Shoulders, Triceps Traveling Squats This is an agility exercise. For this exercise, seven tyres will be placed on the ground in a vertical row in front of you. Stand in front of the row of tyres with your feet about shoulder-width apart. To start the exercise, straddle the first tyre with one foot on each side of the tyre. Lower your butt into a three-quarter squat position. Your knees should be bent, feet pointing forward. Now pick up your feet and travel forward, while still straddling the tyres. The tyres will keep your legs apart and help make sure you maintain the squat position all the way through. When you reach the last tyre, reverse direction but not the way you face your body. Pick up your feet one at a time and travel backward until you are back at the start position. Try to travel forward and back as quickly as you can, at all times keeping your knees directly over your ankles to ensure proper alignment. Remember to keep your core tight, back straight, and chest up during the exercise. If necessary, you can swing your arms to help with balance. You should also look forward at all times. Resist the temptation to look down at your feet or behind you as it will unbalance you. Muscles: Calves, Abductors, Adductors, Glutes, Hamstrings, Quads Tyre Jumps This is an agility exercise. For this exercise, we’ll place eight tyres in a vertical row in front of you, with a gap between each tyre that’s just large enough for you to jump into and out of. Stand with your feet about shoulder-width apart, right in front of the first tyre. Sit back into a half-squat, then push off with both feet and jump lightly up and forward over the tyre. You should be landing lightly on the balls of both feet, with your knees soft. Immediately jump again with both feet over the second tyre, and continue until you reach the end of the line. At the end, run (don’t walk) back to the first tyre, and go again. Do the jumps as quickly as you can. Remember to keep your core muscles tight during the jumps. Keep your head up rather than staring at the tyres. This will help with your balance. Muscles: Glutes, Hamstrings, Quads, Calves Agility Pole Weaving This is an agility exercise. We’ll place eight agility poles in a vertical row in front of you with just enough space between them to “slalom” between the poles. Stand just behind and to the side of the first pole, with your knees soft. Make sure your body is aligned. Take one large diagonal step forward and to the side so that you weave in between the first and second poles, then take a large diagonal step with your other leg in the opposite direction to weave between the second and third poles. You should be taking only one step to go between each pair of poles, and not shuffling between the poles. You may find that to get the distance you need, you will have to put some force into the movement and turn the step into a hop. Repeat until you reach the final pole then run (don’t walk) back to the start and go again. The “slalom” should be a continuous series of movements, and you should weave around the pole smoothly. Remember to keep your core tight, head up, and eyes looking forward. Try not to look at the poles or your feet – you’ll only trip yourself up. Muscles: Glutes, Hamstrings, Quads, Calves, Adductors, Abductors Tyre Shuffles This is an agility exercise. There’ll be a large tyre on the ground in front of you. Step onto the tyre so that one foot is on the rim of the tyre nearest to you. Step the other foot forward and place it on the opposite rim. You should be in a staggered stance with both feet on the tyre’s rim. Your feet should be as far apart as you can get them on the tyre. (i.e. right over the centre line of the tyre). No cheating by shifting your feet to the left or right of centre and reducing the range of motion! Place your hands on your hips before you start to shuffle your legs forward and back. Keeping your knees soft and your chest up and back straight, jump up and switch the front foot to the back rim, and the back foot to the front rim, and repeat. Keep your core tight, and look forward to help with your balance. Muscles: Glutes, Hamstrings, Quads, Calves Kettlebell (KB) Swing Stand directly in front of the KB with your legs wider than shoulder-width apart. Descend into a half-squat, and place both hands on the KB handle. Tighten your core muscles, and make sure that your back is straight. Lift the KB, then swing it gently between your thighs. You should be bent forward at the hips with your torso about 45 degrees to the ground. Your wrists should be pressing gently against your inner thighs. “Snap” your hips forward in an explosive movement, and use the momentum to swing the KB up in an arc. Counter the KB’s weight by shifting your weight backward. At the top of the swing, the KB should be slightly above eye level. As the KB swings back down, slightly bend the knees to absorb the weight, and allow the KB to swing between the thighs. Make sure that your abdominals are tight throughout the movement, and that your back is not excessively arched or rounded at any point of the exercise. Muscles: Glutes, Hamstrings, Quads, Delts, Core, Back Tyre Push The tyre will be in front of you. Bend your knees and descend into a half squat. Fold forward from the hips. Place your hands on the edge of the tyre, elbows fully extended. Ensure that your core is fully engaged to support your back. Your back should be straight. Your neck should be in line with your spine - keep your head in a neutral position. There’s no need to look down or up. Step forward with one leg then piston your legs to drive the tyre forward. When you reach the end, move over the other side of the tyre, and push the tyre back to the start position. Repeat. Muscles: Glutes, Quadriceps, Hamstrings, Calves, Triceps, Chest, Deltis Kettlebell (KB) Alternating Shoulder Press The two KBs will be on the floor. Stand with your feet shoulder-width apart right in front of the KBs. Lower into a squat position, and grab one KB in each hand in an overhand grip. Keeping your back straight and your chest up, push through your heels and extend your hips to pop up into a standing position The KBs are relatively light, so you should be able to pull the KBs up your legs and torso as you push out of the squat, flipping your grip as your bring them up to shoulder height. At this time, your palms should be facing inward toward your chest. Tighten your abdominal muscles to support your torso and spine, pull your shoulder blades back and down, and push one KB directly overhead until your elbow is fully extended and biceps close to the ear. Your palms should now be facing outward. Lower the kettlebell back to your shoulder and press the other kettlebell up with the opposite arm. Repeat, alternating sides. Be careful not to arch your back as you push KBs up. Muscles: Deltoids, Triceps, Core Kettlebell (KB) High Pull The KB will be on the floor. Stand with your feet shoulder-width apart right in front of the kettlebell. Lower into a squat position, and grab the KB with both hands in an overhand grip. Keeping your back straight and your chest up, push through your heels and extend your hips to pop up into a standing position. You’ll be holding the KB at about groin level with your elbows fully extended. Bend your knees slightly and dip your body. As you pop up use the momentum to help you pull the KB up your chest until the handle is directly under your chin. Your elbows will be fully bent and out to the side, framing your face. Lower the kettlebell by allowing your arms to extend. Repeat. Muscles: Trapezius, Deltoids Kettlebell (KB) Bent Over Row Stand with a KB in each hand, with your feet about shoulder-width apart. Draw up your spine and make sure that your head, shoulders, hips and knees are in line. Tighten your abdominals to support your back and spine. Fold at the hips and lean forward so that your torso is about 45 degrees to the ground. Make sure that you don’t round your back; instead your back should remain flat. Allow your arms to dangle straight down from your shoulders, elbows fully extended. Your palms should be facing toward the body. Draw your shoulder blades back and down, and keeping the torso at the same angle and your back flat, drive your elbows straight back to bring the KBs next to your chest. Keep your arms close to your body, and make sure not to let your elbows “flare” out to the side. Extend your arms to lower the KBs. Repeat. Muscles: Back, Biceps, Core Hurdle jumps This is an agility exercise. We’ll have four hurdles set up in a vertical row in front of you with enough space between them to jump in and out. Stand in front of, and fairly close to, the first hurdle. Your feet should be about or slightly less than shoulder-width apart with your knees soft. Make sure that your head is in line with your shoulders, hips and knees. Bend your knees slightly then push off with both feet and jump lightly up and forward over the hurdle. You should be landing lightly on the balls of both feet, with your knees soft. Immediately jump again with both feet over the second hurdle, and continue until you complete all four. At the end, run (don’t walk) back to the first tyre, and go again. Do the jumps as quickly as you can. Remember to keep your core muscles tight during the jumps. Keep your head up rather than staring at the hurdles. This will help with your balance. Muscles: Glutes, Hamstrings, Quads, Calves 1 Specific detail not included, but a warm up and cool down is always recommended, duration and type depends on participants and exercises. 2 Suggested rounds, break time and duration of program is a recommendation only, please adjust any times provided accordingly depending on the fitness of your clients. 3 Should you have any feedback, improvements or additions to this program, we want to hear from you, please email us on email@example.com with the subject line including the program number. 4 If you have any doubts about a certain exercise, please consult a sports book that explains the exercise in detail or another fitness professional. 5 Always do the exercises yourself before you put your clients through it. 6 Adjust the program to your clients’ needs and your available equipment if required. 7 Our YouTube channel provides a lot of information and demonstration videos, feel free to use it as an additional resource http://www.youtube.com/user/executiveresults 8 If you have any videos of your circuit feel free to submit them for constructive criticism or to be included in our YouTube channel firstname.lastname@example.org 9 Although we promote training people till they puke or break and not give up, this never means that you should train your clients while or till they are injured, if a client feels they are not able to perform an exercise properly or feel like they are going to injure themselves, they should communicate this to you and you should adjust or stop the program. 10 When working in pairs, always try to match clients up with people of the same fitness and other similar characteristics. 11 Recommend or insist on a longer rest period if your participants look like they might endanger themselves when driving after the workout. 12 Signing up for the weekly Caveman Circuit Training Program does not give you the right to promote yourself as a Caveman Trainer, or advertise your program as being part of Caveman Circuit Training Australia. You are allowed to display the Caveman Methods Logo as advertised here http://www.cavemantraining.com.au/caveman-workouts.cfm Contact us if you require a high resolution version. 01. Always recommend that participants eat something light before their workout. Participants should also make sure that they are well hydrated before each workout. Newcomers to the circuit sessions often make the mistake of not eating before coming for their workout, only to hit the wall half-way through the workout. Having a small meal of moderate to slow-digesting carbohydrates and protein one to two hours before exercise will ensure that participants have enough fuel to complete the workout. One to two hours should also be enough time for the food to be digested. Also, recommend that participants consume approx half a litre (14 to 20 oz.) of water two to four hours before their workout. Participants will more efficiently cool themselves and will be able to provide their muscles with more fuel if they’re properly hydrated. Explain to them that without the fuel from food and proper hydration their body cannot perform and as a result they will not receive the full benefit of the workout. Note: It’s a good idea to share this information with participants prior to them arriving for the circuit workout. 02. Each station should be marked with a cone so that those working out can quickly spot and recognize the location of each station. Participants will be extremely fatigued during workouts so be sure each station is easy to find. 03. Organize stations so that there is a logical flow to the layout. This will allow participants to quickly and easily move from one station to the next and will minimize confusion. You can use a U formation, circular, zig-zag or other format that suits the layout of your premises. If any part of the circuit layout is not obvious, use chalk to draw arrows to the station, or make signs with clear instructions. You should also point out where all the stations are, including those that may not be immediately obvious, during the initial instructions prior to the workout. 04. Clearly label each station with the name of the exercise to be performed. In many cases, the equipment for the exercises will naturally mark out the exercise station. In cases where there is no equipment for the exercise, use chalk on the floor or make a sign with the name of the exercise. 05. To announce the change of rounds, count down from 10 or 5 and use the word “change” as the cue. For example you would say, “5, 4, 3, 2, change.” To minimize confusion, do not use the same cue for any other activity on the circuit. Be sure to project your voice at a loud enough volume so that each participant can clearly hear you over their heavy breathing and any moving equipment. Consider shouting “change” at a higher volume than your countdown, so that everyone understands that it’s time to move to the next station. A firm and assertive tone would also galvanize participants into moving to the next station swiftly. 06. When participants reach the final station in the circuit, announce this clearly and explain that you expect participants to give their all and to finish the workout strong. As a trainer, encourage your clients as necessary to ensure they use every last bit of reserve energy in their tank. Possible encouraging remarks include reminding participants that they’ll be done for the day after this final station, and that they will feel a great sense of accomplishment if they push through. Remark how finishing strong in spite of their fatigue will develop their mental toughness. 07. The cue for the end of the session is “stop training”. Participants will have the tendency to want to immediately sit down and rest and/or to hydrate themselves. Allow participants to get water, but prevent them from sitting down or stopping their activities abruptly. Instead, gather the group and take them through a structured cool down. Also use this time to stress the importance of post-workout nutrition. Although participants may not feel like eating immediately after the workout, remind them that taking in a meal that consists of both protein and carbohydrates within 45 minutes to an hour of exercise will help to develop muscle mass and improve recovery. Failure to eat after exercise will result in the body breaking down muscle tissue for fuel. Participants who struggle to eat a full meal so soon after training can consider having a small post-workout meal within an hour of the workout to prevent catabolism, and a larger meal an hour or two after that. Remind participants to continue to hydrate themselves throughout the day to replace lost fluids, and advise beginners to keep moving and to stretch following workouts to minimize soreness. 08. We recommend a maximum of 10 to 12 people per trainer so that the trainer can effectively supervise the participants, and ensure good form. The trainer would also be better able to motivate and encourage the group. If your group is larger, we recommend getting another trainer on board to help run the circuit. 09. In beginner circuits, place greater focus on good form. Rather than aim for exercise volume, ensure that participants are performing each exercise with the correct technique. Spend a greater amount of time going over instructions at the start of each beginner session than you would prior to intermediate classes. Feel free to increase breaks in between each round to reiterate teaching points and better explain exercises if participants are having problems with the technique at a particular station or stations. 10. As a trainer you are required to keep the circuit going. Clearly call out cues. Direct and motivate participants. Circulate around the circuit floor, and correct technique and form as you walk through the various stations. Never leave the workout area. 11. Keep an eye out for participants who are not pushing themselves to perform at near-maximal effort. Encourage them as necessary. However, always be sure to first ask the participant if they’re suffering from an injury so that you don’t mistake ‘going easy due to an injury’ for ‘not pushing themselves’. People that do not put in the effort require a bit more motivation and pushing. Stand next to them and ask them why they’re training. Ask them that if they want to be as fit as they can be, and tell them what they can do to push themselves more and achieve their potential. 12. If a participant lacks the core strength necessary to maintain a taut torso during exercises like push-ups, renegade rows and mountain climbers, do not allow them to participate in the exercise. Instead, have them get into a front static plank position. Have them hold this position throughout the duration of that station. This will develop their core strength. Once they’re able to maintain proper form in the static front plank position, they can begin performing the exercises for part of the duration of the station. The participants can slowly progress to performing the exercise for the full duration. 13. Often we find that participants struggle with proper push-up technique. Many times they will perform repetitions too quickly, without achieving the full range of motion. If assisting a male participant, place your fist on the floor directly under their chest and challenge them to touch your fist with their chest during each repetition. This will make them slow down and focus more on range of motion and technique. For females, a cup can be utilized instead of your fist. 14. Be sure to highlight to participants that when performing deadlifts or exercises where they are required to pick weights up, they should maintain a straight back throughout the movement. Stress to them that they should keep their eyes up and bend their knees in a half-squat when picking up the weights. This will help them keep their back straight and decrease their risk of injury. 15. Many of our workouts utilize a squatting movement to develop the major muscles in the legs. To decrease the stress placed on the knees, explain to participants that their knee joints should never extend forward beyond the vertical line of their toes. At the bottom of the squat, their thighs should at least be parallel to the ground. To help them understand and master the proper squat technique, have them push their hips back behind them prior to bending their knees. You can tell them to imagine that they are about to sit down on a bench or even a toilet seat that’s dirty. ADVANCED INTERVAL TIMER iPhone App Executive Results and The TOUGH Spot gym have brought out an interval timer which is especially designed to work with our Caveman Training Circuits. You can download the app for your iPhone from the Apple App Store, just search for “Advanced Interval Timer”. TORNADO The Tornado equipment can be bought directly from Executive Results for $295 Inc GST Shipping - Brisbane Metro: $15.00 - Gold Coast: $20.00 - Sunshine Coast: $20.00 Major cities - Mackay to Sydney: $27.50 - Melbourne, Adelaide & Tasmania: $33.00 www.executiveresults.com.au CAVEMAN CIRCUIT TRAINING™ TRAIN TILL YOU PUKE!!! www.cavemantraining.com.au
Globins in the marine annelid Platynereis dumerilii shed new light on hemoglobin evolution in bilaterians Solène Song\textsuperscript{1,2}, Viktor Starunov\textsuperscript{3}, Xavier Bailly\textsuperscript{4}, Christine Ruta\textsuperscript{5}, Pierre Kerner\textsuperscript{1}, Annemieke J. M. Cornelissen\textsuperscript{2} and Guillaume Balavoine\textsuperscript{1,} Abstract* Background: How vascular systems and their respiratory pigments evolved is still debated. While many animals present a vascular system, hemoglobin exists as a blood pigment only in a few groups (vertebrates, annelids, a few arthropod and mollusk species). Hemoglobins are formed of globin sub-units, belonging to multigene families, in various multimeric assemblages. It was so far unclear whether hemoglobin families from different bilaterian groups had a common origin. Results: To unravel globin evolution in bilaterians, we studied the marine annelid Platynereis dumerilii, a species with a slow evolving genome. Platynereis exhibits a closed vascular system filled with extracellular hemoglobin. Platynereis genome and transcriptomes reveal a family of 19 globins, nine of which are predicted to be extracellular. Extracellular globins are produced by specialized cells lining the vessels of the segmental appendages of the worm, serving as gills, and thus likely participate in the assembly of a previously characterized annelid-specific giant hemoglobin. Extracellular globin mRNAs are absent in smaller juveniles, accumulate considerably in growing and more active worms and peak in swarming adults, as the need for O$_2$ culminates. Next, we conducted a metazoan-wide phylogenetic analysis of globins using data from complete genomes. We establish that five globin genes (stem globins) were present in the last common ancestor of bilaterians. Based on these results, we propose a new nomenclature of globins, with five clades. All five ancestral stem-globin clades are retained in some spiralian, while some clades disappeared early in deuterostome and ecdysozoan evolution. All known bilaterian blood globin families are grouped in a single clade (clade I) together with intracellular globins of bilaterians devoid of red blood. Conclusions: We uncover a complex “pre-blood” evolution of globins, with an early gene radiation in ancestral bilaterians. Circulating hemoglobins in various bilaterian groups evolved convergently, presumably in correlation with animal size and activity. However, all hemoglobins derive from a clade I globin, or cytoglobin, probably involved in intracellular O$_2$ transit and regulation. The annelid Platynereis is remarkable in having a large family of extracellular blood globins, while retaining all clades of ancestral bilaterian globins. Keywords: Globin, Metazoan, Bilaterian, Annelid, Convergent evolution, Blood Background The exchanges of gas, nutrient and waste relying on diffusion are impaired when body size and tissue thickness increase. Most animals develop at least one type of circulatory system to circumvent this limitation. Vascular systems are diverse, representing different solutions to the same purpose in animals with varied body plans. One major function of the blood vascular system is performing gas exchanges, bringing dioxygen to the tissues and taking back waste products (e.g., CO₂). To perform this respiratory function efficiently, many species use respiratory pigments that bind dissolved gases in a cooperative way and considerably increase their solubility in the blood or hemolymph. A general picture of the nature of circulating respiratory pigments used in bilaterians (Fig. 1) suggests a complex evolutionary history. Among the circulating respiratory pigments, hemoglobins in particular display a complex situation and the evolution of globins is still not understood in depth. Globins are ancient proteins present in all groups of living organisms [1]. They are characterized by a unique molecular structure, the “globin fold” made of eight alpha helices which shelters a heme prosthetic group, itself responsible for binding diatomic gases such as O₂ or NO. The globin motif domain is sometimes found in composite proteins that have evolved by fusion of pre-existing protein domains but all respiratory “hemoglobins” derive from proteins with a stand-alone globin motif. The oxygen transport function is well described in specific groups (vertebrates, annelids) but the globin superfamily is prevalent across the animal kingdom and ![Fig. 1](image-url) Distribution of circulatory systems and respiratory pigments in the metazoan consensus tree. Some species have no known respiratory pigments despite having a circulatory system or at least a fluid-filled cavity (nematodes, most echinoderms, urochordates, cephalochordates). It is assumed that in these species, gases either diffuse freely through thin layers of tissues or are freely dissolved in the hemolymph. Some groups have circulating hemoglobins (“red blood”). The status of these hemoglobins is very diverse. They can be extracellular hemoglobins dissolved in the blood, as in many annelids. They can be contained in red cells as in the vertebrates or in some annelids such as capitellids [25]. Some groups have circulating dissolved hemerythrins (“pink blood”), like priapulids, brachiopods and some annelids (Sipunculidae, Magelonidae) [73–75]. Mollusks on one side and many arthropods on the other side have circulating dissolved hemocyanins (“blue blood”) of different molecular origins [76]. Circulating respiratory pigments of different types are generally not present together in the blood, suggesting that the recruitment of each type of pigment for the respiratory function occurred multiple times independently in the evolution of bilaterians [76]. HG hemoglobin, HC hemocyanin, mHC molluscan “hemocyanin”, HE hemerythrin, BVS blood vascular system, CCS coelomic circulatory system. Synthetic information on respiratory pigments can be found in [77] the functions of globins are still poorly known [2]. Many phylogenetic studies have focused on the hemoglobins of mammals and vertebrates in general, starting with the seminal work of Zuckerkandl and Pauling [3]. At a much larger phyletic scale, there has been studies on the evolution of globins at the level of the tree of life [1, 4], and at the level of the eukaryotic tree [5]. These studies emphasize the universality of the globin fold motif present since the last common ancestor of all living cells (LUCA, last universal common ancestor) and the likely functions of these proteins as enzymes or sensors. Within metazoans, many works have analyzed globin evolution in specific metazoan groups such as annelids [6, 7], deuterostomes [8], echinoderms [9], pancrustaceans [10], insects [11], cephalochordates [12], chordates [13] or agnathans [14, 15]. However, a smaller number of studies have focused on the evolution of globins at the metazoan scale [16–19]. These studies have shown that vertebrate hemoglobins and the related myoglobin are only a small branch in a vast tree of animal globins, some of which are used for respiratory functions but many others have still unknown functions. One of these sub-families, the neuroglobins (Ngb) are hexacoordinate intracellular globins first discovered in the mammalian nervous system and whose function(s) remain poorly understood [20–22]. Neuroglobin orthologues have been discovered in a number of animal groups other than vertebrates as well as in choanoflagellates. Expressions of neuroglobins in mammals, cnidarians and the acel Symsaigittifera [18] all occur in neural or sensory cells. Neuroglobins are proposed to be the most ancient clade of globins occurring in animals and hemoglobins have been suggested to be derived from these ancestral neuroglobins by independent, convergent functional divergence [18]. Another study [23] has identified globin X. Globin X proteins are widespread among metazoans, present in teleost fishes and amphibians but not in amniotes. Another panmetazoan clade of globins but missing in all vertebrates, called X-like, is also identified [16]. Globin X proteins are expressed in neural cells in vertebrates [24]. Globins X and X-like often present one or two acylation sites at the N-terminus, either myristoylation or palmitoylation, suggesting that these proteins are linked to cell membranes. The functions of globin-X proteins are not known, although a role in protecting the cell from reactive oxygen species (ROS) is suggested. Blank and Burmester [16] suggest that the blood globins of vertebrates may derive from ancient membrane-bound globins, via the loss of acylation sites, opening, among other things, the possibility to form multimers. Last, a broad study on a large number of marine species transcriptomes including many annelids focused on the question of extracellular globins [19]. Extracellular globins form soluble hemoglobin multimers. Extracellular globins had been known in a small number of bilaterian groups and were thought to have evolved independently in these lineages. Authors claim that extracellular globins similar and orthologous to the ones already well known in many annelids can be identified in Echinodermata, Hemichordata, Brachiopoda, Mollusca, Nemertea, Bryozoa, Phoronida, Platyhelminthes, and Priapulida. They come to the conclusions that extracellular hemoglobin may exist in many more bilaterian groups than previously thought and that the last common ancestor of bilaterians may have possessed this hemoglobin. Despite bringing forward interesting conceptions, these previous works on metazoan globins all suffer from biased sampling. Gene sequences are identified from animals whose complete genome was not available at the time of the study and therefore represent only a subset of the diversity that must exist in metazoans. The sampling of globins of Blank and Burmester [16] was made by searching NCBI Genbank with terms related to globins, while the same database was screened with a Ngb probe in Lechauve et al. [18]. Belato et al.’s study [19] focuses only on extracellular globins and uses only transcriptomes. A larger sampling of complete metazoan genome sequences is now available and allows an update. In this work, we explored the globin content of the genome of the marine annelid Platynereis dumerilii. Many annelids, including Platynereis, are remarkable for the similarities of their blood vascular system (BVS) with the vertebrate BVS. Annelid BVS are usually closed. Annelid blood vessels, devoid of endothelium, are located in between spacious pairs of coelomic cavities in each segment and have a metameric organization along the trunk of the animal. The blood of many annelids is red, containing a high concentration of respiratory hemoglobin. In contrast to vertebrates, this circulating hemoglobin is often extracellular instead of enclosed in red blood cells. Only a few annelid species have circulating red blood cells with intracellular hemoglobin [25]. The extracellular globin structure is very different from the hemoglobin of vertebrates. Instead of a heterotetramer of globin sub-units, many annelids possess a giant hexagonal bilayer hemoglobin molecule (HBL-Hb, originally referred to as “erythrocruorin”), organized in an assemblage of no less than 144 individual globin peptides with the help of linker proteins [26–28]. Platynereis possesses red blood indicating that it is composed of dissolved hemoglobin. Despite its status of emergent model animal for evolution and development studies [29–31], the composition of the blood of Platynereis has not been yet characterized, although it can be inferred that they possess the annelid extracellular giant hemoglobin. We identified the multigenic family encoding for the globins in Platynereis publicly available sequenced genomes and transcriptomes. We combined in situ hybridizations, electron microscopy and 3D reconstructions to identify and characterize the cells that produce these extracellular globins. We analyze the evolutionary relationships of Platynereis globins at the metazoan-wide phylogenetic scale, using a sampling of metazoans for which sequenced genomes are available. We wanted in particular to put to the test the idea that animal hemoglobins are derived convergently from "neuroglobin-like" proteins, involved in a neuronal function [18]. Results Identification of globin genes in the Platynereis genome and cluster mapping We identified in the transcriptomes and genome of Platynereis 19 different genes coding for proteins with a single globin motif (Fig. 2a). Nine of these genes code for a peptide with a secretion signal at their N-terminus, (Pdu Egb-A1a, -A1b, -A1c, -A1d-α, -A1d-β, -A1d-γ, -A2, -B1, -gbll-A, -gbll-B, -gbll-C, -gbll-D, -Sp-gb, -gbll-I-A, -gbll-I-B, -Ngb, -gbll-V-A, -gbll-V-B). ![Fig. 2](image) Fig. 2 The globin genes of Platynereis dumerilii. a Schematic representation of aligned primary structures of globin genes identified in Platynereis transcriptomes and genome. Five invariant amino acid positions provide solid anchor sites for precise homology alignments. Small Alignment gaps are not represented. The predominantly conserved introns positions B12.2 and G7.0 are marked by green stapled lines. Additional introns positions are shown with green arrowheads. Predicted N-terminal signal peptides and acylations are represented as shown. b Schematic representation of the two globin gene clusters found on Platynereis scaffolds. Orange and red block arrows indicate the length and strand position of the genes. Each gene is interrupted by 3–4 introns. Gene Egb-B1 partially overlaps with gene Egb-B2, by a small exon located inside one of the other gene introns. -B2), making them likely to represent extracellular globins (Additional file 1). Six of these genes, distinct from the predicted extracellular globins, code for peptides that are likely to be membrane-bound, thanks to N-terminal acylation sites. All 19 sequences were identified both in the genome assemblies and in the transcriptomes, indicating that they are not cross species contaminations. In addition, all sequences were mapped to different loci in the latest assembly of the Platynereis genome (Fig. 2b and Additional file 2). They therefore represent genuine paralogues instead of divergent alleles. Six of the nine potential extracellular globins (Pdu Egb-A1d-α, -A1d-β, -A1d-γ, -A2, -B1, -B2) are comprised in a chromosomal cluster (Fig. 2b) and two other closely related genes (Pdu Egb-A1a, -A1c) form a tandem pair in a distinct contig. All 10 other genes, coding for putative intracellular globins, as well as the extracellular Pdu Egb-A1b are found as isolated genes on rather large contigs. Phylogenetic analysis of the Platynereis globins at the metazoan scale To understand better the origins of the multiple globin genes present in Platynereis genome, we carried out a phylogenetic analysis of metazoan globins. Except for extracellular globins in a couple of annelid species, we used exclusively species for which a complete genome sequence is available. We chose species representative of all major metazoan clades (phyla). We designed a screening technique with a concatenated globin probe and a low E-value cut-off in order to detect even the most divergent globins. We decided however not to treat in this study the globin domains that are part of multidomain proteins, such as the androglobin of vertebrates. We also did not take into account the globins with multiple serially arranged globin folds as occurring for example in echinoderms [9, 32]. We included the pancrustacean Daphnia pulex. In Daphnia, 11 proteins have a double globin domain organization, suggesting multiple tandem duplications of an ancestral didomain globin. We chose to separate the N- and C-terminal globin domains in each of these peptides and to treat them as individual OTUs in our trees. Our complete genome surveys uncovered a highly variable number of globin sequences in the different metazoan species, ranging from none in the ctenophore Pleurobrachia bachei and the rotifer Adineta vaga, to 32 in the annelid Capitella teleta (Additional file 3). We also searched all metazoan genomes for the specific linker proteins that are associated with the assembly of the HBL-Hb. These proteins are only present in the four annelid species that have also extracellular globins (Additional file 3). We conducted a maximum-likelihood phylogenetic analysis of this sampling of 272 protein sequences (sequence alignment in Additional file 4; complete tree in Additional file 5; simplified version in Fig. 3). A major issue in phylogenetic analyses is to determine the root of the tree, as this directly impacts all the evolutionary interpretations that can be deduced from the tree. In this particular analysis, there are no obvious molecules that could serve as outgroups for globins inside the metazoans. We also decided not to use globins from other eukaryotic groups, as we were concerned that using very divergent outgroups with a small number of alignable positions could result in an artifactual rooting of the tree. Instead of determining where the root of the tree could possibly be, we decided to deduce where it could not be. To this goal, we took into account the solid groupings found in the unrooted tree, as indicated by their aLRT scores, and their composition in species to determine which groupings are natural clades, which we describe in details below. We also excluded a root position within well supported mono-species clades. The root of the tree that is represented in Fig. 3 (and Additional file 5) is thus chosen arbitrarily among the positions that we consider possible based on that criterium. We looked for groupings that would indicate pan-metazoan or pan-bilaterian genes, because they contain globins that are derived from a large sampling of metazoans species and do not contain sub-trees that are themselves composed of a large panel of metazoan species. These solid clades are likely to derive from a single ancestral gene. We found four well supported clades (aLRT > 0.95), that we named clade I–IV, that contain a broad sampling of bilaterian species, but no non-bilaterian species. These are likely descendants of single pan-bilaterian globin genes. In addition, one species rich clade containing both bilaterian and non-bilaterian genes (Porifera, Placozoa, Cnidaria) was found but with only a marginal aLRT support. We named this clade number V as we consider that it likely contains descendants of a single pan-metazoan gene. Last, distinct of these five pan-bilaterian or pan-metazoan clades, we found a well-supported clade containing only spiralian genes (Mollusca, Annelida), which we termed Sp-globins (Sp-gb). In addition to these multi-species clades, two other smaller clades are visible. One of them contains mostly globins of the cnidarian Nematostella vectensis as well as a very derived globin of Drosophila melanogaster that might be there because of long branch attraction. The other clade contains only globins from the nematode Caenorhabditis elegans. These mono-species clades presumably represent relatively recent gene radiations of a single divergent globin and remain unclassified. These eight well supported clades are connected by nodes with low support. Note that our arbitrary root chosen for representation in Fig. 3 (and Additional file 5) is outside of these eight clades. We conducted bayesian phylogenetic analyses of the same sampling of genes and found good support for most clades (clades I, II, III, IV, Sp-gb), but not for clade V (Additional file 5). We mapped on our ML tree the globins that are thought to be membrane bound because they harbor predicted dual N-terminal acylation signals (Additional file 6; Additional file 5, magenta rectangles) [16, 33]. None of the clade I globins is predicted to be membrane-bound. This is in contrast with the clade II, III, IV and Sp-gb, that all contain numerous predicted acylated globins. We retained as likely membrane-associated only those peptides that show strong predictions of both N-terminal myristoylation and palmytoylation. It is likely however that more globins of these clades are actually membrane-bound, for example by combining myristoylation with a basic motif. Based on the large proportion of predicted acylated peptides, there is a strong probability that the ancestral globins of clades II and IV, at least, were themselves linked to the membranes. This analysis thus suggests that all bilaterian globins derive from five ancestral genes that were present in Urbilateria, thus defining five clades of bilaterian globins. Interestingly, Platyneris globins are distributed in all five clades, plus the spiralian-specific clade. In the genomes of non-bilaterian metazoans, a very variable number of globin genes are found. To analyse further the pre-bilaterian evolution of globins, we performed a second ML analysis with an extended sampling of non bilaterian metazoans (sequences: Additional file 7; tree: Additional file 8), two choanoflagellates and one acoel. This extended analysis supports the presence of a single Clade V globin in the last common ancestor of metazoans (Additional files 6 and 8). The situation remains unclear in cnidarians as hydrozoans and one ctenophore appear to have clade III-related sequences. Additional complete genomes of non bilaterians and resolving the controversy of their phylogenetic relationships will be needed to understand fully the complement of globins in the last common ancestor of metazoans. All blood respiratory globins, or suspected to have a respiratory function, either intracellular (human) or extracellular (annelids, Daphnia) are found in clade I in the ML tree (Fig. 3). They also form species-specific clades inside clade I. All human red cell hemoglobin genes are found in a strongly supported clade with the human myoglobin and the human cytoglobin. All the Daphnia globin domains of their large family of didomain proteins are found in two separate clades, the N-domains and the C-domains, again suggesting a radiation from a single ancestral didomain-coding gene. All extracellular annelid globins are found in one moderately supported clade, containing two globin "A" and "B" clades. These extracellular globins are present in four of the six annelid species selected (P. dumerilii, Arenicola marina, Lumbricus terrestris and Alvinella pompejana), representing groups far apart in the annelid tree. This grouping reinforce the interpretation that P. dumerilii putative extracellular globins have indeed a respiratory function, as this function is demonstrated by a number of work in the three other annelid species [27, 28, 34]. It also shows that the acquisition of a secretion signal and the gene A/B duplication that gave birth to these respiratory proteins must have taken place early in annelid evolution, possibly before the last common ancestor of all living annelids. To strengthen this interpretation, we also searched two other annelid genomes that do not present any putative extracellular globins. One is the leech Helobdella robusta in which no clade I globins are detected. The other is Capitella teleta that present a large family of strongly related clade I intracellular globins, that are suspected to have a respiratory function [35]. All the families of circulating respiratory globins present in distant groups in our analyses (vertebrate red cell globins, Daphnia extracellular globins, annelid extracellular globins, Capitella red cell globins) thus correspond to independent event of gene recruitment and duplications, seemingly from a single ancestral clade I globin. *Expression profiling of Platyneresis* extracellular globins** While our phylogenetic analysis suggests a circulating respiratory function for Platyneresis extracellular globins, we wanted to obtain strong evidence of the linkage between extracellular globins and the development of vascular system of Platyneresis. We particularly wanted to establish which cells are responsible for the production of Platyneresis putative hemoglobin. To this end, we compared and combined two types of analyses: an expression analysis of globin genes by in situ hybridization in toto (WMISH) on a series of Platyneresis developmental stages and a transmission electron microscopy study of juvenile stages to explore the vascular system development and characterize the globin producing cells. Platyneresis shows a succession of larval and juvenile stages, as well as a spectacular sexual metamorphosis, called epitoky (Additional file 9). As the larvae, juvenile and mature worms have transparent tissues, the accumulation of hemoglobin in the blood is readily visible at all life cycle stages. Larvae and small juveniles, that are colorless show no sign of expressing hemoglobin. The blood becomes visibly red only when the worm reaches a certain size, around 10–15 segments. Then, the quantity of blood increases progressively as the worm grows longer and thicker, peaking in mature swarming worms. Specific RNA probes were produced for each globin gene. It must be noted however that the Pdu-Egb-A1da, -A1dβ and -A1dy genes have very similar nucleotide sequences, as well as being close chromosomal neighbors. The signal obtained with the Pdu-Egb-A1da probe could be a mix of the expressions of all three genes. None of the globin probes gave a significant signal on early larval stages (24 hpf trochophore, 48 hpf metatrochophore, 72 hpf nectochaete). The 10 intracellular globins gave no signal or non-specific signal in silk glands after long staining periods (not shown). Only six of the seven extracellular globin probes showed specific patterns. They all display expressions in the same cells, but not necessarily at the same time. Typical expression patterns for Egb-A2 are shown in Fig. 4. In particular, we saw no expression of Egb-A1c in juvenile worms. The expression for this gene starts only in worms that are approaching sexual maturity and are about to enter epitoke metamorphosis. For all the most precocious extracellular globins, the expression starts when the worm is about 5 segments (not shown) in the posterior-most segment. In older juveniles, the expression is located along presumptive lateral vessels in the trunk (Fig. 4′, red arrowheads). The expression shows a graded pattern along the anterior–posterior axis: stronger in the mid-body segments and absent in the rostral most and caudal most segments. This graded expression continues as the worms continue to develop. In bigger worms, the expression starts in the appendages of the mid-body along putative vessels that irrigate the part of the appendage that serves as a respiratory gill. The central most segments display expression in the parapodia when more rostral and caudal segments still display expression around lateral vessels in the trunk (Fig. 4c', red arrowheads). There is a more intense expression in the mid-body segments and seemingly a progressive spatial shift of the hemoglobin-producing activity from the trunk to the parapodia (Fig. 4c; Additional file 10). In worms engaged in sexual metamorphosis, we find a decreasing intensity of expression of all extracellular globins in parapodia (Fig. 4e, f). In fully mature swarming worms, hemoglobin content is peaking but there is no mRNA of any blood globin left (Fig. 4g). In addition to the spatial pattern evolution, our WMISH analyses suggest that different extracellular globin isotypes might be expressed at different times. To establish further evidence for globin isotype switching during the life cycle, we turned to quantitative PCR analysis. The stages for qPCR were divided as follows: 48 hpf larvae, 6 weeks larvae, 50 segments larvae, sexual metamorphosis stage I, sexual metamorphosis stage II, mature swimming worms. We designed specific primer pairs for each Egb gene, but again it is expected that primers for Pdu-Egb-A1da are going to capture expressions of the two closely related genes -A1dβ and -A1dy as well. The relative expression levels of the extracellular genes with respect to reference genes show important variations from one biological triplicate to the other (Additional file 11). Different individuals of the same apparent stage can display substantially different levels of globin mRNA. We have no clear explanation for this important variability but globin expression at the mRNA level is known to be highly responsive to physiological conditions, in particular the amount of O₂ available in the environment [36]. Notwithstanding, the general trend is that blood production picks up at 6 weeks, culminates between 50 segments and the beginning of the sexual metamorphosis (75–80 segments) and collapses rapidly after, ending by the time the worm starts swimming, which will be followed by reproduction and death (Fig. 4i). Individual gene expressions, despite variability, show trends that confirm our WMISH observations for some genes. The globins A2, B1 and B2 (Fig. 4i) are expressed at levels that follow the general tendency described above and at higher levels than the four A1 globins. Four paralogous A1 globins (Fig. 4i), meanwhile, are expressed at different levels. While A1a and "A1d-α" follow the general tendency, A1c is expressed significantly only in sexually maturing animals maybe representing an adult-specific HBL-Hb sub-unit. In contradiction with at least some of our WMISH results, A1b was detected only at very low levels in all biological replicates. Characterization of Platynereis hemoglobin-producing cells Next, to understand how the Platynereis BVS develops and to localize the extracellular globin-producing cells and analyse their cytological properties, we observed stained semi-thin sections of worms at various developmental stages (example in Fig. 5k, l) and made 3D reconstructions of their blood vessels (Fig. 5a–j). We also observed ultra-thin sections of worms by electron transmission microscopy (Fig. 5m–r). The Platynereis BVS is built progressively during development. The first signs of a BVS appear when a feeding juvenile with 3–4 segments has settled on the substrate around 15 days after fertilization, in the form of a pulsatile dorsal vessel and a non-contractile ventral vessel (Fig. 5a, b). Then the juvenile starts to add segments at the posterior tip of the body and this sequential addition last during most of the benthic life of the animal (Fig. 5c–f). New metameric BVS units are put in place in each new segment added. Each metameric unit communicate with the contiguous segments by the pulsatile dorsal vessel, the quiescent ventral vessels and derivations of the lateral vessels. New vessels Growing juveniles - 18 segment (6 weeks) - head - 22 segment (8 weeks) - head - 35 segment (10 weeks) - head Egb-A2 Maturing adults - Sub-adult - Metamorphosis Stage 1 - Metamorphosis stage 2 - Swarming adult Egb-A2 Diagram showing anterior, dorsal, ventral, and posterior directions mRNA levels of extracellular globins - Egb-A1a - Egb-A1b - Egb-A1c - Egb-A1d-α - Egb-A2 - Egb-B1 - Egb-B2 Relative normalized expression - 48hpf - 6 weeks - 50 segments - Metamorphosis I - Metamorphosis II - Swarming mature appear in the growing trunk, especially at the level of the segmental appendages, which serve both as legs and branchiae (gills). The numbers of putative hemoglobin-producing cells (HPC) increase progressively as the worm ages, in correlation with the overall quantity of blood observed. One stage corresponds to juvenile worms with around 25–30 segments (Fig. 5g, h). In these worms, the BVS metameric unit is still fairly simple with dorsal and ventral vessels and a couple of lateral vessels (Fig. 5g, h, red tracks). The lateral appendage vasculature is still little developed. At this stage, sheaths of characteristic putative HPC (hpc, in blue) are already present around a pair of transverse blood vessels (tbv, Fig. 5g, h). The other stage corresponds to pre-mature worms with around fifty segments. These worms have much more developed lateral appendage network with lateral vessels colonizing the gill-like parapodia (Fig. 5i, j; red; movie in Additional file 12). In the mid body segments of these worms, the putative HPC sheaths are still visible around the transverse vessels (tbv) but new HPC appear around parapodial vessels, more densely on the dorsal side. Putative HPC semi-thin and TEM images are illustrated in Fig. 5k–r. On semi-thin sections, they appear as thick sheaths of cells surrounding the lateral vessel lumen (Fig. 5k, l). The HPC are organized in a simple epithelium with basal sides facing the vessel lumen and apical sides facing the coelomic cavity (Fig. 5m). A clear basal lamina delineates the vessel lumen on the basal side (Fig. 5o). HPC are therefore meso-epithelial cells in clear continuity with the meso-epithelium that surrounds the coelomic pockets. They show all the characteristics of an intense protein synthesis and secretion activity (Fig. 5n–q). The cytoplasm is mainly filled with a dense rough endoplasmic reticulum (Fig. 5n, o). Electron-dense bodies are visible in the cytoplasm of HPC and are interpreted as hematin vesicles (Fig. 5p). Last, secretion vesicles are clearly identified on the basal side (Fig. 5q), indicating intense exocytosis processes. The vesicles contain a uniformly granulated matrix identical to the aspect of blood. These small granules are thought to represent the giant particles of HBL-Hb, characteristic in many annelid species. These HPC are remarkably similar to the previous descriptions of hemoglobin secreting cells in the heart-body (an organ inside the dorsal vessel) of several sedentarian annelids [37]. Small juvenile worms with 4–6 segments already have HPC, visible in the posterior most segments as small groups of cells (blue) (Fig. 5a–f). In juveniles of various stages, we also identify secretory cells with clear signs of apoptotic degenerescence (Fig. 5r). We believe they represent dying HPC. Their location is correlated with the globin-production shift we detected in the WMISH analysis. We find degenerating cells around the transverse vessels in the mid-body segments at the time when globin production shifts from the trunk to the appendages. We find these degenerative cells as early as in small juvenile with 6 segments (Fig. 5e, f, in the forlast posterior segment, green). Discussion We report the first exhaustive screening for globin genes in an annelid and more generally in a protostome animal. We performed a broad phylogenetic study of the metazoan globins based on complete genome sequences. This study helps in understanding the evolution of the globin superfamily in metazoans. Fig. 10 3D reconstruction of the circulatory system in P. kochi. (a-f) 3D reconstructions of the circulatory system in P. kochi at different developmental stages. (g-j) 3D reconstructions of the circulatory system in P. kochi at different developmental stages. (k-n) Micrographs of the circulatory system in P. kochi. (o-q) Micrographs of the circulatory system in P. kochi. (r) Micrograph of the circulatory system in P. kochi. Combined with the existing knowledge, it gives some hints in the evolution of the red blood itself. Bilaterian hemoglobins evolved several times independently, but from a single intracellular clade I stem globin or cytoglobin [38] as it is termed in mammals. This stem cytoglobin appears to be still present in most bilaterians. Our study strongly contradicts earlier suggestions that annelid-like extracellular globins existed in bilaterian ancestors [19] or that bilaterian hemoglobins evolved by functional shift of neuroglobin-like proteins [18]. A phylogenetic nomenclature of metazoan globins In this work, we have screened only whole genome sequences of a representative sampling of metazoans, using a concatemer sequence probe representing the diversity of human and Platyneris sequences. We are thus confident that our sampling of globins represents the most complete description to date of globin diversity in animals. In trees based on maximum-likelihood and Bayesian algorithms, a number of robust nodes emerged that correspond to globins present in a large sampling of bilaterian species, thus likely to represent ancestral bilaterian genes. The existing classification of globins is mostly mammalian and function oriented, which is of course relevant in certain research contexts. In this article, we want to give a different viewpoint by providing a classification that is based on gene phylogeny at the metazoan level, exactly as it exists for other conserved gene families. Previous publications have tended to develop additional nomenclature by keeping strong mammal- and hemoglobin-centered (hence an evolutionary derived function) points of view. Globins evolved in functional contexts that were entirely different from the eventual evolution of a blood function in a few animal groups and this is what our phylogenetic nomenclature reflects. The five ancestral groups of globin molecules we identified (Fig. 6a) are the following: – Clade I: this includes the totality of circulating blood globins, either extracellular or carried by red cells, found in metazoans. In addition, this group also includes many non-circulating globins. These additional non-blood clade I globins are present in animals with hemoglobin blood, with a non-hemoglobin blood or with no blood at all. The large majority of bilaterian taxa are represented in this group but no globin of non-bilaterian taxa (cnidarians or sponges) is present, indicating that this clade originated in an ancestor of bilaterians. Globin proteins can display two different chemistries, depending on whether the heme is attached to the globin by one or two histidine side chains, respectively referred to as “pentacoordinate” or “hexacoordinate” [39]. The vertebrate hemoglobins and myoglobins, responsible for conveying and storing oxygen are pentacoordinate. Cytoglobins and Drosophila Glob1 however are hexacoordinate suggesting that the vertebrate blood globins could descend from a hexacoordinate globin. – Clade II: this clade contains multiple globins from all bilaterian superphyla (deuterostomes, ecdysozoans, spiralia). It has been called formerly “globin X-like” [16]. Clade II globins are not identified in non-bilaterian taxa, indicating that this clade originated in an ancestor of bilaterians. No clade II globin is present in vertebrates (although it is present in cephalochordates), indicating that a clade II globin was present in the common ancestor of chordates and lost secondarily in vertebrates. – Clade III: this clade contains globins from all bilaterian superphyla. It corresponds to “globin X” [16]. Clade III globins are not identified in non-bilaterian taxa in our main sampling, but the presence of Clade III-like genes in hydrozoans and a ctenophore indicates that this clade may have originated in an ancestor of eumetazoans (Fig. 6b). Our sampling contains only one vertebrate species, human, in which clade III globins are not present. It is known from other studies that clade III globins are present in non-amniote vertebrates, but absent from amniotes, indicating secondary loss. – Clade IV: this clade contains globins from all bilaterian superphyla, although it is absent from chordates. and also from all ecdysozoans except Priapulida. This clade has gone undetected in previous studies. Clade IV globins are not identified in non-bilaterian taxa, indicating that this clade originated in an ancestor of bilaterians. \| Phylogenetic classification \| Current name \| Cytological localization \| Phylogenetic distribution \| References \| Remarks \| \|-----------------------------\|--------------\|--------------------------\|---------------------------\|------------\|---------\| \| Clade I \| gnathostome red blood cell hemoglobins (Hb) \| cytoplasmic \| all gnathostomes except icefish \| Jensen et al., 1998; Hardison, 2012; Geil, 2018 \| α and β hemoglobin forming heterotetramers cooperative O₂ binding \| \| \| agnathan red blood cell hemoglobins (Hb) \| cytoplasmic \| lampreys and hagfish \| Hoffmann et al., 2010; Schwarz et al., 2014; Fago et al., 2018 \| evolved convergently respective to gnathostome Hb form dimers and trimmers cooperative O₂ binding \| \| \| myoglobin (Mb) \| cytoplasmic \| most gnathostomes \| Brunori, 2009; Storz et al., 2011 \| monomeric muscle globin paralogous with Hb and Cygb through whole genome duplication \| \| \| globin E (GbE) \| cytoplasmic \| some sarcopterygians \| Lüdemann et al., 2019 \| GbE is a myoglobin parologue with specialized functions in the eye or oocytes \| \| \| cytoglobin (Cygb) \| cytoplasmic nuclear \| all vertebrates \| Burmester et al., 2002; Oleksiewicz et al., 2011 \| forms dimers paralogous with Hb and Mb through whole genome duplication \| \| \| globin Y (GbY) \| cytoplasmic \| many gnathostomes \| Fuchs et al., 2006 \| possible early Hb paralogue \| \| \| "insectahemoglobins" \| mostly cytoplasmic extracellular in Chironomus \| most hexapods \| Herhold et al., 2020 \| mostly non circulating globins Intracellular respiratory role orthologous to all vertebrate clade I globins \| \| \| crustacean extracellular blood globin \| soluble in hemolymph \| branchiopods \| Burmester, 2015 \| didomain or multidomain globins \| \| \| annelid extracellular blood globin "pyruronin" "chloronarin" \| soluble in blood \| most annelids \| Bailly et al., 2007; Belato et al., 2020 \| forms giant hexagonal bilayer particle orthologous to all vertebrate clade I globins \| \| \| annelid red blood cell hemoglobins \| contained in circulating coelomic cells \| some annelid families \| Mangum et al., 1992 \| evolved several times in correlation with the loss of a closed vascular system \| \| Clade II \| globin X-like \| mostly membrane-bound \| most bilaterians \| Blank and Burmester, 2012 \| functions unknown \| \|-----------------------------\|---------------\|-----------------------\|-----------------\|--------------------------\|------------------\| \| Clade III \| globin X \| mostly cytoplasmic some membrane-bound \| many bilaterians absent in mammals and birds \| Blank et al., 2011; Blank and Burmester, 2012; Koch and Burmester, 2016 \| one of globin X/Clade III globins proposed function is to protect cells from ROS. \| \| Clade IV \| previously unnamed \| mostly membrane-bound \| many bilaterians \| this work \| functions unknown \| \| Clade V \| neuroglobins sensu stricto \| cytoplasmic \| non bilaterian metazoans some bilaterian groups \| Burmester et al., 2000; Lechaue et al., 2013 \| the most ancient animal globin clade, present in choanoflagellates and in metazoans devoid of nerve cells (sponges) but presence is sporadic in bilaterians \| \| Spiralian globins \| previously unnamed \| mostly cytoplasmic some membrane-bound \| spirilians \| this work \| functions unknown \| \| Deuterostomes \| Homo sapiens \| 11 \| 1 \| 12 \| \|---------------\|--------------\|----\|---\|----\| \| \| Clona intestinalis \| 6 (1) \| \| 6 \| \| \| Branchiostoma floridae \| 11 \| 6 \| 2 \| 2 \| 21 \| \| \| Saccoglossus kowalevskii \| 5 \| 1 \| 4 \| 5 \| 15 \| \| \| Ptychoderia flava \| 2 \| 1 \| 4 \| 3 \| 10 \| \| \| Lingula anatina \| 1 \| 1 \| 1 \| \| 3 \| \| \| Pinctada fucata \| 1 \| 2 \| 2 \| 2 \| 5 \| 14 \| \| \| Lottia gigantea \| 3 \| 2 \| 5 \| 1 \| 1 \| 2 \| 15 \| \| \| Octopus bimaculoides \| 2 \| 3 \| \| 2 \| 7 \| \| \| Platytereis duverilli \| 4 \| 2 \| 2 \| 1 \| 1 \| 19 \| \| \| Anilina vaga \| 5 (5) * \| ? \| ? \| ? \| ? \| ? \| ? \| ? \| 7 \| \| \| Alvinella pompejana \| 9 (7) * \| 3 \| ? \| ? \| ? \| ? \| ? \| ? \| 7 \| \| \| Capitella teleta \| 17 \| 5 \| 3 \| 8 \| 1 \| 34 \| \| \| Lumbricus terrestris \| 4 (4) * \| ? \| ? \| ? \| ? \| ? \| ? \| ? \| 4 \| \| \| Helobdella robusta \| 2 \| 2 \| 2 \| \| 4 \| \| \| Schmidtea mediterranea \| 2 \| 3 \| \| 5 \| \| \| Adineta vaga \| \| \| \| \| 0 \| \| Spirilians \| Stygiomys limivitima \| 1 \| 1 \| 1 \| 3 \| \| \| Drosophila melanogaster \| 1 \| \| \| 2 \| 3 \| \| \| Daphnia pulex \| 18 (12) \| 1 \| 1 \| 20 \| \| Ecdysozoans \| Parasteatoda tepidariorum \| 2 \| 5 \| \| 7 \| \| \| Caenorhabditis elegans \| 1 \| \| \| 15 \| 16 \| \| \| Priapulus caudatus \| 1 \| 3 \| 1 \| 4 \| 9 \| \| \| Nematostella vectensis \| \| \| 1 \| 8 \| 9 \| \| \| Trichoplax adhaerens \| \| \| 1 \| 4 \| 5 \| \| \| Pleurobrachia bachei \| \| \| \| 0 \| \| \| Sycon ciliatum \| \| \| 2 \| 1 \| 3 \| – Clade V: this clade is the least statistically supported of all. It contains however globins from a broad variety of metazoans, including sponges and cnidarians, as well as choanoflagellates, one of the closest eukaryotic sister group of metazoans (Additional files 7 and 8). This is the only globin type whose existence is strongly suggested in the last common ancestor of metazoans. Paradoxically, it is also the most "dispensable" globin. It has disappeared from the genomes of the majority of the species in our sampling (especially all ecdysozoans). Clade V is represented in human by the neuroglobin protein and corresponds to some of the "neuroglobins" identified in previous studies. This is however a much narrower group than the "neuroglobin-like" proteins previously described [18]. These authors included many globins in a broad "neuroglobin-like" class, that does not appear to be a clade in our study because they are split between clade II, III and V. – In addition, a strongly supported clade contains only globins from spiralian species (Sp-gb). It may have appeared by a gene duplication of any of the other globin clades. The animal globin superfamily has an ancient history independent from the history of blood The existence of these clades clearly indicates that at least five globin genes existed in Urbilateria. We call these five hypothetical molecules the “bilaterian stem-globins”. Few globin sequences fall outside of these five well-defined clades (Fig. 6b). These additional globins fall into two cases. In one case, these sequences may derive from the stem globins but could have evolved rapidly so as to blur sequence similarities. This is what we would suppose for the large clade of C. elegans globins found alongside a single clade I globin. The second case concerns the clade of sea anemone globins, which includes almost all the sea anemone globins in our data set (except from a single clade V globin). Most of the members of this group are membrane-bound, suggesting that it could be related to any of the bilaterian stem globins that were potentially membrane-bound (clade II, III and IV). Alternatively, the sea anemone membrane-bound globins may derive from an ancestral Eumetazoan membrane-bound globin that would also have given birth to bilaterian clade II, III and IV. Reconstituting metazoan globin history prior to bilaterian diversification is thus at this stage still tentative because of the small sampling of species. The deep relationship between bilaterian stem globins is not solved by our trees (that are arbitrarily rooted in any case). The idea that bilaterian blood globins (and all other clade I globins as defined by our trees) may derive from molecules that were initially membrane-bound [16] is thus not corroborated by our study. It is in our view equally possible that clade I derives from an ancestral duplication of the cytoplamic clade V, while clade II, III and IV would have acquired membrane tethering independently. What were the functions of these numerous non-blood globins derived from the Urbilaterian stem-globins? Here again, very few functional studies have been performed and we can only speculate. Burmester and Hankeln [21] have reviewed the possibilities for the special case of neuroglobins (clade V), but the same possibilities seem to exist for the other clade of non-blood globins (clade I–IV) [40]. These intracellular globins, cytoplasmic or membrane-bound, or in some cases located in the nucleus [41], can display a “classic” function, similar to the vertebrate myoglobin (Mb) in storing O$_2$ in hypoxic conditions or facilitating the delivery of O$_2$ to the mitochondria. New functions have also emerged in the literature, such as the regulation of reactive oxygen species (ROS) [42] or reactive nitrogen species (RNS) that can be deleterious to the cell. It has been also been speculated that they could function as O$_2$ or redox sensors by interacting with other proteins such as G proteins [43] or cytochromes to transmit a signal. The five Urbilaterian stem globins have undergone remarkably dissimilar fates in different bilaterian groups (Fig. 6b). They have all been conserved in the annelid Platynereis dumerilii and the mollusks Pinctada (bivalve) and Lottia (snail). In other bilaterian groups, one or more of the ancestral clades have been lost. Amniotes have kept only clade I and clade V globins. The urochordate Ciona has only clade I globins left but six clade I paralogues are present, maybe compensating for the loss of the other types. The most extreme case was however the rotifer Adinetta, in which we could not identify any globin-related gene. This species lineage has thus lost all five ancestral globins. A novel scenario for the evolution of blood globins Oxyphoric circulatory globins have evolved several times during the course of metazoan evolution. All circulatory multigenic families in our dataset derive from a likely unique clade I globin, possibly after recruitment for the circulatory function and several rounds of gene duplications. These multigenic families encompass for example the human hemoglobin family as well as the extracellular globin families of annelids and Daphnia. In the case of the hemoglobins of vertebrate erythrocytes (RBC), heterotetramers comprising alternate globin isotypes circulate depending on the development stage. Adult human hemoglobins form heterotetramers comprising sub-units of two isotypes, $\alpha$ and $\beta$, coded by paralogous genes [44]. During the course of human embryogenesis and foetal development, different iso-types of hemoglobins are produced (δ, γ, ε, ζ), coded by other paralogous genes located in two clusters of α and β-related paralogues. The crucial emerging property of the hemoglobin tetramer is cooperativity: the binding of an O₂ molecule to one of the sub-unit induces a conformational change in the tetramer that makes the binding of O₂ easier to the three remaining sub-units. Elsewhere among metazoans, other gene radiations correlated with hemoglobin-based blood evolution have occurred. Three of the concerned groups are sampled in our tree: four species representing a wide diversity of annelids, the special case of the annelid Capitella teleta, the pancrustacean Daphnia. In annelids, our phylogenetic analysis is in accordance with the scenario that early gene duplications, probably in the last common ancestor of modern annelids, produced the initial two families (A, B) encompassing the four extracellular globin sub-families A1, A2, B1, B2 that form the HBL-Hb. A recent work based on a massive sampling of annelid species transcriptomes recovered a variable number of extracellular globins, ranging from 1 to 12 depending on the species [7, 19]. Gene trees made in this later work suggest that, while the early gene duplication A/B indeed occurred prior to annelid diversification, the sub-families A1, A2, B1 and B2 are not recognizable at the scale of the annelid tree. This is in accordance with what we obtain at the much smaller scale of our annelid sampling. This fact might be interpreted as evidence that the annelid last common ancestor has only two clade I paralogous globin genes, A and B, and that additional gene duplications occurred independently in many annelid lineages. Alternatively, four paralogous genes (A1, A2, B1, B2) may have existed early on in annelid history, accounting for the HBL-Hb found in divergent annelid groups, but in this case the gene sequences are not informative enough to reconstitute early duplication steps. Our work differs however in a striking way from previous results [19]. These authors identify a number of extracellular globins related to the annelid A and B extracellular globins from a large and diversified subset of bilaterian species including echinoderms, hemichordates, brachiopods, nemertines, mollusks and priapulids. We find no evidence for the existence of globins related to the annelid extracellular globins in bilaterian complete genomes, other than annelids. We argue for a thorough reconsideration of transcriptome screens [19], as many protein globin sequences these authors found in non-annelid bilaterians are strikingly similar if not identical to individual annelid sequences (as illustrated in their Fig. 4). This is suggesting multiple tissue or DNA contaminations between species transcriptomes. Despite Platynereis blood hemoglobin having never been directly characterized by spectrometric tools, our EM and sequences similarities show that Platynereis must exhibit HBL-Hb. In Platynereis, additional duplications have affected the A1 gene, making several parologue sub-units. These sub-units, according to our in situ hybridization and qPCR data, may be used in producing alternative composition of circulating hemoglobin that would be used for physiological adaptations as the worm develops, grows and metamorphoses. The clade I stem-globin evolved into a family of intracellular globins in some annelid species. In the case of the sedentarian worm Capitella, which does not have blood vessels, the hemocoel contains many red cells with intracellular globins with oxygen binding properties [25]. We have identified 17 intracellular globin paralogues, all closely related, in the genome of Capitella SpI and no extracellular globins. It appears as a case where the ancestral annelid extracellular globins were lost secondarily and replaced by RBC globins. Although hemocyanin is the main respiratory pigment in pancrustaceans [21], branchiopods such as Daphnia, a few malacostracans and a few Insects (such as Chironomus larvae) rely on hemoglobin for respiration. Daphnia hemoglobins have been thoroughly studied [45], as a model of adaptation to the environment by the extensive use of alternative globin iso-types. Daphnia possesses a large family of extracellular two-domain globin-coding genes. It is proposed that the hemolymph of Daphnia contains a crustacean hemoglobin made of 16 identical globin peptides with two hemes each [46]. For our phylogenetic analysis, we treated the two globin fold sequences independently, resulting in trees indicating that the multigenic family of Daphnia globins has emerged from the tandem duplications of an ancestral didomain globin gene. However, globin gene radiations are not necessarily linked to recruitment for a function in the blood. This is exemplified by urochordates and cephalochordates. The ascidian Ciona intestinalis possesses 6 clade I globins, all closely related. The cephalochordate Branchiostoma has eight clade I globins found in two clusters in this analysis. Both species have nevertheless a colorless blood and to date, no functional study has shown either oxygen binding properties or their presence in the circulatory system. All clade I globins likely derive from a single ancestral clade I sequence. This ancestral clade I globin was duplicated several times in different clades independently to give small families of blood respiratory proteins. This raises two questions: What was the ancestral function(s) of this clade I globin that made it so well pre-adapted for a role in blood function and is there a gene, in current bilaterian species, that still carries this ancestral function(s)? We can only speculate at this point because little is known on the function of the non-circulating clade I globins in the vast majority of bilaterian species. But the existing knowledge can at least help defining the direction of future research. Part of the answer may come from vertebrates that possess both circulatory and tissue-expressed clade I globins. The “tissue” clade I globins in vertebrates are myoglobins and cytoglobins. Myoglobins are monomeric clade I globins present in all vertebrates. Their function is well known and very specific: they are expressed in muscles and are capable of storing large quantities of $O_2$ necessary for sustained muscular effort. They also facilitate intracellular transport of $O_2$ [47]. Cytoglobins were first identified as distinct intracellular globins in amniotes [38, 48]. They harbour a structural difference with hemoglobins (and myoglobin) in having a hexacoordinated heme iron, rather than pentacoordinated. They form homodimers, also by contrast to the former. Phylogenetically, they are firmly identified as clade I globins in our study. Contrary to myoglobins, they are expressed in a large range of tissues and organs, with maybe higher expressions in cells producing large amount of cell matrix such as fibroblasts and chondroblasts [49]. Information on the function (or functions) of cytoglobins remains scarce to this date. It is known that they bind dioxygen, carbon monoxide but also nitric oxide with high affinity [50]. It has thus been proposed that cytoglobins could play multiple roles in intracellular homeostasis. The first suggestion is of course related to dioxygen binding including roles in oxygen buffering, sensing, transport and storage. The activity of cytoglobin as nitric oxide deoxygenase, a very ancient function of globin proteins in eukaryotes, is also proposed to play an important role in the biology of the cell. Last, oxidative stress is another circumstance in which cytoglobins may play a role [50]. Remarkably, molecular phylogenies have demonstrated that large families of oxyphoric circulatory hemoglobins have evolved by gene duplications two times in the vertebrates: once in the gnathostomes and once in agnathans [14, 51]. Interestingly, in these molecular trees, the cytoglobins of gnathostomes and agnathans are found as sister groups to both their large radiations of circulatory globins, suggesting that cytoglobin existed prior to the origin of red cell globins in vertebrates. Cytoglobins evolve conservatively [13], suggesting that they keep important functions. There are good reasons to propose that cytoglobins (rather than the more specialized myoglobin) may be close to a clade I globin with ancestral functions, as was suggested before [16]. The fruitfly Drosophila, like other insects, has a tracheal respiration and no circulatory globins. Yet, genome screens have revealed three globin genes in the Drosophila genome [52]. Two of these globins possess derived sequences. But the third one (Dme_524369; “Glob1” in Burmester et al. 2006) is found solidly clustered with clade I globins in our tree (Fig. 3, Additional file 5). This globin is hexacoordinated and may represent a derived cytoglobin-like molecule. It is found expressed in many tissues in the developing embryo and larva [53] but prominently in the tracheal cells. Gene knock-downs [53, 54] lead to reduced survival of flies under hypoxic conditions. This suggests a role in intracellular $O_2$ homeostasis. Both cytoglobins and Drosophila Glob1 may thus be close to the functions of a clade I stem globin. It has to be noted from the ML tree (Fig. 3) that several species (arthropods and mollusks) have a single clade I globin that may represent the unduplicated descendants of the stem globin. Few species have completely lost the clade I (only the annelid Helobdella and the cephalopod Octopus). This may reflect the initial functional importance of clade I stem globin. Why have multiple gene duplications affected the clade I stem globin each time it has been recruited for a blood function? As we have mentioned earlier, cooperativity is an important functional mechanism for a multimeric globin whose role is to store large quantity of $O_2$ in the blood, yet be able to deliver it on demand to all tissues in need. It may be best developed in a heteromultimeric assemblage and thus requires gene duplication and rapid divergence of the $O_2$ storing protein. This idea has received crucial support from recent biochemical studies using synthetic ancestral proteins inferred from the diversity of extant vertebrate globins [55]. The second factor is the developmental switch of globins. This is well illustrated by the lamprey and the gnathostome cases. The lamprey Petromyzon possesses 18 hemoglobin genes that are expressed differentially at three different developmental stages, embryo, larva and adult [14]. These developmental switches are similar to those found in gnathostomes. Yet, all the agnathan circulatory globins are found in a single monophyletic group completely distinct from the radiation of gnathostome hemoglobins [51]. The lamprey globin family was convergently recruited for doing the same kind of developmental switch as seen in gnathostomes. We may see to a more limited extent the same developmental switch in Platynereis, with different A1 isotypes specialized for the juvenile and the adult blood functions. The hemoglobin-producing cells: a specialized type of blood-making cells Little was known on the nature of the cells that produce and secrete respiratory pigments, outside of vertebrates. We demonstrate in this work the existence of a specialized category of vessel-lining cells in Platynereis, that produces the blood globins, in other words the hemoglobin-producing cells (HPC). We analyzed the development of these cells during the life cycle of Platynereis. They first appear in the posterior most segments in a five-segment worm. The youngest feeding juvenile worms with 3 or 4 segments probably do not have HPC and therefore no hemoglobin in their blood. These are minute worms (less than 500 μm long) that probably perform gas exchanges with the seawater by simple diffusion through their tissue. In intermediate size juvenile worms (25–40 segments, less than 1 cm long), HPC form sheaths around transverse trunk vessels, in most segments of the worm. As the worm grows, the circulatory system structure becomes more complex and a rich network of vessels and capillaries develop inside the parapodia, the worm segmental appendages. These parapodia take on the role of gills. HPC develop around most vessels inside the parapodia. We currently do not know whether these are the cells of the wall of existing vessels that are differentiating in situ to become HPC, or whether HPC colonize the parapodia by emigrating from another location. We also show that, at this stage (worms larger than 40 segments), HPC within the trunk degenerate and are presumably digested by phagocytotic coelomocytes. Worms accumulate more red blood as they get close to sexual metamorphosis. When they have a maximal quantity of blood and start metamorphosing into swarming epitokes, the HPC stop progressively their production. It is possible that these cells degenerate but we have not demonstrated this phenomenon in metamorphosing worms. To our knowledge, this is the first time the full cycle of these HPC is described in any annelid species and this is also the first time they are found associated with the parapodia serving as gills. HPC with very similar cytological properties have been described in other annelid species. They have been called perivasal cells because of their position around the lumen of vessels or extravasal cells, when they are located in the mesodermal peritoneum covering the gut in earthworms [56], siboglinids [57] or Arenicola [58]. In some sedentarian annelids such as Amphitrite [59], a specialized organ, the heart-body, produces the hemoglobins. The heart-body is a solid mass of tissue that grows inside the lumen of the anterior dorsal vessel [60]. There is thus a remarkable plasticity in the location of this hemoglobin-producing tissue in annelids that will be worth studying further. How do these HPC relate to the hematopoiesis processes? It should be noted that, in Platynereis and in annelids in general, HPC are not circulating, contrary to vertebrates RBC. They are part of a mesodermal epithelium that is in contact with the coelomic cavity on the apical side and with the blood vessel lumen on the basal side. They are functionally polarized cells that secrete hemoglobin only on the basal side toward the vessel lumen. Besides HPC, Platynereis (and annelids in general) have several classes of coelomocytes/hemocytes that are freely floating in the coelomic cavity and can cross the mesoepithelium to populate the blood. Can HPC be considered as cells produced by an extended hematopoietic process? This is not only a question of convention, when considering the diversity of HPC in metazoans. Is there a phylogenetic connection between the different metazoan HPC or more generally speaking between the different metazoan respiratory pigment-producing cells (hemoglobin, hemocyanin, hemerythrin)? In the various bilaterian groups that possess either a hemocoel or coelom/blood compartments, HPC can be either free floating or static. In vertebrates, intracellular globins are massively produced and stored in red blood cells. Accumulating respiratory pigments in circulating cells is also the solution retained in a number of other groups. Within annelids, the bloodworm Glycera has red cells filled with monomeric and polymeric hemoglobins, circulating in the coelom as the BVS is much reduced in these worms [61]. Capitellids have also a reduced BVS and red cells. Also in annelids, Sipunculidae have pink cells filled with hemerythrin, illustrating the evolutionary swapping of pigments which has occurred in several groups. Data on the existence and location of pigment producing cells in other protostome invertebrates are still patchy. In the marine chelicerate Limulus, whose remarkable blue blood has been exploited for preparing bacterial endotoxin tests, the hemocyanin is secreted by cells called cyanoblasts. Cyanoblasts are found floating in the hemocoel and burst to liberate their hemocyanin content [62]. The tissue of origin of these cyanoblasts is unknown. In gastropod mollusks, cells responsible for hemocyanin production have been identified as the pore cells or rhogocytes [63], abundant in the connective tissue. In pulmonate snails that have hemoglobin instead of hemocyanin, it has been shown that these rhogocytes have switched to hemoglobin production [64]. One can hope that in the future single-cell transcriptomics as well as more powerful cell lineage tracing methods will help to solve the interesting question of the homology or convergence of respiratory pigment producing cells. Conclusion The annelid Platyneresis has retained the complete set (clade I to V) of ancestral bilaterian globin genes plus a spiralian-specific globin. Platyneresis may be an excellent model in the future to determine the initial functions of these stem globins, for instance by selective CRISPR-Cas9 inactivation. It possesses nine clade I globins which are all extracellular. This is consistent with the known presence in several annelids of HBL-Hb with respiratory function. Although the presence of HBL-Hb in Platyneresis has not been formally proven by crystallography, our results strongly suggest HBL-Hb existence through phylogenetic, expression and morphological evidence. We identified the cells that secrete these extracellular globins. Their location and activity depends on the worm size and life stages. These cells are part of the meso-epithelial walls of some particular vessels, first in the trunk in juveniles and later in the appendages in the pre-mature worms. The blood production level peaks at the onset of the maturation process, likely in preparation for the adult locomotory activity peak. The HPC morphology established with TEM are similar to pigment producing tissues described in other annelids but their location in the appendages vessels serving as gills is original. The finding of HPC within the gill organs in a marine animal is an important step forward. Platyneresis is easily tractable to molecular biology experiments and can be used for obtaining transgenic strains. The molecular characterization of these cells will be very useful for comparative studies and exploring the diversity of HPC in bilaterians. One possibility would be to use single-cell transcriptomics, as HPC should be easily singled out in the data because of their massive production of extracellular globins. However, scRNAseq remains relatively expensive and shallow. Another possibility would be to develop a CRISPR-Cas9 protocol for tagging an extracellular globin gene with a GFP coding sequence. This would allow sorting HPC with flow cytometry and the bulk sequencing of their transcriptomes. Another goal will be to understand the embryonic origin not only of the HPC but also of the other mesoepithelial cells that are involved in forming the blood vessels. Is there a developmental and lineage connection between these mesoepithelial cells of the vessels, the HPC and also the coelomocytes of Platyneresis? In other words, do we have the equivalent of a hemangioblast lineage in the annelid? This question is all the more important if we consider the hypothesis that the BVS evolved in the first place to distribute nutrients and was later on recruited for a gas exchange function. Methods Animal culture and collection Platyneresis embryos, juveniles and adults were bred in the Institut Jacques Monod according to the protocols compiled by A. Dorresteijn ([web.archive.org/web/20130404231840/http://www.uni-giessen.de/~gf1019/home/](http://www.uni-giessen.de/~gf1019/home/)). Survey of Platyneresis dumerilii globin genes Platyneresis dumerilii globin genes were identified with consecutive steps of sequence similarity searches. We first used a concatenated probe of all 12 distinct human globin sequences (Ngb + Mb + Cygb + Hb-a2, -θ, -μ, -ζ, -β, -δ, -γ1, -γ2, -ε) as query against expressed sequence tags (ESTs) from Platyneresis Resources (4dx.embl.de/platy/) and Jékely lab transcriptome ([https://jekely-lab.tuebingen.mpg.de/blast/](https://jekely-lab.tuebingen.mpg.de/blast/)). Complete coding sequences were assembled from EST fragments using CodonCode Aligner (CodonCode Corporation, USA) and consensus sequences were determined due to high level of polymorphism in this species. The sequences were reciprocally blasted against Genbank non redundant protein database. This allowed constituting a first list of sequences that were recognized as bona fide globins. In order to get an exhaustive repertoire of Platyneresis globin genes, including highly divergent sequences and sequences that might be missing from the transcriptomes, we performed a tblastn search against the most recent Platyneresis genome assembly using as query a concatenation of all Platyneresis transcriptome globin sequences. Exons recovered with this method were systematically reblasted on the transcriptome sequences (Additional file 2). No additional gene sequence was detected at this stage. Double or multiple scaffold hits for some gene sequences likely correspond to divergent haplotypes of the same genomic region, the Platyneresis strain used for genome sequencing showing some highly polymorphic chromosomal regions. Chromosomal globin clusters were annotated using Artemis ([https://sanger-pathogens.github.io/Artemis/Artemis/](https://sanger-pathogens.github.io/Artemis/Artemis/)) and for each Platyneresis globin, intron positions were mapped on genomic DNA using CodonCode Aligner. Survey of globin genes in animal genomes Gene searches were carried out using the tblastn or blastp algorithms implemented in ngKlast (Korilog V 4.0, Questembert, France). We used a concatenated probe of all 17 Platyneresis globins with distinct sequences as a query (Pdu Egb-A1a, -A1b, -A1c, -A1d-α, -A2, -B1, -B2 + Pdu-gb-IIA, -IIB, -IIC, -IID, -IIIA, -IIIB, -IVA, -IVB + Pdu-Sp-gb + Pdu-Ngb). The sequences were reciprocally blasted against Genbank non redundant protein database. This concatenated query sequence covers as much as the molecular diversity of globins as possible and even very derived sequences were recovered in the hit lists. To ensure that all sequences with actual globin similarity are recovered, we reciprocally blasted hits with decreasing E-value until at least ten consecutive non-globin hits turn up in the list. We used publicly available files of peptide predictions from 22 genome datasets widely distributed among the metazoan phyla: Porifera, Cnidaria, Placozoa, Ecdysozoa, Lophotrochozoa and Deuterostomia (Additional file 13). When available, the screen was complemented with publicly available transcriptomes that allowed for the correction of a few annotation problems. In addition, the globin genes search was performed on the transcriptomes of Lumbricus terrestris, Arenicola marina and Alvinella pompejana. The putative extracellular globin genes were identified using Phobius signal peptide predictor ([https://phobius.sbc.su.se/](https://phobius.sbc.su.se/), Stockholm Bioinformatics Center) and SignalP-5.0 predictor ([https://www.cbs.dtu.dk/services/SignalP/](https://www.cbs.dtu.dk/services/SignalP/)) (Additional file 6). The putative N-terminal acylation predictions were carried out using GPS-Lipid predictor ([https://lipid.biocuckoo.org/](https://lipid.biocuckoo.org/), [65]) and GPS-Palm predictor ([https://gpspalm.biocuckoo.cn/](https://gpspalm.biocuckoo.cn/), [66]) and compiled in Additional file 6. The giant hemoglobin linker proteins were screened in all genomes in the same fashion as globins, using this time as a probe a concatenation of all linker proteins from the earthworm Glossoscolex found in Genbank. Predicted sequences of Pdu-L1, -L2a and -L2b were deposited in Genbank (MW075674-MW075676). Phylogenetic analyses The amino-acid sequences of the identified globin genes in 25 species were aligned with MUSCLE 3.7 [67] as implemented on the LIRMM web ([https://phylogeny.lirmm.fr/phylo_cgi/one_task.cgi?task_type=muscle](https://phylogeny.lirmm.fr/phylo_cgi/one_task.cgi?task_type=muscle)) under default parameters and adjusted manually in Bioedit. A selection of aligned positions was produced to eliminate unaligned or ambiguously aligned regions (Additional file 4). This resulted in a alignment of 275 globin sequences displaying 231 phylogeny informative positions. The phylogenetic trees were constructed using two different approaches: the maximum likelihood (ML) and the Bayesian analyses. Maximum likelihood trees were generated using PhyML3.0 ([https://phylogeny.lirmm.fr/phylo_cgi/one_task.cgi?task_type=phyml](https://phylogeny.lirmm.fr/phylo_cgi/one_task.cgi?task_type=phyml)) [68], using the LG model of amino-acid substitutions [69]. This model has been shown to perform better than the more widely used WAG model. The Bootstrap test for short sequences such as globins is inappropriate. Therefore statistical support for nodes was assessed using SH-like test (aLRT score) [70]. Bayesian analysis was performed with MrBayes 3.2.6 [71] using either LG or WAG fixed model, run for respectively 32 174 500 generations and 24 972 000 generations, using all compatible consensus and a burn’in value of 0.25. The calculation was performed with 4 chains including one heated chain at temperature 0.5. The average standard deviations of split frequencies were respectively 0.031 and 0.017. Bayesian posterior probabilities were used for assessing the confidence value of each node. Phylogenetic trees were visualized and rooted using FigTree V.1.5.0 ([https://tree.bio.ed.ac.uk/software/figtree/](https://tree.bio.ed.ac.uk/software/figtree/)). Cloning of extracellular globin genes and in situ probes design Large cDNA fragments, encompassing at least the whole coding sequences, were cloned by nested PCR using sequence-specific primers on cDNA from mixed larval stages and posterior regenerating segments. PCR products were cloned into the PCR2.1 vector following the manufacturer’s instructions (Invitrogen, France) and sequenced. The full list of primers used is provided in Additional file 14. Sequences were deposited in Genbank (MT701024-MT701042). These plasmids were used as template to produce Dig RNA antisense probes for whole-mount in situ hybridization (WMISH) using Roche reagents. *Visualization of Platyneris* extracellular globin genes expression patterns by whole mount in situ hybridization The animals were fixed in 4% paraformaldehyde (PFA), 1 × PBS, 0.1% Tween20 and stored at −20 °C in methanol 100%. NBT/BCIP whole-mount in situ hybridization was performed as previously described ([https://www.ijm.fr/fileadmin/www.ijm.fr/MEDIA/equipes/Balavoine/IJM_HybridationInSituNBT_BCIP.doc](https://www.ijm.fr/fileadmin/www.ijm.fr/MEDIA/equipes/Balavoine/IJM_HybridationInSituNBT_BCIP.doc)) on larval stages (24 h, 48 h, 72 hpf), juvenile larvae, different stage of maturing worms and mature epitoke worms, as well as on regenerated posterior “tails”, 9 days after posterior amputation. Bright-field images were taken on a Leica DM5000B microscope equipped with color camera. Quantitative PCR** Total RNA was extracted using RNAeasy kit (Qiagen). The extraction was done from a batch of 48hpf larvae, a batch of 6 weeks worms, whole 50 segments juvenile worms, a stretch of 20 segments starting 24 segments after the head for maturing stages. The tissue was disrupted and homogenized in Qiagen RLT buffer using Eppendorf micropestles. First-strand cDNAs were synthesized using 100 ng of total RNA, random primers and the superscript II Reverse Transcriptase (Invitrogen, Life Technology). Specific primer pairs were designed with Applied Biosystems Primer Express software to amplify specific fragments between 50 and 60 bp (Additional file 15). The composition of the PCR mix was: 3 μl of cDNA (representing cDNA synthesized from 15 ng initial total RNA), 5 μl of SYBR GREEN master mix, 1 μl each of forward and reverse primers (500 nM final concentration), in a 10 μl final volume. qPCR reactions were run in 96-well plates, in real-time Applied Biosystem StepOne thermocycler. The PCR FAST thermal cycling program begins with polymerase activation and DNA denaturation at 95 °C for 20 s, followed by 40 cycles with denaturation for 3 s at 95 °C and annealing/extension for 30 s at 60 °C. After amplification, melting curve analyses were performed between 95 °C and 60 °C with increase steps of 0.3 °C to determine amplification product specificity. The slopes of the standard curves were calculated and the amplification efficiencies (E) were estimated as $E = 10^{(−1/slope)}$. qPCR were run with biological triplicates for juvenile worms of 50 segments and maturing worms, and each sample was run with technical duplicates and the ribosomal protein small subunit 9 (rps9) and D-adenosylmethionine synthetase (sams) housekeeping gene as references [72]. Relative expression level of each target gene was obtained by $2^{(−ΔCt_{sample})}$ where $\Delta Ct_{sample} = Ct_{sample} - Ct_{gene \ of \ reference}$ (average of rps9 and sams). Transmission electron microscopy and 3D reconstruction For electron microscopy animals were relaxed in 7.5% MgCl$_2$, fixed in 2.5% glutaraldehyde buffered in 0.1 M phosphate buffer and 0.3 M NaCl, rinsed 3 times in the same buffer, and postfixed in 1% OsO4 in the same buffer for 1 h. The specimens were dehydrated in ascending acetone series, transferred in propylene oxide and embedded in Epon-Araldite resin (EMS). Ultrathin sections (60–80 nm) were cut with Reichert Ultracut E or Leica Ultra-cut UCT and counterstained with 2% uranyl acetate and Reynolds lead citrate. Images were acquired using Zeiss Libra 120, FEI Technai or Jeol JEM-1400 transmission Electron microscopes and processed with Fiji and Adobe Photoshop software. For 3D-reconstructions the series of semithin (700 nm) sections were cut with Diatome Histojumbo diamond knife (Blumer et al. 2002), stained with methylene blue/basic fuchsin (D’amicco 2009), and digitalized at 40 × magnification using Leica DM2500 microscope with camera. The images were aligned with IMOD and ImodAlign tool. The reconstructions were made with Fiji TrackEM2 plugin. Supplementary information Supplementary information accompanies this paper at https://doi.org/10.1186/s12862-020-01714-4. Additional file 1: Amino acids alignment of the Platyneris extracellular globins with the respiratory globins of Arenicola marina, Lumbricus terrestris and human hemoglobins. The highly conserved residues of globins in dark red [78]. The conserved cysteines N24 and H7 residues known to be involved in the formation of an intrachain disulfide chain in annelids are shown in black [6]. Additional file 2: Table of the Platyneris globin sequences extracted from transcriptomes, blasted on the Platyneris genome assembly. Sheet 1: the hits for each mRNA sequence are listed in order of decreasing E-Value. Each hit partial sequence was reciprocally blasted on the Platyneris mRNAs and on Genbank for unidentified sequences. Some of the hits correspond to likely distant haplotypes. Others do not correspond to a globin sequence. Sheet 2: the genome assembly was screened with a concatenated Platyneris transcriptome globin probe to detect potential additional genes. The hits are listed by decreasing E-value. Partial hits were reciprocally blasted on Genbank and Platyneris transcriptome. Most high E-value hits correspond to the genes already identified in the transcriptome. A series of low E-value, short sequence globin hits on Genbank were found to code for Platyneris proteins that bear no similarity to globins, indicating that no additional globin gene is present in the assembly. Additional file 3: List of all predicted metazoan globin protein sequences and of all predicted hexagonal bilayer linker protein sequences used in this study. Additional file 4: Nexus file of aligned globin sequences used for the phylogenetic analysis. The unaligned sequences at the N- and C- termini were cropped as well as some insertions which likely correspond to undetected intronic sequences. Additional file 5: Maximum likelihood tree using LG model and a SH-like test of a dataset of 272 sequences from 24 metazoan species, (simplified in Fig. 3). The letter and color codes for species names is explained at the right of the figure. The tree is arbitrarily rooted outside of the clear natural groups. The tree shows 5 groups (clades I, II, III, IV, V), 4 of which with well-supported nodes (clades I, II, III, V), encompassing sequences of most bilaterian phyla. An additional well-supported node groups together only spiralian species sequences. Support values for maximum-likelihood with LG model, bayesian posterior probability with LG model and bayesian posterior probability with WAG model are indicated on the key nodes discussed. Platyneris sequences are indicated in red labels. The globin peptides predicted to be extracellular or membrane-bound are indicated with blue or magenta rectangles, respectively. Additional file 6: Table of all globin sequences indicating their clade affinity in the ML tree, the signal peptide prediction and N-terminal acylation prediction. Signal peptide prediction is done with SignalP 5.0. Myristoylation is predicted with GPS-lipid algorithm and palmitoylation with GPS-Palm algorithm. The dual acylation prediction is based on two closely located myristoylation and palmitoylation sites only. Additional file 7: List of additional globin protein sequences, from non bilaterian metazoans (Aurelia aurita, Clyta hemiphyllerca, Hydra vulgaris, Amphimedon queenslandica, Nemertopsis leidyi), one acel (Synnematella racofensis), and two choanoflagellates (Salpingoeca rosetta, Monosiga brevicauda). The two globins from the acel are extracted from a transcriptome [18]. Acelos are part of Xenacoelomorpha, a group of worms that has been proposed to be the sister-group of all remaining bilaterians [79]. This view remains however challenged as they are also proposed to belong with the deuterostomes [80]. Choanoflagellates are a group of eukaryots closely related to metazoans, that had been reported to possess neuroglobin-like proteins [18]. Additional file 8: Maximum likelihood tree using LG model and a SH-like test of a dataset of 293 sequences from 32 metazoan species. The tree is arbitrarily rooted outside of the natural clades. Green and red diamonds indicate a number of nodes that are supported by aLRT values superior to 0.75 and 0.95, respectively. The six clades of globins previously highlighted are again recovered. As hydrozoans (in our analysis, Hydra and Clyta) possess genes related to the clade III. One cnophore, Nemertopsis, also display a clade II related gene. One occurrence of a clade I gene in the hydrozoan Clyta appears suspicious as the protein does not show any particular similarity with clade I globins in a blast search. Last, the acel is shown to possess clade III and V globins. In the absence of a complete genome sequence and the phylogenetic position of acelols being ambiguous, it does not inform on the early evolution of globins. Additional file 9: The life cycle of Platyneres dumerilii. Platyneres dumerilii is a medium-sized annelid that can be easily cultured in the laboratory, giving a large number of offspring all year round. The life cycle is fairly typical of marine annelids: It includes a microscopic (160 μm diameter) lecithotrophic trochophore larva that elongates after 2.5 days in a minute three-segment worm (400 μm long). Once settled in the benthos in a silk tube, the larva will grow by posterior addition of segments and in cross-section to reach a considerably larger size (5–6 cm). The worm lives a relatively sedentary life, feeding on a variety of fresh or decaying food in the benthos for the longest part of its lifespan. Nearing the end of its life, the worm undergoes a rather dramatic sexual metamorphosis: the coelom, from head to tail, entirely fills up with gametes; the worm segmental appendages, called parapodia, change shape and acquire a swimming locomotory function; the gut degenerates as adults do not eat. Both males and females exit their tubes to swarm at the surface of the sea. At this stage they acquire a very fast swimming behaviour and have only a few hours for mating before they die of exhaustion. Additional file 10: Expression patterns of five extracellular globin genes in Platyneres dumerilii. WISH on juvenile stages (30–35 segments). The expression patterns of all extracellular globins are located in the same HPC of transverse trunk vessels (red arrowheads) and parapodial vessels (blue arrowheads). Additional file 11: Table of relative normalized expression of Platyneres extracellular globins measured by qPCR. Additional file 12: Movie of a 3D reconstruction of the vasculature of a 50-segment sub-adult worm. 3 consecutive segments are shown. Additional file 13: Table of genomic and transcriptomic resources used for 32 species. Additional file 14: List of primers used for PCR amplification of Platyneres globin cDNAs. Additional file 15: List of primers used for qPCR amplification of Platyneres extracellular globins. Abbreviations BVS: Blood vascular system; EST: Expressed sequence tags; GFP: Green fluorescent protein; HBL-Hb: Giant hexagonal bilayer hemoglobin; HPC: Hemoglobin producing cells; hpf: Hours post fertilization; OTU: Operational taxonomic unit; qPCR: Quantitative polymerase chain reaction; RBC: Red blood cells; TEM: Transmission electron microscopy. Acknowledgements We warmly thank Detlev Arendt’s laboratory (EMBL Heidelberg, Germany) and Oleg Simakov’s laboratory (University of Vienna, Austria) for letting us use the data of the Platyneres whole genome sequencing and assembly ahead of publication. We thank the Balavoine Lab Members and Biofluidics Lab members for helpful discussions during the course of this work. We acknowledge Nathalie Luciani for equipment and training for qPCR experiments and analysis. We acknowledge the ImagoSeine facility (member of the France BioImaging infrastructure supported by the French National Research Agency, ANR-10-INSB-04, ‘Investments of the future’) and its experienced staff for their assistance in photonic and electron microscopy imaging and image analysis. We acknowledge the facilities ‘Chromas’ and ‘Center for Molecular and Cell Technologies’ of St. Petersburg State University Research park for the help with semithin sectioning and image analysis. We also would like to thank four anonymous referees for valuable comments and advises. Authors’ contributions SS performed all molecular biology experiments, analyzed the data, composed the figures, GB conceived the study, analyzed the data, composed the figures and drafted the text. VVS performed the semi-thin and TEM imagery, analyzed the data and composed the figures. XB participated in the phylogenetic analyses. PK participated in the genomic and transcriptomic screenings. AJMC and CR participated in data analysis. All authors corrected the draft. All authors read and approved the final manuscript. Funding S. Song obtained a PhD fellowship from the LABEX “WHO AM I?” (No.ANR-11-LABX-0071). The Balavoine Lab was funded by the CNRS, the Université de Paris and two grants from the ANR (METAMERE no. ANR-12- BSV2-0021 and TELOBLAST no. ANR-16- CE91-0007). Availability of data and materials The data sets supporting the results of this article are available in the Figshare repository (https://figshare.com/account/home#/projects/72548). Ethics approval and consent to participate ‘Not applicable’—This research focuses on non cephalopod invertebrates. There are no ethical considerations mentioned for these species according to EU Directive 86/609-STEI23. Consent for publication Not applicable. Competing interests The authors declare no competing interests. Author details 1 Institut Jacques Monod, Université de Paris / CNRS, UMR7592, Paris, France. 2 Laboratoire Matière et Systèmes Complexes, Université de Paris / CNRS, UMR7057, Paris, France. 3 Laboratory of Evolutionary Morphology, Zoological Institute, Russian Academy of Sciences, Universitetskaja nab. 1, 199034 Saint Petersburg, Russia. 4 Laboratoire des Modèles Marins Multicellulaires, Station Biologique de Roscoff, Sorbonne Université / CNRS, FR2424, Roscoff, France. 5 Laboratory of Integrative Biology of Marine Organisms, Institute of Biology, Federal University of Rio de Janeiro, Rio de Janeiro, RJ, Brazil. Received: 20 February 2020 Accepted: 28 October 2020 Published online: 29 December 2020 References 1. Vinogradov SN, Hoogewijs D, Bailly X, Mizuguchi K, Dewilde S, Moens L, et al. A model of globin evolution. Gene. 2007;398:132–42. 2. Vinogradov SN, Moens L. Diversity of globin function: enzymatic, transport, storage, and sensing, vol 283. 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Laser remote and in situ spectroscopic diagnostics to CH surfaces - results of case studies in recent regional projects: COBRA and ADAMO in Latium R. Fantoni Fusion and Technology for Nuclear Safety and Security Department, ENEA, Via E. Fermi 45 Frascati, Italy Roberta Fantoni The needs for in situ and remote surface diagnostics on CH The preservation of CH surfaces requires suitable material diagnostics. CH surfaces have been produced on very different substrates, some of them very fragile, and often at a monumental scale (large size) with limitation of access (remote view). CH surfaces can be located in hostile environments (underwater) or must be examined in dangerous situations (after earthquakes, wars) which ask for complex interventions. The laser break-through: Laser scanners for non invasive or micro-destructive interrogation of the surface - Optical measurements: collection of sets of monochromatic images by multiple visible laser scanners to reconstruct 3D model with native color information. Laser reflectance (backscattered and diffused signals). Data relevant to surface appearance and morphology. - Spectroscopic measurements: space resolved collection of spectra containing information on surface layers. Laser spectroscopies (LIF, Raman, LIBS, with possibilities of time resolved detection). Data relevant to surface elemental and aggregate composition. Possibilities of subsurface analysis and stratigraphy. - Joint application of different remote and in-situ diagnostics (thermography, XRF, PIXE), with point detection or imaging capabilities. The monochromatic laser beam interaction with a surface may cause different phenomena, with a probability depending on the incoming power for surface unit (irradiance), which determines the final energy balance. Together with partial radiation absorption, at growing irradiance, we may have: - Back Scattering (BS) at the same wavelength as the exciting beam; - Laser induced Fluorescence (LIF) at wavelengths larger than the incoming one, with shifts related to energy differences between electronic states, eventually coupled through internal relaxations processes in species at the surface; - Stokes Raman Scattering (SRS) at wavelengths larger than the incoming one, with shift related to vibrational modes in species at the surface; - Laser Induced Breakdown (LIBS) with atomic emission from the plasma generated at the surface, during an ablation/ionization process occurring above the threshold (~1 GW/cm²). High resolution laser scanners for remote imaging and analysis Advantages - Nondestructive and non invasive / micro-destructive (LIBS) - Self illuminating - Not affected by external light sources (at low or moderate irradiance) - Additional geometrical requirements are taken into account - Automatic software handling/processing of very large data sets - Reference data for digital archiving (after calibration) Novelty - Integrated use of more than one single prototype, in hardware or software - Integration with different kinds of in situ sensors - Surface diagnostics coupled to possibility of virtual fruition - Suitable to development of augmented reality algorithms for restorers High resolution laser scanner for 3D modeling with color images The RGB-ITR set-up functioning principle RGB-ITR is the acronym for Red Green Blue Imaging Topological Radar It’s based on double Amplitude Modulation Technique (190MHz/5MHz) Collects five information per pixel – three colors and two distances Working range of 3-35 m Modular configuration – suitable for hostile environments Works with three independent laser sources – 660 nm, 517 nm, 440 nm Double modulation distance measurement Accurate ($\theta$, $\phi$) scanning (0.002°) on large angles Operation from 3 to 35 m distance at submillimetric resolution Laser remote and in situ spectroscopic diagnostics to CH surfaces, Seville, March 26-30, 2019 Color calibration is needed for: 1. BS measurements performed by using different monochromatic laser sources; 2. BS measurements collected at significantly different angles. Calibration curves for trichromatic ITR images are obtained by detecting the BS radiation at each wavelength from a white target at different distances. Angular corrections are included to take into account different efficiency of BS. The possibility to inspect both colour and structure information permits to study pigments and structure modifications, to give an early warning for possible efflorescence outcrops or micro-cracking outcomes. Pietro da Cortona’s vault at Barberini Palace in Rome An application of RGB-ITR high resolution laser scanner The average operating distance of 18 meters allowed to obtain a spatial point-to-point resolution of about 1mm, on the entire surface (14 x 24 m in total 530 m²). A small portion of the vault (60x45 cm) in which a post-processing was carried out to enhance the contours of the figure of the skeleton-soldier. Laser remote and in situ spectroscopic diagnostics to CH surfaces, Seville, March 26-30, 2019 High resolution laser scanner for subsurface monochromatic imaging A new prototype operating in the near infrared (IR-ITR) at 1.5 µm has been realized for subsurface-imaging and modeling. \| \| 5m Distance \| 10m Distance \| \|--------------------------\|-------------\|--------------\| \| Scanned size \| 418x452mm \| 489x558mm \| \| Angular resolution \| 0.002x0.002 gradi \| 0.002x0.002 gradi \| \| Pixel resolution \| 2400x2600 \| 1400x1600 \| \| Space resolution \| 0.174x0.174mm \| 0.349x0.349mm \| \| Acquisition time \| 1h45min \| 39min \| \| Spot size at the surface \| 1.5-2mm \| 3-4mm \| Application in retrieving former paintings or background drawings. Laser remote and in situ spectroscopic diagnostics to CH surfaces, Seville, March 26-30, 2019 Line scanner for hyperspectral fluorescence imaging Collection of both reflectance and fluorescence spectra (LIF and TR-LIF) LIF (Laser Induced Fluorescence) scanning systems were designed and built in order to obtain analytical information on 2D images of the outermost layers on CH surfaces. A fast, non invasive, remote (up to 25 m), sensitive and selective technique was developed. After automatic preprocessing data are released as false color reflectance and fluorescence images suitable to the identification of original and added materials. The laser beam is shaped as a light blade, thus there is no need to vary in-plane $\theta$ angle, the scan system controls only the bending $\varphi$. The entire line profile is imaged on the monochromator slit, which spreads the entire spectrum collected at each point on the squared ICCD at $90^\circ$. Time Resolved data are obtained collecting LIF spectra at different delays, by gating the camera. Laser excitation @ 266 nm or 355 nm suitable to consolidants and pigments characterization Large Area LIF imaging Apparatus - KrF laser at 248 nm - repetition rate of 500 Hz - pulse duration of 10 ns - Energy max 20 mJ - ICCD + filter wheel (8 filters) Labview program - To define area in the scene - To set experimental parameters - To control different components - To acquire data - Preliminary data processing System advantages - Reduced acquisition time (Scan time 60s/band for 10 m x 10 m area) - Reduced data processing (selected spectral bands) - Compact - Remote (up to 30m) CALIFFO (Compact Advanced Laser Induced Fluorescence Friendly Operating system) is a prototype developed at ENEA for laser induced fluorescence measurements, with violet excitation and visible detection. It is a scanning system of reduced size, weight and power consumption developed for in situ applications at short distances (2 – 5 m). Its main application field is the detection and characterization of bio-attack on CH surfaces. The post-processing of acquired data allows to create maps able to highlight the presence of degradation forms. CALIFFO can be completely controlled in remote way by tablet or smartphone. Integrate Laser Scanner for remote surface analysis and stratigraphy ILS: An Integrate instrument for remote LIBS (exc. @1064 nm), Raman (exc. @ 355 nm) and LIF (exc. @ 355 nm). Developed for security applications, successfully tested on CH surfaces: Ceramics, coins. Characteristics in LIBS measurements - Measurement distance: 10.5 m (range 8-30 m) - Two color cameras: to collect large scene and details - Choice of the scanning area - Wi-Fi remote control of the instrument - Single shot LIBS spectrum 200-850 nm - Samples depth profiling: 20 laser shots in 6 points per sample or coating type. Ceramic fragments remotely examined in a lab. demonstration Post processing of spectra and spectroscopic data Needs to handle large amount of data in multispectral images \| acronym \| Processing technique \| \|---------\|----------------------\| \| PCA \| Principal Component Analysis Linear transformation of the input variables: maximize the variance explained by each output variable. \| \| SAM \| Spectral Angle Mapper Spectral projection operator that geometrizes the "distance" between the spectra. \| \| MCR \| Multi Curve Resolution Analysis Decomposition of a large number of spectra into simple components using appropriate constraints which allows to obtain physical meaning to decomposition (non-negativity of spectra and concentrations, mono mode, ...) \| \| PARAFAC \| Parallel Factor Analysis Allows to identify all the components with direct physical meaning. \| \[ \alpha = \cos^{-1}(\hat{u}, \hat{w}) = -\frac{\sum_{i=1}^{N} u_i w_i}{\sqrt{\sum_{i=1}^{N} u_i^2 \sum_{i=1}^{N} w_i^2}} \] \[ x_{ik} = \bar{x}_k + \sum_{\ell=1}^{N} p_{\ell k} t_{i\ell} + e_{ik} \] \[ e_{ij} = 1 - \frac{\int (s_i(x) - s_j(x))^2 dx}{\sqrt{\frac{1}{N} \int \sum_{j}^{N} s_j^2(x) dx}} \] COBRA Project – Spectroscopic laser scanners applications Main objective To develop and disseminate methods, technologies and advanced tools for the conservation of cultural heritage, based on the application of radiation and Enabling Technologies. Selected case studies in field campaigns carried out upon conservators’ request: 1. The blue demon tomb in Tarquinia Etruscan necropolis 2. The greek chapel in Priscilla catacombs Rome 3. Roman fresco’s in S. Alessandro catacomb near Rome. 4. Marble statues in Palazzo Altemps Museum, Rome 5. The Orants marble sarcophagus in S. Sebastian Catacomb, Rome 6. Egyptian sarcophagi from Milan, under restoration in Rome A Latium regional project entirely dedicated to technology transfer and innovation in the CH conservation (Jul. 21, 2015 – Dec. 20, 2017) Needs of integrate application of spectroscopic techniques 1. The Blue demon Etruscan tomb in Tarquinia RGB-ITR reflectance and color analysis Questions: original pigments – 1. were the demons really blue? modern consolidants – 2. are they still there? how the murales was realized – 3. is it a true “fresco”? Colorimetric answer #1: now they currently look greyish – what was the original color? Needs of further spectroscopic analyses Raman in situ analyses of pigments Red pigment identification: hematite from red ochre «Blue» pigment identification: impossible due to the intense fluorescence upon excitation @785 nm () White pigment identification: calcite, used as preparatory layer. Absence of carbonatation in mineral pigments. Answer #3 it is not a true fresco. () see also P. Westlake et al. Anal. Bioanal. Chem. (2012) 402: 1413-1432 Overlap of LiF image on the 3D color model Laser remote and in situ spectroscopic diagnostics to CH surfaces, Seville, March 26-30, 2019 LIF data analysis line scanner with excitation @266 nm Spectra collected at each point False color fluorescence image Monochromatic image @800 nm Spectrum collected on a bluish feature * G. Accorsi et al. Chem. Commun. (2009) 23: 3392-3394. Laser remote and in situ spectroscopic diagnostics to CH surfaces, Seville, March 26-30, 2019 Statistic analysis: PCA and MCR Blind PCA shows that most variance is accounted for in the first 3 components, associated respectively to the intense UV emission, the broad visible band and a few weak features. No spectral assignment is possible. MCR Deconvolution Three components are isolated: 1- Broad visible band 2- Intense localized UV peak 3- Weak visible features and strong near IR emission Assignment Preparatory layer Paraloid consolidant “Blue” pigments Answer #2 Paraloid is still there, as used to keep the painted layer on the wall. In situ X ray Fluorescence point analyses Cross confirmations Commercial (ELIO XG-Lab) XRF system for in situ analyses XRF spectra at the labelled points - «Blue pigment» analysis: the presence of Ca/Cu/Si supports the assignment as cuprorivaite (CaCuSi₄O₁₀ or CaO·CuO·4SiO₂), known as Egyptian Blue. - Red and brown pigments: the presence of iron confirmed the use of ochres, i.e. iron oxides (red - hematite, yellow - goethite). - Black pigments: no characteristic elemental emission, C-based pigments of organic origin. - Consolidants: no information from XRF, as expected for paraloids. Answer #1 The demons were meant to look blue Laser remote and in situ spectroscopic diagnostics to CH surfaces, Seville, March 26-30, 2019 Frescoes in Priscilla’s Catacombs in Rome Laser scanners for biodegradation analysis A corner of the vault of the Greek Chapel P1 - subarea where the biomass appears more dense P2 – subarea where the biomass is less dense P3 - subarea where the bio-deterioration is not evident naked-eye P4 - far away from the biomass area Question: Is it possible an early detection of bio-attack? Answer: YES by remote LIF Contribution to bio-attack monitoring by means of biofilm area's circumscription by the post processing analysis of the RGB-ITR 3D model P1 - intense emission band at 340 nm, identifying the biological material present in that area P2 - the emission in intensity band at 340 decreases and a large band at 500 nm appears P3 - Band at 340 nm still present, low intensity, and band at 500 nm increased in intensity P4 - Band at 500 nm is the only band present Persistence of the fluorescence band at 340 nm in P3 → possibility of early detection by LIF of areas attacked by microorganisms not visible in this stage New successive colonization of other areas is visible 4 and 8 months after the first observation, due to spread of microorganisms 2. Fresco’s in S. Alessandro Catacomb: G6 and G15 Reflectance and fluorescence imaging Needs for spectroscopic diagnostics during the fresco’s restoration Is it possible by spectroscopic imaging to read the lost part of the inscription? YES by LIF LIF imaging on G6 – the lost inscription Questions: 1. Possibility to clean 1. Is the painted layer still present? 2. Efficiency of cleaning 2. What consolidant was used? 3. Original materials and dating 3. Which pigments were used? Result: a peculiar spectral signature @340 nm from a consolidant on the missing letters and other decorations. Answer #1. YES The efflorescence is covering the missing letters where the consolidant was used. Attempt of consolidant assignment by LIF Discrimination among consolidants with significant emission near 340 nm has been attempted by SAM, projecting spectra collected at S. Alessandro onto each reference spectrum. Nevertheless LIF was able to detect the presence of a consolidant and determine its surface distribution, alone it could not clearly identify the consolidant. The latter information is needed for its efficient removal and successive surface treatments. Consolidant assignment after integration of all spectroscopic data Summary of results from different spectroscopic investigations on consolidants with emission near 340 nm (upon excitation @266 nm) \| \| S. Alessandro \| SiEt \| Vinyls \| Acrilics \| \|----------------\|---------------\|--------\|--------\|----------\| \| LIF \| 340 nm band: Intense \| 340 nm band: Intense \| 340nm band: Intense (in most cases) \| 340nm band: Present in some cases (AC35) \| \| Time Resolved LIF \| 340nm band: Prompt \| 340nm band: Prompt \| 340nm band: Delayed \| 340nm band AC35 Delayed \| \| RAMAN \| Peak at 1291 cm$^{-1}$ (No vinyl band at 630 cm$^{-1}$) \| Peak at 1295 cm$^{-1}$ \| Peak at 630 cm$^{-1}$ (No peak at 1296 cm$^{-1}$) \| Peak at 1296 cm$^{-1}$ Primal AC35 Plextol D492 \| Answer #2. Combined analysis confirms the identification of SiEt: Estel 1000 - A nasty consolidant responsible for localized saline efflorescence when used in humid environment, its incomplete removal was verified by LIF one year later. Laser remote and in situ spectroscopic diagnostics to CH surfaces, Seville, March 26-30, 2019 Time Resolved LIF analyses Red pigments assignment confirmed by in situ Raman and XRF - TR-LIF imaging mapped the distribution of red and orange pigments on fresco’s surfaces, both peaked @ 380, 400 nm. - They are characterized by the same decay time at about 8-12 ns. - Raman analysis confirmed red ochre (G6) and a mixture of red ocher and minium (G15). 3. The same pigments were utilized, fresco’s are contemporary Ares Palazzo Altemps Ludovisi collection of classic marbles The Roman statue was restored by Bernini - Question: Is it possible to trace this old intervention? Starting from the FORLAB fluorescence images, the application of the data processing developed permitted us to discriminate different stone materials. Image @ 380nm LIF spectra collected in the areas pointed by red arrow (LIF scanning prototype was used) Evidence of reintegration of missing material White marble type identification on LIF images Development of an automatic algorithm to discriminate Greek marble (pentelic) from Italian marble (Carrara) The algorithm is based on fluorescence intensity ratio at selected couples of detection channel. Answer: Automatic recognition of «original» Greek marble from Italian marble added during the «renaissance restoration» is possible. LIF imaging on white marble statues Additional Information on materials supporting art historians and conservators - Different marbles used for integration in historic restorations (XVI century) - Identification of white pigments on junctions. - Detection and distribution of degradation products (in combination with Raman) - Search for waxes and other historical coatings, detected also on other statues of the collection. Raman bands revealed at: 1084 cm$^{-1}$ calcite $CaCO_3$ 1007 cm$^{-1}$ gypsum $CaSO_4$ Sarcophagus of “Orants”- San Sebastian Catacombs Marble identification The sarcophagus is a marble sculpture made between the 3rd and 4th centuries AD and preserved in the Sarcophagi Museum of the catacomb of San Sebastian in Roma. Question: > geographical origin of the three pieces (left, central, right) constituting the sarcophagus Processed fluorescence images with application of the recognition algorithm. Small yellow areas correspond to encrustations. Answer: > It is all Italian marble Additionally the presence of natural waxes was revealed in images collected at 415 nm. Characterization of painted wood artifacts Egyptian Sarcophagi under restoration in Rome Peftjauyauyaset (XXVI din. -VII-VI century BC) sarcophagus from Archaeological Museum of Milan The Case containing the anthropoid sarcophagus where the mummy was accommodated and the sarcophagus itself were investigated. Polychrome decorations are present inside the sarcophagus and on the external surfaces of the case. Question: is it possible to map former interventions at the wood surfaces? LIF imaging on sarcophagus Slice of the long side LIF image obtained by 340/380nm spectral ratio Casket The areas highlighted in the image correspond to areas which were restored by means of acrylic materials. Winged goddess Nefti on the short side of the casket and LIF image filtered at 340 nm Intense fluorescence emissions in correspondence of fissures and cracks suggest presence of the acrylic product used as consolidation material for the ancient wood. Answers: > LIF maps of formerly used acrylic consolidant are obtained > Its use is demonstrated both on painted surface and on cracks Remote LIBS on ceramic samples Fragments from a «butto» near Tarquinia (XIII-XIX century) Why remote LIBS on ceramics? For their extensive use as coating on monumental walls in Mediterranean area. \| Glaze \| White \| Blue \| Yellow \| Light brown \| \|----------------\|-------------\|-------------\|-------------\|-------------\| \| \| Cu, Ag, Al, Ca, Mg, Mn, Fe, Sr, Na, Li, K \| Cu, Ag, Pb, Sn \| Co, Pb, Si, Al, Mg, Fe \| Cu, Ag, Mg, Mn, Li, K, Rb \| Cu, Ag \| Picture of a fragment taken by the on-line camera; LIBS craters marked by arrows Results: Blue pigment is a cobalt based smalt, probably saffre. The copper/silver rich glaze in the first layer and in the yellow luster suggest possible dating to this fragment in the XVI century, according to Piccolpasso receipt for pottery. V. Lazic et al. Spectrochim. Acta (2018): B149, 1-14 The complete study compares LIBS, PIXE and XRF data for different CH samples* F. Colao et al. Spectrochim. Acta (2002): B57 1219-1234 ADAMO Technologies of Analysis, Diagnostics and Monitoring for the preservation and restoration of Cultural Heritage A Research project in the Center of Excellence of the District of Technologies for Culture of Lazio Region Participants: ENEA, INFN, CNR, Uni. Rome Sapienza, Uni. Rome Tor Vergata, Uni. Roma Tre, Uni. Tuscia (Viterbo) Project objectives 1. Technology transfer on relevant themes 2. Services to enterprises based on facilities offered by DTC partners 3. Demonstrations in selected cases studies 4. Development of prototypes and test of innovative products Integrate applications of remote, in-situ and laboratory instruments for spectroscopic diagnostics Contest analysis and choice of demonstration sites AREA DI STUDIO DTC LAZIO DISTRETTO TECNOLOGICO BENI E ATTIVITÀ CULTURALI CENTRO DI ECCELLENZA STeMA Lab Prof.ssa Maria Pronzato (Coord.) Ing. Angela D’Orazio (Ric.) Dott.ssa Maria Coronato (Ric.) Dott. Michele Pigliucci (PhD) Dott.ssa Sandra Leonardi (PhD) Dott. Alessandro Fessina INTERVENTI ADAMO 1 S. Nicola in Carcere 2 S. Maria in Cosmedin 3 Porta S. Sebastiano 4 Villa della Piscina 5 SS. Marcellino e Pietro 6 Museo APR 7 Ad Decimum 8 Palazzo Vescovile 9 Villa Mondragone 10 Palazzo Chigi 11 Villa Blanc Confine Area di Studio Beni singoli Linee Archeologiche Decreti Archeologici SIC Area Parco Centri storici Confini comunali @OpenStreetMap Cartografia realizzata da S. Leonardi DTC LAZIO CENTRO DI ECCELLENZA The Hall of Landscapes appears as a colorful room fully decorated with tempera painted canvas covering all the walls, where painted areas and wood frames create the illusion of an architectonic structure. Ceiling detail where the restored areas (repaints after discoloration) are detected Questions: - Location of residual damage from former water infiltration - Location of current damages on canvas and other painted surfaces Bishop’s Palace In Frascati: Hall of Landscapes RGB-ITR 3D digitalization and LIF imaging LIF investigation of the wooden cover at fireplace in the same room. A carefully repainted crack is evident in the 380/450 nm LIF image. Answers: - Residual damages are detected by both techniques as discoloration, morphology changes, repainted cracks. Bishop’s Palace In Frascati: “Stufette” room TR-LIF spectroscopy and imaging Two decorated small bathrooms belonging to the pope niece Lucretia Della Rovere, recently restored. Question: Can we detect early damage? Reference reflectance image collected by the LIF scanning system Color degradation @550 nm ZnO retouches @380 nm LIF image Answer: YES for p.c. TR evidence of additional features Marble busts gallery of Chigi Palace at Ariccia Imaging LIF [ENEA] LIF imaging by FORLAB prototype An important Baroque collection LIF spectral image reconstructed in false colors (400-500-600nm) Processed FORLAB images Question: > Was the marble surface treated for aesthetic purposes? The emission bands are centered at different wavelength on face and hair: - No presence of acryl (original surfaces) - Presence of wax on the hair Answer: YES added material is present on the hair (assignment in progress) Chigi Palace in Ariccia represents a unique example of baroque home remained intact over the centuries. The palace was transformed into a magnificent baroque residence by Gian Lorenzo Bernini in the XVIIth century. The picture-gallery contains paints from Mario de Fiori and other Roman baroque artists (The Four Seasons), sometimes working together on the same canvas. Question: > Is it possible to remotely reveal changes of mind of the last author? Revealing artist’s changes of mind «Ripensamenti» Remote high resolution IR-ITR sub-surface inspections Hidden details not seen in the visible spectrum from IR-ITR image IR-ITR features Maximum working range: 15-20m Maximum spatial resolution at 10m: 1mm No shadows No ambient illumination interference Answer: > Yes, with high sensitivity and high resolution, without any image post-processing Mario de Fiori - Springtime Conclusions and Future Work plan for laser diagnostics on CH surfaces Conclusions* - Spectroscopic techniques (LIF and TR-LIF, Raman, XRF) allowed to obtain remotely and in situ unique information on different CH surfaces. - Image processing algorithms suitably developed for semi-automatic applications were applied to obtain space distribution of different surface features. - 3D high resolution color models are useful to precisely locate spectroscopic data collected on different points and 2D fluorescence images. - The integration of different remote optical and spectroscopic techniques is often the only way to solve complex real challenges from case studies in CH samples in order to effectively answer conservators questions. Future Work plan - RGB-ITR wavelength extension: the additional near IR 1.5 μm channel for subsurface investigation will be integrated in short; a further UV source (@355 nm) will be added for UV imaging; implementation of up to 8 wavelengths is planned in the IR – to UV range. - Addition of Raman imaging in the ILS prototype, already integrating LIF/LIBS and Raman; its operation up to 30 m on real CH surfaces. - Addition of a short pulse (ps) laser source on LIF imaging prototype to fast acquisition of time resolved images has been proposed (E-RIHS.it Lazio). Roberta Fantoni Salvatore Almaviva, Luisa Caneve, Francesco Colao, Massimo Francucci, Massimiliano Guarneri, Violeta Lazic, Antonio Palucci, Adriana Puiu, Ottavia Santorelli, Valeria Spizzichino, ENEA, Fusion and Technologies for Nuclear Safety and security Dep., Technology Applications for security and Health, Diagnostic and Metrology Lab. Frascati Research Centre (Italy) - research fellow Martina Romani INFN-Department of Industrial Engineering, University of Rome “Tor Vergata”
ADULT EDUCATORS’ COMPETENCE SELF-ASSESSMENT FRAMEWORK Co-funded by the Erasmus+ programme of the European Union Published by: Erasmus+ Partnership Cross-border intercultural and societal entrepreneurs Initiatives of Change, UK - Leader Instituto de Asuntos Culturales, Spain Asociación Progestión, Spain Kista Folkhögskola, Sweden Hasan Kalyoncu Üniversitesi, Turkey Project: Cross-border Intercultural and Societal Entrepreneurs 2016-1-UK01-KA204-024623 ISBN: 978-1-9161358-0-2 (english e-handbook and pdf) Migrants and Refugees Adult Educators' Competence Self-Assessment Framework is licensed under a Creative Commons Attribution-Non Commercial 4.0 International License. Disclaimer: The content of the handbook does not necessarily reflect the policies and views of the European Commission. \| Contents \| Page \| \|------------------------------------------------------------------------\|------\| \| Introduction \| 4 \| \| A framework based on needs and capabilities \| 5 \| \| Preliminary criteria for the competence assessment \| 6-7 \| \| Tool 1. Self-determination assessment matrix \| 9-10 \| \| Tool 2: Inner compass for adult educators \| 11-13\| \| Tool 3. Learning from complex adaptive systems \| 14-16\| \| How to use these tools \| 17 \| \| Essential learning for the educator beyond any tools \| 18 \| \| References and links \| 19-20\| INTRODUCTION Migrants and Refugees as Re-Builders (KA2 Cross-borders Intercultural and Societal Entrepreneurs) project offers this framework to adult educators who wish to improve the effectiveness of their work for the integration of migrants and refugees and for creating a multicultural society. The partnership consists of organisations from the UK, Turkey, Sweden and Spain who are developing innovative training responses to support migrants and refugees from the Horn of Africa, the Middle East, Magreb and Latin America. The project is aimed at adult educators who are supporting migrants and refugees to settle into their new communities, rebuild their lives, and eventually contribute to the development of their countries of origin. The partners come from both academia and non-governmental organisations. All of them work with migrants and refugees. A description of partners follows: - Initiatives of Change UK is the lead coordinator, and has developed training in communication and trust-building particularly for migrants and refugees from the Horn of Africa. Together with the Instituto de Asuntos Culturales, Spain, who initiated and co-designed the project on behalf of the partnership. - Madrid-based Asociación Progestión provides services for the North African and Latin American diaspora who are at risk of social exclusion. They run an innovative and well visited legal advice blog. - Kista Folkhögskola is a community college in Sweden with a Muslim ethos. It offers study opportunities for personal and professional development. - Migration, Population, Education and Employment Research Centre, Hasan Kalyoncu Üniversitesi in Gaziantep, Turkey. They research the needs of Syrian refugee families in Turkey from an intergenerational perspective. We come from different educational sectors: adult education being offered through formal, non-formal and informal settings. So, it is an opportunity for educators working within these three educational modalities to collaborate and to make sense of how we think about education. This means everybody navigating out of our comfort zones and, at the same time, it is a great opportunity to set a precedent that it is possible to work together and have outcomes from this cross-fertilisation of ideas, cultures and educational approaches. That is why the leadership that each partner assumes in turn is a great opportunity to learn from our different or common styles, ways of thinking and of making education and training worthwhile for so many people who often feel marginalised within their adopted societies and/or communities of origin. The Competence Self-assessment Framework is an open-source by which adult educators can assess their own competences. The framework is based on our collective expertise in the different educational forms. Working with migrants and refugees challenges the role of ‘teacher and student’. Trauma, fear and anxiety are important factors, and the adult educator needs to take account of them and adjust his/her approach accordingly. Adult educators need to delve deep into their own experience to discover how to conduct the relationship. The newly-arrived might, in the best case, soon be settled in the new country. The quality of the settling phase is determined largely by the migrant’s or refugee’s level of self-confidence and capacity to create positive networks. The educator is likely to be one of the most important role models in this process. The educator therefore should develop his/her own qualities and skills for the role of guiding the migrant or refugee into a new system, new language and new context generally. Some of the most important qualities that adult educators need to exhibit are flexibility and intuition, which are more important than fixed criteria for assessment. In order to develop the criteria for self-assessment, we carried out fieldwork in our respective countries among the adult educators and their learners. Our goal was to find out what it is that both value, aspire to, or need in their daily lives and professional work. We carried out group interviews in each of the ‘newly-arrived’, ‘settlers’ and ‘settled’ categories of migrants and refugees so as to identify which criteria best define each group?, and created a scale of importance for each of the criteria. Taking this information into account, we carried out a consultation with adult educators from various institutions of adult learning for migrants and refugees in the communities they work in, in Sweden, UK, Turkey and Spain. What we discovered was that, unlike in the curriculum for adult educators we had developed earlier, the different levels of settling in a country played no major role. It seems that these levels matter when it comes to ‘what to teach’, but not ‘how to teach’. The competencies that an adult educator needs to have, beyond his or her knowledge of the subject, seem to be very similar across the different groups of migrants and refugees. What also transpired in the preparation process was that the most important tool of learning and development for an adult educator is the learner. It is when the educator meets the learner that learning happens, because every moment, every group, every individual is unique. Beyond the curricula and the teaching material, the main factor in the learning experience is the ability of the educator to understand the needs, capabilities, rights and responsibilities of the learners and respond to them in the best possible way in the given circumstances. PRELIMINARY CRITERIA FOR THE COMPETENCE ASSESSMENT This framework is based on the following principles (Mulder, 2017): - It is a continuation of our work with a curriculum for adult educators. - Competence development of adult educators is assessed frequently by themselves and their mentors (e.g. before, during and after the learning process). - In learning and assessment processes knowledge, skills, attitudes and context are integrated. - Self-responsibility and self-reflection of adult educators are stimulated. - Adult educators in schools and community practice fulfil their roles as coaches, mentors and experts. As a partnership, we acknowledge that the concept of competence is multi-dimensional and specific use and interpretation of the concept depends on the context where adult educators work. This competence assessment is linked with the adult educators’ Curriculum ‘Migrants and Refugees as Re-Builders’ which was co-created by the partners in seven languages [1]. This curriculum comprises five Life-Skills training areas: - Sustainable livelihood: The art of covering fundamental human needs and rights. - Affection and belonging: the art of caring and accepting to be cared for. - Prevention and protection: the art of promoting human security. - Understanding & Engagement: the art of developing critical and constructive thinking and engagement. - Participation & social entrepreneurship: the art of enhancing socio-economic value within communities. These five Life-Skills teaching areas are based on: (i) Universal Declaration of Human Rights 1948; (ii) Human fundamental needs of Manfred Max-Neef [2]; (iii) The Central Human Capabilities of Amartya Sen and Martha Nussbaum; (iv) The cognitive, affective and psychomotor learning taxonomies of Benjamin Bloom and David Krathwohl. The modules were built taking into account over 300 needs and capabilities expressed by migrants and refugees in contact with partners. These needs and capabilities are considered as a value-based system shared by all cultures, which interrelate and interact towards communities’ emancipation and determination on how to live these values for their well-being. Taking all this into account, we have created a complementary framework based on Self-Determination Theory (SDT) [3], which asserts that everyone has the same three basic needs for meaningful and secure lives: When an adult educator first meets a learner, it is critical to understand their situation. Migrants and refugees experience a wide range of emotions when arriving in another country. Their opportunities in life are determined largely by their approach to their situation. The attitude of the adult educator to them will significantly affect their quality of life, education and engagement in their adoptive community. The table below shows the connection of the above criteria with the five Life-Skills teaching areas of the Curriculum. \| Self-determination theory \| Autonomy Competence \| Life Competence (internal and external) \| Relatedness Competence \| \|---------------------------\|---------------------\|----------------------------------------\|------------------------\| \| ‘Migrants and Refugees as Re-builders’ Curriculum \| Prevention and protection \| Sustainable livelihood \| Affection and belonging \| \| \| \| Participation in social entrepreneurial initiatives \| \| Understanding & Engagement The following diagram shows the link between the Migrants and Refugees as Re-Builders curriculum five Life-Skills areas and the Competence Self-assessment Framework co-designed. On the basis of these criteria, and the material we collected during our field work, we have compiled three tools which we hope will be useful for adult educators in bringing to life the content of the curriculum training modules in their teaching and peer-relations with migrants and refugees and assessing how they meet their own needs and those of their communities. - The ‘Self-Determination Assessment Matrix’ is a straightforward application of Self-Determination Theory’s psychological needs to an educator’s situation. - The ‘Inner compass for Adult Educators’ Self-Assessment’ is an empirical tool based on the fieldwork of our Spanish colleagues. - Finally, ‘Radical Inquiry and Adaptive Action’ are tools we borrowed from complexity theory and, more specifically, Human Systems Dynamics, which connect to the self-determination theory and provide additional instruments for situations of conflict and uncertainty. [1] www.uk.iofc.org/M-R-Rebuilders [2] Max-Neef, M., Elizalde, A., & Hopenhayn, M. (1992). Development and human needs. Real-life economics: Understanding wealth creation, 197-213. [3] Deci, E. L., & Ryan, R. M. (2000). The “what” and “why” of goal pursuits: Human needs and the self-determination of behavior. Psychological Inquiry, 11, 227-268. The matrix is based on Self-Determination Theory. We have separated life competence into internal and external categories to provide a more detailed inquiry into this very important aspect. \| My relationship with: \| Life Competence (internal) \| Life Competence (external) \| Relatedness Competence \| Autonomy Competence \| \|-----------------------\|----------------------------\|----------------------------\|------------------------\|---------------------\| \| Myself \| • How do I feel today? \| • Where am I today in relation to my goals (personal and professional)? \| • What feelings do I have about myself today? • What have I done and what will I do to take care of myself today/this week/this month? \| • What actions can I take to influence the important areas of my life? • What have I done recently or am I planning to do soon inspired by my own goals and wishes, and which tasks do I feel are imposed on me? \| \| My peers/colleagues \| • What personal qualities have recently helped me build good working relationships? \| • What role have I recently played in my team? • Which of my professional strengths have I recently used in teamwork with my colleagues? \| • What have I recently done to support my colleagues? • What have they done to support me? \| • When have I recently felt overworked? • When did I reach out to get help last time? • When have I felt happy to help my colleagues? • What principles have allowed us to divide the workload and take credit for our achievements? \| \| The learners \| • How did the learners I interacted with recently feel? • How can I help them to better cope with their feelings and emotions? • What do I need in order to help them? \| • From my recent observations, what are the main challenges experienced by the learners I interact with? • What skills and competencies would accelerate their learning? • How would they like me to support them? • What do I need in order to support them? \| • What have I been doing to create an atmosphere of trust and belonging when working with learners? • What else can I do? \| • How have I recently supported learners to develop their confidence and sense of self-worth? • How can I help them to set their own goals and take responsibility for their learning? \| \| My relationship with: \| Life Competence (internal) \| Life Competence (external) \| Relatedness Competence \| Autonomy Competence \| \|----------------------\|----------------------------\|----------------------------\|------------------------\|---------------------\| \| Organisation(s) I work with \| • What are my personal values which are especially important for me today? • What are the values of the organisation(s) I work with? • How do the two relate? \| • What are the main strengths of the organisation(s) I work with? • How has my work recently contributed to these strengths? • What new skills and competencies am I learning in the process of my work? \| • How do I feel about the organisational culture at my workplace today? • What have I recently done to create a good work ethic which allows the organisation(s) I work with to thrive? \| • How do I feel about the decision-making process in my organisation? • Through which processes have I recently influenced the goals and working practices of the organisation? • In what areas of my work am I able to set my own goals and choose my own methods of achieving them, and in which areas can I not exercise such freedom? \| \| My society \| • How do I feel about the current issues in my community today? • How can I address these issues by practising my values? \| • How have I recently contributed to building community and creating social capital? • What have I been doing to cope and thrive in a complex and diverse setting, in situations of fast changes and high uncertainty? \| • How has my recent work related to the needs of migrants and refugees? • What personal qualities have I used to thrive in a multicultural context? \| • What principles help me balance my individual freedom and responsibility for my society? \| \| The global society \| • What are my personal values, the values of the organisation(s) I work with and my society, which nurture a global social responsibility for humanity? \| • What skills, qualities and competencies have I recently discovered in myself which are useful and valued in any society, across cultures? • What have I done to encourage learners to use their skills to strengthen a multicultural global society? • What else can I do? \| • What have I recently learned about my identity and responsibilities as a global citizen? • What have I recently done to nurture the learners’ sense of global belonging and caring for the planet? • What else can I do? \| • How do my multiple affiliations (my cultural and (non-) religious background, work, education, family, friends, hobbies, etc.) help me have multiple perspectives on my life? • What have I recently done to encourage the learners to have such multiple perspectives on their lives? • What else can I do? \| HOW TO USE THIS TOOL Take time to reflect on these questions on a regular basis, perhaps at the end of every term. You can engage in journaling to record your observations. The tool becomes even more effective if you do it together and share your thoughts with a trusted colleague. HOW TO USE THIS TOOL You can use this tool frequently, once a week or once a month. Reflect on each dimension, answering the questions below. 1. How do you feel you have been doing on this dimension? Rate yourself on the scale of 1 to 5: 1= I am not aware of this ability/skill in myself 2= I need support for improving this ability/skill 3= I feel competent in this ability/skill some of the time 4= I feel competent in this ability/skill most of the time 5= I feel competent enough in this ability/skill to support others in developing it 2. Put a dot on the respective level on the diagram (from 1 to 5). 3. Once you have reflected on all the dimensions, connect the dots. What does it look like? Is it ‘spiky’, with high scores in some and low scores in others? Ideally your diagram should be an even circle as close as possible to the outer rim. 4. Note one practical step for each dimension which will help you improve your diagram for follow up. 5. You may wish to share your diagram with another educator and invite them to create their own, so that you can compare them and exchange ideas on how you can support each other in making improvements. EMPATHY Empathy is about maintaining professional detachment, while understanding and entering into another’s feelings, without crossing the border of ownership for the actual issue. In self-assessment it might be useful to ask yourself if you take home other people’s burdens, or problems. In the best of cases, the empathic listener is maintaining the balance of being a subject among other subjects. The challenge is to listen with an open heart to others’ issues and experiences, without letting the ownership of the problems become yours. Ask yourself: To what extent have I recently been able to… - listen without judgment or the need to control the situation, to ‘fix’ things? - put myself in the other person’s shoes, try to understand their intentions, their perspective, their reasons? - listen without thinking of the next thing I am going to say? ADAPTIVE ACTION AND FLEXIBILITY To use the same methods for different people and/or situations is to be rigid. As the eyes are adaptive to the various degrees of light, the adult teacher obtains a better result when starting from ‘what is’. How is the group today? Has something happened since yesterday? What does that imply for today’s learning? Ask yourself: To what extent have I recently been able to… - observe the mood of the group/person before, during and at the end of the interaction? - notice the shifts in group/individual dynamics from one day to another? - adapt the format or the pace of my work to these dynamics, if this improves the outcome? ANDRAGOGY APTITUDE The word ‘andragogy’ is distinct from the term ‘pedagogy’ (Greek: ‘child-leading’). Andragogy is originally also a Greek word, meaning ‘man-leading’. In adult learning it might be a good idea to distinguish differences from child learning. Malcolm Knowles [1] has suggested a theory based on six assumptions related to the motivation of adult learning: 1. Need to know: Adults need to know the reason for learning something. 2. Foundation: Experience, including error, provides the basis for learning activities. 3. Self-concept: Adult learners need to be responsible for their decisions regarding their education, and involved in the planning and evaluation of their instruction. 4. Readiness: Adults are most interested in learning subjects with immediate relevance to their work and/or personal lives. 5. Orientation: Adult learning is problem-centred rather than content-oriented. 6. Motivation: Adults respond better to internal versus external motivators. Ask yourself: To what extent have I recently been able to… - motivate the learners by providing material applicable to their immediate personal and professional needs? - let the learners utilise their prior experience, both good and bad, in their learning process? - allowed the learners to intentionally and constructively influence their learning process, including planning and evaluation? [1] Knowles, M. S., Holton III, E. F., & Swanson, R. A. (2014). The adult learner: The definitive classic in adult education and human resource development. Routledge. ABILITY TO BUILD TRUST AND CONFIDENTIALITY Migrants and refugees have encountered severe challenges. They have reasons to be cautious with personal information. They are very conscious of the risks to their own and their relatives’ lives. Therefore, the ability of the adult educator to create ‘safe space’ is crucial. Safe space is created by mutual trust between participants, teachers and the place of learning. Confidentiality is the obvious code of conduct for all people committed to the sensitive work of inner and outer learning in the adopted country. Ask yourself: To what extent have I recently been able to… - encourage respect for personal boundaries when working with learners? - respect my own boundaries and offer adequate help and support without depleting my own resources? - respond adequately to sensitive situations? PATIENCE AND UNDERSTANDING ‘Love, peace and understanding’ might be an old expression from the Flower Power era. Yet it embodies effective conditions for learning, especially when the participants might be in a rather vulnerable state. In order to absorb new concepts, when living in a stressful situation, the adult learner needs peace of heart. Love is a strong word, yet the learning will be more efficient when the learners develop passion for their learning through deeds. This might also lead to a more relaxed attitude towards everyday life, which will be helpful in comprehending their new context. Ask yourself: To what extent have I recently been able to… - create a relaxed, non-judgemental atmosphere when working with learners/participants? - encourage learners to be true to themselves? - make humour and playfulness part of the learning process? CULTURAL INTELLIGENCE Cultural intelligence can be understood as the capability to relate and work effectively across cultures. There may be cultural prejudices among learners. Educators may even use the cultural quotient as a motivating factor in learning. It is not only a teaching task, it is more of creating a learning space for the unique individuals within the room to inspire each other. Different cultures might be a great inspiration in the right context. Ask yourself: To what extent have I recently been able to… - encourage learners to challenge their own prejudices? - use diversity as a resource for learning? - challenge my own prejudices and learn from diversity? GENDER SENSITIVITY Gender sensitivity refers to the aim of understanding and taking account of the societal and cultural factors involved in gender-based exclusion and discrimination in the most diverse spheres of public and private life. It focuses mainly on instances of men’s abuse of power and the structural disadvantage in the positions and roles of women. Ask yourself: To what extent have I recently been able to… - observe gender patterns among learners? - make learners aware of their own gender biases and able to deal with them? - observe my own gender biases and deal with them? Complexity Science studies systems which consist of multiple components whose behaviour is extremely hard to predict, such as organisations and groups of people. It can help analyse the patterns that we encounter in our working lives. In our third tool, we borrow from Complexity Science the tools of Radical Inquiry and Adaptive Action. The description below is borrowed from the Human Systems Dynamics website [1] with kind permission of one of the contributors, Glenda Eoyang. RADICAL INQUIRY Radical Inquiry is a process of reflection and exploration that helps you build system-wide clarity and coherence. As you become clearer about the patterns you want, you find ways to engage with others and your environment to influence the emergence of those patterns. Radical Inquiry uses Pattern Logic to help you: - Understand the patterns you want - Identify key conditions that can shape those patterns - Develop a short list of simple rules that can inform decision and action toward those patterns Using Radical Inquiry brings a clarity of focus and an intentionality of language to help you align action and decision toward the patterns you see as best fit for you. Whether you complete the Radical Inquiry as a personal growth activity or you work with a group to design a shared Radical Inquiry, you agree on the patterns you want, create awareness about those critical patterns, agree on conditions that can shape those patterns, and commit to taking action that will set those conditions in your day-to-day actions. Radical Inquiry is a way of taking individual and/or group responsibility for performance and productivity. [1] www.hsdinstitute.org HOW TO USE RADICAL INQUIRY TOOL This tool, in our opinion, is similar in its foundations to Self-Determination Theory. Who am I? What is important? and How do I connect? can be translated, respectively, into Autonomy, Life Competence and Relatedness. This tool brings a fourth question (What do I want?), which invites an educator to reflect on the patterns he or she wants to see in their work situation. The questions below have been inspired by Patterson and Wickstrom [1] and Stewart and Patterson [2]. 1. Reflect on the question ‘Who am I?’ (What is my work? What is the main task for me and the learners in the institution? What is my role as a teacher? Do we both learn from each other? What is our role in society?) 2. Reflect on the question ‘What is important?’ (would learners like to develop? Do these relate only to their learning experience, or to their lives in society? What is more important: to engage with each other or follow rules? Be curious or pass tests?) 3. Reflect on the question ‘How do I connect?’ (What structures, meetings, documents, and tools do we use together? What is the format of our interactions in the class and at the school? Do they work well for our purposes? What do I usually do in order to support learners achieving their goals? How do learners respond to my actions?) 4. Reflect on the questions ‘What do I want? Now that you have thought about roles, priorities, and ways to interact, think of what needs to shift. It can be something in the way you and your students see yourselves (your roles), or something in what is important for you (priorities), or something in the way you interact (lesson formats, assignments etc.). Patterson and Wickstrom [1] recommend focusing on not more than two or three and not worry about the rest, because in a complex system a change in just one pattern often precipitates many other changes. 5. Think of one or two simple steps you can consistently take in order to create your desired shifts. [1] Patterson, L., & Wickstrom, C. (2017). How Much Support Is Enough? 3 Tools Help Us Know When to Step In and When to Back Off. Learning Professional, 38(1), 48-53 [2] Stewart, M. A., & Patterson, L. (2016). Authentic engagement or just “playing school”? Emergence: Complexity & Organization, 18. ADAPTIVE ACTION [1] Using Adaptive Action you ask three questions: ‘What?’ helps you name patterns of interaction and decision making that shape success. ‘So what?’ helps you make sense of those patterns. ‘Now what?’ helps you inform action to influence yourself and your team toward greater fit, success, and sustainability. Inquiry is about questions. It is approaching every interaction, every situation, every opportunity with questions about what can be learned in this moment, in this situation, with this person. In the emergent, unpredictable world of complex systems, inquiry is the only way you can move forward. WHAT? Standing in inquiry enables you to gather information you need to see, understand, and influence patterns of interaction and decision-making that shape your world. When your world cannot be predicted or controlled, answers have a short shelf life, but good questions help you find options for action to move toward resilience and sustainability. SO WHAT? You gather information from your environment to make decisions and take action in your world. Standing in inquiry enables you to see clearly and remain open to the reality around you. - Turn judgment into curiosity - Turn disagreement into shared exploration - Turn defensiveness into self-reflection - Turn assumptions into questions NOW WHAT? When you stand in inquiry, you exhibit patterns of behaviour that help you see, understand, and influence your world. When you stand in inquiry you: - Ask questions you can’t answer - Seek to understand people you disagree with - Explore “What if…” questions to understand possible consequences to an action - Find comfort with ambiguity - Invite people into conversations where you look for answers together - Ask others what they see and listen deeply to their insights - Remain open to and actively seek new learning - Ask others to teach you what they know - Identify skills you don’t have and find a teacher who will help you learn - Consider your own personal interactions through a lens of inquiry - Ask colleagues to share perceptions of your impact on them - Open yourself to learning from others about what they need HOW TO USE ADAPTIVE ACTION If you have a conflict or a problem which comes up again and again, consider the following steps. 1. Ask ‘What?’ i.e. ‘What do I observe about my situation?’ Make notes for a while, perhaps over a period of time, to observe the patterns that come up in other people’s and your own behaviours. 2. Ask ‘So what?’ i.e. ‘What does it mean?’ To answer this question, try using the adaptive action suggestions: Turn judgment into curiosity; turn disagreement into shared exploration; turn defensiveness into self-reflection; turn assumptions into questions. Observe what happens when you do that, over a period of time. How does your perspective of the situation develop? 3. Ask ‘Now what?’ i.e. ‘What steps can I take in my situation?’ Consider the tips from the Adaptive Action box above. [1] www.hsdinstitute.org The suggested tools present a sample of what we hope to be easy, yet deep instruments for an inner inquiry for an educator who wants to continually learn and improve their work. If you wonder which tool best suits your purposes, here is a simple suggestion. (Of course, you can choose any tool you like, and adapt it to your needs, so the suggestion may be useful if you don’t know where to begin.) Tool 1 (Self-determination Assessment Matrix) is good for those who work in a formal institutional setting, where the content of education and its goals are largely defined by curricula (for example, you are a teacher in an educational institution), and you would like to think about your work holistically – not only your relationship with the learners, but also peers, the institution and society at large. This tool should be used for a major self-assessment once or twice a year (for example, at the end of each term). Tool 2 (Inner Compass for Adult Educators) is focusing on your relationship with the learners and what happens in the classroom. However, it is also good for those who usually work with refugees and migrants one-on-one (as a coach, counsellor, mentor, therapist). In the latter case, you can replace the words ‘students’, ‘classroom’, and ‘group’ by ‘the person I’m working with’ or ‘his or her situation’. This tool can be used more frequently, for example, weekly or monthly. Tool 3 (Learning from Complex Adaptive Action: Radical Enquiry and Adaptive Action) can be used in either setting, and it is especially useful for situations of high uncertainty or conflict. Sometimes its use can require feedback and interaction with others, or even a group application, if the patterns one observes need to shift. But even then the first step is the personal reflection and observation of the adult educator. This tool can be used when needed, for example, when a difficult or conflicting situation emerges. We would like to invite you to try and see what works for you, and feel free to use specific elements of the tools and combine them in a different way, if you feel that it more useful. Be creative! The only rules in this process are: be honest with yourself, and be kind to yourself. See every experience as a learning opportunity, a stepping stone, for both you and those you are working with. The educator has a key role as a door opener for migrants and refugees into a new country. It is not only about the language and information. It is also about culture, behaviour and other informal, contextual matters. The educator has an important function as a role model, often being a migrant herself or himself. In the last chapters we have described some useful methods, or tools. Yet the most important tool is the educator. He or she is the first and, often the only person migrants and refugees get the chance to be with more than just in short transactions – such as in the Migration Office. The educator may be highly competent, but without compassion and presence all he or she will be able to do is teach. For vulnerable people like refugees and migrants the focus really must be on meaningful learning, where the people are at the very core of the educational context. Being present and prepared to be oneself is a good start for the educator. Then his or her own qualities will develop with the group. Any of the suggested tools might be very useful to help an educator on starting this journey towards themselves. They are only examples, only a way to start the self-exploration, and hopefully they will inspire educators to dig deeper and use other tools, both new and the ones they are already familiar with. The respectful encounter is the key. How to meet people who have gone through pain and despair and now facing a totally new context? One way of dealing with such a complexity is to create a dialogue. By creating a dialogue, the educator opens a space for the participants’ own initiatives. There the life-long learning might begin! REFERENCES AND LINKS GENERAL Mulder M. (2017). Competence and the Alignment of Education and Work. In: Mulder M. (eds) Competence-based Vocational and Professional Education. Technical and Vocational Education and Training: Issues, Concerns and Prospects, vol 23. Springer, Cham. pp 229-251. [online] Available at: https://doi.org/10.1007/978-3-319-41713-4_11 Wesselink R., Biemans H., Gulikers J., Mulder M. (2017). Models and Principles for Designing Competence-based Curricula, Teaching, Learning and Assessment. In: Mulder M. (eds) Competence-based Vocational and Professional Education. Technical and Vocational Education and Training: Issues, Concerns and Prospects, vol 23. Springer, Cham. pp 533-553. [online] Available at: https://doi.org/10.1007/978-3-319-41713-4_25 Progestion blog: Contextualising the adult educator competences https://blogextranjeriaprogestion.org/ https://blogextranjeriaprogestion.org/2017/06/06/dictamente-ue-sobre-educacion-y-competitividad/ National Agency for Quality Assessment and Accreditation of Spain, ANECA (Spanish initials) http://www.aneca.es/Programas-de-evaluacion/DOCENTIA https://blogextranjeriaprogestion.org/2018/02/21/actualizacion-manual-csce-2018-enero-2018/ http://www.aneca.es/Programas-de-evaluacion/DOCENTIA/Documentacion-del-programa http://www.aneca.es/Programas-de-evaluacion/DOCENTIA/Consecuencias-de-la-certificacion-del-modelo-DOCENTIA http://www.aneca.es/Programas-de-evaluacion/PEP/Documentos-de-ayuda BY COUNTRY Sweden – recommended readings and links Van den Broeck, A., Vansteenkiste, M., De Witte, H., Soenens, B., & Lens, W. (2010). Capturing autonomy, competence, and relatedness at work: Construction and initial validation of the Workrelated Basic Need Satisfaction scale. Journal of Occupational and Organizational Psychology, 83(4), 981-1002. Knowles, M. S., Holton III, E. F., & Swanson, R. A. (2014). The adult learner: The definitive classic in adult education and human resource development. 8th Ed. Routledge. London. Patterson, L., & Wickstrom, C. (2017). How Much Support Is Enough? 3 Tools Help Us Know When to Step In and When to Back Off. Learning Professional, 38(1), 48-53. Stewart, M. A., & Patterson, L. (2016). Authentic engagement or just “playing school”? Emergence: Complexity & Organization, 18. Turkey – recommended readings and links Celik, S. (2011). Characteristics and Competencies for Teacher Educators: Addressing the Need for Improved Professional Standards in Turkey. Australian Journal of Teacher Education, 36(4). [online] Available at: http://dx.doi.org/10.14221/ajte.2011v36n4.3 Ogretmenlik Mesleki Genel Yeterlikleri. (2017). Ogretmen Yetirme Ve Gelistirme Genel Mudurlugu. Ankara. [online] Available at: http://oygm.meb.gov.tr/ Milli Egitim Bakanligi. Ogretmen Yestistirme Ve Egitimi Genel Mudurugu (2006). Temel Egitime Destek Projesi "Ogretmen Egitimi Bileseni, Ankara. Spain – recommended readings and links International Association of Social Educators (2005). Marco Conceptual de las Competencias del Educador Social. [Online] Available at: http://www.eduso.net/res/pdf/13/compe_res_13.pdf International Association of Social Educators http://aiej.net/ United Kingdom – recommended readings and links Adult educators’ curriculum ‘Migrants and Refugees as Re-Builders’: Initiatives of Change, UK Erasmus+ partnership (2017). Curriculum for Adult Educators ‘Migrants and Refugees as Re-Builders’. [online] Available at: http://uk.iofc.org/M-R-Rebuilders National Vocational Qualification - UK The NVQ is a work based qualification which recognises the skills and knowledge a person needs to do a job. The candidate needs to demonstrate and prove their competency in their chosen role or career path. https://www.vocationaltraining.org.uk/nvq-overview https://www.gov.uk/what-different-qualification-levels-mean https://nationalcareersservice.direct.gov.uk/ Skills development Scotland https://www.myworldofwork.co.uk/ Careers Wales http://www.careerswales.com/en/ Northern Ireland Direct https://www.nidirect.gov.uk/campaigns/careers Professional competences for teachers on Social Entrepreneurship: Meredith, M. & Quiroz Nino, C (Coords), Arando, S., Coelho, L.S., Silva, M.F. & Villafuerte Pezo, A.M. (2015). Professional Competences - Chapter 4. In Meredith, M. & Quiroz Nino, C. (Coords.) Enhancing studies and practice of the social and solidarity economy. York St John Erasmus Social and Solidarity Economy Consortium. [online] Available at: https://www.yorksj.ac.uk/socialeconomy/handbook/chapter-4---professional-competences/ CROSS-BORDERS INTERCULTURAL AND SOCIETAL ENTREPRENEURS “The session reflects what is going on in the community on a daily basis.” – UK “I make sure we consume vegetables, fruit, protein and grains in more balanced amounts.” – Turkey “Topics made me think at a personal level, but also what I could do for society.” – UK “I have been supported psychologically and helped to become more comfortable mentally.” – Turkey “Thanks to the Pyramid of Hate and Hope I was able to listen to climate sceptics and racists.” – Sweden “One of the key values of this project is the role that migrants and refugees played.” – Spain “I was truly amazed at the power of a safe space, helping me reflect on my own prejudices and weaknesses and connect with those who have opposite opinions.” – Sweden “The SMIs fill a gap in official sociological studies by focusing on the daily life detail of migrants’ settlement processes.” – Spain Contact us For more information, please contact: UK: email@example.com and firstname.lastname@example.org Turkey: email@example.com Sweden: firstname.lastname@example.org Spain: email@example.com and firstname.lastname@example.org All resources are available in Arabic, English, Somali, Spanish, Swedish, Tigrinya and Turkish. Also available in Braille (English) www.iofc.org.uk - www.ica-es.org
THE OFFICIAL VEGANUARY STARTER KIT RELAX! PLANTS HAVE PROTEIN VEGANUARY ## Contents ### Welcome ### What is Vegan? ### Nutrition - Protein - Calcium - Iron - Omega-3 - Iodine - Vitamin B12 ### Vegan Kids Protecting their future ### Our Top Ten Tips to Get You Started - Planning - Accidentally vegan foods - Transition foods - Veganise already-loved dishes - When you’re ready, branch out - Keep snacks to hand - Be bold – try lots of new recipes and products - HappyCow - Find new friends for support - Be kind to yourself if you make a mistake ### Meal Planning ### Recommended Recipe Sites and Books ### Eating Out On the go ### Why Vegan? - Animals - Health - Obesity - Heart disease - Type 2 diabetes - Cancer - Global health - Zoonotic diseases - Antibiotic resistance - The health of our planet - Climate change - Water shortages - Pollution - Deforestation and species loss - Dying Oceans – including plastics - Sustainability - Feeding the world - Local versus vegan ### Ten Commonly-Asked Questions About Veganism - What do vegans eat? - Do fish feel pain? Do plants feel pain? - Is soya the cause of deforestation? - What would happen to the animals if we did not eat them? - Why does plant milk curdle in hot drinks and how do I stop it? - Almonds and water - What do I do with leather bags and shoes? - Can you be a successful vegan athlete? - Do you need milk for strong bones? - What difference can one person make? ### Five Life-Changing Books to Read ### Five Life-Changing Films to See This is an interactive PDF – jump to each topic by clicking the title. WELCOME! Thank you for signing up to take part in Veganuary and pledging to try vegan for 31 days. This guide will answer all your basic questions, from Where do I get my protein? to How does what I eat affect the environment? Veganuary is a charity registered in England & Wales which works globally to create a kinder world where animals are not bred, fattened and slaughtered for products that damage our environment and can cause serious health problems in us. Instead, we show that there is another way, and that each of us can have a major impact on the world around us simply by making small changes to the way we eat. Over the next month you will also receive your 31 inspirational and fact-packed emails to guide you through those first few weeks. Who knows what you might discover along the way, or how much better you might feel in yourself? SO, LET’S GET YOUR VEGANUARY OFF TO A FLYING START! JOAQUIN PHOENIX, ACTOR AND VEGANUARY SUPPORTER, SAYS: “If you look at the climate crisis or the violence of our food system and feel helpless, thinking ‘I wish there was something I could do’ — you can. Right now. Sign up to try vegan this January.” BRIAN MAY, MUSICIAN AND VEGANUARY 2020 PARTICIPANT, SAYS: “VEGANUARY!!! Yes! It’s done - and I loved it. Not a morsel of meat or fish or dairy passed my lips. It was so much easier than I expected, and gave me so much. So I am now plunging in for a Vegan February!!! I certainly don’t feel like giving up this new journey of discovery.” WHAT IS VEGAN? Veganism is often defined by what we don’t eat: meat, fish, eggs, dairy and honey, plus some of the animal ingredients that are hidden away in products, such as whey, gelatine and cochineal. But really, we should focus on all the great stuff that vegans do eat. And in reality, the difference isn’t all that huge. Instead of meaty burgers, sausage and steaks, we eat plant-based versions. Instead of dairy cheese on a pizza or cows’ milk in our coffee, we choose the non-dairy versions. For almost every animal-derived ingredient and product, there is now a vegan alternative, and this means that a vegan meal may look and taste exactly like a non-vegan meal, it just doesn’t come with the animal suffering, or the same environmental impact. BENJAMIN ZEPHANIAH, POET AND VEGANUARY AMBASSADOR, SAYS: I originally went vegan at the age of 13 because of my love of animals. The world now knows that vegan is the way to go. It’s the one thing we can all do to help heal the world and ourselves. Veganuary is a great way to start the year, and it’s also a great way to start the future. Please be reassured that every single nutrient we need is available from non-animal sources, and if we eat a balanced diet based on wholegrains, legumes, fruits, proteins and healthy fats we won’t go far wrong. We discuss some of the major health benefits of a vegan diet in the WHY VEGAN? section of this guide, but here we have also included additional information on the six nutritional queries that crop up most often. PROTEIN The first question asked of vegans is often where do you get your protein? And it surprises us because protein is in almost every single food we eat. Of course, there are better sources than others, but it is not difficult to reach the recommended daily intake as a vegan. Some of the best sources include tofu, tempeh, vegan sausages made from pea or soy protein such as Linda McCartney or Quorn; lentils, chickpeas, black beans, baked beans and edamame; seeds, nuts and nut butters; quinoa, oats, rice and grains. Even vegetables contain protein! A typical day’s food that exceeds our protein requirement might be: - Oatmeal with a sprinkle of almonds or seeds 12g - One hummus and falafel wrap with a three-bean salad 24g - Veggie sausages with potatoes, peas and broccoli 30g CALCIUM Just as meat does not have the monopoly on protein, milk does not have the monopoly on calcium! Beans and greens tend to be calcium-rich, so eat plenty, including black turtle beans, kidney beans, soya beans, kale, watercress, okra and broccoli. You’ll also find calcium in sweet potato, butternut squash and tofu, and if you snack on dried figs and almonds, you’ll be getting a calcium hit again. Plant milks, including milkshakes, and yogurts are often fortified with it, too. Vitamin D helps absorb calcium, and many people are low in this vital vitamin particularly in the winter months, irrespective of their diet. Be out in the sunshine as much as possible and look out for dairy-free margarines, breakfast cereals and breads that are fortified with it. In the winter months, it is recommended that everyone in the UK takes a Vitamin D supplement daily. IRON Although iron-deficiency anaemia is not uncommon, research suggests that those who eat a plant-based diet are no more at risk than those who eat meat. Start your day with a breakfast of oats, or a cereal that is already fortified with it. Sprinkle some seeds and dried fruit on top, and you may just have reached your daily intake before you even leave the house! Other foods to help boost your iron intake are: edamame beans, lentils, chickpeas and beans, tofu, tempeh, quinoa, blackstrap molasses, watercress, kale and other dark green leafy vegetables, nuts, sesame seeds and dark chocolate. Be sure to eat plenty of vitamin C to help you absorb it and avoid drinking coffee or tea with your meal as these will inhibit iron absorption. OMEGA-3 AND OMEGA-6 Our bodies are able to make almost all the fats we need for the proper functioning of our tissues, but there are two we must get from our food, and for this reason they are known as Essential Fatty Acids. Omega-6 can be found plentifully in leafy vegetables, seeds, nuts, grains and most vegetable oils. It is very easy to get sufficient omega-6 on a balanced vegan diet but this fat competes with omega-3 for use in the body, and so we need to make sure we are getting sufficient omega-3 every day. The best sources are: leafy green vegetables (Brussels sprouts, kale, spinach), walnuts, rapeseed oil, ground flaxseed and flaxseed oil, soya beans and tofu. IODINE Iodine can be tricky to get right because having either too much or too little can cause thyroid problems. There are small amounts in nuts, bread, fruit, vegetables and beans but the best plant sources are seaweed and iodized salt, though the amounts in seaweed can vary quite widely. Brown seaweeds can contain a lot of iodine so eating them just once a week will be sufficient.$^1$ Those who dislike seaweed and need to reduce salt intake should consider a supplement. VITAMIN B12 This is the one vitamin that can be trickier to obtain as a vegan. It is present in animal products, but it isn’t made by the animals themselves but by the bacteria inside them. We can get B12 by eating yeast extract, nutritional yeast, breakfast cereals and plant-based milks that are fortified with it. However, everyone who maintains a vegan diet beyond their Veganuary pledge should take a B12 supplement to ensure they are getting a sufficient amount. VEGAN KIDS When we change our own diets, it is normal to think about nutrition in a way that perhaps we didn’t before and to consider what this means for our family. The good news is that the British Dietetic Association says that vegan diets can be suitable for people of any age, including children. There are bad vegan diets, of course, in the same way that there are bad meat-inclusive diets, and so it is important to get the nutrients right. So, what to feed them? The following advice from the NHS is a great place to start.$^2$ Growing kids burn a lot of energy and need a high-calorie intake; too much fibre will cause small stomachs to feel full before they’ve actually got enough. Wholegrain versions of cereals are therefore not usually recommended. Adding vegetable oils to meals to increase calorie count, and feeding your children smaller, more frequent meals and snacks are some strategies that can help to deal with this. Good sources of protein include beans, chickpeas, lentils and soya products. They’ll need calcium from fortified plant milks and breakfast cereals, green veg and tofu to help meet their requirements. Yeast extract and some non-dairy milks boost vitamin B12, but a supplement should also be taken. There are hundreds of thousands of people around the world who are bringing up vegan children, so why not connect with some on social media? They will be only too happy to help, advise, and allay any fears you may have. “It is the position of the Academy of Nutrition and Dietetics that appropriately planned vegetarian, including vegan, diets are healthful, nutritionally adequate, and may provide health benefits for the prevention and treatment of certain diseases. These diets are appropriate for all stages of the life cycle, including pregnancy, lactation, infancy, childhood, adolescence, older adulthood, and for athletes.” VEGAN KIDS PROTECTING THEIR FUTURE While getting the nutrition right for our kids is vital, there are some wider issues around feeding your children vegan foods. One is that vegans of all ages are less likely to suffer from bugs like campylobacter, salmonella, listeria and E. coli that infect so many animal products, and which can be fatal to people. And thanks in large part to animal agriculture, antibiotic resistance to campylobacter and other diseases is growing. If we don’t want our children to live in a world where even minor infections cannot be treated, we need to end our reliance on meat, eggs and milk. Of course, if we want them to have an inhabitable planet at all, then we must tackle climate change and one of the biggest human-generated contributors to that is animal farming. When we feed our children vegan food, we teach them about the environment and compassion, about sharing the world and taking care of themselves and others. Some people may criticise vegans for ‘inflicting’ their views on their children, forgetting perhaps that they do the exact same thing when they feed their own children meat. In reality, all parents make choices for their children when they are young, and as they grow it is up to them whether they continue with that choice or they choose a different path. KELLIE BRIGHT, ACTOR AND VEGANUARY AMBASSADOR, SAYS: “My children deserve a future and so do yours. If you care about climate change, make a difference and do Veganuary.” OUR TOP TEN TIPS TO GET YOU STARTED 1. IT’S ALL IN THE PLANNING! Don’t wake up on the first day of your vegan adventure without having thought about what you might eat! That is the absolute quickest way to fall off the wagon. Ahead of time, have a think about your first day’s meals and buy plant milk for your breakfast and coffee or tea, some dairy-free butter for toast or sandwiches, and something tasty for your dinner. 2. LOOK OUT FOR ACCIDENTALLY VEGAN FOODS There are so many everyday foods that just happen to be vegan, so open up your cupboard and take a look. Pasta, rice, peanut butter and Marmite, most breads, tinned tomatoes, chickpeas and kidney beans, jam and marmalade, coconut milk, curry pastes, tomato puree, baked beans, many crisps, crackers and biscuits, herbs and spices, many gravy granules, tea, coffee and fruit juice… There is a good chance that half the foods you already eat are vegan! 3. EASE YOURSELF IN There is no need to reinvent your whole eating habits. If you like a sausage sandwich, have one – just make sure the sausages are vegan. If you want ice cream, go ahead. There are dozens of different delicious flavours out there. You can have almost everything you had before in a vegan version, so just switch like for like. 4. VEGANISE YOUR FAVOURITE DISHES Again, there is no need to adopt a whole new eating regime. If your signature dish is lasagne, make a vegan version with soya mince and plant milk for the béchamel. If you love a morning fry-up, you can make it with vegan bacon and sausages. Whether you cook curries, casseroles, soups, stews, pies and pasties, roast dinners, cakes, desserts or anything else, simply veganise it. 5. WHEN YOU’RE READY, BRANCH OUT Many people find that becoming vegan opens up a whole new world of recipes and ingredients, and rekindles their love of great food. Once you’ve got the hang of the basics, why not jump in and try some brand-new recipes (there are thousands online) and see if it ignites your culinary passions. 6. KEEP SNACKS TO HAND Don’t get caught out! It’s really easy to pick up vegan snacks in most places but not everywhere, so make sure you keep a bag of nuts, a chocolate bar or some fruit in your bag or car just in case. 7. PERSISTENCE PAYS Not every vegan product will work for you but just because the first cheese you try or the first latte you make doesn’t hit the spot, don’t rule out all other cheeses and plant milks. There are so many different ones to try – cream cheese, melty cheeses, nut-based, coconut-based, soya-based, all flavours and lots of different brands and styles; and as for milks, you’ll find oat, hemp, almond, coconut, rice and soya. Try them all, and you will soon find your perfect match. 8. HAPPYCOW Like eating out? Download the HappyCow app onto your phone and let it guide you to your nearest restaurant, café or shop where you can find vegan food wherever you are in the world. 9. FIND YOUR TRIBE It’s easy to feel isolated as a new vegan but there are millions of us out there. Find your local vegan meetup group and make like-minded friends in real life or search online for vegan groups that interest you. From vegan runners to bakers to knitters; from vegan weightlifters to fashionistas to activists. They’re all there waiting for you. 10. BE KIND TO YOURSELF Everyone makes mistakes. Whether you ate something non-vegan accidentally or simply gave in to temptation, it’s OK. It doesn’t mean you are no longer vegan; it just means you are human! Chalk it up to experience and move forward. ERIC ADAMS, NYC MAYOR AND VEGANUARY SUPPORTER, SAYS: “No matter what your past habits or family traditions might have been, you always have the power to choose to eat healthier. You can incorporate foods that tie into your heritage while reinventing comfort food the way it was always intended: as healing for the mind, body, and soul. Try vegan this Veganuary!” MEAL PLANNING Some people find making a weekly meal planner helpful, so they always know what they need to shop for and what they will be eating. Here are some ideas to get you started. BREAKFAST • Toast – with vegan butter, peanut butter, yeast extract, jam, hummus, avocado, sliced tomato, or dairy-free cheese • Oatmeal – with your choice of plant milk. Add seeds, nuts and fruits • Breakfast cereals – with dairy-free milk or yogurt. Add seeds, nuts and fruit • Full – vegan sausages and bacon, scrambled tofu, hash browns, grilled tomatoes, mushrooms and baked beans • Tea, coffee and fruit juice LUNCH • Soup and roll – homemade or shop-bought • Sandwiches and wraps – homemade (vegan BLT; cheese and pickle; ‘ham’ and mustard; hummus and carrot) or shop-bought • Pasta salad or a hot pasta dish • Jacket potato with salad, dairy-free cheese, baked beans or chilli, or make a delicious vegan tuna salad • Sushi – homemade or shop-bought DINNER • Pizza – with vegan cheese, ham and chorizo, sundried tomatoes, basil, sweetcorn, artichoke, olives and capers, pineapple, jalapeños • Spaghetti Bolognese – made with lentils or soya mince, or a combination • Curry – Thai, Indonesian, Indian, Bangladeshi, or ‘veganise’ your old favourite recipe • Burger in a bun with a fresh green salad • Chilli non carne with nachos, refried beans and guacamole • Bangers and mash with fresh vegetables • Steak and chips – yes, there are now vegan steaks available! OUR FAVOURITE RECIPE SITES AND BOOKS It’s so hard to choose just five sites and five books when there are so many excellent resources out there, but we hope you’ll find something here to love. OUR FAVOURITE SITES 1. So Vegan Ben and Roxy offer up rich, flavour-packed everyday dishes that are simple to make and very satisfying 2. Rebel Recipes by Niki Webster. Everything from wholesome vegetable-rich mains to deliciously indulgent and decadent treats 3. Wicked Healthy Chefs Chad and Derek Sarno bring inspired mains, bites and desserts to our vegan table 4. Heart of a Baker Abby offers up breads, cakes, tarts, pies, croissant, desserts and doughnuts plus some great tips for vegan baking 5. One Arab Vegan Neda shares some beautiful Middle eastern-inspired vegan recipes that burst with freshness and flavour And don’t forget, there are hundreds of delicious recipes at [veganuary.com/recipes](http://veganuary.com/recipes). There, you will find everything from a power-packed breakfast to an indulgent dinner party dessert. OUR FAVOURITE BOOKS 1. Bosh! Simple Recipes. Amazing Food. All Plants by Henry Firth and Ian Theasby. 140 simple but imaginative recipes that you will love cooking and eating 2. Bento Power by Sara Kiyo Popowa. Full of Japanese-inspired lunchbox ideas that are delicious, healthy and surprisingly simple to make 3. The Green Roasting Tin by Rukmini Iyer. Delicious and innovative plant meals cooked in one tin and revolutionise midweek meals 4. Feed Me Vegan by Lucy Watson. A modern classic packed with simple yet satisfying recipes. Great for those starting out on their vegan journey 5. Rachel Ama’s Vegan Eats. Taking inspiration from Rachel’s Caribbean and West African roots, you can expect vibrant, bold recipes that are easy to follow EATING OUT Eating out as a vegan is not only possible, but in most places it couldn’t be easier. Every high street chain restaurant has vegan options or full vegan menus. You can get cheesy pizzas and meaty burgers and fried chiken in almost every town! Check out Zizzi, Pizza Express, Pizza Hut, Wagamama, Yo! Sushi, Pho, Wetherspoons, Loungers, Turtle Bay, Giraffe and Las Iguanas, though you will also find vegan food at every other chain restaurant, too. Independent restaurants often have vegan options on the menu, too. If you’re unsure or their menu is not displayed online, call ahead of time to check. Even if there is nothing on the menu, chefs are often happy to adapt an existing dish or create something special just for you. Thai, Mexican, Indian, Ethiopian and Chinese restaurants often have plenty of vegan menu items. Just look out for fish sauce and ghee. And, of course, there are a wealth of vegetarian and vegan restaurants all over the world. If you haven’t already, download the HappyCow app, type in your location, and it will show you all the local restaurants that serve vegan meals. For more information on the very best places to eat out, visit www.veganuary.com/restaurants. ON THE GO So, what happens when you are travelling or do not have time to sit down for a meal? Most supermarkets stock vegan sandwiches or wraps, as well as ready-to-eat snacks like pasties, pakora and salad bowls. High street chain Greggs offers several vegan choices and so does fast food outlet Leon, which can be found at many train stations, as well as on high streets. In fact most fast food chains now have a selection of vegan options including Burger King, KFC and McDonald’s. Coffee shops like Caffè Nero, Costa and Starbucks also have vegan items including toasties, and there are always vegan sandwiches and soups in Pret. Subway is also a good option for grabbing vegan food on the go. WHY VEGAN? There are lots of reasons why people decide to switch to a plant-based diet, but most people say it is for one of three reasons: to end their contribution to the suffering of farmed animals, to better protect the environment and reduce their climate impact, and to improve their own health. What is really interesting is that often people try vegan for one reason but decide to stay vegan for all three. This is why … ANIMALS Most of us feel uncomfortable about the factory farming and slaughter of animals. We find images and films upsetting and prefer not to think about it, and yet we know deep down that not thinking about it doesn’t change anything at all. Rather than turning away, we would urge people to have courage and read on. NO ANIMAL ESCAPES THE HORRORS OF FARMING, NOT EVEN THOSE WE THINK ARE HAPPY IN FIELDS. Did you know that sheep have hormone-soaked sponges inserted into their vaginas to control their fertility, and that many are inseminated surgically? And that there is a whole raft of ‘mutilations’ that are legal and commonplace, from tail docking and teeth clipping to dehorning, ear-clipping and tattooing. The lives of farmed animals are characterised by suffering, fear and loss. CHICKENS Chickens are probably the most exploited animal on earth. Typically, tens of thousands of birds are crammed together in a warehouse, on a farm that may hold millions of birds. Here, the farmer’s first job each morning is to pick up the bodies of those who did not make it through the night and to wring the necks of the weakest, the smallest and the sick. Individual care is not possible when there are so many birds, and so these victims suffer and die out of sight. They will never scratch in the earth, sunbathe or do any of the things that make life worthwhile for a bird. Their first breath of fresh air will be on the day they are transported to the slaughterhouse, at the age of just six weeks. Chickens farmed for their eggs are a different breed to those reared for meat. Although tiny battery cages are banned in the UK, slightly bigger cages are not, and around 16 million hens on UK egg farms still live their lives inside cages. There is no doubt that they suffer as a consequence of those cramped, unnatural conditions. And when their productivity declines, they too are sent to the slaughterhouse. PIGS Life is no better for pigs. As smart and charismatic as dogs, mother pigs are treated as breeding machines, kept alive only so long as they keep churning out litter after litter of piglets. On factory farms, they must give birth inside farrowing crates – metal cages so small that each mother cannot turn around, or even take a step forward or back. She can stand up or lie down, and that is all. In the wild, she would build a nest and her instincts still tell her to try, and so she will work in vain trying to create a nest even though it is impossible inside the crate. If her piglets are sick, she is not able to reach them to nuzzle or care for them but can only watch them suffer. When her own fertility declines, she will find herself on the same truck that took her piglets to slaughter when they were just six months old, headed for the same destination. COWS Like all mammals, cows produce milk to feed their young, and this means they must first be made pregnant. And to keep the milk flowing, cows are impregnated over and over – but what happens to the babies who the milk was made for? Well, it’s the milk that is valuable, not the calves, so first they are taken from their mothers to stop them from drinking it, and then their fate will depend on their sex. Females may be put into solitary hutches, reared on a milk substitute and then follow their mothers into the repeated cycle of insemination, birth, separation from young and near-constant milking. If male, their future is less certain. They are the wrong breed for beef, and they cannot produce milk, so they may end up as veal, low quality beef or simply shot at birth. Cows are wonderful, loving and protective mothers, and the loss of their young affects them deeply. They may grieve for days, calling in vain for the return of their calves. Not eating farmed animals saves wild animals too! Because so much land is needed to produce feed crops for farmed animals, ancient habitats are destroyed to make way for it. This means, wild animals the world over are being killed for our meat habits. To find out more about animal farming and slaughter, and to support campaigns to end the worst practices, visit AnimalAid.org.uk and Viva.org.uk. For more information on antibiotic use on farms and how animal farming impacts on wildlife, check out ciwf.org.uk. Not all vegan food is automatically healthy. You could eat a dozen delicious flavours of vegan ice cream for breakfast, a stack of pancakes doused in syrup for lunch, and a dinner of cakes, cookies, meringues and cheesecakes. It’s great that we can make or buy all these wonderful vegan treats but no one would think for a moment that they are healthy. A healthy diet must include putting plants at the centre of our meals, though this does not mean we have to sacrifice pleasure or flavour. And if we choose wholefoods, legumes, nuts, fruits, spices, herbs and some of the 20,000 edible plants that exist in the world, we can experience an incredible improvement in our health while enjoying some wonderful flavours. Some of the most common reports we receive from Veganuary participants is that after 31 days vegan they experience an improvement in their digestion, skin, hair, sinuses and sleep. We have also been told of improvements in arthritis, chronic fatigue and energy levels. Some people report better mental clarity, others that their depression symptoms were relieved. Many find that sporting performance improves. We can’t promise everyone that their niggling conditions and chronic illnesses will disappear after 31 days of plant-based eating, but for lots of people, a month without eating animal products brings a stark, often unexpected, improvement. These short-term changes can feel miraculous, but the real power of a whole food plant-based diet is over a longer period as that’s where the life-changing benefits really lie. Dr Michael Greger is an internationally recognised speaker on nutrition, food safety, and public health. He has devised a list of foods we should all aim to eat every day for optimal health. This is Dr Greger’s Daily Dozen. OBESITY Almost 30 per cent of adult Britons and 20 per cent of children leaving primary school are medically classified as obese.$^4$ It’s a serious, life-limiting and life-threatening condition, which makes heart disease, type 2 diabetes and stroke more likely. Studies have regularly shown that vegetarians tend to have a lower Body Mass Index, and vegans appear to have the lowest Body Mass Index of all.$^5$ Researchers increasingly believe that this may be connected to a plant-based diet positively affecting the gut and promoting ‘a diverse ecosystem of beneficial bacteria to support both human gut microbiome and overall health.’$^6$ This is not the whole story, though. Animal products contain significant amounts of saturated fats, while plants and wholegrains contain plenty of fibre that help keep us feeling fuller for longer. “Plant-based foods, particularly fruit and vegetables, nuts, pulses and seeds, have been shown to help in the treatment of many chronic diseases and are often associated with lower rates of Type 2 diabetes, less hypertension, lower cholesterol levels and reduced cancer rates” — Diabetes UK HEART DISEASE Animal products contain high levels of saturated fat that can raise cholesterol and increase our risk of developing heart disease. Conversely, the majority of plants are low in saturated fat and none contain cholesterol, so a diet full of plant products such as wholegrains, beans, fruits and vegetables can help to lower blood cholesterol and provide a heart-healthy diet. The great news is that it’s never too late to start protecting your heart. A growing number of doctors are finding they can halt and even reverse heart disease in patients who undertake a programme that includes eating a whole food plant-based diet. Our recommended reading: Undo It!: How Simple Lifestyle Changes Can Reverse Most Chronic Diseases* by Dr Dean Ornish TYPE 2 DIABETES The fact that type 2 diabetes is so common – around 5 million Britons live with it$^7$ – should not detract from just how serious this condition is. It can lead to complications including heart disease and stroke, nerve damage, kidney disease, blindness, leg ulcers and peripheral vascular disease, which in turn can lead to foot or limb amputation. It is a devastating condition, but it can be prevented and even reversed through lifestyle changes.$^8$ And those who eat a plant-based diet have just a small fraction of the occurrences of diabetes compared to those who regularly eat meat.$^9$ For more information on reversing diabetes with a plant-based diet, visit [The Physicians Committee for Responsible Medicine](#). CANCER In 2015, The World Health Organization announced it had sufficient evidence from epidemiological studies to classify all processed meat as carcinogenic to humans.$^{10}$ Bacon, sausages, chorizo, salami, hot dogs and any other meat that has been smoked, cured or otherwise processed can cause cancer$^{11}$ and no amount is safe. Furthermore, unprocessed red meat was also classified as being ‘probably carcinogenic’ to humans, with the strongest evidence relating to colorectal cancer as well as there being evidence of links with pancreatic cancer and prostate cancer.$^{12}$ On the flip side, plants are protective. The World Cancer Research Fund says there is strong evidence that wholegrains and fibre decrease the risk of colorectal cancer; that non-starchy vegetables decrease the risk of cancer of the mouth, pharynx, larynx, oesophagus, lung and breast; and that fruit reduces the risk of oesophagus and lung cancer. There is also some evidence that fruits and veggies reduce the risk of stomach and bladder cancer, too.$^{13}$ KUNTAL JOISHER, MOUNTAINEER AND VEGANUARY AMBASSADOR, SAYS: “I have never eaten meat in my entire life and turned vegan 17 years ago. I was successfully able to build top of the world level muscle and endurance and not only survive but thrive in the -50C temperatures on top of Everest, not just once, but twice! Goes to show that no animal needs to suffer or die for our dreams to come true.” ANTHONY MULLALLY, PROFESSIONAL RUGBY PLAYER AND VEGANUARY AMBASSADOR, SAYS: “On the pitch I feel fitter, I have a lot more energy in the mornings which helps me cope for training more, so a lot better in it all. I’m mentally clearer as well.” GLOBAL HEALTH ZOONOTIC DISEASES Eating animal products, as we have seen, can raise the risk of diseases that rob us of our health, our wellbeing and the people we love the most. But animal farming has the power to kill people on a devastating scale, through the diseases it breeds and the antibiotics that it uses. Many infectious diseases that people suffer from today – including whooping cough, leprosy and measles – are thought to have originated in the animals we farmed, and this transfer of diseases from farmed animals to people is far from over. Avian influenza (‘bird flu’), for example, still infects and kills people every year.$^{14}$ Such viruses mutate, and when they do there is a chance they can be spread more easily and become more deadly, which is what happened in both 1918 and 1957 when millions of people died.$^{15}$ There is a clear connection between the current COVID-19 crisis and the global food system based on animal products, which contributes to the destruction of ecosystems and can lead to the transmission of infectious diseases from wild animals to humans, according to leaders at the UN, WHO and WWF International.$^{16}$ ANTIBIOTIC RESISTANCE The vast majority of farmed animals are reared intensively in cramped, filthy conditions that weaken their immune systems while simultaneously exposing them to squalor. Unsurprisingly, diseases on such farms are rife. But instead of providing better conditions, the industry doses the animals with antibiotics and in overusing them, it has helped antibiotic-resistant strains of superbugs to emerge. In 2016, Dr Margaret Chan, Director-General of the World Health Organization said: ‘Antimicrobial resistance, as I say again and again, is a slow-motion tsunami. It is a global crisis that must be managed with the utmost urgency.’$^{17}$ In order to reduce the vast amounts of antibiotics given to animals, we must end factory farming, and we can only do that when people stop buying animal products. SARA PASCOE, COMEDIAN AND VEGANUARY AMBASSADOR, SAYS: “I decided that I was going to do 100 days being vegan, and I was going to write it up and see how I felt. But within a week I felt so much better in my body that it then became oh I am definitely going to do this forever.” Evidence is increasingly revealing just how big an impact our food choices have on the living world, and environmentalists are switching to plant-based diets to minimise the damage caused in food production. Because animal agriculture impacts our planet in so many ways Joseph Poore, an environmental researcher at Oxford University, concluded that ‘A vegan diet is probably the single biggest way to reduce your impact on planet Earth.’$^{18}$ CLIMATE CHANGE Animal agriculture is one of the leading contributors of climate-changing emissions. In fact, the United Nations Food and Agriculture Organization has stated that animal agriculture is responsible for 14.5 per cent of human-induced emissions – which makes animal products more damaging than the direct fuel emissions from every car, plane, bus, truck, train and ship on the planet.$^{19}$ In Sweden, researchers analysed 39 peer-reviewed articles, carbon calculators and government sources and came up with the four most impactful ways each of us can reduce our footprint. These are: adopt a plant-based diet, limit flying, stop driving and limit the number of children we have.$^{20}$ These four key actions are not usually included in government and environmental recommendations, which instead tend to advocate small, incremental changes, such as recycling or switching to reusable shopping bags, which, while positive, are not enough to avoid catastrophe. We must take meaningful action now. The United Nations’ Intergovernmental Panel on Climate Change (IPCC) has warned that urgent and profound changes to the way we live must be made if we are to keep global temperature rise to no more than 1.5 degrees above pre-industrial levels. Anything beyond this will significantly worsen the risks of drought, floods, extreme heat and poverty for hundreds of millions of people.$^{21}$ WATER SHORTAGES Those of us who have abundant fresh water at the turn of a tap rarely give a thought to worldwide water shortages, yet 844 million people have no access to clean water, and 300,000 children die each year of diarrhoea, linked to dirty water and poor sanitation.$^{22}$ The situation is expected to worsen as the effects of climate change hit home, with the world’s poorest most likely to suffer the consequences. Without water, nothing can live but just three per cent of the world’s water is fresh, and just one-third of that is readily available for human use.$^{23}$ We must be careful how we use this precious resource. Globally, agriculture uses an astonishing 70 per cent of all available water,$^{24}$ but it is animal agriculture that demands the most. This is because it takes a staggering 9,000 litres to produce one pound of beef but just 60 litres to produce one pound of potatoes.$^{25}$ The largest pig farms use enough water to supply an entire city.$^{26}$ Switching to a plant-based diet is probably the biggest thing we can do to save water.$^{27}$ “A vegan diet is probably the single biggest way to reduce your impact on planet Earth, not just greenhouse gases, but global acidification, eutrophication, land use and water use.”$^{28}$ JOSEPH POORE, RESEARCHER AT THE UNIVERSITY OF OXFORD, 2018 POLLUTION Animal farming is a key polluter of air, land and waterways. The air inside animal farms contains high levels of organic dust, which is known to lead to respiratory problems. Such farms may also emit air pollutants into the atmosphere, including ammonia and hydrogen sulphide, as well as microorganisms and toxins. Both farm workers and neighbours can be seriously affected.$^{29}$ Land is polluted by the vast amounts of slurry produced by billions of farmed animals. It is known to be noxious and should be stored securely but all too often it is either deliberately spread on the land or accidentally leaks onto it. (Half of all slurry storage facilities in the UK are thought to be inadequate.$^{30}$) Either way, the effects can be devastating.$^{31}$ Slurry and other agricultural pollutants regularly contaminate rivers, where they poison the water and decimate aquatic life. Pollution incidents are recorded every week in the UK, and most of them involve dairy farms.$^{32}$ Worldwide, farmed animals’ slurry is a key factor in the growth of ocean dead zones.$^{33}$ DEFORESTATION AND SPECIES LOSS Animal agriculture uses 85 per cent of our farmland but provides us with just 18 per cent of our calories.\textsuperscript{34} It is a wasteful, highly inefficient, land-hungry practice. In order to make way for grazing livestock and to grow the vast amount of crops needed to feed the billions of animals farmed and killed for food every year, whole swathes of forests and other ancient habitats have been razed to the ground. The people and animals who once lived there are displaced or killed. Such wanton destruction has driven whole species to extinction. Already, 60 per cent of the world’s animal populations have been wiped out just in the last 50 years,\textsuperscript{35} and researchers identified three main causes, all of them relating to our desire to eat meat: 1. Destruction of habitats, largely to create farmland 2. Wild animals being eaten into extinction 3. Overfishing\textsuperscript{36} Whole ecosystems are collapsing, species are being lost forever and the loss of plants and sea life will reduce the Earth’s ability to absorb carbon. This will exacerbate the effects of climate change\textsuperscript{37} and drive even more species to extinction. DYING OCEANS More than 30 per cent of the world’s fisheries have already been pushed beyond their biological limits or are in need of dramatic action to restore them.\textsuperscript{38} Entire aquatic populations are on the verge of collapse,\textsuperscript{39} and all for a product we do not need to eat. Vast nets drag trillions of fish from the oceans, but they do not discriminate. Among the ‘target’ species are accidental ‘by-catch’, including whales, dolphins, porpoises, sharks, starfish, sponges, turtles, and even diving sea birds.\textsuperscript{40} Species such as Maui’s dolphin and North Atlantic right whale are being pushed to the very brink of extinction.\textsuperscript{41,42} Switching to farmed fish does little to protect wild fish, as many farmed fish – including salmon and trout – are carnivorous so their feed is made up of wild-caught fish who were dragged from the oceans. Often, to compound the problem, their feed also includes soya, grown on deforested land. Moreover, most of the plastic pollution in the ocean actually comes from fishing vessels.\textsuperscript{43} Ending our consumption of fish will do more to restore the oceans than any other action we can take. And if we stop eating meat, we are also helping fish! This is because farmed animal slurry pollutes waters and creates ocean dead zones where no marine species can survive.\textsuperscript{44} SUSTAINABILITY FEEDING THE WORLD Animal agriculture is incredibly wasteful. It uses vast amounts of land, water and energy, while giving us fewer calories back in meat, milk and eggs than we fed to the animals. It is no way to feed a growing human population and is not sustainable. In all, one-third of the world’s cereal harvest and 90 per cent of the world’s soya harvest is fed to farmed animals.$^{45}$ To produce these vast amounts of food, the land is pushed to its limits with the application of fertilisers, pesticides and other soil-damaging practices. Ninety-five per cent of our food is grown in the uppermost layer of soil, making topsoil one of the most important components of our food system. But conventional farming practices mean that nearly half of the world’s most productive soil has disappeared in the last 150 years. In the US alone, soil on cropland is eroding 10 times faster than it can be replenished.$^{46}$ We need to take pressure off the soil and feed the growing world population, and we can do both those things if we switch to a plant-based diet. LOCAL VERSUS VEGAN Some people argue that eating local is better for the planet than eating vegan, but the evidence does not bear this out. Transport is a very small part of our food’s carbon footprint (typically less than 1 per cent for beef)$^{47}$ so it being local does not alter its impact all that much. Research found that animal foods tend to have a higher footprint than plant-based foods.$^{48}$ So, even if you shipped bananas six times around the world, their impact would still be lower than for local beef and lamb.$^{49}$ What about soya? Isn’t that the worst of all? Actually, no. Research from Oxford University found that even the most sustainable dairy was still worse overall than the least sustainable soya milk.$^{50}$ CHRIS PACKHAM, TV PRESENTER, NATURALIST AND VEGANUARY AMBASSADOR, SAYS: “As I’ve become more and more aware of our impact, the impact our diet has on the environment – and of course the species that live in it – I’ve become increasingly concerned to minimise the negative aspects of that impact.” 1. WHAT DO VEGANS EAT? When we talk about removing all animal products from our diet, it can be tricky to see what is left. But the truth is, vegans are just normal people, who like to eat the same foods as everyone else and the recent vegan food revolution means they can do just that. There are now vegan versions of everything from sausages, burgers, kebabs and steak to fish fingers, scampi and tuna. You can choose from a wide variety of plant milks, yogurts and ice cream, and even find vegan mayonnaise and cheesecakes. All these items and more are available in supermarkets, alongside the vegan foods you already buy, perhaps without thinking of them specifically as vegan. This includes pasta, rice, peanut butter, Marmite, jam, tinned tomatoes, baked beans, bread, crackers and crisps, coconut milk, curry pastes, tomato puree, tomato ketchup, tea, coffee and fruit juice. All this means, we can make our favourite meals just the way we like them, but in an animal-free version. Shepherd’s pie, chilli non carne and spaghetti Bolognese can be made in the same way as their meaty versions just by switching to soya mince, and for lasagne, using plant milks in the béchamel sauce. For fajitas, there are meaty strips. For curries, casseroles and stews, there are meaty chunks. Supermarkets are increasingly catering to the vegan ready-meal market, and you can find vegan mac ‘n’ cheese, pizzas, Bolognese, Thai green curry, dhal, mushroom carbonara, paella, chilli, burritos, a variety of pies and many more options on the high street. As a new vegan, it can take a few weeks to adjust to buying new ingredients and products, but very quickly people discover that their new diet is far from restrictive. In fact, people often find that they discover a wealth of new foods and report that they have never enjoyed such a varied diet. 2. DO FISH FEEL PAIN? DO PLANTS FEEL PAIN? The short answers to these two questions are: almost certainly, and almost certainly not. Pain is a difficult thing to assess in any species, even humans. We cannot see someone else’s pain, but we can hear them describe it and trust what they say is true. But it is not so simple to assess the pain in species that do not speak our language. So, scientists have come up with two ways to determine whether other species are likely to feel pain: first, do they have all the necessary physiological equipment that would allow them to feel pain? And secondly, do they behave as though they feel pain? In the case of fish, the answer to both these questions is yes. Fish have pain receptors, which would be strange if they weren’t able to feel pain. They also produce substances known as enkephalins that mediate pain in the same way as in vertebrates like us. Research has also shown that many aquatic species have an aversion to noxious substances. When harmed they rub themselves in the affected area or hide from the thing that hurts them. In other words, they behave in the exact same way as we would if we were in pain but couldn’t speak. The evidence is strong and getting stronger all the time, but even if it wasn’t, shouldn’t we err on the side of caution and treat aquatic species with care and compassion? As for plants, while we know that they can ‘feel’ sensations, they have no brain and no central nervous system. Nor are they equipped to move away from the thing that harms them, and so feeling pain would be of no benefit to them. In the future, we may find out more about what exactly they can feel but for now, it is safe to assume that, whatever it is, it is not pain. But, if you are more worried about plants that (probably) don’t feel pain than animals that definitely do, then you should still switch to a plant-based diet. Contrary as it sounds, meat eaters consume a lot more plants than vegans via the plant-eating animals that they eat. 3. IS SOYA THE CAUSE OF DEFORESTATION? The problem isn’t soya itself. It is the amount of soya that is grown to feed farmed animals that is driving the environmental damage. Yes, that’s right, farmed animals, including chicken and fish – and by extension the people who eat them – consume 75 per cent of the world’s soya harvest.$^{51}$ This means that the average European consumes around 61kg of soya every year, largely through eating animal products such as chicken, pork, salmon, cheese, milk and eggs.$^{52}$ This question goes to the very heart of the sustainability problems associated with meat consumption: many more crops are required to feed farmed animals than if we just ate the plants themselves. And because the available farmland is not sufficient to grow the soya and other feedstuffs that the billions of farmed animals require, rainforests and other habitats are cut down in vast swathes. The Worldwatch Institute reports that “the human appetite for animal flesh is a driving force behind virtually every major category of environmental damage now threatening the human future – deforestation, erosion, fresh water scarcity, air and water pollution, climate change, biodiversity loss, social injustice, the destabilization of communities, and the spread of disease.”$^{53}$ Soya is not the problem. Animal products are. 4. WHAT WOULD HAPPEN TO THE ANIMALS IF WE DID NOT EAT THEM? Animal agriculture – like all businesses – is about supply and demand. Animals are bred, reared and slaughtered only because people buy the products, and as we stop buying them, fewer animals will be created. This is great news for our planet and also for animals, as fewer will have to endure the legally-permitted mutilations, the filth of factory farms, the sadness at losing their young, the terror of long-distance transportation and the horrors of slaughter. Since the whole world will not go vegan overnight, it will be a steady reduction, and that means farmers will not just turn out their animals to fend for themselves. When individual animal farmers become vegan, as an increasing number are, we see them find sanctuary places for the animals who are left. Another issue that some people worry about is that certain species will become extinct if we don’t breed them to eat. This could happen in some cases and it would be a very good thing. Farmed animals are not natural species. Wild turkeys are not the same as farmed turkeys; wild boars are not the same as farmed pigs. Farmed animals are bred specifically for their money-making traits, such as a high milk yield or their ability to have more offspring in a litter, and this often comes at the expense of their welfare. Turkeys and chickens reared for their meat, for example, are bred to put on a lot of weight as quickly as possible. As a result, their joints are painful, their hearts are weak, and their bones can break beneath them. It’s right that these poor creatures are not bred to suffer this way. And if we are truly worried about species becoming extinct, we should remember that eating meat is actually driving countless species to extinction. As forests are razed to the ground to make way for grazing for farmed animals, the demise of wild species is accelerating. Research has found that we have lost 60 per cent of all animal species since 1970, with animal farming being a significant driver of this.$^{54}$ For the sake of all animals – both farmed and wild – we would do well to stop eating meat, milk and eggs. 5. WHY DOES PLANT MILK CURDLE IN HOT DRINKS AND HOW DO I STOP IT? If your first experience at making a hot drink with plant milk has ended up with a cloudy mess in a cup, don’t be disheartened. Due to the heat and acidity of tea and coffee, this can sometimes happen but there are some tricks and tips to avoid that unsightly reaction and to make sure you get the perfect drink every time. First, tackle the heat issue by letting your tea or coffee cool down a little before you mix it with the milk. (Some people find that warming the milk helps, others say it makes it worse – try it for yourself and see!) Another tip is to pour the milk into the cup first, then add the tea or coffee slowly. This allows the temperature to increase more gently and avoid curdling. As for the acidity, some tea brands have started producing tea bags specifically for vegan milks. You’ll also find that some teas and coffees are naturally less acidic than others, so switch it up and see if that helps. Finally, many dairy-free milk brands have started producing ‘barista’ milks that have been specially developed to mix perfectly with tea or coffee. Our hot tip: try Oatly Barista. 6. AREN’T ALMONDS WATER-HUNGRY AND THEREFORE REALLY BAD FOR THE ENVIRONMENT? It is true that almonds require more water than any other dairy alternative, requiring 130 pints of water to produce a single glass of almond milk. But we should not judge this nut based on just one metric. When we factor in land use, pollution, and greenhouse gas emissions, the picture changes significantly. A glass of cows’ milk produces almost three times more greenhouse gas and uses nine times more land than any type of plant milk.$^{55}$ Plus, many of the worst pollution incidents are related to dairy farming where the amount of slurry produced is vast. This toxic waste gets into our rivers and waterways and decimates wildlife.$^{56}$ It is little wonder, then, that a 2018 University of Oxford study concluded that all plant milks are better for the environment than dairy$^{57}$ but even so, some plant milks are better than others. Hazelnuts are a great choice. Not only do they grow on trees that pull carbon from the atmosphere, which means they store carbon rather than emit it, but they are pollinated by the wind and grow in areas where water shortages are less of a problem.$^{58}$ Soya is also a good option, with one Oxford University researcher stating that the least sustainable soya was still better for the planet than the most sustainable dairy.$^{59}$ And oats are a good choice, too. Sustainability researchers are clear: drink whatever plant milk you like because even those with shortcomings are better for the planet than dairy.$^{60}$ 7. WHAT SHOULD I DO WITH LEATHER BAGS AND SHOES? Some new vegans – particularly those who became vegan to protect animals – decide they no longer want to wear their old leather shoes, woollen jumpers, silk scarves and feather-filled jackets. It’s perfectly understandable, and for some people donating them to charity shops and buying non-animal replacements feels like the right thing to do. For others, this could be an expense they cannot justify, or they can see that getting rid of an item bought a long time ago will not protect any animals now. Instead they vow to replace them with non-animal versions when they wear out. Both approaches are equally valid, and whatever feels right for you is right. 8. CAN YOU BE A SUCCESSFUL VEGAN ATHLETE? Ask Lewis Hamilton, Morgan Mitchell and Hector Bellerin! Ask Chris Smalling, Venus Williams and Kendrick Farris! These elite athletes – and many more – are vegan and have reported significant health and performance benefits since adopting a plant-based diet. If you haven’t seen the film The Game Changers yet, it’s definitely worth watching. In it, the science behind what a plant-based diet can do for athletes is explained by researchers and doctors who are experts in this field. The film, which was executive produced by Arnold Schwarzenegger, Jackie Chan, Lewis Hamilton, Novak Djokovic among others, features some of the strongest, fastest and most powerful athletes in the world. Becoming vegan has given them more energy, less inflammation and a quicker recovery time, all with no loss of power or muscle mass. From sprinters and cyclists to footballers and strength athletes, going vegan is prolonging careers and enhancing performance. 9. DO YOU NEED MILK FOR STRONG BONES? No. We need calcium for strong bones, along with vitamin D, and we can get calcium from a wide variety of sources. Dairy does not have the monopoly on it! Calcium can be found in many of the plant milks and yogurts that are readily available. It can also be found in beans (especially black turtle beans, kidney beans and soya beans), kale, collards, watercress, broccoli, sweet potato, butternut squash, tofu and dried figs. Getting enough calcium as a vegan is not difficult so long as you eat a varied diet. But eating calcium-rich foods alone is not enough. We need vitamin D, known as the sunshine vitamin, to help absorb it, so spending some time outdoors each day will help this. Over the winter months, however, we cannot rely on the sun and must make sure we have another source. In terms of foods, mushrooms are a great source, and many breakfast cereals, breads and vegan butters are already fortified with it. Since getting sufficient vitamin D in winter is difficult for everyone, no matter what their diet is, it is advisable to take a supplement just to be on the safe side. For optimal bone health, we are also advised to limit caffeine and avoid smoking, as both increase calcium loss from the body, and to do regular weight-bearing exercise such as walking, running, dancing, playing football or lifting weights. DUSTIN WATTEN, OLYMPIC VOLLEYBALL PLAYER AND VEGANUARY AMBASSADOR, SAYS: “Vegan for my body and mind, the animals and the future. It’s a decision that is in our control and everyone benefits.” 10. WHAT DIFFERENCE CAN ONE PERSON MAKE? In our lifetimes, it is estimated that each of us will eat more than 7,000 animals, so simply choosing not to do this spares a lot of lives. That’s a lot of factory farming, long-distance live transportation, antibiotic usage and slaughter that just won’t happen. Our carbon emissions will also be significantly reduced, and a lot less land and water will be needed to grow our food. While these are significant benefits, and we should each be proud of the contribution we make, our impact is magnified because we are not going vegan alone. We influence others around us, and the positive ripples travel the world. There are now millions of people choosing to eat only animal-free foods and together we are having a powerful impact. We are helping to limit the effects of climate change, we are sparing billions of animals, and through needing less land for our food, we are allowing natural habitats to provide homes for wildlife. It is easy to feel disempowered and wonder what difference you can make but remember this: when we drop £1 into a charity box, we don’t for a moment think our contribution will fund a hospice all by itself; it needs thousands of others to also drop in a coin. But what if no one gave because they felt their contribution was too small? If we do all that we can, alongside the millions of other compassionate people around the world who are also becoming vegan, that’s when things get exciting! That’s how we can – and will – change the world. FIVE LIFE-CHANGING BOOKS TO READ 1. How to Go Vegan by Veganuary 2. How Not to Die by Michael Greger 3. Why We Love Dogs, Eat Pigs, and Wear Cows by Melanie Joy 4. Dead Zone: Where the Wild Things Were by Philip Lymbery 5. Eating Animals by Jonathan Safran Foer This bestseller gives you all the tips you need to make the change to a plant-based diet. JAMES MOORE, ACTOR AND VEGANUARY AMBASSADOR, SAYS: “I’m vegan all year round but if you give it a go in January you will help the planet, animals, and especially your health. What do you have to lose?” FIVE LIFE-CHANGING FILMS TO SEE 1. Cowspiracy (2014) Follow the shocking, yet humorous, journey of an aspiring environmentalist, as he seeks to find solutions to the most pressing environmental issues of our time. 2. Dominion (2018) A powerful exposé of the dark underbelly of animal agriculture captured by drones, hidden and handheld cameras. 3. Forks over Knives (2011) Researchers explore the possibility that people changing their diets from animal-based to plant-based can help eliminate or control diseases such as cancer and diabetes. 4. Seaspiracy (2021) Made by the team behind Cowspiracy, Seaspiracy exposes the myth of sustainable fishing, shines a spotlight on the aquaculture industry and introduces the notion of “blood shrimp”, seafood tainted with slave labour and human rights abuses. 5. The Game Changers (2019) The evidence that elite athletes thrive as vegans. Executive produced by Arnold Schwarzenegger, Lewis Hamilton and Novak Djokovic. CARL DONNELLY, COMEDIAN AND VEGANUARY AMBASSADOR, SAYS: “It was the best decision I ever made. It’s hard to explain this to people, they probably think you’re exaggerating, but I’d say that within about a week I felt like a different person.” EVANNA LYNCH, ACTOR AND VEGANUARY AMBASSADOR, SAYS: “It was just the right path for me. I felt like as soon as I went vegan, I was more myself, like I was just living according to what I believed, which is such a freeing thing once you finally commit to it.” MELODY KANE, DJ AND VEGANUARY AMBASSADOR, SAYS: “For me being vegan continues to enrich and improve my life physically, mentally & spiritually.” 1. ‘Iodine’, The Association of UK Dietetics 2. https://www.nhs.uk/conditions/pregnancy-and-baby/vegetarian-vegan-children/ 3. J. Webster, 1994, Animal Welfare: A Cool Eye Towards Eden. Blackwell Science, page 255 4. https://www.theguardian.com/society/2019/nov/14/obesity-almost-doubles-in-20-years-to-affect-13-million-people 5. http://care.diabetesjournals.org/content/32/5/791 6. https://www.ncbi.nlm.nih.gov/pmc/articles/PMC6478664/ 7. https://www.diabetes.org.uk/about_us/news/new-stats-people-living-with-diabetes 8. https://www.pcrm.org/health-topics/diabetes 9. Michael Greger MD, 2015, How Not to Die. Flatiron Books p. 106 10. ‘Q&A on the carcinogenicity of the consumption of red meat and processed meat,’ World Health Organization, Oct 2015 11. ‘Processed meat and cancer – what you need to know,’ Cancer Research UK, 26 Oct 2015 12. Ibid 13. https://www.wcrf.org/dietandcancer/exposures/wholegrains-veg-fruit 14. ‘Cumulative number of confirmed human cases for avian influenza A (H5N1) reported to WHO, 2003-2018’ 15. https://www.bbc.co.uk/news/magazine-21125713 16. ‘Influenza (Avian and other zoonotic),’ 31 Jan 2018 World Health Organization 17. https://www.who.int/dg/speeches/2016/antimicrobial-resistance-un/en/ 18. https://www.theguardian.com/environment/2018/may/31/avoiding-meat-and-dairy-is-single-biggest-way-to-reduce-your-impact-on-earth 19. ‘Key facts and findings’, Food and Agriculture Organization of the United Nations 20. https://www.lunduniversity.lu.se/article/four-lifestyle-choices-most-reduce-your-carbon-footprint 21. Jonathan Watts, ‘We have 12 years to limit climate change catastrophe, warns UN,’ The Guardian, 8 Oct 2018 22. Fiona Harvey, ‘Are we running out of water?’ The Guardian, 18 Jun 2018 23. ‘Water Scarcity: Overview,’ World Wildlife Fund 24. John Vidal, ‘Ten ways vegetarianism can help save the planet,’ The Guardian, 18 Jul 2010 25. Ibid 26. Ibid 27. https://www.nationalgeographic.com/environment/freshwater/food/ 28. Damian Carrington, ‘Avoiding meat and dairy is “single biggest way” to reduce your impact on Earth, The Guardian, 31 May 2018 29. https://www.atsjournals.org/doi/full/10.1164/rccm.201701-0021OC 30. https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/764286/farm-inspection-regulatio-review-final-report-2018.pdf 31. https://www.theguardian.com/environment/2017/aug/21/subsidised-farm-causes-acres-of-damage-to-sussex-countryside 32. https://www.theguardian.com/environment/2017/aug/21/serious-farm-pollution-breaches-increase-many-go-unprosecuted 33. https://www.theguardian.com/environment/2017/aug/01/meat-industry-dead-zone-gulf-of-mexico-environment-pollution 34. https://www.theguardian.com/environment/2018/may/31/avoiding-meat-and-dairy-is-single-biggest-way-to-reduce-your-impact-on-earth 35. Damian Carrington, ‘Humanity has wiped out 60% of animal populations since 1970, report finds,’ The Guardian, 30 Oct 2018 36. Ibid 37. Jonathan Watts, ‘Stop biodiversity loss or we could face our own extinction, warns UN,’ The Guardian, 6 Nov 2018 38. ‘Overfishing’, World Wildlife Fund 39. Azua (Zizhan) Luo, ‘Ocean fish stocks on “verge of collapse”, says IRIN report’, New Security Beat, 28 Feb 2017 40. ‘New US regulations offer better protection from bycatch’, World Wildlife Fund, spring 2017 41. ‘Maui dolphin’ World Wildlife Fund 42. ‘North Atlantic right whales on the brink of extinction, officials say’, The Guardian, 11 Dec 2017 43. https://www.nationalgeographic.org/encyclopedia/great-pacific-garbage-patch/ 44. https://www.theguardian.com/environment/2017/aug/01/meat-industry-dead-zone-gulf-of-mexico-environment-pollution 45. ‘Agriculture and energy consumption’, Foodprint 46. https://www.theguardian.com/us-news/2019/may/30/topsoil-farming-agriculture-food-toxic-america 47. https://ourworldindata.org/food-choice-vs-eating-local/?fbclid=IwAR3kfvM9HB1_Vl0xHVEKrbnNYFk3XSJhqqGOgjGVA3KxO0PROq5SVNxLf-I#note-4 48. Ibid 49. https://twitter.com/georgemonbiot/status/1220691168012460032?lang=en 50. https://www.bbc.com/news/science-environment-46654042 51. https://www.theguardian.com/environment/2019/oct/05/soya-rise-wonder-bean-from-deforestation-to-your-plate 52. https://www.wwf.org.uk/sites/default/files/2017-10/WWF_AppetiteForDestruction_Summary_Report_SignOff.pdf 53. https://www.theguardian.com/environment/2008/sep/07/food.meat 54. https://www.theguardian.com/environment/2018/oct/30/humanity-wiped-out-animals-since-1970-major-report-finds 55. https://www.theguardian.com/environment/2020/jan/28/what-plant-milk-should-i-drink-almond-killing-bees-aoe 56. https://www.theguardian.com/environment/2017/aug/21/serious-farm-pollution-breaches-increase-many-go-unprosecuted 57. https://www.theguardian.com/environment/2020/jan/28/what-plant-milk-should-i-drink-almond-killing-bees-aoe 58. Ibid 59. https://www.bbc.com/news/science-environment-46654042 60. https://www.theguardian.com/environment/2020/jan/28/what-plant-milk-should-i-drink-almond-killing-bees-aoe YOU GOT THIS! FOR LOADS MORE RECIPES, SHOPPING TIPS AND EATING OUT GUIDES VISIT VEGANUARY.COM © Veganuary 2022
Understanding the Clean Energy Incentive Program November 17, 2015 Sarah Jackson Ariel Horowitz, PhD Webinar Logistics • The webinar is being recorded and will be circulated to all attendees, along with the slides. • All attendees have been muted on entry and will remain muted throughout the webinar. • Please send any questions on the content of the webinar to email@example.com. • During the Q&A session, the panelists will answer written questions that have been sent to firstname.lastname@example.org. • Please use the chat feature only to notify the host if you are having a technical issue with the WebEx software or audio. Synapse Energy Economics • Research and consulting firm specializing in energy, economic, and environmental topics • Leader for public interest and government clients in providing rigorous analysis of the electric power sector • Services include economic and technical analyses, regulatory support, research and report writing, policy analysis and development, representation in stakeholder committees, facilitation, trainings, and expert witness services • Develops resources such as the Synapse Clean Power Plan Toolkit to promote transparent decision-making • All non-confidential publications and open-source tools available for free at www.synapse-energy.com Agenda 1. What is CEIP? 2. CEIP Key Questions 3. Next Steps for Stakeholders 4. Resources What is CEIP? Clean Power Plan and Section 111(d) Who? Applies to existing fossil fuel-fired generators that were in operation or under construction by January 8, 2014 and that meet certain size and production requirements. What? Covered units must reduce emissions of carbon dioxide (CO$_2$) by the amount determined by EPA to reflect the Best System of Emission Reductions (BSER) for the source category. When? Final rule released in August 2015. Compliance targets must be met on average over an eight-year interim compliance period as well as in the final compliance year: 2030. Where? Applies to units in 47 states and several Tribal lands (Vermont and Washington D.C. have no covered units; Hawaii, Alaska, Puerto Rico, and Guam will be brought into the program when more data is available on the units in those states/territories). Why? To reduce emissions of CO$_2$ from the electricity sector in order to reduce the contribution to global climate change. Credits: ERCs versus Allowances Rate-based trading: - 1 MWh of qualified generation earns 1 Emission Rate Credit (ERC), which can be used to reduce the carbon intensity of a fossil generator’s calculated emission performance. \[ \text{Target Rate} = \frac{\text{EGU Emissions (lbs of CO}_2\text{)}}{\text{EGU Generation (MWh)} + \text{ERCs (MWh)}} \] Mass-based trading: - 1 allowance is equal to 1 ton of CO$_2$ emissions - Fossil generators must hold allowances equal to the number of tons of CO$_2$ they emit each year. Additional Incentives for Renewables and Low-Income Energy Efficiency • Renewable energy and energy efficiency can have meaningful benefits, especially for low-income communities. - Energy bill savings - Local jobs - Reduced air pollution • EPA’s Clean Energy Incentive Program provides additional incentives for solar and wind projects and energy efficiency measures in low-income communities in the two years leading up to the Clean Power Plan compliance period. CEIP Program Design - States opt-in to the program and make early-action credits available to eligible renewable energy (RE) or energy efficiency (EE) projects - Mass-based: set-aside from first interim step compliance period (2022-2024) - Rate-based: “borrowed” in manner that ensures stringency of rate-based targets - EPA establishes a pool of matching credits, capped at the equivalent of 300 million tons - Matching credits are allocated to states based on proportional share of reductions needed for the country to meet 2030 goal How Early Action Credits Are Awarded \| Project Type \| Credits \| \|--------------\|---------\| \| 1 MWh generated from wind or solar RE \| From State Pools + From EPA = Total \| \| 1 MWh saved from EE in Low-Income Communities \| = 1 early action credit \| www.synapse-energy.com \| ©2015 Synapse Energy Economics Inc. All rights reserved. Allowance Pool Example of Illinois: - Total allowance budget in first interim compliance period (2022-2024) of 240 million short tons - 18 million short tons of CEIP early-action allowances available from EPA matching pool - If Illinois takes full advantage of CEIP, it also awards 18 million short tons of allowances - This leaves $240 - 18 = 222$ allowances left in state budget for 2022-2024 - Total allowances originating in Illinois that can be used for compliance in first compliance period can then be as high as $222 + 18 + 18 = 258$ - Results in more allowable emissions in first compliance period, but additional emissions are avoided between 2018 to 2022 Note: Each state’s share of set-asides from the national pool will be adjusted to account for states who decline to participate Environmental Justice and the CEIP The CEIP targets “environmental justice” communities: - Only energy efficiency in low-income communities qualifies - Low-income energy efficiency programs receive double the allowances or credits compared to renewable energy projects Why the focus on low-income communities? - They have less access to energy efficiency financing - They are less resilient to the negative economic impacts of the Clean Power Plan - They suffer a disproportionate amount of the damages caused by power plant pollution Synapse will be hosting a webinar on environmental justice in the Clean Power Plan on December 8 (tentative date) for those who want to learn more about this topic. CEIP Key Questions How Does CEIP Impact Trading and Compliance? Allowances: - EPA’s federal matching pool of 300 million tons is equivalent to <2% of emissions otherwise allowed during all compliance periods - EPA asserts that this number is appropriate to achieve goal of incentivizing early action Emission Rate Credits: - EPA has not yet established how a tonnage cap can be translated into ERCs - State early-action ERCs are “borrowed” from future compliance period, but there is no inherent limit on the number of ERCs that can be generated, so some constraint is needed to ensure stringency of targets in the future - Retirement of future ERCs? - Adjustment of target rates to account for early action ERCs? - EPA is still figuring this out—and taking comments! What Input Has EPA Requested? • How to define eligible projects • Definition of “commence construction” or “commence operations” • Definition of “low-income community” • Mechanics of awarding allowances/ERCs • Evaluation, measurement, and verification (EM&V) requirements • Mechanism for review of submitted projects and issuance of allowances/ERCs • Mechanism for distributing states’ allocated but unclaimed allowances/ERCs • Mechanism for converting between mass-based pool and ERCs • General program structure • Size of low-income energy efficiency and renewable energy carve-outs • Current distribution of matching pool among states: alternatives or critiques • Inclusion of states, tribes, and territories for whom goals are not yet set • Means of maintaining the stringency of rate-based standards given early ERCs Should States Participate in CEIP? Benefits: • EPA matching provides an added incentive for participation • States can benefit from actions already planned to occur • Incentivizing energy efficiency in low-income communities: • Benefits vulnerable populations • Helps make cost-effective energy efficiency accessible despite high up-front costs • Reduces unpaid bills for utilities, lowering costs for all users Risks: • Rate-based targets may be tightened to account for “borrowing” of ERCs • Many aspects are to-be-determined • Value of credits will be determined by future markets and could be minimal States must notify EPA of their intent to participate! Next Steps for Stakeholders Key Dates for Input Nov. 10 – Call for Project Providers - Conference Call - Potential CEIP Project Providers - Time: 3:00 – 5:00 p.m. EST - Participant Dial-in Number: (877) 290-8017 - Conference ID#: 72558829 Nov. 12 – EPA Webinar - Webinar: Proposed Federal Plan and Model Trading Rules for the Clean Power Plan - Presentation slides available: http://www2.epa.gov/cleanpowerplan/clean-power-plan-overview-webinar Nov. 23 – Call for Project Partners - Conference Call - Potential CEIP Project Partners - Time: 7:00 – 9:00 p.m. EST - Participant Dial-in Number: (877) 290-8017 - Conference ID#: 72559715 Nov. 30 – Call for Credit Issuers - Conference Call - Potential CEIP Credit Issuers - Time: 2:00 – 4:00 p.m. EST - Participant Dial-in Number: (877) 290-8017 - Conference ID#: 72560287 Dec. 1 – General Call - Conference Call - General - Time: 3:00 – 5:00 p.m. EST - Participant Dial-in Number: (877) 290-8017 - Conference ID#: 72558409 Dec. 15 – Docket Submission Deadline - Deadline to submit comments to Docket ID Number EPA-HQ-OAR-2015-0734 - Comments can be submitted at www.regulations.gov, by e-mail to email@example.com, faxed to (202) 566-9744, or mailed. CP3T Can Be a First Step in CEIP Planning The Clean Power Plan Planning Tool (CP3T) is an Excel-based spreadsheet tool for performing "first-pass" planning for compliance with EPA's Clean Power Plan. It is based on the unit-specific data assembled by EPA to create their Clean Power Plan building blocks. CP3T users can adjust fossil unit capacity factors, renewable energy and energy efficiency projections, unit retirements, and other unit additions for each state. Users can then compare differences in generation, capacity, emissions, emission rates, and costs across created scenarios. NOTE Please ensure macros are enabled on your computer. CP3T requires Excel 2007 or newer to run. Click here to read the User Manual This User Manual includes a walkthrough of CP3T, a checklist of issues to consider when using CP3T, guidance on scenario analysis, and other helpful information. Click here to read the two-page Quickstart Guide Click here to read the Creative Commons License and End-User Agreement Begin analysis Restore default Excel functionality CP3T Can Be a First Step in CEIP Planning Energy Efficiency Costs \| PA / Participant Split \| 2012 \| 2013 \| 2014 \| 2015 \| 2016 \| 2017 \| 2018 \| 2019 \| 2020 \| 2021 \| 2022 \| \|------------------------\|------\|------\|------\|------\|------\|------\|------\|------\|------\|------\|------\| \| Program Administral \| 50% \| 50% \| 50% \| 50% \| 50% \| 50% \| 50% \| 50% \| 50% \| 50% \| 50% \| \| Participant \| 50% \| 50% \| 50% \| 50% \| 50% \| 50% \| 50% \| 50% \| 50% \| 50% \| 50% \| Allocation of Costs and Savings \| \| 2012 \| 2013 \| 2014 \| 2015 \| 2016 \| 2017 \| 2018 \| 2019 \| 2020 \| 2021 \| 2022 \| \|----------------------\|------\|------\|------\|------\|------\|------\|------\|------\|------\|------\|------\| \| Residential \| 42% \| 42% \| 42% \| 42% \| 42% \| 42% \| 42% \| 42% \| 42% \| 42% \| 42% \| \| Low Income \| 5% \| 5% \| 5% \| 5% \| 5% \| 5% \| 5% \| 5% \| 5% \| 5% \| 5% \| \| Commercial & Ind. \| 53% \| 53% \| 53% \| 53% \| 53% \| 53% \| 53% \| 53% \| 53% \| 53% \| 53% \| Clean Energy Incentive ERCs \| \| 2012 \| 2013 \| 2014 \| 2015 \| 2016 \| 2017 \| 2018 \| 2019 \| 2020 \| 2021 \| 2022 \| 2023 \| \|----------------------\|------\|------\|------\|------\|------\|------\|------\|------\|------\|------\|------\|------\| \| Annual inc. saving \| \| \| \| \| \| \| 2 \| 5 \| 5 \| 5 \| - \| - \| \| Expiring savings \| \| \| \| \| \| \| 0 \| 0 \| 0 \| 0 \| - \| - \| \| Net cumulative sav \| \| \| \| \| \| \| 2 \| 6 \| 11 \| 16 \| - \| - \| \| CEI credits availat \| \| \| \| \| \| \| \| \| 23 \| 32 \| - \| - \| Resources Synapse Clean Power Plan Toolkit EIA data Environmental control costs estimates Environmental retrofit stringency AEO market price assumptions CAVT Coal Asset Valuation Tool: Synapse Forward-going costs of coal units Energy Efficiency Savings Tool Energy Efficiency Savings Tool: EPA, adapted by Synapse Cumulative efficiency savings Cost of cumulative savings Efficiency ramp rate Savings level target Measure life distribution First-year cost of saved energy Sales growth rate ReEDS Regional Energy Deployment System: NREL, adapted by Synapse Renewable target Demand response Distributed PV Electric vehicles Coal retirements Nuclear lifetime Carbon prices Fuel prices RePRT ReEDS Postliminary Reporting Tool: Synapse Formats data for state planning Capacity Generation Capital & operating costs Transmission expansion Emissions: CO₂, SO₂, NOₓ, mercury CP3T Clean Power Plan Planning Tool: Synapse Outputs State Compliance Pathways Costs of Compliance Bill Impacts Emissions Jobs, GDP IMPLAN® IMPLAN®: Commercial model by IMPLAN Group LLC Capacity Generation Costs Emission rates Rate & bills Synapse CPP Toolkit ©2015 www.synapse-energy.com \| ©2015 Synapse Energy Economics Inc. All rights reserved. Related Resources Synapse Clean Power Plan Toolkit: http://synapse-energy.com/CleanPowerPlan Past Clean Power Plan Webinars: http://synapse-energy.com/synapse-projects-and-webinars-related-clean-power-plan Clean Power Plan Reports and Outreach for National Association of State Utility Consumer Advocates: http://synapse-energy.com/project/clean-power-plan-reports-and-outreach-national-association-state-utility-consumer-advocates Synapse Blog Posts on Clean Power Plan: http://synapse-energy.com/tags/clean-power-plan Consumer Costs of Low-Emissions Futures Briefs and Reports: http://synapse-energy.com/project/consumer-costs-low-emissions-futures Stay Tuned! Synapse will be presenting more webinars on issues related to the Clean Power Plan. December 8, 2015 (tentative): “Environmental Justice in the Clean Power Plan” December 15, 2015 (tentative): “Energy Efficiency in the Clean Power Plan” January 5, 2016 (tentative): “Bill Impacts of the Clean Power Plan” How to Stay Connected CP3T is now available for free at www.CP3T.com Follow us on Twitter: @SynapseEnergy Follow us on LinkedIn: https://www.linkedin.com/company/synapse-energy-economics For questions on CP3T: firstname.lastname@example.org Contact Information Sarah Jackson, email@example.com Ariel Horowitz, firstname.lastname@example.org Liz Stanton, email@example.com Please remember to send any questions on content to firstname.lastname@example.org
A Case Study Using CBR-Insight to Visualize Source Code Quality Jeremy Ludwig, Devin Cline, & Aaron Novstrup Stottler Henke Associates, Inc. San Mateo, CA 94402 ludwig, dcline, anovstrup @stottlerhenke.com Abstract—Creating and maintaining high-quality source code is especially important for critical systems such as those made for NASA and the DoD, and for software product lines where long-lived, reusable modules are intended to be shared by multiple systems. CBR-Insight is an automated code assessment tool developed for the US Air Force, and released as open source on GitHub, to provide an objective and understandable measure of software quality. CBR-Insight supports the ability of technical and non-technical decision makers to verify that a project’s software implementation follows through on promises around developing and sustaining reliable and maintainable software while managing technical debt. The primary contributions of this work include advancing the state of the art in assessing software code quality, presenting a method to communicate code quality to decision makers, and examining a case study where these methods are applied to develop software in the aerospace domain. TABLE OF CONTENTS 1. INTRODUCTION .......................................................... 1 2. RELATED WORK ......................................................... 1 3. CBR-INSIGHT ............................................................ 2 4. METHODS ................................................................... 5 5. RESULTS AND DISCUSSION ........................................ 7 6. CASE STUDY ............................................................... 9 7. CONCLUSION ............................................................. 10 ACKNOWLEDGEMENTS .................................................. 11 REFERENCES ............................................................... 11 BIOGRAPHY ................................................................. 12 1. INTRODUCTION Creating and maintaining high-quality software is especially important for critical systems such as those designed for NASA and the DoD, and for software product lines where long-lived, reusable modules are intended to be shared by multiple systems. A vital component of software development is creating high-quality source code that is reliable, maintainable, and has limited technical debt. Software development teams generally employ a variety of design techniques, processes, and tools to continually work towards quality code while balancing the overall time and budgetary demands of the project. CBR-Insight (CBRI) is an automated code assessment tool developed for the US Air Force and released as open source on GitHub. CBRI provides an objective and understandable measure of software quality that can help guide decisions and direct limited resources during software acquisition, development, and sustainment. CBRI supports the ability of technical and non-technical decision makers to verify that a project’s software implementation follows through on promises around developing and sustaining reliable and maintainable software while managing technical debt. There is a long history of software engineering research in the area of source code quality, and numerous existing tools aim at performing automated code quality assessment. What makes CBR-Insight a complementary addition to existing tools is: (i) the calculation of a small, essential set of static code metrics associated with maintainability, reliability, and technical debt, (ii) using a customizable set of peer projects to determine the target ranges associated with each metric, and (iii) presenting the information in a format preferred by decision makers. This paper begins with an overview of related work and an in-depth look at CBRI. Following this high-level review, we analyze the data that underlies CBRI in the Methods and Results & Discussion sections. Next, we present a real-world case study that illustrates how CBRI is applied as part of a suite of tools and processes to the development of critical software for scheduling and deconflicting satellite communications. The paper concludes with a description of ongoing work on CBRI and provides links to the source code on GitHub. The primary contributions of this work include advancing the state of the art in assessing software code quality, presenting a method to communicate code quality to decision makers, and examining a case study where these methods are applied to develop software in an aerospace domain. 2. RELATED WORK There is a consistent push to improve software quality for critical systems and software product lines. The related work spans several areas, including software quality models, technical debt, and automated code review tools. Software Quality Models Software quality models articulate what is meant by ‘software quality.’ These models define the desired characteristics and sub-characteristics of software and the relationship between these characteristics and measurable properties of the software [1]. The ISO-IEC 25010: 2011 [2] quality model defines eight desired characteristics of software product quality: Functional Suitability, Performance Efficiency, Compatibility, Usability, Reliability, Security, Maintainability, and Portability. While all of these characteristics are important, this paper focuses specifically on Reliability and Maintainability as the bulk of existing research linking software quality to static code analysis uses these characteristics [3]. Reliability and Maintainability play a supporting role for other characteristics such as Usability and Security. Software quality models based on static source code analysis generally follow a three-step pattern. They identify specific source code metrics to be calculated, describe how the measurements of these metrics are aggregated, and define how the aggregations are used to assess characteristics of software quality [4]. Some examples of models and tools are Software Quality Enhancement (SQUALE), Quamoco Benchmark for Software Quality, Columbus Quality Model, Software Improvement Group (SIG) Maintainability Model, and Software Quality Assessment based on Lifecycle Expectations (SQALE). As an open-source project, SQUALE [5] provides a veritable treasure trove of information on understanding and developing a software quality model. SQALE [6] differs from the others in that it is an open methodology that defines the software quality and technical debt model and is implemented using tools such as SonarQube. CBRI builds on all of this prior work in creating its underlying software quality model. Technical Debt Technical debt is a measure of how much work would be needed to move from the current code to higher-quality code [7]. The source of technical debt during development and sustainment stems primarily from making design, implementation, documentation, and testing decisions that focus on short-term value [8]. As technical debt increases, changes to the software become more difficult, error-prone, and time-consuming, and this threatens the reliability, maintainability, and security characteristics of the software. This is an especially important take-away for software product lines, where long-lived, reusable modules are intended to be shared by multiple systems. Each module will want to invest in high software quality (low technical debt) initially and maintain this investment in quality over time as it is extended and updated. That is, as part of planned reusability, each module commits to making a long-term investment to software quality. The likely alternative is that the software quality will gradually degrade until, eventually, the problems become overwhelming [9]. While some technical debt is unavoidable [10], a large survey of software engineers and architects across multiple organizations provides a practical view of the causes and sources of avoidable technical debt [8]. Their results indicate that architectural decisions, overly complex code, and lack of code documentation are the top three avoidable sources of technical debt in practice. CBRI focuses on these three areas of technical debt in order to support software reliability and maintainability. Automated Code Review There are several practical tools aimed at improving source code quality and reducing technical debt, such as SonarQube [11] and Codacy [12]. These and other automated code review tools use rules to analyze every line of code to identify likely bugs, maintainability issues, and security flaws—encouraging developers to correct these issues with each code commit. Automated code review provides an invaluable service, assisting developers in catching these issues early. However, automated code review based strictly on rule violations may not present a complete picture of the overall code quality [13]. Additionally the (generally long) list of violations generated for existing systems can be overwhelming for developers and is not necessarily helpful in providing a high-level view of the health of the code base [14]. CBRI aims to complement automated code review systems by highlighting overall software quality trends in the areas of architecture, complexity, and clarity as well as by providing the context in which to interpret and make use of the results. 3. CBR-INSIGHT CBRI is a web application equipped with two main user interface components: Dashboard and Project View. The Dashboard provides an at-a-glance summary across a number of projects, while the Project View enables a deep look into a single project. Behind the scenes, CBRI uses the Understand static source code analysis tool developed by SciTools to generate the data displayed in the web app. Dashboard The CBRI Dashboard shown in Figure 1 focuses on highlighting software code quality across multiple projects in three important areas: architecture, complexity, and clarity. Intuitive symbols and colors indicate the relative score, from red/alert to green/check. An overall letter grade (A – F) is also assigned, each with a corresponding color. Trending icons indicate how the area and overall scores have changed relative to a baseline measurement. Architecture—One especially important technique to reduce complexity is developing software in a modular and hierarchical fashion. The term architectural complexity is used to describe how a software architecture makes use of modularity and hierarchy. Modularity and hierarchy reduce the dependencies between different pieces of the source code, so a change in one file doesn’t propagate changes to many others. Similarly, a developer can make a change in one file without having to arrive at a detailed understanding of all of the other affected files. Systems with a good architecture score are those that make better use of modular and hierarchical structures than their peers. Complexity—Software developers also work to manage the complexity within each individual component (class or file) of the source code. Simply put, components that contain less logical complexity, less coupling to other files, fewer methods, and less code to deal with are more reliable and maintainable. Despite this general guidance, some complexity is always expected—there will necessarily be some number of overly complex, highly coupled, and lengthy components in all but the simplest of projects. Systems with better complexity scores have fewer overly complex components than their peers. Clarity—Software developers (hopefully) strive to write code that is simple and readable rather than clever. They use descriptive names for classes, methods, and variables aimed at making code easy to understand. They add comments to their source code to provide an overview or to describe the intent of the code. While difficult to objectively measure, the clarity of source code has a marked impact on reliability and maintainability. Systems with better clarity scores are those found to be well commented. Additional clarity measures for readability are discussed as part of Future Work. Scores and grades are calculated by comparing the calculated metrics of the project against the values from a set of peer projects, as described in the Methods section. For interpreting the grades, it is important to know that they are distributed on a bell-shaped curve. The most common score is a C, with fewer Bs and Ds and even fewer As and Fs. For example, getting a C indicates that reliability, maintainability, and technical debt should be about average with other production-level projects. Improvements to the scores can be made by addressing the areas with red and yellow scores. An F on the other hand indicates this project is significantly worse off than other production-level efforts. In this case, one would expect more than usual difficulty in making changes (maintainability) and keeping the project running well (reliability) until the underlying code quality issues have been addressed. Project View The Dashboard is the starting point for the user to drill down into the details of each project. The Project View provides a description of the underlying metrics used to generate the scores for the project and visualizes the calculations over time. The visualizations include color-coded target ranges determined by analyzing peer projects along with a tree-map of file size and complexity organized by the Core Size architecture set. Every section contains accessible descriptions to assist the user in understanding the scores and measurements. The top portion of the Project View in Figure 2 provides general information such as topics (e.g., machine-learning) and a brief description. Following this are the date, revision, lines of code (LOC), and number of files in the baseline and latest measurement. Links enable the operator to update the project and to view additional details on the benchmarks and measurements. The next three sections of the Project View are the architecture, complexity, and clarity measurements. Each section includes a description of the measurement and a graphical representation of the measurement over time, relative to peers. Hovering over a graph brings up a popup that shows the calculated metric value compared to the 25\textsuperscript{th}, 50\textsuperscript{th}, and 75\textsuperscript{th} percentile values from the selected peer projects. Each section also includes visual indicators of change (good, bad, none), relative to the project baseline. For this very mature project, the trend lines have remained consistent over time; the visual indicators provide insight into the slowly creeping changes to code quality. Apache Tomcat Topics: http tomcat network-server Description: Apache Tomcat https://tomcat.apache.org \| Baseline \| Last Update \| \|----------\|-------------\| \| Date: \| Sep 26, 2019 at 5:00 PM \| \| Revision Id: \| 70ae92e \| \| LOC: \| 274186 (+3229) \| \| Files: \| 2453 (+53) \| Update Project \| View Benchmark \| View Measurements and Scores Architecture (Borderline Core-Periphery) Systems with a better architecture score are those that make good use of modular and hierarchical structures within their code. Core Size The percent of files that belong to the software's core set. A smaller core size indicates better use of hierarchy and modularity. Propagation Cost The proportion of software files that are linked to each other. A smaller value indicates a stable, less tightly connected, system. Complexity Software developers work to manage the complexity within each individual file within the source code. Overly Complex Files The percent of files that exceed accepted thresholds in 4 out of 5 categories. Fewer complex files improves the complexity score. Duplicate Lines of Code The percent of code that is duplicated within the project. Lower duplication improves the complexity score. Clarity Code that is easy to understand is more reliable and maintainable. Comment Density The ratio of useful comments lines to useful lines of code. Clarity is improved with a higher comment density. Readability The results from manually evaluating the readability of code samples. The following section of the Project View in Figure 3 contains a treemap, where each box is a file, while the size of the box indicates the lines of code, and the color the number of complexity thresholds exceeded (darker red is worse). The files are organized by their determined core size architecture grouping (core, shared, control, peripheral, and isolate). Click on architecture group to see the files with the group; right click to navigate back to the architectures. Addressing complexity issues in the core group will likely have the greatest impact. The final section of the Project View supports the viewing and editing of information such as the repository location, the analysis language, and the users with whom this repository is shared. A log is also included to troubleshoot repository connection issues. Understand CBRI uses a plugin to the proprietary Understand static source code analysis software [15] to calculate the architecture, complexity, and clarity metrics. While CBRI focuses on presenting decision makers an overview, software developers can use Understand and the plugin directly to calculate the same metrics and address identified deficiencies. The plugin is included as part of the source code hosted on GitHub. ### 4. METHODS One of the most useful aspects of CBRI is providing a context in which to understand the metric calculation results for a particular project. For example, a project manager might ask: “Is a propagation cost of 7% good or bad? If it is bad, what is a reasonable number?” The context used to create the graphs and scores in the web application is driven by the creation of a library of peer projects. In order to trust the user interface, we need to examine the underlying data. The methods section offers details on how the project library was developed (i.e., by selecting and analyzing open source projects from GitHub). A replication package is available online as part of the open source release ([https://github.com/StottlerHenkeAssociates](https://github.com/StottlerHenkeAssociates)). Measurements A number of measurements were gathered through the GitHub Application Programming Interface (API) by examining the commits in the version control system as well as by analyzing the source code using the Understand static source code analysis tool developed by SciTools. These measurements were used to develop the project library and to assess the utility of the CBRI metrics. Stars, open and closed issue counts, number of releases, and topics were gathered via the GitHub API. Stars are assigned by GitHub users and serve as a measure of a project’s popularity. Topics are self-assigned project descriptors (e.g., ‘machine-learning’). Number of commits and contributors... were determined by examining the Git repository. Finally, the number of classes and files, lines of code, and lines of comments were measured by Understand. The lines of code measure attempts to capture the number of lines developers would actually need to review to comprehend the code. Similarly, the lines of comments measure attempts to weed out license headers and comments that aren’t meaningful. Metrics A brief summary is given below of the calculated metrics; see [16] for a more detailed discussion of the specific metrics selected for use in CBRI along with details on how they are calculated. Architecture—The architecture metrics are Core Size and Propagation Cost [17]. The Core is the largest set of components (classes or files) that are interdependently linked to each other; Core Size refers to the size of the Core relative to the total number of components. Propagation Cost is a system-wide metric that describes the proportion of software files that are directly or indirectly linked to each other. Both of these metrics provide a single, system-wide measure of how interconnected the source code is and therefore how extensive/expensive a change might be on average. Complexity—The two complexity metrics are Percent Overly Complex and Percent Duplicate LOC. An overly complex file is one that exceeds 4 of 5 thresholds from a set of standard software metrics [1], including LOC, WMC-Unweighted, WMC-McCabe, RFC, and CBO. The reasoning is that any component that fails the majority of these metrics is likely to actually be complex, not just large. Duplicate lines of code are defined as blocks of ten or more lines that are exactly repeated in more than one location. This was selected as a reasonable threshold where abstraction should be used rather than copy-and-paste. Clarity—Code-To-Comment ratio is used as an initial measure of clarity. This metric has been well studied as part of earlier work on quality models [18]. Project Libraries For C, C++, C#, and Java, a project library was selected by identifying the top 1000 GitHub repositories in each language, sorted by number of stars. In all cases, the projects needed to be at least 200 KB. Each repository was analyzed with Understand and the plugin to generate a table of measurements and metrics. For C, files were used instead of classes for object-oriented metrics. Up to 2 hours was allowed for analysis with Understand and for running the plugin (i.e., up to 4 hours total per project). Projects that did not complete either step within 2 hours were not included in the library (25 for C, 19 for C++, 5 for C#, and 1 for Java). All project libraries were then processed to remove repositories that were not likely to be actual software projects. The filter removed repositories with: < 100 stars, < 30 commits, < 1 release, < 1000 lines of code, <= 0 propagation cost, >=100% comment density, >= 100% duplicate code. The result is a library that contains the most popular and successful projects available in GitHub for each language. Our assumption is that by selecting only the most successful open source projects, the libraries will include primarily production-quality source code, which is the target population of CBR-Insight. Defect Proneness While stars are at best a measure of a repository’s popularity on GitHub [19], CBR-Insight is attempting to score projects based on their reliability and maintainability. To address this, we use a measure of defect proneness based on [20]. A bug fix (defect) commit is one that includes any of the following key words: “error,” “bug,” “fix,” “issue,” “mistake,” “correct,” “fault,” “defect,” or “flaw.” Defect proneness is the ratio of defect commits to all commits. This measure is obviously not going to discriminate bug fixes from feature commits perfectly. Defect proneness is also only a proxy for reliability, not maintainability. That said, defect proneness shows a bell-shaped distribution across projects for all languages. This matches the expectation that among successful projects, some have numerous defects, while others have few, and most a medium amount. Defect proneness is also significantly associated with LOC, which matches the general observation that more LOC leads to more bugs. Finally, defect proneness is not significantly associated with stars. Given these findings, we have opted to continue the analysis using defect proneness as a better proxy for reliability than number of stars among these successful projects. Peer Project Selection Peer projects are used to provide a context in which to understand the metric values generated for a project. For example, a core size of 17% is by itself difficult to understand. Peer projects support comparing that value to the scores of similar, successful projects (e.g., the median core size is 20%, so 17% is a reasonable number). Peer projects are selected from the project library for a target project in accordance with the following criteria. First, the primary language must be the same as in the target project. Second, a project must share at least one topic with the target project. Third, the project must be within +/- 40% LOC of the target project. Finally, a minimum of 25 peer projects is required. In cases where there are not enough projects that share a Topic, then all projects are considered within the LOC range. If there are still not enough projects, then the 25 nearest projects in terms of LOC are selected. Aggregated Scoring Four project scores are created by comparing the metrics of the target project to the selected peers. The four score components are Architecture, Complexity, Clarity, and Overall. The definitions of the numeric scores are given below. For the numeric score, $M_p$ is the percentile of the metric relative to the peer projects. Some of the percentiles are inverted; a higher score is better. - Architecture = $(1 - CoreSize_p) + (1 - PropagationCost_p)$ - Complexity = $(1 - PercentComplexFiles_p) + (1 - PercentDuplicateLOC_p)$ - Clarity = UsefulCommentDensity_p - Overall = Architecture + Complexity + Clarity Each score component (Architecture, Complexity, Clarity, and Overall) is also assigned a letter value in addition to the numeric. The definition of all score components is based on $Score_{rel}$, the percentile of the score relative to the scores of all of the projects in the library of the same language. $Score_{rel} > 0.9 = A$, $> 0.7 = 'B$', $> 0.3 = 'C$', $> 0.1 = 'D$', and $<= 0.1 = 'F'$. As described, grades are assigned by looking at the distribution of numeric scores across all projects in the library of the same language (not just peers) and then assigning letter grades based on this distribution. So, for example, all of the projects with an “A” will be those that scored the best against their peers. Statistical Methodology We used Spearman correlation and partial correlation to compare the strength and direction of associations between variables. Log2 transformation was performed on variables with a long-tailed distribution (e.g., LOC, Contributors, Commits). Significance is determined by p <= 0.05. Coarsened Exact Matching (CEM) is used for effect estimation. Intuitively, what CEM does is compare projects that are similar (e.g., similar LOC and contributors). That is, for each value of the "treatment" variable (e.g., core size), it finds groups of examples that are similar in terms of the potential confounders (LOC and contributors) but that differ on the treatment variable. Observations that can't be matched that way are discarded. The ones that are "matched" are weighted appropriately to reduce imbalance within and across groups. 5. RESULTS AND DISCUSSION After filtering, the project library contains the following number of projects per language: C 664, C++ 700, C# 756, and Java 669. While a few projects had 1M+ LOC, the bulk were less than 500k. We use the project library to address several research questions and then discuss threats to validity. Q1: How do the metrics relate to defect proneness? The metrics were selected based on evidence in the literature of being indicators of reliability or maintainability. Based on this, it is expected that core size, Propagation Cost, and Percent Overly Complex will be significantly related to defect proneness (reliability). Percent Duplicate LOC and Comment Density are primarily related to maintainability (not reliability) and therefore are not expected to relate significantly to defect proneness. The results generally meet these expectations as shown in Figure 4, which analyzes all languages at once (with similar findings for each language individually). Slight but significant associations were found (as expected) for the reliability measures—with one exception: Percent duplicate LOC was found to be negatively associated with defect proneness in some languages. This does not go against our expectations (there is no positive association), but it is an unexpected result that warrants further study. *Figure 4. Partial correlation plot, accounting for LOC and Contributors (p < 0.05 , < 0.01 , < 0.001 )* Q2: How do the Architecture, Complexity, Clarity, and Overall scores relate to defect proneness and LOC? Based on the metrics used to create the aggregated scores, it is expected that Architecture will be most strongly related to defect proneness, followed by Complexity and Overall. The Clarity score is not expected to be related to defect proneness. Additionally, it is expected that all of the scores are measuring something other than LOC, so there should be no significant relationship between the scores and LOC. The results generally met expectations as shown in Table 1. The Architecture and Overall scores had small, significant associations with defect proneness, accounting for LOC and contributors. The complexity score was not associated with defect proneness, which was unexpected and may be due to the unexpected findings with duplicate LOC. Clarity performed as expected as it was unrelated to defect proneness. We do still expect that Complexity and Clarity are associated with maintainability, based on metric selection. None of the scores are significantly related to LOC or stars. Table 1. Partial correlations between Architecture and Overall scores and defect proneness, accounting for LOC and contributors \| Score \| Language \| Estimate \| p-value \| Statistic \| N \| Significance \| \|---------\|----------\|----------\|---------\|-----------\|----\|--------------\| \| Architecture \| All \| -0.132 \| 2.81E-12\| -7.018 \| 2789 \| * \| \| \| C \| -0.127 \| 1.09E-03\| -3.282 \| 664 \| \| \| \| C++ \| -0.132 \| 4.51E-04\| -3.525 \| 700 \| * \| \| \| C# \| -0.183 \| 4.52E-07\| -5.090 \| 756 \| * \| \| \| Java \| -0.100 \| 9.74E-03\| -2.592 \| 669 \| \| \| Overall \| All \| -0.120 \| 1.82E-10\| -6.399 \| 2789 \| * \| \| \| C \| -0.142 \| 2.55E-04\| -3.677 \| 664 \| * \| \| \| C++ \| -0.123 \| 1.13E-03\| -3.270 \| 700 \| \| \| \| C# \| -0.135 \| 2.08E-04\| -3.728 \| 756 \| * \| \| \| Java \| -0.101 \| 8.77E-03\| -2.629 \| 669 \| \| Significance: $p < 0.10$ '., $< 0.05$ , $< 0.01$ , $< 0.001$ ** Table 2. Effect size estimate for Architecture and Overall score using CEM, relative to $\log_2$ LOC \| Score \| Language \| Var \| Estimate \| Std. Error \| t value \| p-value \| Significance \| \|---------\|----------\|----------------------\|----------\|------------\|---------\|---------\|--------------\| \| Architecture \| C \| architecture_score_letter \| -0.869 \| 0.422 \| -2.059 \| 4.03E-02\| * \| \| \| C \| log_uloc \| 0.109 \| 0.081 \| 1.340 \| 1.81E-01\| NA \| \| \| C++ \| architecture_score_letter \| -1.639 \| 0.433 \| -3.782 \| 1.84E-04\| *** \| \| \| C++ \| log_uloc \| 0.254 \| 0.101 \| 2.523 \| 1.21E-02\| * \| \| \| C# \| architecture_score_letter \| -1.560 \| 0.361 \| -4.316 \| 1.97E-05\| * \| \| \| C# \| log_uloc \| 0.254 \| 0.084 \| 3.014 \| 2.73E-03\| \| \| \| Java \| architecture_score_letter \| -0.796 \| 0.358 \| -2.227 \| 2.65E-02\| * \| \| \| Java \| log_uloc \| 0.149 \| 0.077 \| 1.944 \| 5.25E-02\| . \| \| Overall \| C \| overall_score_letter \| -0.479 \| 0.441 \| -1.087 \| 2.78E-01\| NA \| \| \| C \| log_uloc \| 0.160 \| 0.094 \| 1.702 \| 8.98E-02\| . \| \| \| C++ \| overall_score_letter \| -1.730 \| 0.418 \| -4.134 \| 4.38E-05\| *** \| \| \| C++ \| log_uloc \| 0.241 \| 0.097 \| 2.471 \| 1.39E-02\| * \| \| \| C# \| overall_score_letter \| -1.097 \| 0.403 \| -2.719 \| 6.79E-03\| \| \| \| C# \| log_uloc \| 0.409 \| 0.093 \| 4.413 \| 1.27E-05\| * \| \| \| Java \| overall_score_letter \| -1.472 \| 0.397 \| -3.711 \| 2.41E-04\| * \| \| \| Java \| log_uloc \| 0.305 \| 0.096 \| 3.171 \| 1.65E-03\| \| Significance: $p < 0.10$ '., $< 0.05$ , $< 0.01$ , $< 0.001$ ** Even though the strength of association between Architecture and Overall scores and the proxy reliability measure are small [21], the estimated effects are significant from a software development standpoint. Table 2 estimates the effect of moving a project’s Architecture and Overall letter grade up by one. For example, in C++, moving up one letter grade in Architecture would result in 1.6 percentage point fewer defects on average, with a standard error 0.43 away from that average. In contrast, this is much more than the 0.254 percentage point decrease that would be expected by cutting the size of the code base in half ($\log_2$ LOC). The effect for Architecture is significant in all languages and is larger than the estimated effect of cutting the code size in half in all languages with a correspondingly larger amount of error. The effect is significant for Overall in all languages except C and larger than the estimated effect of cutting the code size in half in C++ and Java. The error is correspondingly higher than for the LOC estimated effect in all significant cases. While a significant effect was not found for the letter grade in C, significant effects were found for the Overall score in all languages (not pictured). These estimates illustrate the likely effects of improving the Architecture and Overall scores on reliability, tempered by the large standard error which indicates the variability in the effect. Discussion The takeaway is that as predicted by the literature, the underlying metrics and the Architecture and Overall scores built with these metrics are significantly associated with defect proneness, are providing information on reliability independent of LOC, and have a significant estimated effect on reliability in all languages. Threats to Validity Project Library—First, the 4,000 selected repositories represent a tiny slice of the available repositories on GitHub. More data would improve the analysis, especially given the loss of projects to filtering. In particular, more projects are needed below 4k LOC and above 260k LOC. Second, the four-hour processing limit may have contributed to fewer larger projects in C and C++. Third, the libraries were generated from open source software. It is possible that metrics and scores generated from the code of popular open source projects might not be similar to the code of proprietary production-level projects. Defect Proneness—While this appears to work reasonably well, it is clearly an imperfect proxy for reliability. Metric Selection—A small set of metrics for reliability, maintainability, and preventable technical debt was identified during the Phase I research, based on a thorough literature review. It is possible that different metrics, or a larger number of metrics, would have yielded better results. Peer Project Selection—Peer project selection involves a number of free parameters (same language, shared topic, +/- 40% LOC). We selected these values based on experience developing software as reasonable defaults. There are likely different values that would better fit defect proneness. Given that defect proneness is only a loose proxy of reliability and there is no measure of maintainability, we did not attempt to tune peer project selection parameters to improve results. Topics—Matching shared topics across projects relies on self-reported GitHub topics. Many projects have no topic at all or use different terminology than other, similar topics. Additionally, some topics such as ‘android’ are extremely broad. In grading the peer project library, topic-based peer selection was used infrequently in C++/C#/Java and never used in C. Aggregated Score—A purposely simple aggregation method was used to create the Architecture, Complexity, Clarity, and Overall scores, where the focus was on ease of description as opposed to maximizing association with popularity, reliability, etc. There are likely more complex ways to combine this information that would yield a score that is more highly correlated with metrics such as defect proneness. Given that defect proneness is only a loose proxy of reliability and there is no measure of maintainability, we did not attempt to tune scoring. Bias in causal inference—Inferences regarding the effect of software design/engineering choices on reliability are inherently causal in nature, and causal inference from observational data is prone to bias. We attempted to mitigate this threat by employing matching techniques (specifically, Coarsened Exact Matching) to approximate the results of a blocked experiment. However, just as in a blocked experiment, bias can remain if there are any unobserved/unblocked confounders. Unlike a blocked experiment, we have no opportunity to randomize units into treated and control groups in order to avoid bias caused by unknown or uncontrollable confounders. Maintainability—A large flaw in the analysis is that there is no reliable measure of maintainability against which metrics and scores could be compared, as was done for reliability. Automated maintainability measures (e.g., Maintainability Index) can be useful to prioritize what parts of the software need attention, but they do not seem to correlate well with the amount of maintenance-related effort required [10]. Given that the metrics were selected based on their association with reliability and maintainability in the literature, and we did show a relationship between scores and reliability, we fully expect similar relationships to exist between scores and maintainability. 6. CASE STUDY Stottler Henke is applying CBRI to the development of critical software for scheduling and deconflicting satellite communications for the US Air Force [22]. It is important to note that this software, like many projects, started as a rapid prototype to demonstrate proof of concept and then began transitioning into a production-level system. This section provides a high-level view of how CBRI is helping to improve source code quality over time as part of a software quality pipeline. A software quality pipeline is a combination of a team’s or organization’s culture, processes, and tools aimed at producing high quality software – sharing much in common with their DevOps pipeline [23]. Just like there is no single DevOps solution that works in all contexts, there is also no single software quality pipeline that works everywhere. In this use case, the culture includes a focus on developing reliable, maintainable, and secure software as a long-term investment, the processes are those common to lean and agile software development, and the tools are primarily the same as those hosted by D2IE DevTools [24] for US DoD software development. Jira, by Atlassian, is used for issue tracking and serves as the primary interface point between project management and development. Issue in this case is a nebulous term—it can mean a requirement, feature, bugfix, test, etc. Bitbucket, also by Atlassian, is used as the version control system. Jenkins, an open source project, is used to compile and test the software, and build software releases, to support continuous delivery. Both Fortify and SonarQube are used for automated code review, though in different ways. CBRI provides a birds-eye view of code quality and helps guide software development and refactoring efforts. Finally, Zephyr is used for software test management. Jira, Zephyr, Bitbucket, Jenkins, SonarQube, and CBRI are all integrated into an automated pipeline via plugins. Beginning work on an issue involves starting a new source code branch in Bitbucket, which we will call the feature branch. A software developer(s) then makes any changes in this branch. Once the changes are made, the developer issues a pull request that signals the feature branch is ready to merge the change into the main development branch. This triggers several actions. First, Jenkins compiles the feature branch and runs automated tests on this branch. The developer needs to correct any compilation or failed test issues to proceed. Second, the feature branch is analyzed by SonarQube. Any problems that SonarQube finds in the new code are posted to the pull request in Bitbucket. Software developers are expected to correct all identified problems before proceeding to the next step. Third, the feature branch undergoes a manual code review by another software developer. The reviewer will create tasks in Bitbucket to be addressed. Once the reviewer has verified all of the tasks have been corrected, then the feature branch is finally merged with the main development branch. The objective of this process is to write clean code going forward. The combination of automated and peer review has three main benefits. First, the resulting code is more reliable and maintainable. Once in a while, a bug is found, but more often what is addressed are future maintainability issues. Second, these reviews mentor less experienced software developers. Requiring developers to fix all issues, whether from SonarQube or the team lead, before merging in their code generally encourages them to start doing the right thing the first time. Third, the manual reviews spread knowledge of the code out across the development team. While developed independently, this lightweight review system is very similar to that used by Google in terms of tools, process, and motivation [25]. While this process focuses on good, clean code going forward, it does not address all of the historic technical debt. First, the team uses Fortify to identify and fix the high-priority security-related issues. Second, CBRI is used to guide software development and refactoring efforts. Guidance for software development includes maintaining a high level of quality comments, managing the complexity of individual classes, and developing modular components as part of the day-to-day development process. Refactoring is taken on as time allows. There is never enough time to address the full backlog of technical debt; CBRI is used to identify the most complex files in the Core architecture group as most likely to yield a return on investment. During the last six months, this development environment has resulted in slow but steady improvement along nearly all dimensions: a 3% reduction in core size, a 1% reduction in overly complex files and duplicate code, and a 1% increase in comment density. The result was an improvement in the complexity, clarity, and overall scores. This was during a time period when sprints were devoted to feature development and testing, with little time assigned to refactoring and a 10% increase in the LOC. In addition to suggesting refactorings, CBRI is used by the project manager to track this reduction in technical debt over time and provide evidence that the development environment was working as expected. However, it was not all good news. Propagation cost rose 6% in this same timeframe. This points to a fundamental challenge of architecture issues—they are not easy to fix. Without a concerted refactoring effort to make the code base more modular and hierarchical, adding new features across the existing architecture tends to increase the technical debt. In this case, CBRI is used to document the increase and highlight the need for architecture refactoring along with new feature development. 7. CONCLUSION Software code quality and technical debt have significant impact on a software product’s reliability, maintainability, and security. This paper described the open source tool CBRI, built for the US Air Force to measure and visualize source code quality. The CBRI web-application provides an objective and understandable measure of software quality that can help guide decisions and direct limited resources during software acquisition, development, and sustainment. The analysis of the data behind CBRI provided evidence to support this claim and also clearly lays out threats to validity. Finally, a concrete use case illustrated how CBRI was used as part of a development environment to improve code quality in software for scheduling and deconflicting satellite communications. There is a long history of software engineering research in the area of software product quality, and numerous existing tools aim at performing automated code quality assessment. What makes CBR-Insight a complementary addition to existing tools is: (i) the calculation of a small, essential set of metrics associated with maintainability, reliability, and technical debt, (ii) using peer projects to set the targets associated with each metric, and (iii) presenting the information in a format preferred by decision makers. CBRI components and a replication package are available at: https://github.com/StottlerHenkeAssociates. Future efforts on CBRI focus on three main areas. First is identifying additional metrics that gauge the understandability of software or the clarity measure. Not surprisingly, software developers are better judges of the understandability of code than automated systems [14], [26]. Our current approach is derived from [14], which involves including a questionnaire on readability and understandability as part of each manual code review. A different approach suggested by [26] is to investigate deep learning methods to see if they are able to accurately and automatically assess understandability. Second is improving the project library. This could be accomplished by including more popular open-source projects, especially those with more than 260k LOC, and by making it easier for organizations to augment the library with their own projects. Third is increasing the visibility of the CBRI results. Currently the CBRI results are presented in a stand-alone web application, which involves an extra step to view the results. In our case study, we found this one extra step to present a significant barrier at times. The solution is to build a Jira dashboard plugin that would properly situate the CBRI results within the familiar, and extensively used, Jira dashboard. ACKNOWLEDGEMENTS This material is based upon work supported by the United States Air Force Research Laboratory under Contract No. FA8650-16-M-6732. 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Forsgren, M. Wiesche, H. Gewald, and H. Krcmar, “Research for practice: the DevOps phenomenon,” Commun. ACM, vol. 62, pp. 44–49, 2019. “DI2E DevTools,” DI2E. [Online]. Available: https://www.di2e.net/display/DI2E/DI2E+DevTools. [Accessed: 27-Sep-2019]. C. Sadowski, E. Söderberg, L. Church, M. Sipko, and A. Bacchelli, “Modern Code Review: A Case Study at Google,” in Proceedings of the 40th International Conference on Software Engineering: Software Engineering in Practice, New York, NY, USA, 2018, pp. 181–190. S. Scalabrino, G. Bavota, C. Vendome, M. Linares-Vasquez, D. Poshvyanyk, and R. Oliveto, “Automatically Assessing Code Understandability,” IEEE Transactions on Software Engineering, pp. 1–1, 2019. BIOGRAPHY Jeremy Ludwig, PhD, is a principal engineer at Stottler Henke Associates, Inc. He directs teams of computer scientists and conducts research in artificial intelligence, applying reasoning, knowledge representation, and machine learning to create solutions for complex, real-world, problems. Devin Cline is a software engineer at Stottler Henke Associates, Inc. He has built case based reasoning, image analysis, behavior analysis, and visualization components for scheduling and decision support systems. Aaron Novstrup is an artificial intelligence software engineer and researcher at Stottler Henke Associates, Inc. He has practical experience with a broad range of AI applications, including information extraction, decision support, and knowledge representation.
EMORY DEPARTMENT OF TITLE IX: DEPUTY TITLE IX TRAINING Learning Objectives: • Department of Title IX (DTIX) Introductions and Updates • Emory University Sex and Gender-based Harassment & Discrimination, Policy 8.2 • My Role as a Deputy • DTIX Resolution Processes Overview • New Regulations- Proposed • Ask a Title IX Coordinator: Questions & Answers Portion Emory Title IX Team NICOLE BABCOCK Director and University Title IX Coordinator DANIEL DELUCA Title IX Assistant Director MIRIAM SMITH Title IX Education and Training Assistant Director ARTEMIS AGHDASI Title IX Investigator CRYSTAL ANDERSON Title IX Case Manager ANTONESE WILSON Administrative Assistant Content Warning: The following presentation includes references to sexual misconduct, sexual assault, and possibly other uncomfortable topics. Emory Policy 8.2 – Sex and Gender-Based Harassment and Discrimination Policy What is Title IX? Protects individuals from discrimination based on sex in education programs or activities that receive federal financial assistance. Sexual harassment, sexual violence, dating violence, domestic violence or stalking. Requires a prompt and timely response by institutions that receive federal financial aid (Title IV funds) Emory cannot and will not tolerate discrimination against or harassment of any individual or group based upon race, sex, color, religion, ethnic, or national origin, genetic information, age, disability, sexual orientation, gender identity, gender expression, veteran's status, or any factor that is a prohibited consideration under applicable law. The university recognizes its responsibility to increase awareness of sex discrimination, prevent its occurrence, and diligently investigate reports of misconduct. What Does Title IX Cover? - Sex/Gender-based Discrimination - Sex/Gender-based Harassment - Sexual Harassment - Hostile Environment - Quid Pro Quo - Non-consensual sexual contact/intercourse - Sexual exploitation - Pregnancy/Parenting - Dating/Domestic Violence - Stalking Jurisdiction 1. Only applies to persons located in the United States. 2. Must occur in an educational program or activity. 3. Emory must have substantial control over the respondent and the context where the harassment occurred. Scope “Education program or activity” is: All operations of the institution, including . “[L]ocations, events, or circumstances over which the recipient exercised substantial control over both the respondent and the context in which the sexual harassment occurs, and . . . any building owned or controlled by a student organization that is officially recognized by a postsecondary institution.” 1. Applies to employees, including employee on employee conduct I'm a What? What does it mean to be a Deputy TIXC What is a Deputy Title IX Coordinator Deputy Coordinators are often individuals designated by an institution to assist with the management and implementation of population-specific compliance strategies and programs. What does this look like in your perspective colleges? How does it differ from the role of TIXC? What does this mean for you? In your position you are classified as a Responsible Employee. Serve as a point person for their school’s faculty, staff and students as it pertains to Title IX issues as well as the school’s liaison to the Department of Title IX. Serve as a resource. - Basic understanding of stages of the Title IX process from investigation through appeal. - Understand various on-campus resources available to Complainants and Respondents. Serve as a resource to faculty and staff members as it relates to short-term academic accommodations, or other supportive measures, how to report sexual misconduct involving students and their positions as mandatory reporters of sexual misconduct. Privacy vs. Confidentiality Private resources: advisors in ASC, Title IX Deputies, other staff Confidential resources: Counselors in CAPS/CCS, Chaplain in ORSL, Office of Respect (ATL), FSAP Knowing the difference is important; however, responsible employees (mandated reporters) are federally required to report if/when someone reports a Title IX related matter. Expectations and Bias • Any individual designated as a Title IX Coordinator, investigator, decision-maker, or to facilitate an informal resolution process, must “not have a conflict of interest or bias for or against complainants or respondents generally or an individual complainant or respondent.” §106.45(b)(1)(iii) • But not advisors... o The final regulations impose no prohibition of conflict of interest or bias for advisors T.A.L.K. 1. Thank them for disclosing 2. Ask how you can help (contact DTIXC) 3. Listen without judgment (refer to the resources) 4. Keep supporting (check in on them) Helping Community Members Understand Rights - To participate in a Title IX Investigation Process that is conducted in a prompt, fair, reliable, and equitable manner, consistent with university policies. - To have the Investigation Process conducted by officials who do not have a conflict of interest or bias for or against the parties and who receive annual training on the issues of sexual misconduct. - To be treated with respect by all Emory officials. - To access the campus support resources, unless banned from campus or temporarily suspended pending the completion of the Investigation Process. - To be informed of the availability of interim safety measures such as issuing a no-contact directive or changing academic, employment, or living situations to separate the parties involved. - To have an advisor of their choice attend all related meetings throughout the Investigation Process in cases involving allegations of sexual violence, domestic violence, dating violence or stalking. - To receive timely notice of all related meetings to attend. - To have made available, upon request, any information or evidence that will be used during any related meeting prior to attending that meeting. - To receive periodic updates at reasonable intervals regarding the status of the Investigation and cause(s) for delay. - To have the Investigation Process resolved by a preponderance of the evidence standard (whether it is more likely than not that the University’s Sexual Harassment Policy was violated). - To receive notice of the outcome of the Investigation in writing (including the rationale for the outcome). - To receive notice of the discipline imposed by the outcome (including the rationale for any disciplinary sanction). - To have the process and timeline for requesting an appeal of the outcome and/or disciplinary sanctions explained. - To participate in an appeal of the Investigation’s findings and/or of the discipline imposed. - To have an appeal conducted in a manner consistent with the processes outlined in university’s policy. - To be free from retaliation or intimidation for participating in the Investigation Process. Pregnancy and Parenting • Title IX Basics - The Pregnant Scholar The Title IX Process What happens after a report is made? - Department of Title IX (DTIX) outreach to affected student(s) - Outreach includes information about: - The Department of Title IX; - Available resources; - Supportive measures; - Meeting with the Department of Title IX. - Outreach does not mean that an investigation is automatically opened. - Complainants drive the Title IX process, and DTIX will proceed with a Formal Complaint/investigation only in rare circumstances. - Students may decline to meet with the Department of Title IX. Meeting with DTIX • If students agree to meet with the Department of Title IX, they may have a support person and a Title IX advisor present for all meetings with the Department of Title IX. • Students may access resources and supportive measures without filing a Formal Complaint or sharing additional information about their experience. • During the meeting, DTIX will discuss the Formal Complaint process with the affected student: • Filing a Formal Complaint, Investigation, Hearing or Alternative Resolution, Appeal DTIX Administrative Resolution Processes Informal - Formal Complaint and Assessment - Voluntary, Mutual, Written Resolution Agreement Prohibited Conduct (appendix B) - Formal Complaint and Assessment - Investigation - Appeal Title IX (appendix A) - Formal Complaint and Assessment - Investigation - Hearing - Appeal Supportive Measures Individualized, non-punitive, personalized services or support designed to prevent or remedy the effects of sex-based discrimination or harassment. Available with or without a formal complaint. Examples: Counseling services, academic or housing accommodations, modification of work or class schedules/locations, safety escort, no-contact orders, residential changes. Resources CAPS/CCS FSAP Office of Religious & Spiritual Life Student Health Services Ombuds Advising Support Center Student Case Management and Intervention Services Campus Police Residential Education and Services (RES) Title IX Deputies Confidential resources DTIX receives a complaint of Prohibited Conduct under Policy 8.2/ Send Outreach support, offer to meet, including supportive measure to the (potential) Complainant Intake Complainant/Complaint filed Notice of Allegation/Investigation process/Directly-Related Evidence Review/Report of Investigation plus exhibits Notice of Hearing/Hearing phase/Hearing Officer decision Sanctions Assigned, if responsible, by DTIX/issues parties Notice of Outcome Appeal Process DTIX receives a complaint of Prohibited Conduct under Policy 8.2/ Send Outreach support, offer to meet, including supportive measure to the (potential) Complainant Intake Complainant/Complaint filed Notice of Allegation/Investigation process/Directly-Related Evidence Review/Draft Report of Investigation (ROI) plus exhibits Investigator draft analysis and findings to ROI. Make determination of responsibility. Sanctions Assigned, if responsible, by DTIX/Notice of Outcome to parties Appeal process The Hearing Process PRE-HEARING: • Parties are given 10-days prior to the hearing to prepare and given deadlines to participate (including deadline to submit witnesses and raise conflict concerns of the assigned and identified Hearing Officer). • Parties and Hearing Officer receive the Report of Investigation (ROI) via secured link from DTIX. • Parties identify possible witnesses with supporting information regarding the witnesses’ relevance. The witnesses must have participated in the interview process captured within the ROI to be identified for the hearing. Hearing Officers will need to make determinations regarding which witnesses will be invited to participate in the hearing. The Hearing Process HEARING: - Recorded on Zoom (all parties, required to be on camera and muted) - Transcribed by Rev.Com (Emory handles this and provides the transcript within 2-4 days post-hearing) - Hearing Officer is given “wide discretion over matters of decorum at the hearing.” (DTIX provides Rules for Decorum to all parties, including the Hearing Officer) - Engage in the examination through questioning of the parties and witnesses. - Permit for cross-examination. All parties will have an advisor present who is permitted to ask the opposing party and/or witnesses questions determined relevant by the Hearing Officer. - DTIX will communicate the parties’ questions to the Hearing Officer for review, via email. Time will be allotted during the break period for the Hearing Officer to make determinations of relevance of the questions. The Hearing Process HEARING: • Relevance. The Hearing Officer has broad discretion to determine the relevance of evidence. • Categories of evidence that are rarely relevant: - Character evidence, polygraph and other generally unreliable or unproven scientific evidence, speculation, and the like. • If questions are relevant, they will be asked as explained on the previous slide, on the record. • If a question is not relevant, the Hearing Officer may state the reason it is not relevant (i.e. repetitive/ ask and answered OR not relevant to the matter under consideration) and instruct the party or witness to not answer. • Standard of Evidence. The level of proof required to determine whether or not a Respondent is responsible for the allegations shall be preponderance of the evidence, i.e., it is more likely than not that alleged conduct occurred. • Hearing Officer’s will determine if the Respondent violated Policy 8.2, as alleged, by a preponderance of the evidence. The Hearing Process POST-HEARING: • Within 15 business days of the conclusion of the hearing, the Hearing Officer will draft the Hearing Officer Written Determination which will include: • Allegations of Title IX misconduct/Formal Complaint (DTIX will add); • Standard of Review; • Relevant policy provisions (DTIX will add); • Evidence not considered; • Summary of the hearing proceedings: • Hearing of Overview • Summary of Complainant Testimony (if participating in hearing) • Summary of Respondent Testimony (if participating in hearing) • Summary of Witnesses (if participating in hearing) • Reliability Assessment • Analysis • Findings • Recommended Sanctions/Remedies Sanctions RECOMMENDED SANCTIONS FOR STUDENTS - The broad range of sanctions for students includes, but is not limited to, the following: - Revocation of Degree - Revocation of Alumni Privileges - Expulsion - Suspension - Disciplinary Probation - Removal from Student Housing and/or University premises - Dismissal from University Employment - Successful completion of educational training programs - Loss of University privileges - Community Service - Counseling or Mentoring RECOMMENDED SANCTIONS FOR EMPLOYEE - The broad range of sanctions for employees includes, but is not limited to, the following: - Apology or Reprimand - Remedial Training - Workplace Restriction - Denial of Promotion, Merit Pay Increase, or Other Benefit - Reassignment - Suspension - Separation Appellate Process Detailed - Notice of Outcome (Hearing) - 7 business day period for initial appeal from either party - UTIXC Request for 3 Appellate Volunteers/ 7 business day period for opposing party to respond to filed appeal - Notice of Appeal (link to all case documents (ROI plus exhibits, Hearing Officer Determination, Appeals, Responses to appeals, if filed)/ Parties given 3-days to file conflict with identified appellate panelists. 10-day period for Appeal panels to issue written determination to the appeal(s) University Title IX Coordinator provides written decision simultaneously to both parties Appeal panel determinations are final. Remanded cases may be eligible for appeal Gounds for an Appeal APPENDIX A Both parties have the right to appeal on the following bases: - Procedural irregularity that affected the outcome of the matter, which may include, but is not limited to, failure to objectively evaluate all relevant evidence, including inculpatory and exculpatory evidence; - New evidence that was not reasonably available at the time the determination regarding responsibility or dismissal was made that could affect the outcome of the matter; and - The Title IX Coordinator, investigator(s) or decision-maker(s) had a conflict of interest or bias for or against complainants or respondents generally or the individual complainant or respondent that affected the outcome of the matter. APPENDIX B Both parties have the right to appeal on the following bases: - To consider new information, sufficient to alter the decision, or other relevant facts not brought out in the investigation because such information was not known or knowable to the appealing party during the investigation. - To allege a significant procedural error within the investigative process that may have substantially impacted the fairness of the investigation, the decision, and/or the sanction. - To allege that the sanction imposed is overly excessive or insufficient based upon the weight of the information considered by the Title IX Coordinator. Look Out!! Proposed Changes to TIX Rules and Regulations TITLE IX TIMELINE - November 2018: Betsy DeVoe DOE Releases draft rule - December 2021: DOE Announces New Title IX regulations to be released April 2022 - June 2022: Proposed Changes to Title IX Regulations - April 2023: Proposed Changes to Title IX Athletics Regulations - May 2023: Release of New Regulations Pushed to October - Early December 2023: Congressional members express concern about further delay of Title IX regulations in letter to DOE - December 2023: DOE Announces Both Sets of Proposed Regs Will Be Finalized in March Proposed Changes • STRENGTHENING PROTECTIONS FOR LGBTQI+ INDIVIDUALS • INCREASING PROTECTIONS FOR PREGNANT AND LACTATING STUDENTS AND EMPLOYEES • PERMITTING STUDENTS’ PARENTS, GUARDIANS, AND LEGAL REPRESENTATIVES TO PARTICIPATE IN TITLE IX GRIEVANCE PROCESS • BROADENING THE DEFINITION OF SEXUAL HARASSMENT • EXPANDING THE CIRCUMSTANCES FOR MANDATORY REPORTING • ELIMINATING THE REQUIREMENT FOR LIVE HEARINGS AND CROSS-EXAMINATION • ALLOWING A SINGLE INDIVIDUAL TO ACT AS BOTH INVESTIGATOR AND JUDGE • NEW ATHLETICS REGULATIONS Scenario #1 • A co-worker, Becky, from another department keeps asking one of your teammates, Darren out. She is constantly sending him messages on Teams, in your office suit, and brings Darren snacks & candies. One day you and Darren go to lunch and notice Becky is there. Darren has openly expressed that he is not interested in dating Becky to her as well as to you. He even blocked her on Teams. • What should you do? • What do you say? • T.A.L.K Scenario #2 • Last week, a student named Benny set up a time to meet with you. You had previously met with Benny a few times and have established a rapport with them. Upon arriving for the meeting, you can see that Benny is upset and looks exhausted. You ask if everything is okay, and Benny asks if they may close the door. You get up, close the door, sit back down and Benny blurts out, "I think I was sexually assaulted last weekend in my room by another student, a friend of a friend, named Todd." Benny states that he does not want to report Todd, but he wanted you to know why he had been MIA. • What should you do? • What do you say? • T.A.L.K Scenario #3 • One day you are sitting in your office, and a colleague of yours, Dr. Johannsen, stops by to chit chat. She starts telling you about two of her students and an incident she witnessed yesterday. She states “Jennifer and Nina are always the first two students in my MWF Chemistry class. They pass the time before class starts by chatting about upcoming assignments and quizzes. I have noticed that their interactions become more flirtatious. One day last week, as Jennifer is passing Nina on her way to her seat, Nina pats Jennifer on the butt. I overheard Jennifer explain to Nina that she doesn’t feel comfortable with that kind of physical contact, but Nina did it again the next class. I saw the whole thing but did say anything because it’s ‘not my business.’” • What should you do? • What do you say? • T.A.L.K Contact Information Department of Title IX Nicole Babcock \| Director & University Title IX Coordinator Daniel DeLuca \| Assistant Director Miriam Smith \| Assistant Director Title IX and Training Artemis Aghdasi \| Investigator Crystal Anderson \| Title IX Case Manager Antonese Wilson \| Title IX Administrative Assistant 201 Dowman Drive Administration Bldg., Suite 305 Atlanta, GA 30322-4250 Mailstop: 1000-001-1AX Voice: 404-727-0541 Fax: 404.712.9108 TTD: 404.712.2049 What is the difference between a question and a query?
Using the Semantic Web in Digital Humanities: Shift from Data Publishing to Data-analysis and Serendipitous Knowledge Discovery Eero Hyvönen University of Helsinki, Helsinki Centre for Digital Humanities (HELDIG), Finland and Aalto University, Department of Computer Science, Finland Semantic Computing Research Group (SeCo) (http://seco.cs.aalto.fi) E-mail: firstname.lastname@example.org Abstract. This paper discusses a shift of focus in research on Cultural Heritage semantic portals, based on Linked Data, and envisions and proposes new directions of research. Three generations of portals are identified: Ten years ago the research focus in semantic portal development was on data harmonization, aggregation, search, and browsing (“first generation systems”). At the moment, the rise of Digital Humanities research has started to shift the focus to providing the user with integrated tools for solving research problems in interactive ways (“second generation systems”). This paper envisions and argues that the next step ahead to “third generation systems” is based on Artificial Intelligence: future portals not only provide tools for the human to solve problems but are used for finding research problems in the first place, for addressing them, and even for solving them automatically under the constraints set by the human researcher. Such systems should preferably be able to explain their reasoning, which is an important aspect in the source critical humanities research tradition. The second and third generation systems set new challenges for both computer scientists and humanities researchers. Keywords: Digital Humanities, Linked Data, Semantic portals, Data analysis, Knowledge discovery 1. Introduction Cultural Heritage (CH) has become a most active area of application of Linked Data and Semantic Web (SW) technologies [1]. Large amounts of CH content and metadata about it are available openly for research and public use based on collections in museums, libraries, archives, and media organizations. For example, data has been aggregated in large national and international repositories, web services, and portals such as Europeana$^1$ and Digital Public Library of America$^2$, and forms a substantial part of DBpedia$^3$ and Wikidata$^4$. The availability of Big Data has boosted the rapidly emerging new research area of Digital Humanities (DH) [2, 3] where computational methods are developed and applied to solving problems in humanities and social sciences. In this context Big Data means data that is too big or complex to be analyzed manually by close reading [4]. From a SW research point of view, CH data provide interesting challenges for DH research: First, the data is syntactically heterogeneous (text, images, sound, videos, and structured data in different formats, such as $^1$http://europeana.eu $^2$https://dp.la/ $^3$http://dbpedia.org $^4$http://wikidata.org XML, JSON, CSV, and RDF) and written in different languages. Second, the data is semantically rich covering all aspects of life in different times and places. Third, the data are often incomplete, imprecise, uncertain, or fuzzy due to the nature of history. Fourth, the data is interlinked across different data sources, distributed in different countries and databases. Helping the humanities researcher to deal with such data in semantically complex problems addressed in humanities sets for computer scientists interesting methodological problems. This paper analyses and discusses this line of research and development at the crossroads of Semantic Web research, humanities, and social sciences, from the early days of the Semantic Web to next steps in the future. Three conceptual generations of semantic portals on the Semantic Web are first identified. After this the ideas are made more concrete by an example case study system exhibiting features of the three generations. 2. First Generation: Portals for Search and Browsing Due to the challenges in CH data, SW research in CH has been initially focused on issues related to syntactic and semantic interoperability and data aggregation. A great deal of work has been devoted in developing metadata standards and data models for harmonizing data, including application agnostic W3C standards$^5$ (RDF, OWL, SKOS, etc.), document centric models, such as Dublin Core and its dumb down principle$^6$, and event-centric models for data harmonization on a more fundamental level, such as CIDOC CRM$^7$ [5] for museums and its extensions$^8$, and FRBRoo [6] and IFLA Library Reference Model (LRM)$^9$ in libraries. In document-centric metadata models the idea is to agree upon a shared way of describing the properties of documents, and how different models can be mapped on each other for interoperability. The event-centric approach focuses on developing more fundamental ontological models of the real world onto which different data and metadata can be transformed for interoperability. Once the data is harmonized in one way or another, it can be published in a SPARQL endpoint, and semantic portals can be created on top of it via APIs. Both document-centric and event-centric approaches have been successful. Dublin Core and its extensions have become the metadata norm for representing documents on the Web, and a lot of use cases and applications of CIDOC CRM$^{10}$ and other event-centric systems have been published. ![Fig. 1. A model for distributed Linked Data publishing. The data publishers around the circle, i.e., a joint publishing system, provide data using the vocabularies of a shared ontology infrastructure in the middle. The data are automatically interlinked and enrich each other.](image) The ideas of the Semantic Web and Linked Data can be applied to address the problems of semantic data interoperability and distributed content creation at the same time, as depicted in Fig. 1. Here the publication system is illustrated by a circle. A shared semantic ontology infrastructure is situated in the middle. It includes shared domain ontologies, modeled using SW standards. If content providers outside of the circle provide the system with metadata about CH based on the same ontologies, the data are automatically linked through shared URIs, enrich each other, and form a joint knowledge graph. For example, if metadata about a painting created by Picasso comes from an art museum, it can be enriched by data links to, e.g., biographies from Wikipedia and other sources, photos taken of Picasso, information about his wives, books in a library describing his works of art, related exhibitions open in museums, and so on. At the same time, the contents of any organization in the portal having Picasso-related material get enriched by the metadata of the new artwork entered in the sys- $^5$http://www.w3.org/standards/semanticweb $^6$https://www.dublincore.org/ $^7$http://cidoc-crm.org $^8$http://www.cidoc-crm.org/collaborations $^9$https://www.ifla.org/publications/node/11412 $^{10}$http://www.cidoc-crm.org/useCasesPage tem. This is a win-win business model for everybody to join such a system; collaboration pays off. Combining the infrastructure with the idea of decoupling the data services for machines from the applications for the human user creates a model for building collaborative Semantic Web applications. This model has been developed and tested in practice, e.g., in the “Sampo” series of semantic portals\textsuperscript{11} [7]. The idea of collaborative content creation using Linked Data has been developed also in other settings, e.g., in ResearchSpace\textsuperscript{12}. The main use case in CH portals has been providing the user with enhanced information retrieval (IR) facilities [8], such as faceted search [9], semantic search, entity search, and semantic recommendation systems [10] for exploring the data in intelligent ways. Such CH search and browsing systems based on harmonized aggregated linked data will be called \textit{first generation systems}. 3. Second Generation: Portals with Tools for Distant Reading As more and more harmonized aggregated linked datasets are available, the time has come to take a next step forward to \textit{second generation} of CH semantic portals. The novelty of such systems is to provide the user with tools for solving Digital Humanities (DH) research problems, not only tools for searching and browsing the data. For example, the researcher may be interested in finding out how historical persons, ships, or manuscripts have been moving around geographically, what topics have appeared and when in parliamentary discussions, newspapers, or other corpora, what kind of social networks or correspondences there have been between members of a society, and so on. In DH, a key goal is to use computational methods for solving humanities and social science problems using large datasets that have become available. A variety of technologies have been developed and applied for such tasks, such as sentiment analysis [11], topic modeling [12], network analysis [13, 14], and visualizations [15] in addition to traditional and novel statistical methods, such as word embeddings and neural networks [16–18]. Many of the methods and tools above are domain independent, and there are a lot of software packages available for using them, such as Gephi\textsuperscript{13}, R [19], and various Python libraries\textsuperscript{14}. However, each of them have their own input formats and user interfaces. Furthermore, visualizations are crafted case by case; tools for formulating, adjusting, and comparing them in generalizable ways would be helpful for the user. A major problem here is that using the tools typically requires technical expertise and skills not common among the humanities researchers. Furthermore, the tools usually do not support Linked Data formats and data services, and there is the burden of transforming and transporting linked data into formats required by the different data analysis tools. A challenge therefore is how to create the tools in a generalizable way so that the end user can adapt them for her own particular research problems. At the moment, many portals include tools but they are mostly aimed for visualizing and exploring the data. Showing data on maps and timelines are common examples of this. The same applies to some systems for network analysis, such as Six Degrees of Francis Bacon\textsuperscript{15}, where one can search for a person or a group whose networks are then shown for exploration using interactive graphs. It is also possible to show the group on a timeline and, e.g., filter the connections in the network based on parameters. To move on to second generation systems with a clearer focus on data analytic tooling one could, e.g., compute various connectivity parameters and statistics of the networks, such as most connected nodes, hubs, and connections in the data. Such tool-oriented systems are largely still missing in semantic portals; data analysis in Digital Humanities is usually done by downloading data and by transforming it locally to be used in specific off-line tools. Integration of data analytic tools with online semantic portals is a promising future direction of work [20, 21]. 4. Third Generation: Portals for Serendipitous Knowledge Discovery Current DH systems have focused on semantic data aggregation, enrichment, validation, search, exploration, visualization, and in some cases even data anal- \textsuperscript{11}https://www.europenowjournal.org/2019/09/09/linked-data-in-use-sampo-portals-on-the-semantic-web/ \textsuperscript{12}https://www.researchspace.org/ \textsuperscript{13}https://gephi.org/ \textsuperscript{14}https://bigdata-madesimple.com/top-20-python-libraries-for-data-science/ \textsuperscript{15}http://www.sixdegreesoffrancisbacon.com/ ysis. The idea has been to search and present the data to the DH researcher using statistical charts, maps, timelines, graphs, and other means so that the researcher can more easily analyze the data related to her/his research problem. What is still largely missing in the DH methodology and tools is the next conceptual level of Artificial Intelligence where the DH tool is able not only to present the data to the human researcher in useful ways but also to 1) find, address, or solve the DH research problems automatically by itself and 2) also explain its reasoning or solution to the researcher. This is a grand challenge for research in the future. To address this challenge on has to study serendipitous knowledge discovery (KD) [22, 23] in the context of historical Cultural Heritage Big Data. Another direction of research to draw ideas from is Computational Creativity in Artificial Intelligence [24]. Serendipitous knowledge discovery is one of original promises of the Semantic Web [25]. However, there is surprisingly little research about it. A reason for this may be shortage of high quality densely interlinked datasets needed for studying serendipity. Also the notion of serendipity is conceptually complicated. Better understanding of the notion of serendipity and how insightful knowledge discovery can be implemented and utilized is needed. This could lead to new insights of scientific discovery in humanities and to a paradigm change where the role of the computer is changing from a passive tool to a proactive intelligent agent. For this challenge the research agenda for the future should seek answers to, e.g., the following fundamental research questions: 1. How can one formalize the notion of serendipity in terms of ‘interestingness’ [26] in a generalizable way? It does not make sense to hard code serendipity in a system using specific ad hoc rules, otherwise reasoning would not be serendipitous. 2. How can serendipitous phenomena and their explanations be extracted from the data? 3. How can the notion of serendipity (1) and the methods for discovering it (2) be used in practice for finding, addressing, and solving humanities research problems? 4. How can semantically rich-enough linked datasets for (1–3) be created, based on combining both structured and non-structured data? An important research topic here is Natural Language Understanding, since the primary data is typically available in textual forms. In previous sections, semantic portals have been categorized conceptually into three generations. However, in practise the later generation systems have to address the challenges of the former generations, too: a requisite for both second and third generation systems is availability of harmonized linked data, as in first generation systems, and third generation systems also focus on tools in a way similar to second generation systems. In order to make the ideas presented above more concrete by an example, a semantic portal, BiographySampo, is presented next. This system was created with the goal of making a paradigm shift in its field from state-of-the art first generation systems to a second generation systems. However, the system also includes a third generation tool for serendipitous knowledge discovery. 5. A Case Study: BiographySampo – Biographies on the Semantic Web Biography is a research area in humanities that studies life stories of particular people of significance, with the aim of getting a better understanding of their personality and actions, e.g., to understand their motives [27]. An important resource in this research field are biographical dictionaries [28] that may contain tens of thousands of short biographies of historical persons of importance$^{17}$. Traditionally, such dictionaries have been published as printed book series but nowadays major biographical dictionaries have opened their editions on the Web with search engines for finding and (close) reading biographies of interest. In BiographySampo$^{18}$ [21], linked data and natural language technology was used for creating a knowledge graph encompassing the data related to 13 100 biographies, including the National Biography of Finland [33]. The data was harmonized using an extension of CIDOC DRM and was linked to 16 external datasets. $^{17}$On-line national biographical collections include, e.g., USA’s American National Biography [29], Germany’s Neue Deutsche Biographie [30], Biography Portal of the Netherlands [31], Dictionary of Swedish National Biography [32], and National Biography of Finland [33]. $^{18}$The portal is online at http://biografiasampo.fi and has had tens of thousands of users for enriching the contents. The data was published in a SPARQL endpoint, and faceted search was implemented on top of the data service for finding biographies and exploring them by browsing. These features make BiographySampo a state-of-the-art first generation system. In contrast to biography, the focus of prosopography research is to study life histories of groups of people in order to find out some kind of commonness or average in them [34]. For example, the research question may be to find out what happened to the students of a school in terms of social ranking and employment after their graduation. The prosopographical research method [34, p. 47] has two steps: First, a target group of entities in the data is selected that share desired characteristics for solving the research question at hand. Second, the target group is analyzed, and possibly compared with other groups, in order to solve the research question. The analysis may involve, e.g., creating pie charts, histograms or other statistics of the target group, mapping the target group geographically, network analysis, etc. To support prosopography, a second generation CH application with tooling is needed. Filtering out the target group is not enough but tools and visualizations are needed for analyzing it, too. In developing BiographySampo, a major goal has been in providing the DH researchers with generic tools for data visualization and analysis. Moreover, the tools can be applied not only to one target group but also to two parallel groups in order to compare them. For example, Fig. 2 compares the life charts of Finnish generals and admirals in the Russian armed forces in 1809–1917 when Finland was an autonomous Grand Duchy within the Russian Empire (on the left) with the members of the Finnish clergy (1800–1920) (on the right). With a few selections from the facets the user can filter out the two target groups and see that, for some reason, quite a few officers moved to Southern Europe when they retired (like retirees today) while the Lutheran ministers tended to stay in Finland. In the same way, the statistical application perspective in the system includes histograms showing various numeric value distributions of the members of the target groups, e.g., their ages, number of spouses and children, and pie charts visualizing proportional distributions of professions, societal domains, and working organizations. There is also a network perspective based on the idea of visualizing and studying networks among target groups filtered out using facets. The networks are based on the reference links between the biographies, either handmade or based on automatically detected mentions. The depth of the networks can be controlled by limiting the number of links, and coloring of the nodes can be based on the gender or societal domain of the person (e.g., military, medical, business, music, etc.). The biographies can also be analyzed as a collection of artefacts by using linguistic analysis. For example, it turns out that the biographies of female Members of the Parliament (MP) frequently contain words "family" and "child", but these words are seldom used in the biographies of male MPs. The analyses are based on a linguistic knowledge graph of the texts. These tools and functionalities make BiographySampo a second generation system. To study and explore the possibilities and challenges of third generation systems, yet another application perspective was created in BiographySampo for finding interesting serendipitous connections in the biographical knowledge graph. This application idea is related to relational search [35, 36]. In our case a new knowledge-based approach was developed to find out in what ways (groups of) people are related to places and areas. Such connections can reveal hidden indirect relations that are new and surprising to the user. This method, described in more detail in [37], rules out non-sense relations effectively and is able to create natural language explanations for the connections. The question to be solved is formulated by making selections on facets about people, professions, places, and generic relation types. For example, the question "How are Finnish artists related to Italy?" is solved by selecting "Italy" from the place facet and "artist" from the profession facet. The results include connections between people and places constrained by the facet selections, e.g., that "Elin Danielson-Gambogi received in 1899 the Florence City Art Award" and "Robert Ekman created in 1844 the painting 'Landscape in Subiaco' depicting a place in Italy". Finding out hidden "new" semantic associations and their explanations like these in a large knowledge graph (over 10 million triples), created using the model of Fig.1, can arguably be considered serendipitous knowledge discovery. This makes BiographySampo an example of a third generation semantic portal. Knowledge discovery in this application is performed by transforming the knowledge graph into instances of serendipitous connections and their explanations in a preprocessing phase using rule-based reasoning. After this, relational search can be reduced into faceted search on the connection instances. 6. Conclusions This paper discussed how focus in developing semantic portals for Cultural Heritage has been evolving during the last 10 years, and proposes and envisions next steps ahead. A three generation model was presented for characterising the process: The first generation systems provided the end user with search and browsing facilities on top of a data service of harmonized linked data (SPARQL endpoint). The second generation systems provide the user also with data-analytic tools that help the Digital Humanities researcher in addressing and solving research problems. In the envisioned third generation systems a step on a new conceptual level towards Artificial Intelligence is taken: the role of the portal is not only to provide tools for the human researcher to use but also actively and automatically find interesting serendipitous patterns in the data and even solve problems by itself, preferably with explicit explanations. In addition to knowing that the meaning of life is “42”, as suggested by the computer in the novel Hitchhiker’s Guide to the Galaxy by Douglas Adams, we also need to know why so. This shift of research focus from data publishing to data analysis and tooling and finally to Artificial Intelligence brings in novel research challenges in, e.g., knowledge extraction, data visualization, machine learning, knowledge discovery, and computational creativity. Interpreting the results of a tool typically requires a great deal of domain knowledge and understanding the underlying algorithms and the characteristics of the data, such as modeling principles used and completeness, uncertainty, and fuzziness of the data. Using advanced computational tools in Digital Humanities raises the demand for source criticism on a new, higher level. References [1] E. Hyvönen, Publishing and using cultural heritage linked data on the semantic web, Morgan & Claypool, Palo Alto, CA, 2012. [2] W. McCarty, Humanities Computing, Palgrave, London, 2005. [3] E. Gardiner and R.G. Musto, The Digital Humanities: A Primer for Students and Scholars, Cambridge University Press, New York, NY, USA, 2015. [4] K. Shultz, What Is Distant Reading?, New York Times (June, 24, 2011). [5] M. Doerr, The CIDOC CRM—an Ontological Approach to Semantic Interoperability of Metadata, AI Magazine 24(3) (2003), 75–92. [6] C. Bekiaris, M. Doerr, P.L. Beauf and P. Riva (eds), Definition of FRBRoo. A Conceptual Model for Bibliographic Information in Object-Oriented Formalism, International Federation of Library Associations and Institutions (IFLA), 2015, https://www.ifla.org/files/assets/cataloguing/FRBRoo/frbroo_v_2.4.pdf. [7] E. Hyvönen, Cultural Heritage Linked Data on the Semantic Web: Three Case Studies Using the Sampo Model, in: VIII Encounter of Documentation Centres of Contemporary Art: Open Linked Data and Integral Management of Information in Cultural Centres Artium, Vitoria-Gasteiz, Spain, October 19-20, 2016, 2016. [8] R. Baeza-Yates and B. Ribeiro-Neto, Modern Information Retrieval (2nd Edition), Addison-Wesley, New York, 2011. [9] D. Tunkelang, Faceted search, Synthesis Lectures on Information Concepts, Retrieval, and Services 1(1) (2009), 1–80. [10] D. Jannach, M. Zanker, A. Felfernig and G. Friedrich, Recommender Systems. An introduction, Cambridge University Press, Cambridge, UK, 2011. [11] B. Liu, Sentiment Analysis and Opinion Mining, Morgan & Claypool, Palo Alto, CA, 2012. [12] M.R. Brett, Topic Modeling: A Basic Introduction, Journal of Digital Humanities 2(1) (2012). http://journalofdigitalhumanities.org/2-1/topic-modeling-a-basic-introduction-by-megan-r-brett/. [13] E. Otte and R. Rousseau, Social network analysis: a powerful strategy, also for the information sciences, Journal of Information Science 28(6) (2002), 441–453. [14] C.N. Warren, D. Shore, J. Otis, L. Wang, M. Finegold and C. Shalizi, Six Degrees of Francis Bacon: A Statistical Method for Reconstructing Large Historical Social Networks., DHQ: Digital Humanities Quarterly 10(3) (2016). [15] A.-S. Dadzie and M. Rowe, Approaches to Visualising Linked Data: A Survey, Semantic Web – Interoperability, Usability, Applicability 1(1–2) (2011). [16] M. Chen, Efficient Vector Representation for Documents Through Corruption, in: 5th International Conference on Learning Representations, OpenReview.net, 2017. [17] Q. Le and T. Mikolov, Distributed representations of sentences and documents, in: International Conference on Machine Learning, 2014, pp. 1188–1196. [18] T. Mikolov, I. Sutskever, K. Chen, G. Corrado and J. Dean, Distributed Representations of Words and Phrases and their Compositionality, arXiv (2013). http://arxiv.org/abs/1310.4546. [19] A. Field, J. Miles and Z. Field, Discovering Statistics Using R, SAGE Publications Inc., USA, 2015. [20] P. Leskinen, G. Miyakita, M. Koho and E. Hyvönen, Combining Faceted Search with Data-analytic Visualizations on Top of a SPARQL Endpoint, in: Proceedings of VOILA 2018, Monterey, California, Vol. 2187, CEUR Workshop Proceedings, 2018. [21] E. Hyvönen, P. Leskinen, M. Tamper, H. Rantala, E. Ikkala, J. Tuominen and K. Keravuori, BiographySampo - Publishing and Enriching Biographies on the Semantic Web for Digital Humanities Research, in: Proceedings of the 16th Extended Semantic Web Conference (ESWC 2019), Springer-Verlag, 2019. [22] O. Maimon and L. Rokach (eds), The data mining and knowledge discovery handbook, Springer–Verlag, 2005. [23] G. Piatetsky-Shapiro and W. Frawley (eds), Knowledge discovery in databases, The MIT Press, Cambridge, Massachusetts, 1991. [24] M.A. Boden, Computer Models of Creativity, AI Magazine 30(3) (2009), 23–34. http://www.aaai.org/ojs/index.php/aimagazine/article/view/2254. [25] O. Lassila, Serendipitous Interoperability, in: The Semantic Web Kick-Off in Finland – Vision, Technologies, Research, and Applications, Helsinki Institute for Information Technology, 2002, HIIT Publications 2002-001. [26] A. Silberschatz and A. Tuzhilin, On objective measures on interestingness in knowledge discovery, in: Proceedings of KDD-1995, AAAI Press, 1995. [27] B. Roberts, Biographical Research, Understanding social research, Open University Press, 2002. ISBN 9780335202867. [28] T. Keith, Changing conceptions of National Biography, Cambridge University Press, 2004. [29] American National Biography, http://www.anb.org/aboutanb.html. [30] Neue Deutsche Biographie, http://www.ndb.badw-muenchen.de/ndb_aufgaben_e.htm. [31] Biography Portal of the Netherlands, http://www.biografischportaal.nl/en. [32] Dictionary of Swedish National Biography, https://sok.riksarkivet.se/Shl/Start.aspx?lang=en. [33] National Biography of Finland, http://kansallishagiografia.fi/english. [34] K. Verboven, M. Carlier and J. Dumolyn, A short manual to the art of prosopography, in: Prosopography approaches and applications. A handbook, Unit for Prosopographical Research (Linacre College), 2007, pp. 35–70. [35] S. Lohmann, P. Heinz, T. Stegemann and J. Ziegler, The RelFinder User Interface: Interactive Exploration of Relationships between Objects of Interest, in: Proceedings of the 14th International Conference on Intelligent User Interfaces (IUI 2010), ACM, 2010, pp. 421–422. [36] G. Tartari and A. Hogan, WISP: Weighted Shortest Paths for RDF Graphs, in: Proceedings of VOILA 2018, CEUR Workshop Proc., Vol. 2187, 2018, pp. 37–52. [37] E. Hyvönen and H. Rantala, Knowledge-based Relation Discovery in Cultural Heritage Knowledge Graphs, in: Proceedings of the 4th Digital Humanities in the Nordic Countries Conference (DHN 2019), CEUR Workshop Proceedings, Vol-2364, 2019.
The Jens Nyholm Papers William K. Beatty Follow this and additional works at: https://scholarsarchive.byu.edu/thebridge Part of the European History Commons, European Languages and Societies Commons, and the Regional Sociology Commons Recommended Citation Beatty, William K. (1985) "The Jens Nyholm Papers," The Bridge: Vol. 8 : No. 2 , Article 9. Available at: https://scholarsarchive.byu.edu/thebridge/vol8/iss2/9 This Article is brought to you for free and open access by BYU ScholarsArchive. It has been accepted for inclusion in The Bridge by an authorized editor of BYU ScholarsArchive. For more information, please contact email@example.com, firstname.lastname@example.org. The Jens Nyholm Papers by WILLIAM K. BEATTY* The Chicago area has benefited from the careers of two Danes who had the same first name but completely different occupations: the one indoors and the other out. Both men were alike in having achieved national reputations in their chosen fields. Jens Nyholm served for 24 years as a university librarian; Jens Jensen devoted many years to working with nature in the designing of private and public landscapes in the Midwest. Northwestern University has enjoyed, and still enjoys, the fruits of the labors of both these men for it was at this institution that Nyholm devoted over two decades of his career as a librarian, and it was at Northwestern that Jensen designed the first Shakespeare Garden in the United States. The University Library is today nationally recognized, and the Garden — designed in the English style and with plants mentioned in Shakespeare’s works — is visited annually by many residents of the area and by visitors from elsewhere in the country and the world. The papers of Jens Nyholm have recently been processed and are available for study at the Northwestern University Archives. Since Nyholm began his career in Denmark, and since a substantial portion of these papers is in Danish, the availability of this collection may be of interest to a number of the readers of The Bridge. The description and inventory of these papers follows. Biography Jens Peter Nyholm was born in Hjørring, Denmark, on July 24, 1900. He attended the University of Copenhagen from 1919 to 1921, taking the degree of Cand. Phil., and in Archival Associate, Northwestern University, Evanston, Illinois. 1923 received a certificate from the Danish State Library School. After working from 1923 to 1927 as an assistant librarian in the Central Library at Aalborg, Denmark, Nyholm came to the United States late in 1927. Shortly after his arrival he entered Columbia University's School of Library Service, earning a B.S. degree in 1928. Primarily because of his ability with languages Nyholm obtained a position as cataloger at the Library of Congress soon after receiving his degree. Nyholm entered the graduate program in English at George Washington University where he took an M.A. in 1934. Choosing the little-known southern writer, Irwin Russell, as the subject of his thesis, Nyholm showed that Russell was the first American author to use Black dialect in a realistic manner. In 1937, Nyholm became an American citizen. The following year he was appointed head cataloger at the Library of the University of California, Los Angeles. In 1939 he accepted a position as assistant librarian at the University of California at Berkeley. Here over the next five years he worked to streamline procedures in the technical services departments. In 1938-1939 Nyholm participated in the American Library Association Cataloging Section's efforts to identify the major problems in cataloging and classification then facing academic library catalogers. In 1940 he was named as a member of the original Committee on Intellectual Freedom to Safeguard the Rights of Library Users to Freedom of Inquiry. Nyholm also was active in the Rare Book and University Libraries Sections of the Association of College and Research Libraries. In 1944 Northwestern appointed Nyholm its university librarian, a position he retained until his retirement in 1968. In addition to his duties as university librarian Nyholm continued writing in both Danish and English. In 1953 a Danish publisher issued Portal til Amerika, a small collection of Nyholm's poems in Danish, dealing primarily with places and attitudes in the United States. With the 1968 publication of his book, Amerikanske Stemmer, Nyholm completed a project of thirty years duration, translating into Danish a collection of poems by several outstanding American poets including Ezra Pound, E. E. Cummings, and Muriel Rukeyser. After his retirement from Northwestern Nyholm moved to Santa Barbara, California, where he served as a consultant in collection development to the University of California at Santa Barbara Library. Nyholm married Amy F. Wood in 1941. The couple had no children. Mrs. Nyholm died in 1978. Nyholm died in Santa Barbara on January 27, 1983. Description of the Collection* The Jens Nyholm Papers fill eighteen boxes and are arranged in six subseries: biographical materials, education files, correspondence, professional organization files, research and consulting files, and publications. These papers comprise Nyholm’s personal files; the records documenting his service as university librarian at Northwestern may be found in University Archives’ Series 9/4, Records of the University Librarian. Approximately a quarter of the material in the Nyholm Papers is in Danish. The biographical materials include curricula vitae, biographical entries from reference works, a long biographical article from the Winnetka Talk (Nov. 28, 1963), and Nyholm’s U.S. Certificate of Citizenship (Dec. 8, 1937). Also included are numerous small notebooks in which Nyholm irregularly recorded his expenses as well as occasional personal and professional activities. A substantial folder of testimony, correspondence, and insurance records pertains to an accident suffered by Nyholm and his wife, Amy, on Sept. 27, 1973. Additional material relating to this incident may be found in Box 18, Folder 1. Also found among the biographical materials are financial records relating to Nyholm’s stock investments and to his accounts in Danish and American banks. Two folders include records and correspondence pertaining to Nyholm’s two ventures into the bookselling business. Finally, there are five folders of material by or about Jens' wife, Amy, and fourteen folders of biographical and genealogical material relating to the Nyholm family. Filed here are several published books on the family, a lengthy manuscript of a genealogical work, and a diary kept between 1855 and 1897 by Edvard Ludvig Bartsch, Nyholm's maternal grandfather. The "family newspapers" (Box 5, Folder 6) are handwritten documents, sometimes edited or with articles written by Jens as a youth. The education files include some of Nyholm's student papers. Two folders contain correspondence, notes, and drafts of his M.A. thesis. A bound volume of the thesis is included in the University Archives' collection of books authored by Northwestern University faculty. The general correspondence, arranged chronologically by date, includes letters to and from Nyholm written in both English and Danish. Many, especially in the years before 1940, are between Nyholm and his close friends, including the Swedish librarian and journalist, Barbro Hallendorf, to whom Nyholm was engaged in the early 1930s. Many letters are between Nyholm and members of his family. Some of the early letters relate to Nyholm's work in various libraries and to his attempts to obtain employment both in and out of the library field. Arranged at the end of the general correspondence are a few folders of subject correspondence between Nyholm and J. Christian Bay, librarian of the John Crerar Library; between Nyholm and his brother, Axel; and correspondence relating to the Library of Congress as well as the universities of California at Berkeley, Los Angeles, and Santa Barbara. The professional organizations files include correspondence, reports, and a fee publications relating to organizations with which Nyholm was associated. The major item in the research and consulting files is the folder pertaining to Nyholm's consulting on the development of a collection management policy for the University of Pittsburgh. The folder includes Nyholm's correspondence and notes made while surveying the library and the university's teaching programs. Not included is a draft or final copy of Nyholm's report. The publication files comprise approximately one quarter of the papers. This large amount of manuscript, typed and printed material, much of it in Danish, has been divided into sections for prose and for poetry. Nyholm wrote for newspapers, magazines, and professional journals. Where possible reprints have been filed with the related manuscripts. Nyholm wrote a few articles for Danish newspapers on Franklin D. Roosevelt and the 1936 American presidential election as well as other contemporary events. Most of his articles on library matters, including several about Danish libraries and librarians during World War II, are in English. Nyholm's numerous book reviews pertain mainly to Danish historical or bibliographic works while reviews of Nyholm's own work concern his Danish poetry. A few plays are fragments from Nyholm's years in secondary school. Up to his late 30s Nyholm expressed himself frequently in poetry. Manuscripts, mostly in Danish, exist on a wide variety of topics and, occasionally, in several revisions. His major translations of works from Danish into English include several poems by Klaus Rifbjerg. The major items in the poetry section of the publication files relate to his books, Portal til Amerika and Amerikanske Stemmer. The final box of the series, legal size, includes various oversized materials drawn from several subseries. Records pertaining to the Nyholm's accident, to the purchase and sale of their houses, and a scrapbook of Nyholm's newspaper articles and poems may be found here. Provenance: Donated to the Northwestern University Archives by Mr. Nyholm's sister-in-law (Accession #83-81). Restrictions: None. Processor: William K. Beatty; August-October, 1984. Separations: Several linear inches of photographs have been removed to the University Archives' photograph collection. Nyholm's diploma for his B.S. from Columbia; matriculation certificate for the University of Copenhagen; and a tabular sheet of information on national and trade bibligraphies, probably done for a course at Columbia's School of Library Service, have been separated to an oversize storage folder. Four and one-half boxes of records relating to Nyholm's service as University Librarian at Northwestern have been separated to University Archives' Series 9/4. A substantial amount of material not pertaining directly to Nyholm was transferred to the Northwestern University Library Special Collections Department. Pertinent duplicates of material in the Nyholm Papers were donated to the Danish-American Heritage Association Archives at Grand View College in Des Moines, Iowa. Index to Prominent Correspondents \| Name \| Date \| Location \| \|-----------------------\|--------------------\|-------------------\| \| Aiken, Conrad \| Aug. 30, 1959 \| Box 15, Folder 13 \| \| Daley, Richard J. \| Oct. 25, 1960 \| Box 9, Folder 3 \| \| Hemingway, Mary \| Mar. 17, 1963 \| Box 9, Folder 4 \| \| Jeffers, Donnan \| June 20, 1967 \| Box 16, Folder 1 \| \| Kreymborg, Alfred \| Sept. 9, 1959 \| Box 15, Folder 13 \| \| Levertov, Denise \| Sept. 8, 1960 \| Box 15, Folder 13 \| \| Levertov, Denise \| Sept. 22, 1960 \| Box 15, Folder 13 \| \| Levertov, Denise \| Oct. 4, 1960 (?) \| Box 16, Folder 1 \| \| Levertov, Denise \| June 27, 1967 \| Box 16, Folder 1 \| \| Lindsay, Nicholas C. \| Aug. 23, 1960 \| Box 15, Folder 13 \| \| Masters, Mrs. Edgar Lee \| Sept. 5, 1960 \| Box 15, Folder 13 \| \| Rachewiltz, Mary D. \| Sept. 12, 1967 \| Box 16, Folder 1 \| \| Roethke, Theodore \| Aug. 2, 1961 \| Box 16, Folder 1 \| \| Rukeyser, Muriel \| Aug. 30, 1960 \| Box 15, Folder 13 \| \| Sandburg, Carl \| Christmas, 1952 \| Box 9, Folder 3 \| \| Shapiro, Karl \| Sept. 1, 1959 \| Box 15, Folder 13 \| \| Wallace, Irving \| Aug. 12, 1964 \| Box 9, Folder 4 \| Biographical Materials - Box 1 — Folder 1 - Personal Data 1926-1983; Folder 2 - Bibliographies 1928-1969; Folder 3 - Clippings and News Releases 1922-1980; Folder 4 - Obituaries 1983; Folder 5 - Documents and Certificates 1901-1971; Folder 6 - Programs and Directories 1927-1981; Folder 7 - Journals and Diaries 1913-1919; Folder 8 - Journals and Diaries 1920-1929. - Box 2 — Folder 1 - Journals and Diaries 1931-1980; Folder 2 - Journals and Diaries n.d.; Folder 3 - Health Records 1970-1980; Folder 4 - Social Security and Medicare 1955-1980; Folder 5 - Teachers insurance and Annuity Association of America 1953-1976; Folder 6 - Accident (September 27, 1973) and Lawsuit, 1 1973-1975. - Box 3 — Folder 1 - Accident (September 27, 1973) and Lawsuit, 2 1973-1976; Folder 2 - Houses 1943-1969; Folder 3 - Expenses 1921-1978; Folder 4 - Financial Records, 1 1930-1982; Folder 5 - Financial Records, 2 1972-1982; Folder 6 - Financial Records, 3 1958-1981. Box 4 — Folder 1 - Financial Records, 4 1927-1982; Folder 2 - Banash, Bookseller, Chicago 1963-1975; Folder 3 - Nyholm Antiquarian Books, Santa Barbara 1970-1980; Folder 4 - Nyholm, Amy Wood-Bibliography 1936-1942, 1970-1971; Folder 5 - Nyholm, Amy Wood-Correspondence 1927-1978; Folder 6 - Nyholm, Amy Wood-Manuscripts 1928-1945; Folder 7 - Nyholm, Amy Wood-Obituaries 1978; Folder 8 - Nyholm, Amy Wood-Scholarship and Book Fund 1978-1979; Folder 9 - Nyholm, Johannes and Ellen (parents) 1917-1938; Folder 10 - Nyholm, Anna (sister) 1937, 1979; Folder 11 - Nyholm, Johannes (brother) 1977; Folder 12 - Nyholm, Marie (sister) 1960; Folder 13 - Nyholm, Paul (brother) and Ingfrid 1964-1977; Folder 14 - Nyholm, Birte (niece) 1974; Folder 15 - Family, Miscellaneous 1915-1976; Folder 16 - Family, Genealogical Notes and Publications, 1 n.d. Box 5 — Folder 1 - Family, Genealogical Notes and Publications, 2 n.d.; Folder 2 - Family, Genealogical Notes and Publications, 3 1855-1894; Folder 3 - Family, Genealogical Notes and Publications, 4 1897; Folder 4 - Family, Genealogical Notes and Publications, 5 1905, 1933; Folder 5 - Family, Genealogical Notes and Publications, 6 1962; Folder 6 - Family Newspapers 1913-1915; Folder 7 - Family Photographs, Photocopies of 1913-1915. Education Materials Folder 8 - Ostersogades Gymnasium, Grade books 1912-1917 Box 6 — Folder 1 - Ostersogades Gymnasium, Notes 1 1914-1919; Folder 2 - Ostersogades Gymnasium, Notes 2 1914-1919; Folder 3 - University of Copenhagen 1919-1921; Folder 4 - Danish State Library School 1922-1923; Folder 5 - Columbia University School of Library Service 1927-1928; Folder 6 - George Washington University, M.A. 1930-1934; Folder 7 - George Washington University, M.A. Thesis, Irwin Russell, Notes and Fragments 1930-1934; Folder 8 - George Washington University, M.A. Thesis, Draft 1930-1934. Correspondence, General Box 7 — Folder 1 - General Correspondence 1885-1919; Folder 2 - General Correspondence 1920-1922; Folder 3 - General Correspondence 1923; Folder 4 - General Correspondence 1924; Folder 5 - General Correspondence 1925; Folder 6 - General Correspondence 1926; Folder 7 - General Correspondence 1927; Folder 8 - General Correspondence 1928; Folder 9 - General Correspondence 1929; Folder 10 - General Correspondence 1930; Folder 11 - General Correspondence 1931. Box 8 — Folder 1 - General Correspondence 1932; Folder 2 - General Correspondence 1933; Folder 3 - General Correspondence 1934; Folder 4 - General Correspondence 1935; Folder 5 - General Correspondence 1936; Folder 6 - General Correspondence 1937; Folder 7 - General Correspondence 1938; Folder 8 - General Correspondence 1939; Folder 9 - General Correspondence 1940; Folder 10 - General Correspondence 1941; Folder 11 - General Correspondence 1942. Box 9 — Folder 1 - General Correspondence 1943; Folder 2 - General Correspondence 1944; Folder 3 - General Correspondence 1945-1962; Folder 4 - General Correspondence 1963-1966; Folder 5 - General Correspondence 1967; Folder 6 - General Correspondence 1968; Folder 7 - General Correspondence 1969; Folder 8 - General Correspondence 1970; Folder 9 - General Correspondence 1971; Folder 10 - General Correspondence 1972; Folder 11 - General Correspondence 1973; Folder 12 - General Correspondence 1974; Folder 13 - General Correspondence 1975; Folder 14 - General Correspondence 1976; Folder 15 - General Correspondence 1977; Folder 16 - General Correspondence 1978. Box 10 — Folder 1 - General Correspondence 1979; Folder 2 - General Correspondence 1980-1983; Folder 3 - General Correspondence n.d.; Folder 4 - General Correspondence n.d.; Folder 5 - General Correspondence n.d.; Folder 6 - General Correspondence n.d.; Folder 7 - Bay, J. Christian 1962-1978. Box 11 — Folder 1 - Icelandic Collection 1969-1972; Folder 2 - Library of Congress 1946-1947, 1972; Folder 3 - Nyholm, Axel 1933-1982; Folder 4 - Nyholm, Axel n.d.; Folder 5 - Nyholm, Axel n.d.; Folder 6 - Nyholm, Johannes 1915-1977; Folder 7 - University of California, Berkeley, 1 1939-1944. Box 12 — Folder 1 - University of California, Berkeley, 2 1939-1944; Folder 2 - University of California, Los Angeles 1938-1939; Folder 3 - University of California, Santa Barbara 1968-1971; Folder 4 - University of California, Santa Barbara 1972-1972; Folder 5 - University of California, Santa Barbara 1975-1980; Folder 6 - University of California, Santa Barbara n.d.; Folder 7 - University of California, Santa Barbara n.d.; Folder 8 - Wulff, Johannes 1963-1980. Professional Organizations Folder 9, American Library Association, Catalog Section, 1 1938-1939. Box 13 — Folder 1 - American Library Association, Catalog Section, 2 1938-1939; Folder 2 - American Library Association, Community on Intellectual Freedom 1940-1941; Folder 3 - Association of College and Research Libraries, Rare Books Section 1968; Folder 4 - Association of College and Research Libraries, University Libraries Section 1938; Folder 5 - Bay District Library Discussion Group 1940-1942; Folder 6 - Miscellaneous n.d. Research and Consulting Files Folder 7 - Appraisal 1969; Folder 8 - Notes-Bibliographic and Reading n.d.; Folder 9 - University of Pittsburgh 1968. Publications: Prose Folder 10 - "Brev Fra Amerika" n.d.; Folder 11 - "Danish Libraries During the War" n.d.; Folder 12 - Funk and Wagnalls Yearbook 1948-1974; Folder 13 - Graham-Paige n.d.; Folder 14 - "National Union Catalog" n.d.; Folder 15 - "Portrait of a Progressive Librarian" n.d.; Folder 16 - "The Saturday Club" n.d.; Folder 17 - "Some Aspects of Artistic Book Illustration" n.d.; Folder 18 - Standard Reference Library Encyclopedia Yearbook 1961-1969; Folder 19 - Stumvoll Festskift 1967-1970. Box 14 — Folder 1 - Miscellaneous-Library n.d.; Folder 2 - Miscellaneous-Literary n.d.; Folder 3 - Newspaper Articles 1936; Folder 4 - Miscellaneous Fragments and Notes n.d.; Folder 5 - Drawings n.d.; Folder 6 - Bibliographies-Evanston Public Library n.d.; Folder 7 - Kierkegaard, 1 n.d.; Folder 8 - Kierkegaard, 2 n.d.; Folder 9 - Scandinavian Studies 1947, 1977; Folder 10 - Translations n.d.; Folder 11 - Miscellaneous n.d.; Folder 12 - Book Reviews 1934-1975. Box 15 — Folder 1 - Reviews of Books by 1953, 1968; Folder 2 - Plays ca. 1914; Folder 3 - Reprints 1916-1936; Folder 4 - Reprints 1937-1947; Folder 5 - Reprints 1948-1961; Folder 6 - Reprints 1962-1978; Folder 7 - Reprints n.d. Publications: Poetry Folder 8 - Portal Til Amerika 1951-1962; Folder 9 - Amerikanske Stemmer, Drafts, 1 n.d.; Folder 10 - Amerikanske Stemmer, Drafts, 2 n.d.; Folder 11 - Amerikanske Stemmer, Proof 1967; Folder 12 - Amerikanske Stemmer, Correspondence 1960-1969; Folder 13 - Amerikanske Stemmer, Correspondence, Permissions, 1 1937-1960. Box 16 — Folder 1 - Amerikanske Stemmer, Correspondence, Permissions, 2 1961-1967; Folder 2 - Poems, Danish, Manuscripts 1909-1916; Folder 3 - Poems, Danish, Manuscripts 1917-1919; Folder 4 - Poems, Danish, Manuscripts 1920-1929; Folder 5 - Poems, Danish, Manuscripts 1930-1978; Folder 6 - Poems, Danish, Manuscripts n.d. Box 17 — Folder 1 - Poems, Danish, Manuscripts n.d.; Folder 2 - Poems, Danish, Manuscripts n.d.; Folder 3 - Poems, Danish, Manuscripts n.d.; Folder 4 - Poems Translated from Danish n.d.; Folder 5 - Poems, in English n.d.; Folder 6 - Poems, by Rifbjerg, Translated into English 1971; Folder 7 - Poems, by E. Nyholm (7) and Soren B. Nyholm 1912-1971. Box 18 — Folder 1 - Biographical-Accident 1973-1975; Folder 2 - Biographical-Houses 1941-1969; Folder 3 - Biographical-Banash, Stanley 1972; Folder 4 - Biographical-Family 1948-1947; Folder 5 - Education-Correspondence, Papers, Certificates 1916-1923; Folder 6 - Correspondence 1926-1981; Folder 7 - Professional Organizations 1940; Folder 8 - Publications-Scrapbook 1923-1972; Folder 9 - Publications-Articles 1926-1949; Folder 10 - Publications-Poems 1927-1971; Folder 11 - Publications-Illustrations n.d.; Folder 12 - Miscellaneous 1922-1968.
Epigenetic Editing Repairs Connections in a Developing Brain Model Endocrinologist Joan C. Han, MD, and researchers at several universities and the National Institutes of Health (NIH) explored whether genetic tools could be used to repair the corpus callosum, the structure connecting the two hemispheres of the brain. When development of the corpus callosum is abnormal, results include disorders such as schizophrenia, intellectual disability and autism spectrum disorder. Since genetic mutations may contribute to abnormal development of the corpus callosum, the researchers focused on a gene associated with intellectual disability (C11orf46) to see if mutations in this gene were also associated with changes in the corpus callosum. Examined by MRI, the corpus callosum was significantly smaller in patients with only one normal copy of C11orf46 than in those with two normal copies. The researchers blocked C11orf46 expression in developing mice to determine if it would change the developing corpus callosum. Following knockdown of C11orf46, axons, which enable communication between neurons and form the corpus callosum, failed to make connections between the two hemispheres of the brain. These changes also reduced the size of the corpus callosum in mice, similar to the MRI findings in humans. Loss of C11orf46 increased the expression of Sema6a, a gene that regulates axon development. When Han and colleagues used epigenetic editing (a tool that adjusts gene expression without mutating DNA) to lower Sema6a expression to normal levels, the ability of axons to form the corpus callosum and connect the two hemispheres was restored, despite the absence of C11orf46. These findings indicate the possibility for early intervention in neurodevelopmental disorders. Peter CJ, Saito A, Hasegawa Y, et al. In vivo epigenetic editing of Sema6a promoter reverses transcallosal dysconnectivity caused by C11orf46/Arl14ep risk gene. Nat Commun. 2019;10(1):4112. Published 2019 Sep 11. doi:10.1038/s41467-019-12013-y CFRI Spotlight: Regulatory and Compliance CFRI staff specializing in the IRB and compliance in research are available to help with the process of applying for IRB approval and maintaining compliance. Research Regulatory and Compliance Manager Kerry Moore answered questions about the typical situations investigators encounter and how to successfully establish a study. What should researchers know about regulatory and compliance? We provide resources to help all researchers. Ask questions – none of our investigators know all of the regulations when they start, and CFRI regulatory staff can walk you through it. Submitting a study to the IRB can appear very complicated, but we break it down and walk you through the IRB submission process. What resources are available to investigators? When starting a new study, we have two IRB research coordinators, Ashley Thompson and Celine Wu, who can assist with your IRB submission including iMedRIS (IRB submission software) and various forms decreasing your approval study start time. What specific processes do you assist with? We focus on the IRB including consent issues, protocol deviations, significant adverse... continued on p. 3 Recent Awards and Honors Gastroenterologist Dennis Black, MD, received the 2020 American Gastroenterological Association Institute Council Obesity, Metabolism & Nutrition Section Research Mentor Award for outstanding contributions to the mentoring and training of new investigators. Pediatric Surgeon Ankush Gosain, MD, PhD, FACS, FAAP, won the 2019-2020 Mid-Career Award from the Society of University Surgeons. Pediatric Surgeon Eunice Huang, MD, was recently awarded the 2020 American Surgical Association (ASA) Surgical Leaders Fellowship Grant in partnership with the Association of Women Surgeons (AWS). Neurosurgeon Paul Klimo Jr, MD, MPH, won Pediatrics Paper of the Year, awarded by the Congress of Neurological Surgeons, for “The Preventable Shunt Revision Rate: A Multicenter Evaluation,” published in Neurosurgery in March 2019. Neonatologist Ajay Talati, MD, received the 2020 Founders Award from the Southern Society for Pediatric Research (SSPR) during the Society’s annual meeting for his significant contributions to the health care of children and the activities of the SSPR. Neonatologist Kent Willis, MD, published an article titled “Perinatal Maternal Antibiotic Exposure Augments Lung Injury in Offspring in Experimental Bronchopulmonary Dysplasia” in American Journal of Physiology Lung Cellular and Molecular Physiology. This article was chosen as the American Physiological Society’s Select Article for December 2019 and was the subject of two editorials. An Allergy Treatment Allergist/Immunologist Jay Lieberman, MD, right A first-of-its-kind peanut oral immunotherapy, Palforzia (AR101), was recently approved by the Food and Drug Administration (FDA). Le Bonheur was one site in the trial that brought this drug to market, providing a viable treatment for children who have lived years with a peanut allergy. In this study, peanut allergic patients were given small amounts of peanut protein in the form of a powder. The powder was increased every two weeks until they were eating approximately one peanut’s worth. Participants with an allergic response were randomly assigned to receive AR 101, the investigational biologic oral immunotherapy drug (up to 300 mg of peanut protein), or a placebo. Other therapies being investigated beyond oral immunotherapy include patch immunotherapy, modified allergen therapies and adding a biologic medicine to one of the immunotherapies to improve efficacy or safety. “There’s a lot on the horizon, and it’s a good time to be a part of the food allergy community. For so long we haven’t had anything to treat these patients, and hopefully soon we’ll have more than one option,” notes Le Bonheur Allergist/Immunologist Jay Lieberman, MD. Previously, the only recommended treatment was avoidance first and emergency therapy second, specifically in the form of epinephrine, if a reaction occurred. It is estimated that 1-2 percent of the population in the United States is peanut allergic with higher numbers in children and adolescents. No known root cause has been identified for peanut allergies, but Lieberman explains there is no single cause — it is a multifactorial disease. “There’s a genetic component, an environmental component and possibly a component of when these foods are introduced into the diet that can play a role into why some kids get peanut allergy and others don’t,” he explains. One theory is the hygiene hypothesis. As society becomes more hygienic and has less infectious disease, whether parasitic or bacterial, immune systems may shift to develop more allergies in general, not just peanut allergy. Delayed introduction of peanuts into a child’s diet may also play a part. “Studies have shown that allergic disease in general, meaning developing allergic antibodies to things like dust mites or peanuts, may be more apt to happen in patients who are not exposed to certain infectious agents early on,” adds Lieberman. Thanks to Palforzia, allergists/immunologists like Lieberman now have a proven treatment that they can provide to their peanut allergic patients. ...continued from p. 1 events or significant medical events during a study. Contact us so we can help you document these events appropriately. We’re also here to help make sure everyone is audit ready as the IRB can audit a study at any time. If I’m a new investigator and I want to start a study at Le Bonheur, what’s the first thing I need to do? Once you have met with your advisor(s) and have a proposal, we can meet to start the new study application. We develop questions and give you what we need to accomplish, including meeting with your advisor(s) or our business manager to look at the study budget. Then, we can meet again and finish the submission and route it to everyone on the protocol for signatures. What happens if I want to do a full-board study? You will present the study to the Clinical Trials Advisory Committee (CTAC) at Le Bonheur and then to the IRB at UTHSC. CTAC is led by Dr. Black and includes physicians who are experienced researchers who help with all aspects of study design. CFRI Finance Director Chris Smith and Biostatistics Core Director Tamekia Jones, PhD, and myself are brought in for regulatory support. We try to help you look at the study from all perspectives and give you feedback to help you prepare before going to the IRB. We can see pitfalls that you may not have thought about as a new researcher. How do I ensure a smooth study? Investigators who take the time to meet with a regulatory specialist who will answer the initial questions begin a smooth study process. If we’re contacted by an investigator who has a new study idea, we will send out a very short survey with questions that go on an IRB application. If we can get some information and help with the application, we can help prevent inconsistencies, which are common errors we see. If investigators will sit down with us, fill out the form, and let us help guide the process, studies often get approved faster. What pitfalls do you commonly see? We see studies automatically deferred by the IRB when the data collection forms are not submitted. People often forget to attach these forms, and this means they have to start over and go back through the review process. Unfortunately, we see this error fairly frequently. We could catch it really easily because it’s one of the first things we look for. Once a study is up and running, how are you involved? Our department gets all of the outcome letters from the IRB for every open study at Le Bonheur. If it’s time for the annual continuing review, you get automatic notices via email. Once you get to 20 days, we will step in and send reminders. If we see you’re making changes to your study, we will go into the database and check for discrepancies and email you to offer our help. We are always behind the scenes watching communication from the IRB. What happens when a researcher is ready to end a study? When everything is done, you have to complete a closeout report with the IRB. We can help you with the closeout report and make sure it’s done appropriately. One of the big mistakes I see is that investigators don’t do the annual continuing review, and the IRB will change the study to an expired status. Ideally, that’s not the way you want to close a study. You want to do a true closeout report because it will show as a completed study. Is there anything else you would like researchers to know? Call us. We are here to help. If investigators are too busy to come here, we can go to you. We’re happy to do what we can to use your time effectively. Register Your Clinical Trial All clinical trials must be registered at clinicaltrials.gov BEFORE you collect any data in order to publish the results. Please remember to enter your results following the end of the study. Many patients and families search ClinicalTrials.gov in search of potential treatments. CFRI Researchers Continue Publishing High-Quality Manuscripts in 2019 During 2019, CFRI researchers published 228 manuscripts in peer-reviewed journals, maintaining the trend of more than 200 published manuscripts per year since 2017. Among these manuscripts, 80 were published in the top 25 percent of journals. Topics ranged from a new treatment for respiratory syncytial virus to PDA closure in the smallest newborns. Allergic Asthma Protects from H1N1 Influenza Virus and Streptococcus Pneumoniae Pre-existing allergic asthma protects from severe morbidity from influenza A virus (IAV) and Streptococcus pneumoniae (Spn) co-infection because of extensive alterations in the respiratory tract including immunological and microbiological differences. This Le Bonheur research, published in Scientific Reports, was prompted by the results from the 2009 swine flu pandemic during which asthmatics had less severe outcomes of influenza including reduced bacterial pneumonia and ICU admittance as compared to non-asthmatics. “Asthma is a complicated syndrome that develops through intricate gene and environment interaction,” said Le Bonheur Researcher Amali Samarasinghe, PhD. “Our study aimed to understand the possible mechanisms at play in asthmatics during respiratory infections to determine how each asthmatic may respond.” Researchers developed a mouse model of asthma, influenza and pneumococcal pneumonia in order to study host-pathogen interactions in live tissue, which is unable to be observed in humans. The results of the study revealed several ways in which allergic airways differ from non-allergic during co-infection of IAV and Spn including: 1. The inflammation of allergic airways delayed or protected against severe disease from co-infection. 2. Allergic airways had a more diverse immune cell signature during co-infection. 3. Antibiotic treatment impeded protection from infection-induced morbidity in allergic mice. 4. Lung mucosal microbiome was more diverse in allergic airways, and antibiotic-induced dysbiosis rendered the allergic mice susceptible to severe disease associated with co-infection. “Underlying conditions present unique challenges and opportunities for invading pathogens,” said Samarasinghe. “The extensive alterations in the respiratory tract during allergic asthma encompass both immunological and microbiological differences that can have a profound impact on susceptibility to infection.” The results show that asthmatics have a distinct microbial signature that may contribute to the protective capacity of asthma during IAV and Spn co-infection. Any antibiotics should be prescribed with caution especially in patients with underlying chronic conditions. This study was conducted in collaboration with St. Jude Children’s Research Hospital researchers Jason Rosch, PhD, Ti-Cheng Chang, PhD, and Peter Vogel, DVM, PhD. View the full text article at https://www.nature.com/articles/s41598-019-55712-8#Abs1. Air Guns Pose Safety Hazard for Children To assess the current rate and severity of air gun injury, Chief of Pediatric Surgery Trey Eubanks, MD, and colleagues from five other Level 1 pediatric trauma centers, part of the Arizona-Texas-Oklahoma-Memphis-Arkansas (ATOMAC) Consortium, performed a retrospective study of air gun injuries treated at their trauma centers from 2007 to 2016. The researchers found 499 children with an average age of 9.5 were injured by air guns and treated at the participating trauma centers. Of the 499 children, 331 were admitted to the hospital, and 151 required surgery. It cost an average of $24,000 to treat each injury. In 2011, air guns caused 16,451 injuries, and more than half of these injuries (62.5 percent) affected children age 19 or younger. In 2018, air gun injuries totaled 12,660 for all ages, with 9,273 injuries among children. Due to a trend toward increasing projectile velocities, the study predicted that air guns will cause more severe injuries in the future. As 80 percent of these injuries were accidental, greater awareness of the potential for injuries and stricter regulations may be needed to curb this health concern. Apelt N, Greenwell C, Tweed J, et al. Air Guns: A Contemporary Review of Injuries at Six Pediatric Level I Trauma Centers [published online ahead of print, 2019 Dec 11]. J Surg Res. 2019;248:1–6. doi:10.1016/j.jss.2019.11.002
THE BROOKLYN COLLEGE VANGUARD Spring 2024, Issue 1 vanguard.blog.brooklyn.edu @thebcvanguard Thursday, February 8th Black History Month at BC BFS and BHMC organize events throughout February Pg. 2 BC Welcomes New Museum and Cultural Organizations Minor Pg. 6 The Vanguard’s first crossword inside! Pg. 11 TEDxCUNY Returns to Present “UNRAVEL” Pg. 5 Reviving the Brooklyn Zine Scene: BC’s Own Zine Archive Pg. 7 BC Winter Sports Recap Pg. 12 Cover by Tony Lipka Black History Month at BC: A Celebration of the Black Community By Kate Dempsey Editor-in-Chief The Black History Month Committee (BHMC), in conjunction with the Black Faculty Staff (BFS) and a coalition of clubs and departments at Brooklyn College, has returned with their annual events that educate students about Black history and culture every February. A total of 12 events are scheduled this Black History Month, including art showcases, panel events, and movie screenings. The events follow Black History Month’s national theme, chosen annually by the Association for the Study of African American Life and History, “African Americans and the Arts.” The theme looks to highlight how African American artists have used the form to preserve history and use it for empowerment. The coalition that organizes the events includes the African Student Union (ASU), Black Student Union (BSU), Caribbean Student Union (CSU), Women of Color (WOC), Phi Sigma Chi Fraternity, National Association of Black Accountants (NABA), Black and Latino Male Initiative (BLMI), Student Activities Involvement and Leadership Center (SAIL), Haitian American Student Association (HASA), Caribbean Studies Program, the Sociology Department, and the Africana Studies Department. The committee has annually organized Black History Month since 2017, putting on a variety of events for the BC community. The events are a way to keep the momentum going for learning Black history while mentoring the new generations of leaders organizing them. “When we launched it, we did one to four events every single day, from the very first day of Black History Month all the way through the end,” Shadiq Williams, program coordinator of the Black and Latino Male Initiative at BC and a founding member of the Committee, told The Vanguard. “From there we just try to keep that spirit alive with upcoming years, so connecting with the new e-boards, helping mentor them, helping them with their planning.” Planning for the month’s events begins early in the fall semester, when members gather together to decide on which events to put on. “Between October and December, we are pretty much meeting, planning, bouncing ideas off of one another. We have meetings with professors from the Sociology Department, Africana, and we pretty much just brainstorm with each other,” Tiara Jenkins, former president of BHMC and a recent graduate of BC, told The Vanguard. “I love seeing everything executed that we’ve worked hard for.” Shatisha Bryant, vice-president of the Committee and president of the Black Solidarity Day Committee held on Nov. 6, told The Vanguard that one of the goals for putting on the events is for others to learn the importance of acknowledging Black history. “I want to make sure that Black history represents [...] the importance of passing down our stories, our legacies, our bountiful collaborations all across the world,” Bryant said. “This is just the first step, getting active on campus.” Organizers explained to The Vanguard that students who would like to learn more about Black history can visit the Africana Department located on the third floor of James Hall, or visit the library’s Africana Studies page. For more ways to learn and get involved with Black history beyond BC, the organizers said that students on all budget levels can find a myriad of events in New York City. “There are many things happening with our New York City libraries, with our museums [...] all of the boroughs are touching on this important subject of Black history,” Bryant said. Leaders of the Black History Month Committee at the Kickoff held on Feb. 1 Courtesy of Black History Month Committee The Committee emphasized that Black history is not just reserved for one month, and to remember that Black history is full of optimism and excellence that will continue into the future. “Black history represents resilience. It symbolizes not forgetting all the blood that was shed from all Black innocent people throughout history,” Bryant said. “I want the students to know that Black history conveys optimism, it hopes for justice and equality [...] and to not forget and to know that all Black and Brown is beautiful.” Students can stay updated on the Black History Month Committee’s events by checking out their Instagram @bhmc_bc. The Undergraduate Student Government (USG) hosted “Pizza & Play” as their first spring event on Thursday, Feb. 1 to welcome students back on campus. The event saw students competing with each other in games such as Uno, Jenga, Connect Four, and Cards Against Humanity. This event gave an opportunity for students who never met before to meet each during this event over a good game. Once entering and hang out as the event, games a community, were placed at and it’s especially each table with rewarding at classic hit songs the start of the being played. To semester when we the USG board know our friends members, hosting are still getting “Pizza and Play” used to classes.” was the first The event saw step in making a wide range students feel of the student welcomed back body, reflecting to campus for the BC’s diversity as spring semester. students got to “It was incredible knowoneanother. to see how many As many start people attended their semester, and were able the event allowed to connect over playing games together,” Dylan Karlowski, USG Events Director and senior at BC, said to The Vanguard. “We love being able to make spaces for students to relax new connections. On what they On Feb. 14, they would like to see will be hosting for events. the “Valentine’s “Student Heat and Bash” involvement is to exhibit student everything. We artwork and always welcome where students ideas and often can paint their make events own succulent based on student plants. On responses […] I March 5, another speak for every student-faculty member of USG mixerisscheduled when I say that to have students talkingtostudents and faculty get to on campus is the knowoneanother. best part of being Additionally, a member of USG plans on USG,” Karlowski hosting a Narcan said. training session To stay updated as well as another on future USG movie night on events, students the quad. can check out USG emphasized their Instagram @ that their goal for bcstudentgov or hosting events is visit their office at for students to 311 in the Student connect, making Center. sure to take into consideration student feedback Hochul Budget Proposal Set to Slash CUNY Funds By Shlomie Katash News Editor Governor Kathy Hochul unveiled her proposal on Jan. 16 for a $233 billion budget for the upcoming 2025 fiscal year which, if enacted, would see significant cuts for CUNY schools, potentially worsening the schools’ finances if passed without alterations. The budget would be the largest the state has ever seen despite closing a $4.3 billion deficit. Hochul detailed her priorities within the plan during the 2024 Budget Address, claiming that it “[coexists] with people-driven progressive policies,” all while not raising income taxes. Among her largest concerns—which included crime, mental health, and economic competitiveness—higher education was absent. Throughout the address, Hochul mentioned universities only in reference to partnering with the state and other private entities to fund her Empire AI Consortium. This ten-year, $275 million investment will attempt to make New York “a global leader in AI research and development,” according to Hochul, and “prepare [students] for in-demand jobs in the quickly expanding field,” according to CUNY Chancellor Félix V. Matos Rodríguez in a statement reacting to Hochul’s address. The New York State Assembly analyzed the budget and found that, in total, it would cut CUNY appropriation by $528 million, with direct state funding to CUNY senior colleges, such as Brooklyn College, being decreased by $26.8 million, or 3.3% of last year’s budget. Hochul proposed the cuts despite CUNY requesting a further financial boost from last year’s budget. In terms of two of the most crucial areas of funding, operating, which helps colleges manage day-to-day responsibilities, and capital, which are reserved for the building and maintenance of long-term building projects, CUNY requested $352 million and $1.2 billion, respectively. The latter would reserve $100 million for renovations at Ingersoll and Roosevelt Hall at BC as well. Instead, Hochul put forward $129 million in operating support, an increase of $36 million from last year, and $441 million in capital support, a decrease of $636 million. Additionally, the budget does not provide money to aid CUNY’s mandatory cost increases that come with raises for faculty and staff. “The gap between what CUNY is requesting and what Hochul is proposing would exacerbate CUNY’s deficits,” Ludovic Leroy, Interim AVP for Marketing and Communications at BC, told The Vanguard. Now that Hochul has officially set forward the executive budget, negotiations will occur between Governor Hochul, the Assembly, and the New York State Senate to finalize the budget ahead of the April 1 deadline, though discussions can and have gone well beyond that, as last year’s budget was not passed until May 2. The process begins with both legislative bodies outlining their specific budgetary and policy requests, leading CUNY leaders to begin lobbying officials to advocate for CUNY’s priorities. Some CUNY officials, such as BC’s president Michelle Anderson, already have trips to Albany organized in the coming weeks, Leroy said. “I am committed to fighting for every dollar Brooklyn College needs to thrive,” President Anderson said in a statement to The Vanguard. “From now until April 1, Hochul, the Assembly, and the New York State Senate to finalize the budget ahead of the April 1 deadline, though discussions can and have gone well beyond that, as last year’s budget was not passed until May 2.” Leroy added that the BC administration plans on soon having conversations across the campus regarding the budget and its impact on students and staff. “This is an opportunity for the Brooklyn College community to come together to advocate for the full funding of CUNY’s request,” Leroy said. JOIN THE VANGUARD! From covering the latest campus demonstrations to profiling the most interesting creatives a reporter can find, you’ll have plenty of topics you could cover at The Vanguard. Email us firstname.lastname@example.org. TEDxCUNY Returns to Present “UNRAVEL” By Kate Dempsey Editor-in-Chief As students go about their hectic college lives, it may seem that the world is a chaotic web full of knots holding it together. To help students untangle that web and showcase the groundbreaking ideas from the CUNY community, TEDxCUNY will return to the stage to present “UNRAVEL” to be held on Wednesday, April 12 at the Gerald W. Lynch Theater at John Jay College. Debuting in 2013, TEDxCUNY has held a yearly conference to create a platform for sharing ideas from the CUNY community and to advocate for inclusivity. Falling under the umbrella of TEDx talks, the creation of TEDxCUNY as an independently organized conference enables CUNY to have its personalized spotlight on ideas. “CUNY campuses are doing such amazing work, and doing such amazing things and they deserve to be spotlighted on the Ted stage,” Emily Madray, a lead organizer for TEDxCUNY told The Vanguard. “Oftentimes, TEDx talks can be geared towards specific demographics, but we know that CUNY, as diverse and as large as it is, has some amazing ideas happening on our campus and so we wanted to spotlight those people.” In years past, themes of the conference have included “Who We Are” (2023), which examined individual identity and how we shape ourselves, “Borders and Belonging” (2015), which examined what divides people and places and ways to challenge those borders, and “Wild Card” (2018), that looked to challenge the status quo by being unpredictable. For the organizers of this year’s conference, the aim of “UNRAVEL” is to make complex topics simple, allowing for a greater understanding of our reality. “Our world is composed of our individual differences and our collective experiences and sometimes they’re joined together in a way that can seem really, really complicated. And sometimes, with complexity people surrender and give up instead of trying to grasp them. So instead of surrendering, understanding our world really forces us to confront the knots that are in our everyday existence and detangle our reality,” Madray said. Aside from following guidelines from TED, independently organized TEDx talks have the freedom to choose their topics and which speakers present. The team at TEDxCUNY keeps an eye out for someone who is passionate and doing something new, whether that be in the humanities, arts, technology, or other fields. While it is not required that a speaker is an alumni, professor, or student, they need to be pertinent to the CUNY community. BC students can take full advantage of this year’s conference through VIP seating by the Undergraduate Student Government’s (USG) sponsorship of the conference. “Our agreement to sponsor TEDxCUNY was that Brooklyn College students would get benefits like VIP seating and meeting the speakers to encourage students to show out and make the most of the event,” Dylan Karlowski, Events Director for USG, told The Vanguard. As a CUNY student-led team at TEDxCUNY, it is important that whoever they pick for their team shares their passion for TEDx talks. “Our world is composed of our individual differences and our collective experiences and sometimes they’re joined together in a way that can seem really, really complicated.” While their schedules may be busy putting on the conference, they are excited knowing they are putting on something they love to do. “It gets easier since we all love TEDx so much and it becomes such a big part of our lives that we are very eager to wait for these meetings and wait to work together to build this conference,” Saanavi Goyal, a lead organizer of TEDxCUNY, told The Vanguard. “It’s a great opportunity for everyone to come and join us on this day of idea sharing.” Interested CUNY students can attend “UNRAVEL” for free at https://www.eventbrite.com/e/tedx-cuny-2024-unravel-tickets-782207703297?aff=oddtdtcreator BC Welcomes New Museum and Cultural Organizations Minor By T’Neil Gooden Features Editor Brooklyn College is making history by offering an exclusive new Museum and Cultural Organizations minor. This new minor exposes students to cultural management, practice, education, and discovery within museums and other cultural organizations. Topics from all different disciplines will be brought into the minor, exemplifying the many different avenues that could be focused on within museum and cultural organizations. Some topics of interest are business, marketing, cultural development, finance, education, and public engagement. These subjects allow students to be well-versed in curating without focusing on curation itself. “We wanted to make it clear that this minor is more than just museums, but it is still focused on cultural organizations, such as non-profits, community groups, and organizations working within the community, for the community,” Kelly Britt, associate professor of anthropology and coordinator of the minor, told The Vanguard. There are only three requirements for this minor: an anthropology class, an art class, and an out-of-classroom experience through an internship at a museum or cultural organization. “The point was not only to give students the classroom experience but to give them an applied in-person experience with these museums and cultural organizational spaces,” Britt expressed. “Since these are introductory classes many students already have them allowing the minor to be only 12-15 credits.” Britt expressed that this minor had been in the works since 2018. However, the pandemic prevented the minor from being enacted until last year when they were able to finalize and introduce the minor to BC students. “This minor is a stepping stone for a lot of students, they can expand that career umbrella without taking on the stress and workload of doing another major,” Britt said. The newly introduced minor is not only a first at BC, but a first for the larger CUNY system. Anthropology, Art, Art History, and History departments from the Museum and Cultural minor, no other CUNY system that has a minor, at least as of last year, that is focused on museum and cultural organizations,” Britt said. This minor is meant to open students to all the career paths that are available within the fields of museums and cultural organizations. Students can be exposed to classes at the graduate school level due to Brooklyn College’s exclusive new minor. For inquiries about the Museum and Cultural minor, students can reach out to Professor Kelly Britt at her email email@example.com and check out their Instagram page @bcmuseumminor. Reviving the Brooklyn Zine Scene: BC’s Own Zine Archive By Amira Turner Arts Editor Despite being a campus hotspot, many Brooklyn College students aren’t aware that books and computers aren’t the only resources the library offers. Just around the corner from the reference desk and tucked behind the printer station, is Brooklyn College’s very own zine collection. Zines are independently published self-circulated magazines that were first published by science fiction writers in the 1930s. Zines gained popularity in the New York punk scene among marginalized groups including feminists, people of color, and queer people in the 1980s. These groups particularly benefited from zines, because zines have historically been an art form with low barriers to entry, and are an accessible means of spreading information. With the Brooklyn Museum’s recent “Copy Machine Manifest: Artists Who Make Zines” exhibit, zines are making a comeback in New York City. BC’s own Zine Collection was started in 2009 by former BC librarian, Alycia Sellie. The collection archives zines that vary in size and format, as well as featuring zines on everything, from starting your underground zine press to the history of zines, as well as including a range of topics from art to film to gender. Since Sellie’s departure, upkeep for the Zine Collection has declined due to staffing shortages, according to reference librarian Mariana Regalado. “We’re very low on staff to do the cataloging and things like that. So it’s a very non-active collection,” Regalado told The Vanguard. Despite being potentially unable to accept new submissions or keep up the archive, the staff at the library still encourages students to be inspired by zines. “It’s a great way for students to get into writing and reading and also just connecting with people with similar interests,” Regalado said. Zines are known for their low barrier to entry, as most just require a printer, paper, and an idea. Even though the library isn’t accepting open submissions, they are always looking to archive zines related to the BC community. “If students make zines about the college, that’s the kind of things that archives would be interested in […] if a student club made a zine about their school,” Regalado said. For students interested in viewing other zine archives around the city, the Brooklyn Museum, SUNY New Paltz, and the New York Public Library have collections open to the public. To learn more about BC’s own zine collection, visit https://guides.brooklyn.cuny.edu/zines or email firstname.lastname@example.org. Humming floats across vaulted stone ceilings as men in long robes saunter between archways. A chill weaves its way through the courtyard, carrying itself with grace throughout a day spent in silence. Perhaps the chirp of a sparrow may echo, the shuffling of feet across stone drowned out by a flowing fountain across the hall. The Met Cloisters, an enclave of nature amidst the sprawling city landscape of Manhattan, provide a quiet retreat from the constant buzz of our world while simultaneously immersing us in history. History professor Lauren Mancia spearheaded a series of conversations at the Cloisters, the most recent of which took place this past Friday, Feb. 2. Specializing in medieval Christian devotional practices and monasticism, the cornerstone of her research aimed to investigate the lived realities and experiences of historical subjects. The museum itself sits atop a hill as the guests follow winding paths through a forested landscape. The first portion of the experience required immersing the guests into the life of a monk. Students were greeted by the architecture of the chapter house from a French monastery founded in 1115 and eventually sold and brought to New York in 1932. This tended to be the daily meeting place, in which monks and nuns would sit on benches around the walls, and guests were seated in such a fashion. To take part in the immersion, guests would relinquish their phones, placing them into a basket as they uttered the words, “I long to be emptied of myself.” Such would have been the ascetic life of monks hundreds of years prior. Guests were also instructed to remove anything that they felt distracting or tempted to remove their focus from what was to soon be a period of silence and reflection. Passed around the room were sachets of smelling salts, scents meant to engulf the guests in the activity. The goal of such an act, as emphasized by Mancia, was to explore how she could relay information to students but also other scholars through performance art. “What I find valuable is the way that this practice ignites the audience and transforms us from spectators to active, vulnerable witnesses,” she told The Vanguard. Guests were handed booklets with a variety of tasks and readings from scriptures that monks would focus on. Once the twenty-minute period of silence began, guests were instructed to focus on the provisions in the booklet and walk around the cloisters in complete silence, refusing to succumb to distractions. Some guests gravitated towards the space of the church, others towards seating arrangements around the cloisters. Once the period was over, guests were gathered back into the chapter house, awaiting reflections and discussions on their experiences. For such an individual activity, it was difficult not to feel as if it was a communal experience. “Professor Mancia’s solitary meditation exercise was a great introduction to the ascetic aspect of Medieval monasticism,” reflected BC student Caren Ghali. “For twenty minutes, one could truly experience how difficult it was for medieval monks to tune out the world around them and tune into the divine.” Historians and scholars have chosen to portray historical narratives and make such claims through detached readings of sources of the past. This experience was a shift in how one might experience and tell such histories. “We make ourselves immune to the effect of ‘doing,’” Mancia stated. The trip taught students that they may learn through disembodied readings of history, especially when one may fall into the trap of projecting modern ideals and expectations onto historical subjects so far removed from us through time. Through such performance art, they can catch a glimpse into what the actual lived experience was for both the individual and the collective. The world of the past often seems distant from the cultures and lives of those who are different. The goal of experiencing medieval monasticism is to provide a glimpse into understanding others, breaking down the barriers of reluctance towards other cultures and lifestyles, and jumping in with both feet into the acceptance of humanity as a whole, rather than divided. Is Being Delulu The Solulu? The Double-Edged Fantasy of Delusions By Rami Mansi Opinions Editor Every generation tends to take ideas from the older generations and reinvent them in their image. In the case of having confidence, we’ve turned away from the simple “fake it til you make it” to the idea of being delusional. Delusional is defined as “a false belief or judgment about external reality,” in other words, being delusional results in a distorted view of the world around you. However, in casual Gen Z fashion, we’ve reinvented that negative word into something that has more light-hearted implications. Being delusional now is thinking your crush will text you back after being delivered for 12 hours, thinking you’re gonna get the job even though you have extreme self-doubt, and even just reaching out towards your goal not knowing if you’ll accomplish it. Now with this newfound form of distortion, the negatives might outweigh the positives if you expect being delusional will work in the long run. Being delusional has been the driving force for Gen Z and, albeit motivational and self-controlled, it’s the double-edged fantasy that plays on ignorance. A common denominator of being delusional is the use of fake scenarios, a daydream-like space where you imagine the life you wish to create. People always daydream about their future, but when you imagine your fake scenarios as if it’s a day-to-day hobby, that’s when you become delusional. Being delusional and having these fantasies started with positive energy to manifest your future through having a goal. However, done in excess, the once lighthearted trend and attitude towards your goals have turned into something companies have begun to capitalize on. This is where we see being delusional take a turn for the worse and start to do more harm than good. Within the past few months, AI technology has been used to bring fantasies to life. Having access to that type of free reign lets companies capitalize on the distorted views of people. When you have dreams and a need to visualize them combined with a seemingly perfect AI generator with a small paywall to get over, the sky seems to be your limit. With the idea of making a mood board, using AI as your virtual mood board is not the healthy way to go about bringing your dreams to life. It’s worrisome to imagine that people’s imaginations will gutter to simple tech when it could be brought out by using one’s creativity to muster up enough energy for truly living out those fantasies. Yet, the ignorance that protrudes when being delusional is a cause for worry among young people especially in today’s day and age, being ignorant is a dangerous trait to possess. Being delusional has thrown a protective blanket over current issues with more gravity and consequences. By allowing actions to reflect a closed viewpoint and dismissing problems just because you aren’t involved, you allow your delusion to become ignorance. To move out into the world and progress as a society, we need to be aware of our problems and try our best to fix them as a whole. Ignoring the problems due to self-righteous delusion doesn’t fix any of our mainstream difficulties. If we want to love the world we’re in, we can’t stay hidden under the protective blanket that is our thoughts. With all that being said, if you choose to stay delusional through ironic jokes or lighthearted goal-seeking, by all means, do as you please. I even implore you to try. But remember that anything done in excess is toxic, no matter if it only stays in your head. Maybe being delulu is the solulu for many personal issues we face, yet we cannot let our fantasies take over. Live out your fantasy, but stay true to the facts and stay aware. A bright screen evoking different emotions with every swipe provides a new kind of high that could become deadly. Social media platforms like TikTok are slowly deteriorating our brains. Gone are the days when individuals could sit down and watch a movie, fully attentive without getting bored. Everything around us is adapting to the ever-shortening attention span. Movies are cutting to dramatic scenes without ease and flow because of the fear of viewers losing concentration. Meaningful information is getting harder to access as useless content floods the internet. Our attention spans are getting so bad that even influencers who make their living posting addicting content are complaining. Social media influencer, @Candacce on TikTok told Distractify that her comment section, after posting a 2–3 minute video on TikTok, is full of individuals telling her to ‘get to the point’ and saying that they wasted their time. People used to be able to sit through 10–20 minute videos on Youtube, and now watching a one minute video makes people squirm in their seats. There is a whole subgenre on TikTok where there will be a split screen of subway surfers playing on the bottom with a clip from a movie or show playing on top just to keep people’s attention. Due to shortened attention spans, social media platforms like Instagram, YouTube, and Snapchat have now added a video swiping feature where videos one minute or less can be posted. But is it too late? Not many people will want to band together to make longer videos. In the age of clout and social media, people are making more money posting 60 second videos than working a nine to five. So why would they? We, as a society, are always trying to find new ways to get things done faster: Microwaves can cook a hot meal in just 60 seconds, Paying for anything can be done with just the tap of our phones, we can buy something online the night before and have it arrive the next morning. Contacting friends and family has never been easier with just a text; any message can be sent in seconds. The impact of these inventions is undeniable, however. We are supposed to be improving as a civilization, but there is a point when fast gets too fast. Can we fix this? Yes, and no. Everything in the world is getting faster, and it’s up to you to decide to slow down. Every generation has its addiction to technology, and although ours might be furthering technological advancement, the short scrolling keeps us in a trance doing nothing. ACROSS 3. Name of the current Brooklyn College president 4. Last name of a 2016 and 2020 US presidential candidate that went to Brooklyn College 6. Last name of the person the auditorium in the library is named after 7. What Brooklyn College and Baruch College have in common 9. What Brooklyn College is #1 at, According to US News 11. The stop after Brooklyn College on the Q train 13. What you might go over on the first day of classes (plural) 18. Acronym for the “red barn” where film classes are held 19. Our mascot 20. The dept. the journalism major falls under 21. Club that organizes movie nights, among many other things 22. Nickname for the neighborhood above Brooklyn College 23. The language our motto is written in 24. One of three train options to help me get to Brooklyn College 26. The first word in a famous broadway play…or the first word in the name of a taco truck that’s on campus a couple times a week DOWN 1. County where Brooklyn College is located 2. Avenue that Brooklyn College is located on 5. What the Brooklyn College campus has 35 of 8. Program/major at Brooklyn College named favorably by the Hollywood Reporter 10. The last name of two US presidents…or the Brooklyn College building that contains the office of disabilities and the BC Vanguard 12. The New York state motto…or a Brooklyn College newspaper that ceased to exist in 2019 14. What approximately 60% of CUNY professors are 15. What I might use to help me graduate from Brooklyn College 16. Brooklyn College’s radio station 17. Building where the cafeteria is located 25. Slang for mediocre Answer Key can be found on our website! BC Winter Sports Recap MEN’S BASKETBALL TEAM LOOKING TO END THE SEASON STRONG By Sean Markisic Sports Editor The men’s basketball team is currently at a 4-17 record as they look to win more games. The four wins were against CUNYAC teams, and even though the Bulldogs have four wins against their conference, they have dropped four straight games against their conference. Over the past two weeks, the Bulldogs have scored an average of 60 points while allowing their opponents to score 79 points. A key player for the Bulldogs has been junior Malik Dale, who is averaging 8.5 and 1.8 rebounds and has hit multiple game-changing shots this season. The Bulldogs score at all three levels from Dale Aaron Davis, and Serge Thyrsbule, but the defense hasn’t been able to stop the opposing team’s offense. To close out the regular season, the Bulldogs have a stretch of four games against all CUNY teams, leaving some time left to work on their defensive strategy. The team on the whole still has a lot of potential as they head towards the last few games of the season. WOMEN’S BASKETBALL TEAM ROLLING AT THE RIGHT TIME By Sean Markisic Sports Editor The women’s basketball teams continue to impress as they continue to dominate the court this season and as they head into the playoffs. Currently holding a 13-7 record, with an 8-2 record against CUNY competition, it looks like they are ready to win the championship. Over the winter break, the women’s team won against a great deal of CUNY competitions, including Baruch, Lehman, City College and Medgar Evers college. Having wins like that shows that this team is able to defeat the competition continuously. The players on the team shoot a ton of threes as they play their best basketball of the season on record with the CUNYAC championship right around the corner. Some notable key players that have gotten the Bulldogs ahead include Sarah James and Ericka James as well as Destiny Drummond and Aleah Rafat. These four players have been critical in leading this season, and always wind ways to show up for the team when they need them most. Head coach Megan Campbell has put a great deal of trust in her players to find ways to turn things around on their own when they are down points. This team has a championship level foundation that has resulted in a ton of wins and success for the team, showing that they are ready to take home the championship trophy.
Animations in Science Education Göran Karlsson IT University of Gothenburg, Sweden Jonas Ivarsson University of Gothenburg, Sweden ABSTRACT The overall aim of this chapter is to explore some of the pedagogical potentials, as well as limitations, of animations displaying complex biochemical processes. As the first part of our larger research project, a learning environment was developed where visualisations by means of 3-D animations depicted some of the processes in the carbon cycle. In the analysis, we describe how three groups of students made use of and reasoned about the computer animations. In relation to the aim, three salient themes are discernible in the video material of the students’ reasoning: the risk of focusing the attention on misleading aspects of the animation, the possible occurrence of a form of isolated reasoning, and the students’ varying understandings of what resources they are expected to use when performing a given task. INTRODUCTION One of the grand themes of educational research in general and science education in particular is the notion of misconceptions. Students’ misconceptions of various scientific principles are recurrent topics in numerous studies, for instance, in physics (Brown, 1992; Jones, 1991), biology (Brown, 1990; Odom, 1995), and chemistry (Goh, 1993; Nicoll, 2001; Sanger & Greenbowe, 1999). The means to meet the educational challenges spelled out by educators and educational researchers has obviously varied, but throughout the 20th century, the use of technological innovations has been an increasingly frequent strategy (Petraglia, 1998a, 1998b). For higher biology and medical education, several digital applications have been developed. Camp, Cameron, and Robb (1998) created virtual 3-D simulations enabling medical students to examine anatomic models, and Karr and Brady (2000) describe interactive 3-D technologies for teaching biology. Virtual learning environments for primary school (Mikropouls, Katsikis, Nikolou, & Tsakalis, 2003) and high school (Kameas, Mikropoulos, Katsikis, & Pintelas, 2000) have been developed and, in some respect, been tested out and evaluated. Given all the time and effort invested in these matters, however, positive and stable results from the use of educational technologies are remarkably few. To underscore this observation, we would like to point to a claim by Euler and Müller (1999) who hold that, within the area of physics education, the technology known as probeware is the only computer-based learning environment that has a proven general positive learning effect. Adding to the picture that the area of physics education is intensely studied renders Euler and Müller’s remark even more conspicuous. Thus, as a general pattern, students seem to be invariably immune to any simple technological treatments; despite whatever new technologies we introduce into our educational systems, learning continues to be a struggle for educators and students alike. In spite of this rather gloomy outlook, ever-new items are added to the list of possible remedies of educational dilemmas and student difficulties. One item on this list and the topic of the current chapter is the use of animations as educational resources. Our specific field of investigation concerns secondary school science education, and the aim is to analyse the reasoning students perform when working with animated sequences of the carbon cycle. THE CARBON CYCLE AS A TOPIC FOR EDUCATION One of the main topics in curricula for primary and secondary schools for education of natural science is the carbon cycle and its vital importance for conditions concerning life on earth. Studies of the two main processes in the carbon cycle, photosynthesis (Barak, Sheva, & Gorodetsky, 1999; Cañal, 1999; Eisen & Stavy, 1993) and respiration (Sanders, 1993; Seymour & Longden, 1991; Songer & Mintzes, 1994) report that students’ knowledge of these gaseous processes is poorly understood and that misconceptions are frequent. In consideration of the utilisation of fossil fuel and the ensuing global warming, combustion is another process in the carbon cycle deemed increasingly important. This process is chemically equal to the respiration with the exception that it is not a cellular process. A major problem with the conceptualisation of the processes in the carbon cycle is that they involve gaseous forms that are not directly observable and therefore have to be grasped through some representational system. The traditional textbooks most often illustrate the carbon cycle in pictures furnished with arrows describing the course of the circulating material. Given an educational framing, one could conclude that there should be potential gains from developing educational material that builds on more dynamic forms of representations, for example, computer animations. From a research perspective, however, this still remains an open question. Before turning to the specific but still problematic question concerning the animation of the carbon cycle, we will briefly discuss recent work done on the use of different animations in education. COMPUTER ANIMATIONS IN EDUCATION The scientific results emanating from research exploring the educational value of animated graphics, as compared to the use of its static counterparts, are hitherto inconsistent. The research results so far display a complex and confusing array of outcomes in different educational settings. From an initial euphoria over the vast educational possibilities associated with multimedia technologies, a more composed picture is now emerging. However, the expectations of multimedia in educational settings, although somewhat moderated, still exist and they call for further research in the area. Based on a series of studies, Mayer (1997) argues to have found consistent support for a generative theory of multimedia learning, and offers the explanation that coordinated presentation of explanatory words and pictures is effective because it helps guide students’ cognitive processes. In addition, he demonstrates what he calls a contiguity effect when visual and verbal information is presented closely together. For the prospects of computer-based learning, he concludes: ‘In computer-based multimedia learning environments students have the opportunity to work easily with both visual and verbal representations of complex systems, but in order to fruitfully develop these potential educational opportunities, research is needed in how people learn with multimedia’ (p. 17). Most investigations comparing the learning outcomes of students’ work with animated vs. static pictures, however, have not been able to show any enhanced learning efficacy brought by the animations. The results rather indicate the contrary. In a comprehensive research review, Tversky, Morrison, and Betrancourt (2002) could not find evidence supporting the view that animations are superior to the use of static graphics in education. Lowe (1999, 2003) suggests that merely providing an accurate animated depiction of the to-be-learned material may not in itself be sufficient to produce the desired outcome. In his studies of how meteorological novices worked with animated weather maps, the extraction of information appeared to be largely driven by perceptual characteristics of the display. Students unfamiliar with the depicted subject matter tended to extract information about components of the animation with characteristics such as structural coherence, distinctive appearance, and dynamic change more readily than they extracted information about components lacking these qualities. Retention also seemed more likely for those aspects of the dynamic graphics that were relatively easy to extract. This extraction and retention of the most perceptual salient characteristics of animations, irrespective of their relevance with regard to the intended subject matter, is something one has to take into account when designing educational animations. Lowe (2003) also concludes that the problem appeared to stem from lack of explicit information about the relative importance of various aspects of the animation, and he conjectures that students could be helped by providing the learning environment with specific visual and temporal guidance. Consequently, he proposes that further research is needed to determine if these findings can be generalised and how the animations might be manipulated in order to modulate the way in which students’ attention is distributed between features that differ in their intrinsic perceptibility. Mayer, Hegarty, Mayer, and Campbell (2005) made four experiments comparing the learning outcomes of the use of computer-based animations and narration versus paper-based static diagrams and text. Based on these experiments, the authors argue that static presentations containing illustrations and printed text can be superior to dynamic presentations containing narrated animation. Their reasoning is further given a theoretical framing, from within which static media is seen as having the advantage of engaging people in less extraneous cognitive processing. By that line of reasoning, one is therefore able to engage in deeper cognitive processing when learning from static illustrations and text, as compared to dynamic animations and commentaries. On the other hand, Mayer et al. (2005) remark that their study should not be interpreted as if animations are ineffective in all situations. For example, animations are said to improve understanding for learners with limitations in spatial ability or when they are used to visualise processes that are not visible in the real world. When comparing individual and collaborative learning with interactive animated pictures vs. static ones, Schnotz, Böckheler, and Grzondziel (1999) found that animated pictures could result in better learning about dynamic subjects for individual learners but lead to lower learning results in collaborative learning. They attribute their results to the effect that collaborative learners have to devote a substantial proportion of their cognitive processing capacity to both operating the visual presentation and coordinating their learning activity with those of their partner. In accordance with this view, learners working collaboratively would have less cognitive resources available for processing the learning content. However, conflicting results are presented by Rebetez, Sangin, Bétrancourt, and Dillenbourg (2005) who demonstrate a positive effect of animated graphics over static ones for students learning in pairs compared to individual learners. These authors interpret their results by the underwhelming effect described by Lowe (2003): participants working on their own were less active because they simply had to attend to the animation and not to build a shared representation of the animation with a partner leading to the illusion of comprehension. In summary, both the referred studies explored computer animations and compared students working individually to students working in pairs, but they come to contradicting conclusions. One possible explanation is that the learning conditions were quite different in the two studies. For example, Schnotz et al. (1999) used interactive animated pictures while the participants in the study by Rebetez et al. (2005) had no control over the presentation. In relation to this, we hold that there is a need to consider the educational setting, in which animations are used for understanding the learning outcome. Under the auspices of cognitive load theory, another factor thought influencing the learning outcome when using animations is the students’ learning prerequisites. Animated pictures are regarded as having a facilitating function insofar as they allow an external simulation process that makes an alleged corresponding mental simulation less demanding (Schnotz & Rasch, 2005). Accordingly, this is seen as beneficial for learners who would not be able to perform this operation without external support but, on the other hand, as harmful to learners who could perform the mental simulation on their own. In the latter case, the authors argue that the animation reduces the cognitive load but also reduces germane load that is necessary for learning. Schnotz and Rasch conclude that, ‘The use of animation in multimedia learning environments seems to be beneficial only under some circumstances, whereas it can have negative effects under other circumstances’ (p. 57). What advantages can an interactive computer animation entail in comparison with, for example, viewing a film illustrating the same process? By breaking down an animated presentation into short segments, Mayer (2001) showed that students who were able to control the presentation pace—by clicking on a button to receive each of the segments—performed better on transfer tests than did students who viewed the entire presentation as a continuous unit. Thus, it seems as if this form of interactivity can help overcome some of the difficulties of perception and comprehension associated with animations. As argued by Tversky et al. (2002), simply enabling the starting, stopping, and replaying of an animation will allow for re-inspection and facilitates the user to focus on specific parts and events. The interest for computer games is considerable among the youth today, and many students are therefore familiar with virtual environments of this kind. Among educators, there have been recurring attempts to buy one’s way into the success of the gaming industry by adopting part of its format. One example is the Viten project which has its roots in WISE (developed by the WISE-project at the University of California, Berkeley and available at http://wise.berkeley.edu). Like WISE, the Viten project is free and open software (available at http://viten.no), enabling science teachers to use Web-based science curriculum materials. It presents programs combining text, simulations, and animations in topics of science and mathematics. In the most popular Viten program, Radioactivity, the interactive animations and other features are described to contribute to student learning by making the ‘invisible’ visible (Mork, 2005). When summarising students’ positive comments, Mork (2005) identifies a number of categories which are thought to provide some general insights about what is appreciated in a teaching sequence, that is: using computers, variation, informative materials, working together, and student control. On the one hand, these are key words to have in mind when planning any teaching sequence or when developing new learning materials. On the other hand, they are also very general descriptions, too abstract in order to provide any substantial insights, and every such term must therefore be disambiguated and given a specific content on every new occasion and in every new educational design (Lindwall & Ivarsson, 2004, in press). AIM OF THE STUDY So far, studies of the educational use of animations have mainly been concentrating on the learning outcomes in quantitative terms. In this study, we analyse the reasoning and interaction taking place when groups of students collaborate in connection to a set of animations. Interaction analyses of knowledge building in small groups is an emerging and important methodology in the area of computer supported collaborative learning (CSCL) (Stahl, 2006). Arguably, the better we understand the students’ collaborative reasoning on a given topic, the better we can design specialist computer support and the surrounding learning environment in which this support is intended to serve. Evaluating new educational setups also raises the problem of how technology interacts with the students’ emerging conceptualisations. By analysing the students’ interaction and talk, we aspire to gain insights into their interpretations of the depicted phenomena. The overall aim of this study is to explore some of the pedagogical potentials, as well as limitations, of animations displaying complex biochemical processes. As the first part of our larger research project, a learning environment was developed where visualisations by means of animations depicted some of the processes in the carbon cycle. APPLICATION DESIGN The background and motive of developing a sequence of computer animations can be found in the educational situation of the specific subject matter: the carbon cycle. As already alluded to, the teaching of this topic could, as seen from the science teacher point of view, potentially benefit from having an educational material that builds on dynamic forms of representations. The intention in forming the design was to make the illustrations in the graphics as concrete as possible and to concentrate on just one event in every sequence. Software for the production of 3-D animations was used for the development of the pedagogical application (available at http://www.ituniv.se/~gorkar/). The index page in Figure 1 contains a text describing the main outlines of the carbon atom cycle. To the left, there is a menu with links to the different pages in the application. At the bottom, there is a row of clickable miniatures that links to the different animations. The pages describe the different processes of photosynthesis, breathing, combustion, and mouldering. Each page has an explanatory text which was kept as concise as possible so as not to be considered too tiresome to be read by the students. Underneath the captions, there is a miniature image linking to the animations. The program allows for some limited interactivity as the students can start and stop the animated sequences. Figure 1. The index page from where you navigate among the animations of the processes in the carbon atom cycle Photosynthesis is illustrated in three animated sequences. The three sequences in various ways illustrate carbon dioxide molecules diffusing into the leaves of a tree, the building up of the foliage, and oxygen molecules emitting from the leaves. Breathing is illustrated by the human lungs in section. The animation shows how oxygen, which is taken in through the respiratory passages, is exchanged for carbon dioxide that is exhaled. Since the breathing is an active process, the animation gives a reasonably correct picture of the actual process. However, the cellular respiratory process and gas transportation with the blood are not shown in the animation. Furthermore, the animation displays the inhalation air by means of only oxygen molecules, and similarly, only the carbon dioxides are represented in the exhalation air. In reality, there is a mix of gases in both the inhalation and exhalation air where oxygen and carbon dioxide constitute a minor part and where only the proportion of these gases differs. Thus, the animation constitutes a considerable simplification of the real events. Mouldering and combustion are illustrated by a mouldering log and a log fire, respectively. The wood is used for making the connection easier between the photosynthesising tree and the mouldering or burning tree. In the animation of both mouldering and combustion, one will see oxygen molecules coming in from the side and carbon dioxide molecules leaving the log and the log fire respectively in an upward direction. Again, this is a simplified and schematic illustration of indiscernible and passive gas exchanges, and it does not show the actual processes occurring inside the wood. In conclusion, common to all animations is that they focus on the movements of the gaseous molecules oxygen ($O_2$) and carbon dioxide ($CO_2$) in the different depicted processes. It should be noted that, as the animations are designed to emphasise these relations, this form of highlighting (Goodwin, 1994) simultaneously runs the risk of concealing other important molecular reactions. The relation between possible advantages and drawbacks connected to the use of this form of representation constitutes a major part of the empirical study, and it is this issue that we will address in the analysis. To gain an understanding of how the students interpreted their tasks and reasoned about the animations, three groups were randomly selected and videotaped during the entire session. The analysis builds on the work of these three groups. This analysis of the students’ interaction with each other and with the technology draws on an analytic tradition which Jordan and Henderson (1995) summarise under the label interaction analysis. Like the authors, we find this interdisciplinary method for the empirical investigation of human activity particularly helpful in complex, multi-actor, technology-mediated work settings and learning environments. Through the detailed analysis of videotaped material, this method tries to describe the ways participants orchestrate both communicative and material resources when performing any given task (Ivarsson, 2004). RESEARCH DESIGN A total of 40 students attending a science course in a Swedish secondary school took part in the study. The 16 girls and 24 boys were grouped into dyads or triads, totalling 19 groups, thus allowing peer discussions and engaging the students in reflection and comparing their different views with each other. The study was conducted during a one and a half hour study session for each group. Before starting their exploration of the animations, the students were given a short instruction about how to manage and navigate within the learning environment. There was no tutorial introduction of the topic, but the students had the opportunity to consult their teacher during the learning session. The students also got an explanation of what a model of a phenomenon means. It was stressed that when using simulations as models for real phenomena, the students must not mistake a simulation for the actual phenomena (cf. Flick & Bell, 2000). For about 20 minutes, the students worked with the animations. During this time, they were given the task of writing down what they saw happening in the different sequences. After that, while still having access to the animations, they were assigned to discuss and jointly give answers to two problems concerning the carbon cycle. RESULTS In relation to the aim of understanding the pedagogical workings of the specific animations displaying complex biochemical processes, three salient themes are discernible in the video material of the students reasoning. The first concerns the risk of focusing the attention on misleading aspects of the animation, a problem in some respect related to the design of the technology. A second problem observed is the possible occurrence of a form of isolated reasoning, seemingly connected to the simplified nature of the representations. The last observed problem is the students’ varying understanding of what resources they are expected to use when performing a given task. Misguided Attention As the animations are mere models of unobservable molecular processes, the interpretations of these representations can result in several misleading inferences. One example of such a misleading feature of the animation, not really belonging to the model, is observable in an excerpt where three students are watching the animation of gaseous exchange by a photosynthesising tree. Veronica: now you see what is happening, what happens Henric: ok, carbon dioxide molecule gets stuck, in the tree Veronica: in the tree and oxygen, oxygen Henric: oxygen carb-eh-molecule Veronica came out Henric blows away Veronica is asking Henric what happens in the animation. Henric explains what he observes with a mix between scientific designations and everyday expressions like ‘gets stuck, in the tree’ and ‘blows away.’ These specific wordings are later adopted by Veronica, as shown in the next excerpt. Veronica: there we shall write the first picture shows that oxy carbon dioxide or what-ever it’s called gets stuck in the tree and oxy blah-blah, blows away as he said Henric: ok, the tree catches oxygen molecules through blowing or something like that it stays so the oxygen keeps on blowing Veronica remarks that carbon dioxide ‘gets stuck’ and oxygen ‘blows away,’ thereby referring to Henric’s earlier utterance. Henric makes no distinction between the two kinds of molecules and does not comment on the assimilation of carbon dioxide. His remark about ‘blowing or something like that’ could indicate an uncertainty about the blowing as the driving force for the molecules. However, when subsequently asked by the teacher what is shown in the animation, he reiterates and reinforces the narrative about the ‘blowing’ that makes ‘the tree catches oxygen molecules.’ Teacher: yes what is happening here? Henric: yes we only saw oxygen molecules and by means of blowing it gets stuck Veronica: ((clicks at the icon showing the photosynthesis)) look there- what’s coming Teacher: yes look what’s coming here, what is it that gets stuck Henric responds to the teacher’s question by focusing on the perceptual salient feature of the oxygen molecules as moving in one direction. In his words, this ‘blowing’ is the cause that makes the molecules ‘get stuck’ in the leaf. Veronica refers to the carbon dioxide molecules as something that is ‘coming.’ This particular way of talking about the depicted processes is not corrected by the teacher, not in this excerpt nor in the subsequent discussion with the group. Instead the teacher repeats the somewhat misleading characteristics of molecules as ‘coming’ and ‘getting stuck’ and tries to focus the student’s attention on the actual molecules. Isolated Reasoning The animations show only limited parts of the complex biochemical processes occurring inside organic material. This is an inevitable feature of any model. But, the interesting question is whether the limit of scope functions differently with an animation as compared to a static picture. The observations in the next two excerpts do indicate something in that direction. Said: ((reads from the questionnaire)) the following questions you can discuss with a peer and write down which conclusion you have reached, one- we breathe in oxygen and breathe out carbon dioxide, from where do the carbon atoms in the carbon dioxide that we breathe out come from (3 s) uhm yeah we breathe in oxygen and like from where do the carbon atoms in carbon dioxide that we breath out come from Kevin: yeah that’s you know from pollution Said: carb- carb- the carbon atoms Kevin: isn’t it from pollution from the car and things Said: no I don’t know Kevin: ’cause we don’t breathe in 100% oxygen Said: then from where come the carbon atoms in the carbon dioxide that we breathe out hmm (6 s) yea then isn’t it so that when we breathe in then we like take when we breathe out then it becomes carbon dioxide it means that (2 s) it has to come from our lungs then Kevin: yes Said: where they sort of are cleaned or some cycle in our lungs like Kevin: from where do they come, are they from, we don’t breathe in 100 % oxygen do you understand what I mean? Said: yes ((watching the animation showing breathing)) Kevin: then (2 s) they probably come from (3 s) exhaust pipes from cars and such Said: I think so too The animated sequence that the students have recently watched is making visible the processes of inhalation and exhalation and thereby focuses on the two different gases (oxygen and carbon dioxide). Similarly, the dialogue between the two boys takes its starting point from the assumption that the carbon atoms originate from an airborne external source and reach our lungs through the inhalation air. In their discussion, they stick to this rationale and endeavour to conceive of a source emitting carbon atoms into the air. As we can observe, their discussion is completely concentrated on a circulation of the carbon atoms inside the lungs. In one sense, this is an adequate way of reasoning, since the animation of the breathing is only visualising the gas exchange in the lungs. Presumably, they did not read the caption explaining the metabolism, thereby restricting the external input of their reasoning to the limited view that was given by the animation. The reading of the text was not expressed in their task, and this group did follow the instruction, which was to discuss with a peer what they could observe and thereafter write down their conclusion. In this case, this obviously led them to an erroneous conclusion, which could possibly have been avoided if they had been encouraged to read the text captioning the breathing animation. Another example of this somewhat isolated reasoning, and misleading inferences due to limitations of the animation, is demonstrated in the excerpt. Here, two girls are watching and discussing what happens in the animation illustrating the combustion by a burning log fire. Gloria: oxygen comes in Petra: and out, Gloria: comes carbon dioxide Petra: so oxygen is necessary for the fire to burn and out then just like in the human body when the oxygen is consumed carbon dioxide comes out Gloria: carbon dioxide comes out Petra: does that sound probable? Gloria: that sounds very sensible in some way Petra: you know from you were playing with candles when you were little when you put a glass over it takes a while before it goes out Gloria: yeah (7 s) Petra: but to make something burn you have to have some material that can burn Petra: but that’s what you- that would be the oxygen then Gloria: yes. in principle In the beginning of this discussion, Petra displays a very knowledgeable reasoning about the requirement for oxygen in the combustion, referring to the experience of putting a glass over a candle. She then remarks on the necessity of having some burning material. Gloria suggests that this would be oxygen, whereupon Petra agrees with her. Coming to the erroneous conclusion that oxygen is the burning material can be a quite understandable consequence if only watching the animation. Here the oxygen molecules can be seen moving into the log fire and the carbon dioxide molecules leaving, whereas the firewood remains unaltered. Consequently, the animation offers no way of discerning the chemical process actually taking place during combustion. The animations, as mentioned, focus on specific relations in the biochemical processes, and they thereby necessarily downplay, or hide, other potentially relevant aspects. Here we have two examples where this seems to become a pedagogical problem. The fact that something very specific is highlighted by the animation could also imply that one has a harder time breaking out of that offered frame. In this way, the learning environment invites to way of reasoning that, at times, becomes isolated in relation to the overall topic (for a similar discussion, see Ivarsson, 2003). Conflicting Perspectives The students’ first task was to describe what they could observe in the animations. When analysing the reasoning of the students, this seemingly easy instruction opens into a complex task that holds two conflicting perspectives. In the excerpt, Petra and Gloria are discussing the animation of breathing. ((Petra clicks on Breathing in the menu and both girls read the text about breathing, 29 sec)) \| Petra: \| are we ready? \| \|--------\|---------------\| \| Gloria: \| Yeah \| \| Petra: \| Oxygen \| \| Gloria: \| oxygen you breathe in so you breathe out carbon dioxide \| \| Petra: \| carbon dioxide they transform there \| \| Gloria: \| they transform in the lungs \| \| Petra: \| it must be \| \| Petra: \| yes \| ((Petra makes notes, 28 sec)) Gloria: but really it’s not like that, that they come in and become carbon dioxide when you breathe out but it’s about oxygen coming in, and going out into the cells Petra: Ah Gloria: and then they take it up Petra: but what you see in the animation Gloria: in the animation it is that then you see that oxygen comes into the lungs and carbon dioxide comes out Petra: (reads aloud the text from the questionnaire) it says explain in your own words what you consider- what you see happening in the different animations Gloria: all right then it’s what you see sort of ((make notes, 9 sec)) Petra: I wrote used up slash transforms Here two conflicting perspectives become apparent. This is about how to explain the breathing process both described in the caption and visualised in the animation. The two girls at first conclude that there is a transformation in the lungs, but then Gloria points out that it actually is a more complex process involving the gas exchange occurring inside the cells. Petra, on the other hand, refers to the written task where they explicitly have to explain what they ‘see happening’ in the animation. Gloria admits that it is what they can observe that they have to report in their notes. These conflicting perspectives between the task (as referred to by the students) and the visualisations are also visible in the excerpt from the triad group. Here Martina, sounding somewhat annoyed over her companions reading of the text, stresses that they have to write down what they ‘see.’ Later on in this group’s discussion, the same tension arises over what their assignment really is about. \| Henric: \| are we going to explain what photosynthesis is? \| \|---------\|-----------------------------------------------\| \| Martina: \| we have to write down what we see \| \| Veronica: \| photosynthesis \| Henric: yea wait there it says ((reads the text about the photosynthesis on the screen)) the plants absorb Martina: in your own words or Henric: what do we have to write down (.) what’s happening? Martina: yea that’s it Henric shows that he is in a quandary over what their assignment is about. Martina emphasises three times the explicit wordings in the questionnaire, specifically what their task is about. When Henric is trying to read the text accompanying the animation, Martina interrupts him and stresses that it should be ‘in your own words.’ For Martina, reading the text obviously implies that they will not be able to describe what they see with their own words. Thus, she clearly regards the use of what is mentioned in the captions to be in conflict with their task. The earlier documented problem, that students tend to focus on perceptually salient features of the animation, could also be observed in our material. In relation to these features, Lowe (2003) found a predisposition by novices to impose simple everyday cause–effect relations on the interpretations of the animations. Examples of this kind, in the excerpts, are the interpretations of molecules as ‘blowing’ into and away from the tree and oxygen being ‘consumed.’ The analyses also show how easily such inferred notions are accepted and taken up by the coparticipants and, more problematically in our case, even by the teacher. So, what kind of guidance would be necessary to overcome this problem then? An instructional text accompanying the animation could be one way of redeeming these issues, but this method offers no guarantee that the text will actually be attended to. Another suggested way of supporting animations has been narration coordinated with the animation (Mayer, 1997). Although Mayer et al. (2005) found no support for the superiority of computer based narrated animations over paper based annotated illustrations, they conclude that their study ‘should not be taken to controvert the value of animation as an instructional aid to learning. Instead, this research suggests that when computer-based animations are used in instruction, learners may need some assistance in how to process these animations’ (p. 246). Obviously, teacher supervision could also provide students with the guidance needed for construing animations in an adequate way. This, however, being the panacea to all educational dilemmas adds nothing new to our further understanding of the use of animations for specific learning purposes. Another theme, worthy of further scrutiny and briefly touched upon in the analysis is the topically isolated reasoning that can be observed in connection to the animations’ superficial depiction of the biochemical processes. In biological terms, respiration takes place inside the cells and the gases are transported to and from the lungs with the blood. In the animation of breathing, however, the gaseous exchange was only illustrated within the lungs, showing oxygen being inhaled and carbon dioxide leaving the lungs. This delimitation of the illustration in some cases leads to erroneous inferences like carbon dioxide being formed in the lungs or originating from an outside airborne source. In the students’ effort to answer the question about the origin of carbon atoms in the exhalation air, they had to turn to resources external to the actual animation. To make the judgement of when to go outside the provided material and when to stick with it is not a trivial task, however. By using the written information in the caption, most students were able to get the correct information. But without this source, they were restricted to either their previous knowledge or to observing the animations. Given this latter scenario, a conclusion such as ‘carbon dioxide reaching the lungs from an external source’ is fully understandable. In addition, we would like to comment on the distinctive situation of solving educational problems. As a general observation, students are often oriented towards the short-term goal of fulfilling a given task by the production of an answer to a specific question. When solving such a task, the students can use varying resources like earlier experiences, texts, instructional graphics, and so on. Here, the conflict over what kind of resources they are expected to use, and how to use them, can be discerned in the students’ argumentation. It is in this process that an explicit formulation of how to perform a given task can be interpreted as excluding other forms of resources. The formulation in the current assignment, ‘explain in your own words what you can see happening in the different animations,’ did in this case lead some students to the conclusion that they, in their written answer, had to disregard their previous knowledge or what they could read in the text captioning the animations. Even though the intention with the question was to make the students draw their own conclusions from the animation and not only copy the text, this formulation in fact created an increased uncertainty of how to proceed. Considering this, it seems very important to pay great attention to the formulation of the assignments that students are going to perform in their work with animations. FINAL REMARKS Any graphical illustration of the complex biochemical processes involved in the carbon cycle will entail simplifications of the real courses of events. As suggested by the observations, perhaps animations, more so than static images, could help create the illusion that a complete process is being illustrated. Regardless of how sophisticated the animation becomes, there will always be grounds for misinterpretations. Prescribed ways of overcoming these drawbacks have been through increased interactivity (Tversky et al., 2002) or activities that generate explanations or answering questions during learning (Mayer et al., 2005). Other ways could be through instructional guidance, either written or narrative. When text and animation are simultaneously presented, the observers’ visual attention has to be split between the animation and the text. In our study, the image presenting the animation was captioned, but as the sequence was started, the text disappeared. Hence, the students had to change between two pages when they wanted access to the written information vs. the animations, something that should be reconsidered given a future redesign. Still, an important issue for the observed students was which of these two media, the animation or the text, were of superior significance when fulfilling their task. Here the formulations of their task sometimes led to the exclusion of the written information and even of their previous understanding of the subject matter at hand. To make the students integrate visual and verbal information, the task has to be formulated in a way that supports the utilisation of all available resources. Finally, the observations of our study merely point out a field of investigation that needs further attention. In our view, animations provide an interesting educational offering, with some pedagogical potential. They do not, however, come without costs. What is suggested by our observations is that in a worst case scenario, the animation will operate as a counteracting force that, instead of supporting knowledge building and working against faulty interpretations, will do the exact opposite and take the role of an antagonist of conceptual development. 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Other people’s children Gillian Thomas Gina Hocking As the publisher of this work, Demos has an open access policy which enables anyone to access our content electronically without charge. We want to encourage the circulation of our work as widely as possible without affecting the ownership of the copyright, which remains with the copyright holder. Users are welcome to download, save, perform or distribute this work electronically or in any other format, including in foreign language translation without written permission subject to the conditions set out in the Demos open access licence which you can read [here](#). Please read and consider the full licence. The following are some of the conditions imposed by the licence: - Demos and the author(s) are credited; - The Demos website address ([www.demos.co.uk](http://www.demos.co.uk)) is published together with a copy of this policy statement in a prominent position; - The text is not altered and is used in full (the use of extracts under existing fair usage rights is not affected by this condition); - The work is not resold; - A copy of the work or link to its use online is sent to the address below for our archive. By downloading publications, you are confirming that you have read and accepted the terms of the Demos open access licence. Copyright Department Demos Elizabeth House 39 York Road London SE1 7NQ United Kingdom [firstname.lastname@example.org](mailto:email@example.com) You are welcome to ask for permission to use this work for purposes other than those covered by the Demos open access licence. Demos gratefully acknowledges the work of Lawrence Lessig and Creative Commons which inspired our approach to copyright. The Demos circulation licence is adapted from the ‘attribution/no derivatives/non-commercial’ version of the Creative Commons licence. To find out more about Creative Commons licences go to [www.creativecommons.org](http://www.creativecommons.org) ## Contents \| Section \| Page \| \|------------------------------------------------------------------------\|------\| \| Acknowledgements \| 7 \| \| 1. Introduction \| 9 \| \| 2. The new childhood \| 17 \| \| 3. Quality of life for children – a new vision \| 37 \| \| 4. How are children doing? \| 43 \| \| 5. Government and governance \| 58 \| \| 6. A children’s decade \| 78 \| \| Appendix \| 106 \| \| Notes \| 109 \| Acknowledgements This publication would not have been possible without the support of the Calouste Gulbenkian Foundation and the Carnegie UK Trust. We thank them, and especially Paul Curno, David Cutler and John Naylor for their support and advice. We are particularly grateful to Holly Crane, now at Accenture, and Tom Bentley for their invaluable contribution to the research process and the final publication. Tessa Baring deserves a special mention for her part in formulating some of the early ideas and bringing together an expert group to advise and take part in seminars. At Demos, our thanks go to Paul Shaw, Katy Redgrave, Andy Ratcliffe and Gemma Rosenblatt for their help during the course of the research, and to those who commented on the draft: Lydia Howland, James Wilsdon, James Walters, Paul Skidmore and Matthew Horne. Thanks also to Eddie Gibb for bringing the report to its final stage. We are indebted to many individuals who contributed to the research through participating in interviews, speaking at seminars and being on hand to offer advice. They include Mary Riddell, Gerison Lansdown, Alan Prout, Peter Wilson, Jabeer Butt, Harry Marsh, David Piachaud, David Robinson, Norman Glass, Pat Petrie, Althea Efunshile, Frank Furedi, Alexander Dowty and Ella Parry-Davies of Children's Express, Ceridwen Roberts, David Buckingham, Annabelle Phillips, Anne Longfield, Gill Street, Carl McLean Ravi Gurumurthy, Jonathan Douglas, David Stevens and Camilla Batmanghelidjh. Thanks should also go to the many children who helped the research by talking to us and filling in diaries at the Burdett Coutts Kids Club, Croydon Play and in Dummer village. Thanks to Ann Paul at Croydon Play, Caroline Hall at Burdett Coutts and John Holden for making this happen. Gillian Thomas and Gina Hocking February 2003 1. Introduction People think that children have never had it so good. They’re wrong. Inequality of wealth has affected children more than any other group and one in three children live in poverty. A quarter of children will experience the stress of a family breakdown during the course of their childhood. The new diseases of childhood such as asthma, mental illness, obesity and eating disorders continue to perplex medical professionals. The school system and pupils are the subject of unprecedented expectations and pressure. Children are sought out and targeted by increasingly influential commercial interests. They are at the centre of some of the most disturbing controversies of our age: genetics and designer babies, paedophilia and abuse in the home. Our emotional connection with children means that they will always be the subject of passionate debate. We are not suggesting that children’s lives are universally worse than they were a generation ago. This report examines how children’s quality of life is changing, and how we could improve it, for all children, over the next generation. It draws on many different sources, and does not seek to produce either a comprehensive review of evidence or a detailed policy blueprint. Instead, we aim to help move the debate on by challenging some of the current discourses surrounding children, showing how issues treated separately are connected and setting out a long-term framework for tracking and improving children’s quality of life. The first question arising from this aim is: what kind of quality of life do children in the UK currently enjoy? British children are among the most measured in the world, and there are innumerable sources of evidence regarding their well-being – from hard facts depicting their health, wealth, academic achievement, criminal behaviour and family circumstances, to softer impressions of how they are portrayed in the media, and the anecdotal evidence we all carry with us about how we respond to, interact with and observe our own and other people’s children. Rarely do these sources collate to form a broad or balanced view of how good, or bad, children’s lives are today. Nor do they help to dispel the three major stereotypes of our time: the angel, the devil and the spoilt child. The challenge for this piece of research was to create an analytical framework through which to view some of the evidence and then depict, in a balanced way, the lives of children today. The concept of quality of life is the foundation for this framework. As an idea, quality of life is growing in influence. Its origins derive from dissatisfaction with conventional measures of economic growth and income as a proxy for well-being. Alongside the sustainability of common social and environmental resources, it also seeks to capture and reflect subjective experiences and states, including belonging, happiness and love, as components of good lives. Quality of life is especially apt for thinking about children because of their innate need for care and attention from others and their special dependence on common resources such as safe streets, education, clean air and informal community-based norms of goodwill and social control. Quality-of-life measures have made some inroads into adult institutions such as medicine, business and local government. However, this cluster of ideas has rarely translated into new ways of thinking about children’s quality of life – until now. Our framework is constructed by identifying a range of ‘goods’ according to where they fall on two axes: individual–collective and tangible–intangible. In the report, we define children’s quality of life as a balanced combination of complementary states in four core areas: - individual standard of living - shared resources - happiness and emotional well-being - trust and inclusion. Using this framework, our analysis shows significant trends. First, most children’s life chances in terms of medical health, financial well-being, educational achievement and personal safety have risen enormously. But although there has been huge progress for millions of children over the last generation, the process of change has also created casualties. Improvements in material living standards have occurred against a backdrop of rising individualism: quality of life is more directly linked to parental earning power and household income. For poor families, the wider costs are clear. Not all families can afford childcare when mothers are at work, transport to keep in touch with dispersed family members, or a PlayStation in the bedroom to compensate for a lack of play facilities nearby. This is why, in the context of rising living standards for most, the life chances of vulnerable and disadvantaged children are as bad as ever and, in many cases, worse. The second major issue concerns children’s psychological development, mental health and emotional resilience. Here the evidence is mixed, but we argue that several factors, including a greater likelihood of major change during childhood (divorce, house moves, changes in childcare circumstances) and greater exposure to different kinds of media, have made life for children more emotionally demanding. In many ways, families have adapted in an under-recognised way by developing more open and communicative relationships with children. But other institutions have generally not matched this adaptation. In fact, trends in education and commerce have meant that children are under immense pressure to perform in line with ever-higher academic and consumer expectations. Eliminating this pressure is too simplistic a response to some of children’s worst emotional problems – such as depression, eating disorders and bullying – but we argue that more widespread appreciation of the issues and more effective management of risk and pressure are needed. The third area is children’s dependence on social capital and informal networks of gift and exchange. This is poorly researched, but work by sociologist Robert Sampson in Chicago has established a clear link between specific measures of ‘neighbourliness’ in communities and children’s health outcomes. While children are undoubtedly at the centre of many local communities, in others the decline of shared norms and expectations for their behaviour and development impacts negatively on the opportunities and support available to them. We argue that, with demographic trends shifting the emphasis of politics towards the needs of an ageing population, and escalating fear of risks such as abduction and traffic accidents, children are in danger of becoming segregated from other aspects of community life. This threatens not just the quality of their childhood experience, but also their profile and influence in wider society. Our analysis emphasises the importance of holism for children – promoting social and emotional development, independent play and civic participation alongside material wealth and academic attainment. In this context, how is it possible to improve children’s quality of life? The analysis shows that, overall, the societal response to change has encouraged fragmentation: different sectors have pocketed specific responsibilities for different areas of children’s lives. Thus retailers and corporations seek to ‘give children what they want’, government focuses on minimising harm to children and promoting their achievement at school, children’s charities campaign for legally enforceable rights for children and the media consistently report and amplify a catalogue of risks and dangers facing today’s children. The combined impact of this fragmentation is to foster deep contradictions and inconsistencies in children’s lives and to neglect certain aspects of their quality of life. Children doing paid work is frowned upon, yet British children complete 35 million test papers every year. Corporations spend millions of pounds researching and perfecting the ‘child appeal’ of products, while families struggle with both time and money. Parents are increasingly fearful of allowing their children to be unsupervised in public, but obesity goes effectively unchecked. Ironing out some of these inconsistencies and creating pathways for children and their parents to access easily what they need could be the task of government. But government itself struggles against low trust amid rising expectations. In the public sector, staff retention rates in children’s services such as social work and teaching are reaching crisis point. Public engagement with parenting programmes and local community projects is often low. But the public and media pressure for government somehow to eliminate risk – from accidents on school trips to paedophiles – can create impossible pressures. In this confusing climate, the government’s agenda for children has launched an impressive array of programmes and policies including the Children’s Fund, Quality Protects, the National Literacy and Numeracy Strategies, Youth Offending Teams, Children’s National Service Framework, Sure Start and Connexions. Most of this agenda has marched towards everhigher, safer and more stringent standards for individual children while attempting to recoup the deficit for ‘children at risk’. Most fundamentally, the anti-poverty strategy seeks better outcomes for deprived children in health, crime and education. The government has established a Children and Young People’s Unit, reviewed spending on children at risk and launched numerous participation exercises at local and national level. It has set out to create local children’s trusts and centres and reform the way that services for children at risk are coordinated. Through much of this, government policy has emphasised the logic of prevention and early investment. Government policies have produced many improvements and positive outcomes. But fiscal transfers and higher educational performance do not address the ‘intangible’ resources such as emotional resilience, more responsive community-based institutions, or the availability of mentoring and informal care that are also fundamentally important. Much of the children’s policy agenda relies on establishing collaborative relationships with children, parents and communities – but as Sure Start has shown, these methods are expensive, slow to develop and reach relatively small numbers of children. Inadvertently, the pressure to improve formal educational attainment may also be undermining some of these other social goods. Consequently, whole swathes of society (who may know very little about the specifics of the government’s record or policies on children) are left feeling that the things that really matter for children – bullying, unsafe public spaces, ‘falling in with the wrong crowd’ or simply the isolation that parenthood can sometimes bring – are not being effectively tackled and may no longer be anybody’s responsibility. A prominent alternative approach to improving children’s life chances is the children’s rights movement. Its leading advocates argue that a national children’s rights commissioner and a set of enforceable individual rights would ensure that children can access the resources they deserve. However, we argue that drawing up individual entitlements could easily entrench compartmentalised responsibilities for children’s lives and encourage a blame-and-compensation culture. Legal and quasi-legal rights do not necessarily build shared commitment to children or strengthen collective capacity for adapting to wider social and economic change. However, it is true that, without direct political or economic power, children will be unable to prevent encroachment on the collective resources, or ‘commons’, that their quality of life depends on. Rather than trying to write a detailed list of rights that the state should somehow be able to guarantee, granting one central right would give children a clearer, more powerful place in the political process – in other words, it should give them the vote. The final chapter of the report sets out a broad, long-term agenda for improving children’s quality of life. Its main recommendations are: - The vote for children should be granted. Align the age of majority with the age of criminal responsibility, and move both to 14. Reinforce the importance of families with children as an electoral constituency by issuing voting rights for children at birth. The family could then decide who would exercise their votes with the default going to the mother or other primary carer. - Strengthen cross-cutting government structures for children by establishing three ministerial portfolios: for very young children; for children aged 5–14; and for young people. - Create a new framework for quality-of-life information and inspection, including: - Ofsted, the Social Services Inspectorate and the Audit Commission, together with the newly established Commission for Health Improvement (CHI), to form a network to produce joint reviews of the quality and impact of public services to children in different areas. - ‘child-impact’ statements to be produced for all major national policy decisions likely to affect children’s quality of life. - a comprehensive and regularly published review of children’s quality of life. - The Treasury should introduce ‘generational accounting’, publishing a comprehensive assessment every two to three years on how the benefit and burden of existing spending, borrowing and investment will impact on different generations. - Over the next decade, government should create a national child development service drawn from social work, health and education. All children should have access to a community-based professional capable of identifying and procuring appropriate services and resources, as well as helping to link children and families to informal networks of information and support. - Alongside the child development service, government should create an integrated ‘children’s passport’ linked to a range of benefits and supportive institutions and, potentially, to a capital sum invested in each child’s future and available for spending on intensive support if necessary. - A national children’s service programme should be instituted for school leavers to undertake community-based mentoring work with children. Young people would gain accreditation to work in such supportive roles as learning mentor, organising sports and other activities, reading to children, or providing parenting support, and would be coordinated by schools and by the child development service. Working for the programme could build up future entitlements to children’s and family services, and might be linked to other benefits such as reduced university fees or free transport. - A national play strategy would prioritise an increase in active, independent play, link it to public health and educational objectives, and build a commitment from public, private and voluntary sectors to increasing the accessibility of play and learning opportunities for children in all communities. - Radically recast the role of schools so that, over the next five to ten years, they become directly involved in helping to deliver wellbeing, not just academic attainment, for their students. Criteria for performance league tables, Ofsted inspections and school funding should be adjusted to reflect the impact of a school on the social and emotional development of pupils and its contribution to improving social outcomes in the wider area. The governance of schools should be changed to reflect this shift. Schools should become more directly involved in driving forward community-based partnerships. - Advertising to children should be reviewed through Ofcom, the newly established communications regulator, to establish whether certain kinds of advertising could be taxed or banned at specific times. All major broadcasters and media outlets should establish structures for user feedback and representation on children’s issues in the same way that growing numbers of newspapers appoint ‘reader’s editors’ and use new forms of consultation to guide editorial policy. Government should support the creation of an independent, national children’s news agency, perhaps created by expanding and networking the relatively small number of children’s media organisations that already exist, to support representations of children and their views that are more grounded in their direct experience. An annual risk survey from the leading children’s charities should review the range of risks to children’s well-being. From this, joint strategies for communicating and reducing these risks could be developed, and some of the newer threats to children’s quality of life could be prioritised. A tax in kind would have to be paid by companies profiting from high-risk areas of children’s lives. These companies would be required to contribute positively to quality of life through employee volunteering, corporate community investment or financial payments. 2. The new childhood The last 30 years has seen a steady increase in the power and influence of individualism. Group characteristics and social class are less powerful determinants of identity. Many collective institutions and forms of representation have weakened. Most people have moved towards multiple identities, and the role of personal choice in shaping behaviour and collective outcomes has grown. This does not mean that people are becoming isolated from each other – in fact, we are probably as social in our instincts and activities as ever before – but social arrangements have become personalised to an unprecedented degree. The broad effects of these changes for children are positive, because they are accompanied by wealth, choice and a wider range of experience and opportunity. But apart from parents, who mostly extend the boundaries of their identities and senses of self to include the child, this trend implicitly encourages exclusion from the mainstream of those with the least economic, social and political power – a group that includes children. One effect of the new individualisation is to push responsibility for children back towards the immediate family and household, and to reduce community responsibility. Privatisation is linked to the long-term impact of safe, reliable contraception; children are an active lifestyle choice rather than a given social phenomenon. As a result, their welfare is increasingly understood as a parent’s direct responsibility. The experience of caring for children is diminishing. Only 28% of households are actively involved in raising children (though many more have been and will be). About 16% of women born in 1924 were childless by the age of 45, while it is projected than 23% of women born in 1974 will be childless at 45. The mean age of women at childbirth rose to 29 in 1999. Children playing freely in open space has become less acceptable. Far fewer children walk to school – a decline from 67% in 1985 to 53% in 1997–9.$^3$ Fifty-seven per cent of the public think that children are more at risk from paedophiles than they used to be, a misconception that places further barriers – physical and emotional – between children and mainstream adult life.$^4$ As childhood has become more privatised, contributions from others are expressed in contractual terms – paid-for childcare, an increasingly explicit agreement with schools to provide certain formal outcomes in return for parents guaranteeing their children’s attendance, use of commercial services and so on. In many cases, there has been a substitution of professional services and care contracts for informal community arrangements. In 1991, there were 18,000 voluntarily run sessional playgroups in England. The most recent figures – for 1998 – show a fall to 15,700.$^5$ Alongside this retreat of responsibility into families and contracts, private consumption has grown in scope and influence. ‘Private toys’ such as the PlayStation and the PC are used within the home, whereas the bicycle and roller skates were street and park toys. Even within the home, the television set in the bedroom – in 2001, nearly two-fifths (36%) of children under four years old watched TV in their rooms, compared to one-fifth (20%) two years before$^6$ – makes watching TV a private, rather than a family, experience for a child. Privatisation may also be increasing the pressure on children to perform by reinforcing the sense that parents will be judged by their children’s individual progress. Children are starting school earlier, and the pressure to achieve at every stage of education continues to grow.$^7$ Risk aversion One effect of this privatisation of responsibility is that families appear to be becoming more risk averse. For example, the debate over childhood immunisation has shifted dramatically in character. Thirty years ago, there was a consensus that children should be vaccinated to create group immunity to childhood diseases. Parents were not unaware of the risks – there were agonising stories at the time of the possible effects of the whooping cough vaccine on some children – but the risk was accepted as part of a community responsibility for the safety of all children. The campaigns at the time were for compensation for the unlucky families, not for a completely safe vaccine. As parents are held responsible for their children’s behaviour and prospects in increasingly direct ways, they respond by demanding certainty about what their children will experience in return. Four out of five adults believe that life for children in Britain is more dangerous than it used to be.$^8$ So, even though the risk of abduction or murder of children is no greater than it was, and the likelihood of children dying from injury has been falling steadily since the 1970s,$^9$ parents have become much more reluctant to let children play outside unaccompanied. She’s kind and she’s happy and she lets us do most things. But not dangerous things like going round the block because people could come and take us. Zainab (age 8) talking to Libby Brooks about her grandmother, Guardian, 2 July 2002 To make risk assessments, parents need to know what their children are doing and where they are at all times. They also need information, fuelling the appetite for research and opinion on children’s safety, intellectual development, health in the womb and so on. However, this information is inevitably contradictory and potentially overwhelming. It is impossible to eliminate risk entirely from a child’s upbringing, so the result is that parents use what information they can manage to reduce risk to a minimum. However, our general understanding of risk is often skewed. According to international league tables, the UK’s injury death record for children is among the lowest of the 15 most populous OECD countries.$^{10}$ The mortality rates for the under-5s in the UK have declined steadily since the 1960s: 27 deaths per 1,000 live births in 1960 compared to 7 in 2000.$^{11}$ Only four in every million children are murdered each year, and mainly at the hands of parents and relatives, not by the strangers who are more feared.$^{12}$ It is not the children who are frightened of risks. In fact, some would suggest that adults’ fear relates to children’s lack of it. For example, children argue that they would enjoy themselves more in commercial playgrounds if the equipment were more challenging, whereas adults are more concerned with making playgrounds safer.\textsuperscript{13} The conflict between adults’ ‘guardian’ mentality and the desire to give children freedom in which to learn their own lessons runs through every aspect of children’s lives. Risk minimisation does not bring universal safety. The cost of compliance drives up the cost of many services – for example, making childcare less accessible. The children of poorer families – with less control of their environment and less able to afford organised activities – are much more likely to have accidents than children in other social groups. Children with parents in unskilled manual jobs are three or four times more likely to die than those whose parents are in skilled non-manual work.\textsuperscript{14} There are also increased risks for children who break away from adult controls. The accident rate among 12-year-old girls – starting secondary school and crossing roads unaccompanied for the first time – is an example of this.\textsuperscript{15} Overall, children face far fewer and less grave risks than in the past. Some risks may have increased or new ones may have been created, but they often do not compare with the gravity and scale of the risks that children encountered in the past. But perhaps because things have become safer, our perceptions and standards have also changed. As a result, social perception is often completely out of step with reality. \| Cause of death (under 19 years old) \| Average number per year in the UK \| Source \| \|------------------------------------\|----------------------------------\|--------\| \| Suicide (age: 15–24) \| 96 per 100,000 boys and 20 per 100,000 girls 1999: an annual total of approximately 1,000 \| Jonathan Bradshaw (ed), The Well-being of Children in the UK (Save the Children, 2002) \| \| Road traffic accidents \| 260 killed, 6,600 seriously injured (average 1994–8) \| Department for Transport \| \| Cot death \| 190 \| Office for National Statistics, 2001 \| \| Cause of Death \| Number of Deaths \| Source \| \|----------------------------------------------------\|------------------\|------------------------------------------------------------------------\| \| Suffocation \| 139 \| Injury Prevention (London: British Medical Association, 1998) \| \| Poisoning \| 124 \| Injury Prevention (London: British Medical Association, 1998) \| \| Drowning \| 92 \| Injury Prevention (London: British Medical Association, 1998) \| \| Murder (age: 0–15; in England and Wales) (usually by known person) \| 81 (average 1995–2000) \| Criminal Statistics: England and Wales, Home Office \| \| Leukaemia (age: 5–14) \| 76 \| Office for National Statistics, 2001 \| \| Killed on railway lines – trespassing/suicide (age: under 16) \| 7 \| Chief Inspector of Railways, Annual Reports on Railway Safety \| \| Abduction and murder by stranger \| 6 \| Home Office \| \| Abduction not resulting in death (usually by a family member) \| 273 (2001) \| Julie Bindel, Guardian, 16 August 2002 \| \| Drowning of under-fives in domestic bath \| 5 \| Department for Trade and Industry \| \| Fatalities on school trips \| 3 (average since 1985) \| Adventure Activities Licensing Authority \| Colonisation Colonisation, a term to describe intensive adult-based supervision, agenda setting, and influence over children’s lives, is a trend arising from privatisation, risk aversion and the reach of modern communications. Colonisation affects the majority of children – those who spend all their non-school time in organised activities as much as those who spend this time in front of the television or PlayStation. The school playground is not exempt from adult control – some US schools are banning ‘recess’ because of the dangers faced by children playing traditional games. In the UK, breaks are becoming shorter, and there are more rules. Children are often the focus of the CCTV surveillance industry, with increasing numbers of cameras in schools and other areas where children are. Professor Kevin Warwick of Reading University has recently implanted a micro chip in a child that, in the case of abduction, would enable his or her exact location to be pinpointed. Parents give mobile phones to their children to ‘keep them safe’ – perhaps unaware that their offspring are now much more likely to become victims of robbery. Even babies’ time is becoming increasingly programmed with the help of a multitude of practical guides and educational programmes, including the best-selling American import Baby Einstein, a video that exposes infants to classical music, poetry and foreign languages. One recent survey found that 66% of adults agreed that children spend too much time at home because of safety issues. Research such as that contained in the Play Survey indicates that participation in unstructured play has decreased over time. There are two main reasons why colonisation by parents might reduce children’s quality of life. First, it increases the level of pressure and programming applied to children’s time and reduces the scope for self-directed time, imagination and exploration. One study in the United States has shown that children who show early signs of extreme timidity are helped by parents who encourage them to broach the object of their fear, rather than by parents who use the opposite tactic of shielding the children from the things that upset them. The timid children who had not been able or encouraged to shake off their fears were more likely, at age 10, to cry easily, be mistrustful, over-react angrily to mild frustrations and be sulky or whiny. Another reason why parents’ colonisation is unhelpful is that parents are likely, for understandable reasons, to focus mainly on those aspects of their children’s behaviour that are under their control and, apparently, to screen out those that are not. The result is that parents are unsure of how to manage risk in shared settings, such as in parks or on school trips, and are over-protective about certain perceived risks whose threat has been magnified by the media, by the occurrence of individual cases or by their immediacy. Ultimately, colonisation reduces the child’s opportunities to control his or her own relationship with time and space. It is not just an issue of parents taking direct control over individual children, but also of other forces in the wider society exerting greater influence, intruding more directly into childhood experience. Probably the most important manifestation of this is commercialisation. Commercialisation Wealth and living standards have improved hugely for most of the UK population over the last 30 years. Consequently many children have more to spend – and more to spend it on. A study in 2000 found that children in the UK had a total of £73 million at their disposal when gifts, pocket money and earnings from paper rounds and other odd jobs were combined. The boys’ mean income per week was £6.08 and the girls’ was £6.09 – a overall 61-pence rise in one year.$^{20}$ The fact that children have more money to spend, as well as their role in family spending decisions and as a future generation of adult consumers, make children the targets of commercial pressures. Children are part of a visible ‘pay and display’ culture, watching and copying their celebrity idols and consuming accordingly. A walk round any large supermarket reveals the explosion of child-targeted (and child-height-merchandised) products, ranging from Bob the Builder yoghurts to glittery toothpaste. Marketeers have devised new categories – for instance, ‘kidults’, ‘middlescents’ and ‘tweenagers’ – to deliver goods and services to children who do not like to be called as such.$^{21}$ In the US, ‘tweenagers’ have their very own gender-specific TV stations: ‘Fox Boys’ and ‘Fox Girls’. Some corporations are now targeting even adult goods at children – from cars to televisions. Children’s magazines, such as Girl Talk, Just 17, Match and the Beano, and children’s literature are flourishing and serve a distinct (strongly gendered) children and young people’s culture. Twenty-two per cent of 7- to 10-year-olds still read the Beano.$^{22}$ Children themselves are very aware of the influence of the private sector on their lives: just over half (53%) believe that large companies such as Nike, Coca-Cola and Microsoft have a strong influence on their day-to-day lives, compared with two-fifths (40%) who say that the government has.$^{23}$ Many children living in poverty report anxiety about being different from their peers in terms of what they can afford to buy and the activities they can afford to take part in. There is also evidence that mothers of children living in poverty sacrifice their own welfare to compensate for the material disadvantages that their children would otherwise face.$^{24}$ Commercialisation has been criticised for distorting images of beauty and success and for promoting the unhealthy. Ninety-nine per cent of food and drink products advertised during Saturday morning children’s television programmes contain little or no nutritional value; 77 per cent of parents want to see a ban on such adverts.$^{25}$ A recent report, published in the American Journal of Pediatrics, concluded that ‘a TV in the child’s bedroom is the strongest marker of increased risk of being overweight’. The rise of the child consumer has also contributed to the partial blurring of adult and child roles. Pop groups such as S Club, S Club Juniors and Atomic Kitten are followed by younger and younger fans. Make-up, perfume and designer clothes are increasingly bought for and worn by children. On the adult side, the mushrooming nostalgia industry has created phenomena such as the websites www.friendsreunited.co.uk and www.schooldisco.com. Cartoons and adult toys such as scooters and computer games are easily integrated into our lives. The use of childhood toys and roles as playthings for adult lifestyles is another form of colonisation. These trends are sometimes exaggerated. Saatchi & Saatchi’s estimate of premature ageing in children – so that the target age for buying toys falls by one year in every five – has a logical limit. The popularity among school-age children of the BBC-TV’s CBeebies, intended for pre-school children, suggests that children are not always yearning to be older. Twelve sounds nice and 13 sounds horrible. I want to be 12. Isabel (age 12) talking to Libby Brooks, Guardian, 3 July 2002 But, as Rowan Williams has argued, where children are in the same market commercially and socially there is potential for a kind of rivalry to be acted out between generations.\textsuperscript{26} Aggressive marketing to children of adult goods shows the same impatience with childhood as fast-track education techniques. However, adult fretting about precocious children wearing sparkly nail varnish and listening to manufactured pop may be misplaced in the face of more damaging forms of colonisation that give children inadequate opportunities to shape and enjoy their own lives. Although children’s greater purchasing is partly a reflection of greater democracy in the family, conflict in families over purchases, bullying and teasing in school over material possessions, and a constant pressure for greater consumption can all easily undermine quality of life. Most importantly, the dominance of commercial products and consumption can arguably produce a fragile, unbalanced sense of belonging to the wider world if other aspects of this relationship – such a sense of belonging to the natural environment, a strong cultural identity and so on – become weaker. Despite the positive impact on some aspects of quality of life contained in these changes, the overall effect seems to be a diminished space – culturally, psychologically and physically – for children to occupy with confidence, and greater confusion about what, if anything, the distinctive character of childhood is or should be. \textbf{Other changes} The broad trends of privatisation, colonisation and commercialisation stand out as new – and partially negative – aspects of the landscape of childhood. But they have taken shape amid a whole series of other changes that also affect children’s experience and prospects profoundly. This next section outlines the major changes – in social diversity, the family, the economy, the environment, health and crime – that have radically altered the landscape of children’s lives over the last 30 years. \textbf{Social diversity} Nearly 10\% of British children come from ethnic minorities,\textsuperscript{27} a greater proportion than adults. The concentration of minority ethnic communities in cities has contributed to an ongoing urban/rural split between cosmopolitan cities and a more monocultural rural Britain – a trend that was already recorded in 19th-century London by Henry Mayhew in his \textit{London Labour and the London Poor} (1851–62). Disability is also disproportionately present in childhood as medical improvements have led to an increase in the number of children who do not die but continue to live, albeit with disabilities. Diversity in childhood is also about lifestyles. Children now experience greater diversity in the locations in which they spend their time. Nearly one-third of all children use some form of care after school.$^{28}$ The range of family types has increased, and more children now live ‘transnational childhoods’, moving regularly between countries and households.$^{29}$ Amid this landscape, opinions of what is good for children have also become more diverse. Personalised attitudes towards quality of life – parenting, good food, discipline, education – affect not only different family groups, but also individual children whose mother, father, child carer, teacher and siblings may hold different beliefs about the same topic. Instead of mourning a perceived loss of simplicity and innocence, we need to accept the reality of a new diversity without losing sight of those common resources on which children still depend. The challenge is to forge common well-being out of individual diversity, without imposing a single, monolithic story line about what is good. This means finding new ways to create and strengthen shared commitments and reciprocal obligations. The family In 2001, 80% of children lived in a family with two parents (including about 6% in stepfamilies). It is estimated that around one in four children will experience a change in their family structure during the course of their childhood. About 25% of children whose parents divorced in 2000 were under the age of five; about 70% were 10 years old or younger.$^{30}$ The increase in divorce and separation has created much confusion over what is best for the child. It used to be assumed that parents almost always agreed on the interests of the child and that the state would only intervene in cases of neglect or cruelty. When (separated) parents cannot agree, the individual child’s interests have to be interpreted by the state, through the law courts. Approximately 160,000 children a year have their care and parenting decided by the courts. Of these, 60% are under the age of 11. The increase in the number of interpretations of children’s interests (and the even more numerous private agreements by separated parents) has established the idea of interpreting a child’s interests beyond the definitions set down by family relationships – that the interests of each child are different and individual. The Family Law Act 1996 introduced the concept of mediation meetings and reinforced the need for children’s views to be taken into account. In reality, however, there are very limited circumstances in which the wishes of children are gathered and heard by the court, even though the paramount decision that the court must make is what is in the ‘best interests’ of the child. Family restructuring is often a source of considerable stress for children. Around 22% of children living in stepfamilies at the age of 15 have run away from home and stayed away for at least one night, compared to 14% of those in lone-parent families and 2% of those living in two-parent families.$^{31}$ Outcomes for children who live without a parent (usually a father) are worse than for children growing up in two-parent families. Children from lone-parent families are almost twice as likely as children from intact families to have no qualifications by the time they are 33 and are more likely to smoke, to become teenage parents and to score poorly on measures of self esteem.$^{32}$ However, it is certainly not the case that family restructuring is inevitably bad for children. Many researchers agree that divorce cannot be seen as solitary malaise but is better viewed as an event that is often, but not always, accompanied by other factors that can impact negatively on children. So, for example, the fact that lone-parent families are more than twice as likely as couples with children to have no savings is likely to have a deleterious effect on children’s future chances. Newer research has often focused on the pragmatic reality of the ‘new family’ and the adaptation of children, and other family members, within it. A study conducted by the Joseph Rowntree Foundation of children of separated parents found that over half had some positive feelings about the split, such as having an exciting ‘other life’ with a different bedroom, new toys and new relationships.$^{33}$ Despite this, the emotional effort of keeping co-parenting arrangements ‘fair’ between households can sometimes take a toll on children.$^{34}$ The decline of the traditional, self-sacrificing maternal role seems to have coincided with an increased tendency to treat children as individuals with more say over their lives. The family is highly regarded by children. In a MORI poll for the National Family and Parenting Institute in 2000, three-quarters of young people aged 11 to 16 years old said that their parents were always there for them when they needed them, and two-thirds said that they felt loved and cared for. Similarly a BMRB survey in 2001\textsuperscript{35} of children aged between 7 and 10 showed that the most popular heroes of most children are their parents. Of the 6,000 children surveyed, 38% selected their parents over 33 other choices as the people they most admire. The survey showed that older children were less likely to select teachers as heroes than younger children, but parents remained equally popular with different age groups. \begin{quote} The most important person in my life is my mum. She understands me the most. Cameron (age 13) in Networks and Neighbourhoods: children’s and young people’s perspectives (Health Development Agency, 2001) \end{quote} A recent study by the Future Foundation found that families now work more like a network or team than the traditional hierarchical unit. Just as in modern organisations, the emphasis in the new family is on flexibility and multiple roles.\textsuperscript{36} These changes have accompanied the erosion of traditional, long-term social contracts within and between generations. This is a logical response – a society based on individual freedom and responsibility needs to educate its children as individuals, not as types party to a non-existent social contract. So families consult children more, the parental role is less authoritarian and the private sector responds to children as active consumers rather than communicating primarily through their parents. Not only is the new family characterised by greater negotiation, but also by practical adaptation to complex circumstances. For parents in paid work, a common approach to the childcare challenges created by dual work is the ‘double shift’ system whereby parents work at different times. According to a Daycare Trust survey, 61% of families include a parent who works in the early morning, evenings, nights or weekends.\textsuperscript{37} Fathers and grandparents are key carers when mothers are at work. New employment arrangements have given rise to the oft-quoted media-created image of time-poor parents unable to devote proper attention to their children – a failing that is usually twinned with providing children with compensatory treats and toys. In fact, there is plenty of evidence to suggest that parents are spending more time with their children than in the recent past. One survey showed that activities including reading, leisure activities, socialising and discussing problems have more than tripled according to the adult respondents’ comparisons to their own childhood experiences with their parents. According to this survey, the average parent today spends 85 minutes per child per day as compared to 25 minutes in the 1970s. A greater involvement of fathers in child-rearing and the more than doubling of parents accompanying their children to school were both cited as contributing factors.$^{38}$ Other aspects of family change, such as greater geographical dispersal of family ties, have not led to a breakdown of the extended family, as some commentators predicted. Although extended families are less likely to live nearby, extended family links are still extremely strong. The Future Foundation found a large network of blood (and non-blood) ties, facilitated by new communications technologies.$^{39}$ However, not all families are happy families. The most terrible things that happen to children – abuse, murder, abduction – are much more likely to happen at the hands of a family member, rather than the strangers that are more feared. In the year 2000, around 75,000 children and young people were being looked after by the state because their families were unable to look after them. In England, the rate of children being looked after has fallen over the last 24 years from 7.6 per 1,000 in 1978 to 4.6 per 1,000 in 1993. There has been a slight rise in recent years with 5.1 per 1,000 in 2000, possibly because of a greater number of unaccompanied children arriving in England seeking asylum.$^{40}$ The fall in numbers of children entering care is thought to be due to a wide variety of factors including shorter stays in maternity wards and psychiatric hospitals, more use of home helps in the case of parental illness and a general discouragement of using care as a response to delinquency.$^{41}$ Outcomes for looked-after children in terms of mental health, qualifications and employment prospects are notoriously poor. The aim has been to improve the quality for children through policies such as ‘Quality Protects’, and to improve links with children after they have turned 18. The family remains the fundamental social unit and is still the most important thing in children’s lives. While understanding children’s quality of life requires us to view them as individuals with their own interests, none the less childhood is massively influenced by the nature, or absence, of family life. The new economy Children are typically seen as separate from economic life, but they are actually an important part of it. The informal economy surrounding family life, childcare and favour exchanges is estimated to be almost as large as the formal economy recorded in economic statistics.$^{42}$ Children also bring adults together in environments where the informal economy grows. A study that looked at adults whose children were attending pre-school found that 24% had joined a local group or organisation since their children started attending pre-school and 17% took part in some form of community activity pressing for changes in the local area.$^{43}$ Children are also active contributors to economic life in their own right. One-third of 10- to 16-year-olds have paid jobs.$^{44}$ Some sources estimate that between two-thirds and three-quarters of these are working illegally.$^{45}$ There are also an estimated 50,000 young carers in the UK – young people under the age of 18 who are helping to look after a parent with, for example, a physical disability or a mental health problem.$^{46}$ Childcare: It is now the norm for women to have paid working lives. The proportion of those who have returned to work who are mothers of children aged under five has increased from 36% in 1988 to 50% in 1998.$^{47}$ As a result, the size and importance of the childcare sector has grown massively, but the backlog of inadequacies are enormous. The growth of the childcare industry has created recruitment challenges greater than the shortages found in teaching and nursing. There is only one childcare place for every seven children under the age of eight. British parents pay the highest childcare bills in Europe$^{48}$ – the typical cost for a family with two children (one pre-school, the other school age) is £6,000 per year. Parents typically bear 93% of the total childcare costs. Yet childcare remains a low-paid, low-status job, with 40% of the existing workforce having little or no training.$^{49}$ Only 5% of workplaces offer nursery places$^{50}$ and only 4% of employees receive financial help from their employers to pay for childcare.$^{51}$ Cultural factors can also inhibit the effectiveness of employment policies. In a recent survey by the Joseph Rowntree Foundation, 50% of employees, including those with care responsibilities, were unaware of the family-friendly policies of their employers.$^{52}$ Many others will be unwilling, for a variety of reasons, to take up flexibility when it is offered. Poverty: Greater wealth has also been accompanied by greater inequality of wealth. As Stein Ringen argues, children have lost out in the process of economic restructuring because of their lack of visibility and political power.$^{53}$ Children are costly. A working mother with two children can lose around £140,000 in earnings over a lifetime.$^{54}$ In a world where economic circumstances are more closely related to individual earning power, and income transfers from the state are not automatically linked to average earnings, children are inevitably more likely to be poor than other groups in society. Measuring child poverty is difficult. The accepted measure – income below 50% of the average – may illustrate a widening income gap rather than deepening absolute poverty. However, Britain performs badly in measures of both relative and absolute poverty when compared against other countries in the developed world. Unicef’s league table of poverty in the developed world places Britain fourth from bottom in the relative poverty category (Italy, the US and Mexico are lower) and sixth from bottom in the absolute poverty category (beating only Italy, Spain the Czech Republic, Hungary and Poland).$^{55}$ In Britain, 1% of children do not have a bed to themselves and one in 20 mothers say that they sometimes go without food to meet the needs of their child.$^{56}$ For the poorest 20% of the population, spending on toys, children’s clothing, shoes and fresh fruit was no higher in real terms in 1995/6 than in 1968. Children have now replaced pensioners as the poorest group in UK society.$^{57}$ Within the UK, there are significant regional differences and evidence of regional deprivation. The highest proportion of children living in poverty (35%) is in Wales, and of all of the regions, London has the greatest income inequality.$^{58}$ Poverty impacts on children’s quality of life in many more ways than just income. Children living in poverty have poorer physical and mental health, poorer educational outcomes, and more injuries than richer children. In addition, they are more dependent than children in wealthier families on the public provision of services and facilities. The new environment For the great majority of children, the world they grow into now has a new and greatly expanded dimension. Not only do they explore their immediate physical environment, but they also have access to virtual and communications worlds that are, in some respects, interactive, are growing rapidly and are increasingly targeted at them. There have also been major shifts in the way that children’s time and space are managed. Technology: More than half of children under the age of 16 have their own television sets, of which over one-third are pre-school children. One in seven children under the age of four have a video recorder. Young people in the UK spend more time watching television than anywhere in Europe.$^{59}$ In 2000, 42% of adults questioned believed that a computer was a necessity for their children, compared to 20% in 1995.$^{60}$ One research programme conducted across six cities found that the thumbs of the under-25s – so accustomed to using them to text message and play computer games – have overtaken their fingers as their hands’ most muscled and dexterous digits.$^{61}$ Surroundings: Outdoor space remains crucially important to children. A survey of children’s usage of ‘the street’ in Northamptonshire found that young people aged 14–19 used the street as a social venue to meet friends more than five times a week.$^{62}$ There are significant gender and racial differences in how children use public space. Boys typically have greater freedom to play outside, use bicycles and go to parks. In a survey carried out in Tower Hamlets, London, only 37% of Asian girls were allowed to play outside compared to 92% of Asian boys.$^{63}$ Recent years have seen an upsurge in interest in consulting children about their surroundings. Children are now involved in regeneration projects where they are asked about their likes and dislikes of the public spaces they regularly use. One project involving Bangladeshi children in Camden\textsuperscript{64} found that they ideally wanted separate spaces for boys and girls, and had major concerns about racism, safety and the police. There have been some measures to combat the lack of space for children out of doors. Playing fields are now protected under Section 77 of the School Standards and Framework Act 1998. There is a new momentum surrounding the regeneration of green spaces sparked by the urban green spaces task force and the cross-cutting review on public spaces. But the problem is still growing. School playing fields continue to be sold off, and the increase in road traffic is further inhibiting children’s space. The British record on child pedestrian accident rates is poor, with 0.87 deaths per 100,000 children compared with 0.65 for Germany and 0.24 for Sweden.\textsuperscript{65} It is the poorest children – those who do not have gardens to play in and whose parents do not have the lobbying power to get traffic-calming measures put in place – who are most affected. They are knocked down five times more often than their more affluent counterparts.\textsuperscript{66} Geography is a powerful metaphor for a wider issue – the space within which a child can be is physical, emotional, conceptual, virtual, social and political. Our tendency has been to enclose childhood, corralling it into dedicated spaces and institutions, when, in fact, we need to learn how to integrate it into the whole of society, without losing, ignoring or destroying its unique features and entitlements. Health Overall, children’s health has improved over the last 30 years. Mortality rates for the under-fives in the UK have declined steadily since the 1960s (27 deaths per 1,000 live births in 1960 compared to 7 in 2000).\textsuperscript{67} Rates for all types of childhood mortality have decreased substantially between 1981 and 1999 in England and Wales.\textsuperscript{68} Smoking levels have fallen among children, and smoking in pregnancy has declined by almost one-third in the last 15 years. There have also been enormous improvements in dental health. Traditional childhood illnesses such as measles and whooping cough are much less common, and virtually every child under the age of two is now immunised against diphtheria, tetanus, whooping cough and polio. Survival rates for cancer and cystic fibrosis have also dramatically improved.\textsuperscript{69} However, there are new childhood diseases. Environmental health problems are a particular cause for concern. Asthma is now the most common chronic childhood disease in Britain. The reasons for this are unclear but may well be linked to exposure to outdoor and indoor pollution and allergens. The prevalence in other conditions commonly affecting children, such as eczema and allergies, is also worsening.$^{70}$ Children’s fitness and diet have deteriorated over the last couple of decades. There have been some moves to improve children’s nutrition. The School Standards and Framework Act 1998 gives the secretary of state the power to make regulations setting out compulsory minimum standards for school lunches. But despite this, problems with children’s diets continue: 22% of children are obese, and there is an upward trend – the percentage of children who are obese doubled between 1974 and 1994.$^{71}$ Mental health problems are also growing among children. According to the Office for National Statistics, 10% of children aged 5–15 had a mental disorder in 1999, and about 2% of 11- to 15-year-olds had tried to harm or kill themselves.$^{72}$ The exact scope and reasons for the increase in mental health problems in children are controversial; some commentators claim that higher awareness – and, therefore, greater reporting – has led to the increase. Others blame factors as diverse as technological overload, lack of parental control, diet and lack of freedom. Whatever the cause, there is compelling evidence to suggest that attitudes and services have not caught up with children’s need for help in this area. There is still a great deal of denial in accepting that children suffer from mental illness. For instance, parents of children with an emotional (as opposed to physical) disorder are the group least likely to have asked family and friends for advice.$^{73}$ This issue is increasingly recognised by government. Child and adolescent mental health services (CAMHS) are given special priority status in the NHS Plan. Priorities within CAMHSs include reducing suicide rates, particularly among such high-risk groups as gay male teenagers and Asian girls.$^{74}$ It is significant that many of the new childhood diseases and problems – such as asthma, eczema, eating disorders, obesity, psychological distress, myalgic encephalomyelitis (ME) and road injury – are either stress-related conditions or linked to poor public resources, such as clean air and safe streets. Crime A widespread perception has emerged, fuelled by extreme cases such as the murder of two-year-old James Bulger, that many children are out of control and that anti-social and criminal activity among the young is on the increase. In a poll taken in 2000, more than four out of every five adults (86%) thought that children were experimenting with drugs and sex at a much earlier age than in times past.$^{75}$ However, there is reason to believe that the moral panic associated with youth crime may be an over-reaction. Data on criminal activity by children of 13 and under is quite sparse, which is not surprising since the average age at which offending begins is 13.5 for boys and 14 for girls.$^{76}$ However, there is evidence to suggest that there is no strong upward trend in offending. The crime reduction charity Nacro argues that ‘the 1990s witnessed a reduction in detected youth crime,’$^{77}$ and analysis of Home Office data concludes that there was no significant change. This is not to say that criminal activity is not a problem: one in every ten 12- and 13-year-old boys commits violent offences and one in five commits criminal damage. These figures suggest that child crime is a problem for both children and the wider society.$^{78}$ There is some indication that persistent offending is increasing. In Scotland, the number of children under the age of 16 who were reported for 10 or more offences increased by 20% between 1998 and 2000.$^{79}$ In some respects, lifestyle changes have facilitated the perception that crime is worse now than it was previously. At the time of the first British crime survey in 1982, the most widespread crime was the theft of milk bottles from the doorstep – a misdemeanour that has virtually disappeared since so many people now buy their milk from supermarkets. New crimes such as the theft of mobile phones – which disproportionally affect children and young people, in terms of both the perpetrators and the victims – are more serious offences. Similarly, many 999 calls are the result of young people causing a nuisance such as playing football in the street and kicking the ball against cars. Arguably, children have always played football in the street, but 50 years ago, they weren’t full of parked cars. Children are particularly victims of an exaggerated fear of crime. Despite the fact that, in 1999, over three-quarters of total crime was committed by over-18s, there is a widely held belief that the young are responsible for the majority of crime. In fact, 28% of people think that young people are responsible for more than half of all crimes, and a further 55% believe that crime is shared equally by adults and young people.$^{80}$ There is some evidence that there is a rise in the number of children using illegal drugs or buying cigarettes or alcohol before they are legally able to do so. In England, 16% of girls and 19% of boys are using cannabis at the age of 15, with higher levels reported in Scotland and lower levels in Northern Ireland.$^{81}$ Around one in five boys and nearly one in four girls are smoking cigarettes regularly by the age of 15. However, some reports show that, in England, the prevalence of smoking in secondary-school children has remained fairly static of the last two decades.$^{82}$ Overall, a clear pattern emerges from this broad survey of change. Many of the historical factors that blighted children’s lives were hugely reduced or eliminated over the last generation. Poor children, as a group, are most likely to suffer other forms of deprivation and risk. But the changing contours of British society have almost hemmed children into spaces and roles to which they have trouble adjusting. Children are increasingly dependent on their own parents to negotiate and access new opportunities in safe, supported ways. New types of experience and patterns of behaviour are generating their own hazards, to which society has not yet generated effective cultural or institutional responses. In particular, children remain particularly dependent on the quality of commons – resources that are not privately owned, that are accessed freely and that are dependent for their upkeep and replenishment on common commitments and public investment. As society has become more individualised, wealth-driven and diverse, the quality of many of these commons has deteriorated. 3. Quality of life for children – a new vision Over the past generation, the changes to children’s lives have largely taken place without a positive, shared vision of what we adults want for them. We have viewed children’s lives through a narrow and limited lens, often looking into the past. Most often, it is the traditional right who bemoan the loss of a shared view of childhood and family life, or social conservatives who argue that the solution is some form of return to the forms of traditional, hierarchical authority that structured family and community relations in the past. It may be that past periods of social history have been conditioned by a single, dominant idea of the good life, although there has always been more diversity than official accounts allow for. But in any case, that is not the social reality now, and is unlikely to be accepted as legitimate or followed in practice by most people – and for good reasons. Pluralism and diversity confer many different benefits, but they do not release us from shared responsibilities. Our societal response has encouraged fragmentation – pulling apart different elements to the point where it can be difficult to understand, or live, a fulfilling and productive life as a child, or to take on the challenges of preparation and transition that it also requires. Is it possible to create a framework, a way of viewing children’s interests, that will encompass so many different influences? This is where quality of life may be able to help. This chapter sets out a framework for analysis, using quality of life as a foundational idea. It begins by establishing the status of quality of life as a concept, and discusses its unique and neglected link to children. It then uses the emerging definition to evaluate how children are really doing in the new context. The chapter concludes by highlighting three major areas that should become the central focus for a concerted effort to improve the quality of children’s lives. Quality of life: what is it? In 1988, a theologian, his son and a World Bank economist – respectively, John and Clifford Cobb and Herman Daly – devised an Index of Sustainable Economic Welfare (ISEW). The intention was to give a clearer picture of quality of life in the United States than that suggested by conventional GDP (gross domestic product) measures. Their results were dramatic. They showed that, while the US economy had been growing steadily since the 1950s, decline in environmental and social conditions meant that the net gain in terms of quality of life was much less than material living standards implied.$^{83}$ The Cobb–Daly initiative was one strand of a whole host of new indicators, indexes and auditing techniques aiming to give a more balanced picture of living conditions around the world. In 1995, the World Bank Wealth Index redefined the wealth of nations in environmental, social and human terms as well as financial. In 1999, the Dow Jones Sustainability Group Index was launched, closely followed by London’s FTSE4Good in 2001. The United Nations Human Development Index, which includes data on poverty gaps and human rights, is now widely used as an indicator on government performance across the globe. In the UK, the academic Andrew Oswald continues to interrogate the relationship between happiness and income. A recent analysis from the Strategy Unit in the UK Cabinet Office states that life satisfaction is highest among richer countries and those that are historically Protestant, and lowest amongst former Communist states. There is also a relationship in developing countries between national income and levels of life satisfaction, though this appears to break down once countries reach a certain level of development – a turning point that the UK could be said to have reached in the 1950s. Quality of life, as an idea, has growing political currency. Voluntary quality-of-life indicators for local authorities have been developed, and around 80 authorities began using them in 2001/02. The exercise was prompted by the new powers given to local authorities in the Local Government Act 2000 to promote the social, economic and environmental well-being of their area and their new duty to work with partners to prepare a community strategy.$^{84}$ What quality of life can bring The overarching goal of a quality-of-life framework for children can be described, partly, as achieving a holism in our understanding of what children need and in our capacity to provide it. As we have seen, one of the key characteristics of recent change has been its fragmenting effect on the circumstances and experiences of children and their families. We can be much less confident than our counterparts of even a generation ago that the various supports, resources and institutions that will impact on children’s well-being will work in concert to produce a rounded, supportive and fulfilling framework for their development. In fact, parents are today under increasing pressure to produce such a framework themselves, often against the odds. Part of the key to giving children a good quality of life is people creating their own social networks and co-producing the outcomes. When this happens, an increase in use or demand doesn’t only place more pressure on public resources allocated, but actually helps to replenish the stock of trust and legitimacy that such facilities need to maintain themselves. Quality of life helps us redirect our focus towards the capacity to provide for children. There is more to this than simply having the resources to do so, because ‘providing for children’ is not exclusively linked to the idea of financial disadvantage. It applies to all children, all of the time. Therefore it has the potential to increase commitment to children more widely, while also helping to solve some of the more complex problems of the neediest children. Although it does not only apply to poorer children, quality of life does embrace the aim for equality between different children, between children and adults, and between current and future opportunities. Quality of life aims to balance issues of risk against other goods. It values freedom, learning, play and happiness as much as it values the absence of harm. It challenges the colonisation of children’s lives, values the state of childhood and views it as a quarter of an average life rather than as a production process for the future. The quality-of-life concept places the tangible and the physical on an equal footing with the intangible and the emotional. A quality-of-life measure would include indicators on such factors as the quality of experience and the strength of local trust. It aims to stem some of the negative effects of privatising responsibility for children by promoting and supporting the invisible links and networks that make a difference to their lives. This necessitates a qualitative understanding of what children think and feel as well as raising the importance of the specifics of a localised context. Finally, quality of life builds on the strengths of the family. It is too easy, in public policy discussions, to focus on what formal public institutions do and to downplay the significance of the family in determining the environment in which children grow up. Not only is the family the most direct and powerful set of influences on children, but it also exemplifies the practical processes of juggling and adaptation that are needed to deal with multiple needs, pressures and opportunities. Families, when they work well, implicitly understand the balance between tangible practical provision for children and the emotional nurturing and encouragement needed for them to grow. Families are also at the crux of balancing between individual and group needs and identities. Pitfalls Although quality of life offers a potentially strong framework for thinking about children’s lives, there are also unresolved problems with the approach. There are lots of different interpretations of quality of life. Thinking, data and indicators on quality of life don’t fit neatly under one label, let alone into one discipline or accepted set of methods. Relevant work on quality of life uses a plethora of different terms including sustainable development, liveability, happiness, well-being and life satisfaction. It is also closely linked to other ideas such as social capital and community renewal. Despite much activity around measuring these factors, quality of life has not translated into a radical political idea. Its associated targets do not look that different from other governmental targets. Indicators of quality of life exist alongside a vast range of other targets and measures, and are rarely integrated in a way that could have a shaping effect on the behaviour of service providers. They are not grouped into the right kind of ‘basket’, and the different and disparate agencies producing elements of quality of life for children do not relate to the framework in any direct way. The aggregation of quality-of-life measures at national level is useful for some purposes, but does not provide a guide for local action. Indicators need to be formative, in the sense that they can prompt adjustments in priorities and allocations, as well as behaviour, and these judgements need to be made at the local level. Another difficulty with actualising the quality-of-life idea as a framework for change is that it is so difficult to interpret for children. Quality of life for adults is very often assessed partly in terms of autonomy or independence, such as in the calculation of possible benefits arising from medical treatment. This poses a particular challenge for analysing quality of life in relation to children, because their autonomy and independence should not be automatically maximised. In fact, one of the defining features of childhood as a formal status is dependence on the provision and guidance of others. The other danger, exacerbated by uncertainty about how far to trust the judgement of children themselves, is that external assessments of quality of life often tend to focus too heavily on factors that can be physically identified and counted. Indicators that might inform a better understanding of quality of life for children are even sparser and less informative. Local authorities’ voluntary well-being measures invariably include child measures – but they typically reflect our fears over children and risk, performance and anti-social behaviour (e.g. infant mortality, qualifications, teenage pregnancies and school truancies) rather than being genuinely qualitative. Children’s quality of life may not have been defined because it is seen as an adjunct of adults’ quality of life. Of course, children’s quality of life is inextricably linked to that of adults and families, but it is also distinctive. Children’s quality of life has a special relationship with the future, and children themselves have a greater vested interest in what the future world will be like. They also, when compared to adults, have quite different behaviours and psychological requirements – for instance, their need to play, to explore risks and boundaries and to develop personal identities and cultural connections rapidly. Currently the UK does not monitor the well-being of its children adequately. J Bradshaw, ‘Poverty: the outcomes for children’, ESRC Children 5–16 Research Briefing, no 18 (2000) The final challenge for implementing quality of life for children is that it will mean a difficult gear change in our mentality towards them – it will mean letting go. For government, it will mean further letting go of the idea that the quality of children’s lives and future success can be engineered by a central authority. For parents, it will mean letting go of the tendency to colonise their children’s lives. For non-parents, it will mean letting go of the idea that other people’s children are someone else’s responsibility. There is a risk that quality of life could fall into an over-romantic idea of a trusting community taking responsibility for all children. However, it can be argued that these drawbacks can be overcome and, as the next chapter will show, need to be to solve some of children’s worst problems. 4. How are children doing? The quality-of-life framework To achieve an integrated overview of children’s quality of life, we have developed a framework for understanding it. Quality of life for children can be mapped along two key dimensions: - Individual → collective - Tangible (i.e. what is easy to see, measure, describe) → intangible (i.e. diverse, qualitative, emotional) A good quality of life for children can be seen to be the result of a successful, balanced combination of the four quadrants. Typically, when problems have arisen in children’s lives, we have tended to prioritise the individual above the collective, and the tangible above the intangible. In the following, each quadrant is discussed separately, though clearly there are areas of overlap. Standard of living and prospects (tangible/individual) The child’s standard of living and prospects relates to individual circumstances in terms of health, wealth, safety and physical environment. These, in turn, can relate to the standard of housing, the level of safety and protection and a child’s current and future financial prospects. The arena of the individual standard of living is where quality of life for children has most improved. Children now have a good chance of surviving serious disease; the majority of households have goods such as televisions and fridge freezers; and death from accidents and injuries have been falling steadily for decades. The Children’s Act 1989 has ensured that quality and safety in public settings for children – such as nurseries and schools – are much improved. In broad terms, levels of educational achievement have also increased significantly. Early-years and primary education have been the subject of rigorous new standards and higher expectations. SATs and the numeracy and literacy hours aim to equip children with basic skills at an early age. More young people are leaving school with better qualifications and fewer are leaving with none.$^{85}$ Increases in wealth, the use of the law to drive up minimum standards of performance and compliance, and improvements in both public health and medical technology are probably the most important factors in explaining this progress. Government action through social policy, including wealth redistribution, is also very important. But the unremitting focus on individual standards of living and performance may also be producing unwanted side-effects. First, scrutiny of his or her ‘success’ increases the stress on the individual child. A study by the Department of Health has shown that it is the 11- to 15-year-olds who do not think they are going to live up to the expectations of others in terms of examination performance who are most likely to use drugs.$^{86}$ In addition, the colonisation phenomenon described earlier, where adult supervision reduces children’s control of their own time and space, is unlikely to be beneficial to their developing a sense of autonomy. The ones most affected by the controlling emphasis on tangible needs are middle-class children whose parents have the most resources to direct towards their children’s success. This, in turn, creates a ‘cycle of affluence’ that pressurises the individual child while also turning attention away from other, more invisible quality-of-life needs such as emotional balance, trust or belonging. So, for example, eating disorders are more likely to affect the daughters of managerial or professional parents, and children who are always driven about in cars are less likely to develop independent social networks in the local neighbourhood. Second, when children’s quality of life is based so heavily on intensive individual protection, there is a greater danger that, when they fall through the gaps of control, care and protection (e.g. failing at school, getting lost in public places, being neglected by a parent), they will fall more heavily. This is most visible in the poor outcomes for children who are looked after by the state, who play truant and who are financially badly off. For example, children who truant from school are much more likely to go on to economic inactivity and criminal convictions.$^{87}$ It is also manifest in cases such as Victoria Climbié’s, where maltreatment and abuse can apparently flourish if it takes place at a sufficient distance from public institutions and professions. In summary, now that quality of life in the areas of education, health, wealth and protection has improved for most, if not all children, we need to shift attention to some of the other aspects of quality of life – such as informal networks of support or collective investment in children’s needs. If our energies continue to be directed at higher targets, ever more stringent protection rules and higher expectations, we may exacerbate some of the problems we are already seeing, as well as alienate some of those we seek to help most. Shared resources (tangible/collective) Quality of life is not just about individual success. It also depends on the quality of the shared resources, or the ‘commons’, on which children rely. This quadrant relates to the things that children access that are collective resources. These include local shops, clean air, green space, doctor’s surgeries and transport. Much of children’s quality of life rests on the fact that they are more dependent than adults on free resources – such as space to play, education, healthy environments and social safety nets. There have also been some improvements in this area of children’s quality of life, though they have been patchy and, in some cases, the quality of public goods has declined. Some facilities for children have improved in quality and quantity. For instance, libraries now have computer access and after-school clubs; theme parks designed for children have sprung up all over the country; and all four-year-olds and a growing number of three-year-olds are entitled to a place at pre-school where they can engage in play and learning. However, many of those shared goods are under threat. Children’s interests in a range of sectors are often overlooked and overridden by more powerful political lobbies. Land-usage patterns have tended to restrict children’s access to public space. Transport methods used by children and young people, such as buses, walking and cycling, are often subject to under-investment compared to transport methods used by (wealthier) adults such as trains and cars.$^{88}$ Although childcare is a boom industry, childworkers are still among the worst-paid and least-valued workers in the country. Employers rarely contribute to childcare costs, and the prevalent culture of long working hours in many workplaces discriminates against families. The children’s commercial sector is thriving, but much of the associated merchandising – cartoon characters on poor-quality food, for example – is manipulative in its aims. Similarly, long-term sustainability issues – for instance, clean air or sustainable fishing stocks – in which children have a greater interest than adults are often overlooked for more short-term and expedient measures. For example, generational accounting – a term that refers to the financial burden that current fiscal policies are likely to place on future generations – has highlighted how spending patterns tend to neglect the future needs of young children. According to a study by the National Institute for Economic and Social Research, the UK’s generational imbalance is low compared to other countries such as the US and Japan. Nevertheless, British children will still face higher lifetime net tax rates than their parents.$^{89}$ Environmental degradation affects children more than it does adults. The UK’s Environment Agency has stated that there are clear links between the environment and health, and it seems likely that the prevalence of illnesses commonly affecting children, such as eczema and allergies, are linked to exposure to outdoor and indoor pollution. Children are more sensitive to pollutants than adults for a variety of reasons – they break down chemicals less easily, they breathe and drink more for their weight and they breathe closer to the ground.$^{90}$ Political manoeuvres to improve children’s collective lot are not always sustainable or popular. Proposals for a 20-miles-per-hour speed limit in residential areas, as suggested in a recent report by the Institute of Public Policy Research (IPPR), have been resisted by the motoring lobby. The possibility of new children’s centres becoming an extra arm of the welfare state has been only tentatively welcomed at a time when other forms of universal provision, such as health and schools, are encountering serious capacity problems. While some shared resources used by children have been enriched, there also seems to be a clear pattern here of simultaneous under-investment and appropriation. The allocation and protection of shared resources depends heavily on the political process, and it appears that children, as a group, are under-represented. This issue will be explored further in later chapters. Happiness and emotional resilience (intangible/individual) It is increasingly accepted that the intangible and the subjective influence quality of life considerably. This next section deals with happiness and emotional resilience, where some of the most joyful and most painful aspects of children’s lives lie. The most important elements of quality of life, they are also subject to some of the most worrying trends. There is some evidence that emotional well-being among children and young people is worsening. One recent study found that the level of life satisfaction has risen for young people in almost every European country except Britain.$^{91}$ ChildLine, established in 1986, has just counselled its millionth child. Bullying especially seems to be a key worry: one in ten children are thought to be bullied at school today. Of the children who called ChildLine contemplating suicide in 1999, 48% cited bullying as the main cause. In addition, one in nine young people run away and stay out overnight before the age of 16.$^{92}$ Happiness and emotional resilience in children are difficult to attribute to individual causes, but they are certainly linked to the quality of a child’s relationships with parents and other adults, the ability of the child to progress normally through stages of psychological development, and the propensity of those surrounding the child to deal with problems if and when they occur. We know, of course, that parenting is crucial. A University of Washington team found that when parents are emotionally able – especially in their own partnership - their children show a range of positive behaviours such as being better at handling their own emotions, are more effective at soothing themselves when they get upset, and get upset less often. Not only this, but the children were found to be more relaxed biologically, with lower levels of stress hormones.\textsuperscript{93} The importance of developing secure attachments early in life has been highlighted in the IPPR’s publication on The First Twelve Months, which links early experiences with future opportunities and well-being. We know, too, that emotional development in childhood is a critical dimension of efficacy and responsibility later in life, as well as – among other things – a contributor to happiness and life satisfaction, and a predictor of success at work.\textsuperscript{94} Although we know emotional development and self-image are crucial to quality of life for children, both in the present and in the future, a lot of our knowledge is comparatively recent and has not been transferred into practice or into life’s institutions. Laboratory experiments, as well as other evidence, show that a sense of control is directly linked to well-being ratings. These findings help explain why those in relatively low social or work positions have a lower sense of control in their lives.\textsuperscript{93} But although we know the relationship between a sense of control and well-being, the colonisation on children’s lives – effectively a curtailing of control – continues in many respects. Similarly, IQ is still the dominant measuring tool for children, even though we know that it is only one of a range of factors determining life success, and is less important than others in determining overall happiness. As Daniel Goleman argues in his book \textit{Emotional Intelligence}, IQ contributes at best only 20% towards life success, which leaves 80% to other forces.\textsuperscript{96} In fact, high levels of education may bring economic success, but in the UK, they are also linked to \textit{lower} ratings of satisfaction.\textsuperscript{97} Part of the problem is that the emotional well-being of children is generally seen as a private matter pertaining to families only. Nevertheless its public implications and costs are increasingly transparent; health, violence, depression and family conflict are all common ill-effects that emerge later in life. For example, the Institute of Child Health estimates that between 30\% and 70\% of adolescent and adult male sex offenders report that they were sexually victimised as children. The reliance on a reduced number – and sometimes even single individuals – to deliver quality of life to children depends far too heavily on those individuals being continually well informed, emotionally well supported, and able to move easily with their children through different stages of development. Yet we know this is not the case. Even ‘good’ families go through periods of crisis and change, when there seems to be a reversion to less open forms of communication with children. In a study on communication with children during divorce, only 5% of the children surveyed said that they had been given full explanations and the chance to ask questions.$^{98}$ Other crisis points, such as bereavement or ill health, are deeply traumatic for children, but they are not always enabled to express their own thoughts and worries. Rarely would we expect any other group to have problem-free lifestyles for 18 years at a stretch, but this is what we expect of parents. When there are problems with their children, such as truancy, they are vilified and now may even be given prison sentences. What is needed is a much more explicit expectation among a wider constituency that children should be able to develop a healthy sense of themselves, their autonomy and independence and a knowledge of their networks of support, in a way that will enhance their quality of lives now, as well as laying the foundations for future resilience. Although this is true for the whole of childhood, it is especially important in the very early years, when all sorts of patterns are established in children’s development with permanent effect. Trust and inclusion (intangible/collective) The final quadrant refers to trust and inclusion. This is the extent to which a child grows up in a context of collective well-being. Collective well-being is hard to define, but it is certainly linked to the idea of ‘social capital’ – shared norms, bonds of trust and communication, and networks of informal relationships that extend out from family and friendship networks into a broader community. The New Economics Foundation is currently working on collating a bank of ‘social energy’ indicators in use, which they define as a mixture of creating hope, trust and belonging. In much of Britain, people no longer rely on the community for basic material needs and protection. We can make customised personal choices about where to get our food, who to live with and what social roles we want to play; the traditional bonds and structures of community are no longer indispensable for organising these things. But children, and the need to nurture, protect and socialise them, comprise one of our few remaining areas of focus that is genuinely communal. The task of supporting childhood is not one that can be carried out entirely alone – it depends on a wider range of role models, social networks, social institutions and goodwill from strangers. Recent MORI surveys for the Audit Commission found that activities for teenagers and facilities for young children were among the top ten items considered by the British public as determinants of a good place to live. According to the same survey, both were among the top five items considered to need improvement, with activities for teenagers at number one.$^{99}$ A strong community is a crucial part of children’s quality of life and something that most parents will actively try to secure for their children. This is manifested in parental behaviours such as moving out of cities into the country where community bonds are perceived to be stronger. In 2000/01, 41,600 children aged 0–15 moved out of London, compared to just 12,600 children moving into the city.$^{100}$ Growing up in a neighbourhood where adults act on these social bonds has been shown to be good for children. The University of Chicago professor, Robert Sampson, has shown that, where his ‘collective efficacy’ (a combination of high inter-generational contact, reciprocal local exchange and shared expectations for informal social control) is high, children experience better health outcomes and neighbourhoods have less crime.$^{101}$ Collective efficacy is influenced by a range of factors, including poverty, housing density, child–adult ratios, levels of violence and proximity to other neighbourhoods. But it is also the product of voluntary commitment among adults, including, crucially, those who are not parents of young children. In other words, general social culture has a direct influence on outcomes for children. In the UK, Perri 6 has shown that the risks of unemployment and social exclusion are powerfully influenced by the configuration of social networks that people can draw on for information, opportunity and support.$^{102}$ He argues that we should classify social capital according to six categories, all of which are crucial to children in specific ways: 1 shared identity 2 networks (that provide bridges into other places, organisations and communities) 3 resources (such as information, opportunity, introductions and so on) 4 affectivity (goodwill, trust and sympathy) 5 norms 6 skills. But taking part in activities that weave together informal social bonds is not always easy. One Demos study by Ben Jupp, drawing on interviews with over 1,000 residents of ten mixed-tenure (i.e. a mix of privately and socially owned housing) estates, found that only 15% of respondents had got to know any fellow residents at the local shops and 7% at the local pub, despite the widespread use of these facilities. Of course, this is not to say that parents and children live isolated lives; indeed, they are often at the centre, not the edges, of communities. The school is a significant hub of social connections, stretching well beyond the children in its classrooms, but even then the same Demos survey showed that one-third of parents had not got to know any other estate residents through their children’s school.$^{103}$ The traditional institutions that have bound these ties together have declined in importance in children’s lives. For example, church attendance has dropped for children. In 1989, 25% of the church-going population was under 15, a percentage that had dropped to 19% in 1998.$^{104}$ A study by the Church of England shows that, if present trends in children’s church-going continue, almost no children will attend Sunday services in 30 years’ time.$^{105}$ Current lifestyles make volunteering in local children’s groups difficult. One in four eight-year-old girls is a Brownie, but demand still outstrips supply. An estimated 67,000 children are waiting to join Cub and Brownie packs because there aren’t enough adults to run them.$^{106}$ For adults, the impact of community trust, where it is strong, can be enormous. It has been estimated, in the US, that attending club meetings, volunteering or entertaining on a monthly basis or attending church biweekly confers the happiness equivalent of a doubled money income.$^{107}$ The equivalent impact of community trust, or the lack of it, on children’s well-being has not been well documented. Little is known about children’s social networks, their views of their neighbourhoods, their levels of trust and community identity, and the implications of these for quality of life or well-being.$^{108}$ However, a decline in community responsibility for children is contributing to the pressure that parents are under to deliver quality of life to their children almost singlehandedly. This, in turn, contributes to a vicious circle: the compulsion that parents feel to control more and more aspects of their children’s lives and safety leads to actions – e.g. the school run – that have the effect of further severing the bonds between communities and children. As the privatised culture grows, many people are unsure of how to relate to children who are not their own. Consequently we regard other people’s children from remote viewpoints, while being in the paradoxical position of thinking that many children are as indulged and privileged as children have ever been, at the same time as we believe that they are not learning to take a responsible or constructive place in a wider community. Children have become a focus for fear and dislike. British adults describe their acquaintances’ children as ‘attention-seeking’ (57%), ‘spoilt’ (54%) and ‘rude’ (43%).$^{109}$ In addition, there is strong support (75%) for legally enforceable evening curfews on teenagers.$^{110}$ The overall trend, therefore, is towards a situation in which children and young people are secure only when in functional, supervised environments, which seem in many ways to be increasingly segregated from the rest of society. Children are shunted into specially created ‘zones’ – of which schools are the most potent example – to gain particular kinds of experience. The exclusion of children from communities extends to the design of buildings: the acceptable venues for children are designed with high walls and locked doors, and are only populated by children and ‘authorised’ adults. Children’s place in wider community settings – streets, parks, shops, workplaces, among conversing adults – has become more and more difficult to establish. At the same time, the boundaries between childhood, adolescence and adulthood seem increasingly blurred; children are pressured to imitate and perform for the rest of society in a number of influential ways. One of the reasons why this aspect of quality of life seems difficult to identify and sustain is that it comes under nobody’s exclusive ownership. In some respects, it is associated with voluntary and community organisations, but it is also shaped by patterns of voluntary behaviour and by many different local public institutions. The contrast with the individual/tangible quadrant we described first – which is driven by a variety of forces, from the law to health workers – is clear. A positive vision for quality of life for children Under this evaluation, the next stage in improving children’s lives focuses on some of the weaknesses that have been identified, such as pressurising children, emotional development and community trust. However, the most successful strategy for promoting quality of life will not stress the elimination of the ‘bads’ from children’s lives, but instead will concentrate on the positives and how these can be joined together. This section aims to develop in more concrete detail some of the less tangible aspects of quality of life into a robust, practical framework for understanding and organising children’s activity, and how it could link ideas about the individual with a wider cultural responsibility. A coherent framework for improving all children’s quality of life needs to focus on three main elements – aspects of children’s experience and development that are fundamental to their well-being, and which act as umbrellas for a whole series of more specific strands of experience. They are: - climbing trees: establishing independence - running races: learning to perform and growing up - the dressing-up box: social networks, imagination and play. Climbing trees Being good at being a child involves a lot of things that adults don’t understand. Climbing trees, chasing mythical monsters and having a new best friend all require a degree of expertise defined exclusively by individual children. A growing sense of self – the reality of the metaphorical concept of tree climbing – is about children’s own understanding of what enables them to feel good about their childhood. It incorporates ideas of competency, resilience, self-esteem and independence. Exploring how to excel in small areas is about play, understanding risks and boundaries and reaching small but triumphant goals. Metaphorical tree climbing may be based in dreams and fantasy rather than in real action, and may take place in a virtual context on computer games or through Internet exploration. In older people, climbing trees may translate into paid work or independent journeys that embody the same principles of self-help and control. Children’s sense of self can be expressed through the purchase of favourite toys, characters or brands. While there is, of course, value in this, the commercial expression of autonomy has tended to dominate the concept of climbing trees, whereas other forms of children’s control – such as over their own time – have been curtailed. The problem is that adults have forgotten how to climb trees. As a result, when they interpret how children develop their growing sense of self, they tend to focus on the rational, tangible aspects of becoming a person such as gradually earning and inheriting the various aspects of status: the permission to do various things, the ability to earn money, the presence of one’s own place and space, etc. Institutionally, children’s autonomy is most likely to be encouraged when it is conducted on pseudo-adult terms – for example, in school councils, peer research schemes or youth parliaments. But adults shouldn’t try to improve children’s condition simply by giving them replica versions of the status and obligations of adulthood. Instead, they should create a distinctive set of practices and spaces that reflect what is unique about children – without ghettoising these things into separation from the rest of society. The trends we outlined in chapter 2 – such as privatisation, colonisation and risk sensitivity – have limited the opportunities for children to climb trees in mainstream life and the acceptability of actually doing this. So when autonomy is acted out in childish ways – say, in unsupervised chaotic play – adults can lose patience with its value. It can seem pointless because it is not linked to school work. It can seem frightening and risky because it is not directed and supervised by contracted adults. It can seem anti-social because it is noisy and unpredictable. A sense of control over their own lives is as crucial to children as it is to adults. Indeed, in some ways, the learning, repetition and practice of developing routes, strategies, tactics to deal with and enjoy life are more crucial to children and their futures. If we are serious about improving children’s quality of life and, in particular, their emotional well-being, we need to create time and space – physical, emotional, virtual, psychological – where children can be children in the ways they want to be. Running races Children have a distinct relationship with the future because they have more of it than we do. Therefore, part of quality of life for children must be about the learning of skills and knowledge, preparation for adulthood and the instilling in them of a resilience to cope with present and future challenges. All children spend time preoccupied with the future, with what they might become. In addition, there are those smaller exhilarating ways in which children have a sense of moving forward – such as growing taller, telling the time, being praised and making friends among wider circles of children and adults. Running races is a metaphor for the journey towards adulthood. It is also partly about competition and measured skills. Children should be able to enjoy the satisfaction of winning a race or the pride of passing a test in the same way that adults do. Children have an overwhelming interest in the competitive elements of running races, and their definitions of what these might be are immense (jumping highest, longest hair, neatest handwriting, etc.). The problem is that the current definitions of ‘competition’ and ‘success’ are too narrow. The way we publicly coach children for the future is basically inaccurate if our goals for them are a fulfilling life and, in turn, the enriching of other people’s lives. We know that, beyond a certain level, IQ and economic success are not indicators of fulfilling relationships or fruitful lives, so why do we sort and direct children by these rules? We need to broaden our definition of success and increase the range of people who are involved in securing it for children. Crucially, we must enable the public institutions that provide services for children to direct themselves towards these broader definitions. Adult praise about learning should be directed at a wide spectrum of skills and attributes, not in an artificial way, but genuinely reflecting what we value in our lives. Learning the rules of the race – the skills needed to operate in society and the cultural understanding of what is and isn’t acceptable – is an essential part of childhood. This can be as simple as learning how to queue in a shop or cross a road, or as difficult as learning how to negotiate relationships or keep a secret. It is about enabling individual children to have a sense of connectedness to the world. The process of learning how to run races is, by definition a social one, and cannot be managed solely by parents. Responsibility for learning involves a wide range of people – from teachers to shopkeepers, relatives to neighbours. In many cases, conflicting interpretations of what is ‘good’ for children has stifled wider involvement in children’s journeys to adulthood. However, in an increasingly pluralistic and diverse society, knowledge about how to interpret the world needs to be increased, not diminished. Where children have retreated into the family, or where society feels estranged from children, quality of life in this area is weakened. The dressing-up box We need to find a better way for friends, relatives, neighbours and strangers to invest in their own and other people’s children through the exchange of actual and intangible resources. The delivery of these needs to be managed in a way that does not exhaust and deplete those entrusted with this provision, but instead enriches both children and their communities. This gift economy is crucial to children’s quality of life because they discover the world on a miniaturised scale through toys and interactions with others. Today’s children have a wide and diverse set of reference points – for example, television, computers, games, festivals and books – through which they can enjoy and interpret the world. However, we need to underpin these with a firm sense of belonging based on relationships and exchanges. The dressing-up box represents the communal resources, tangible and intangible, that communities provide for children. Hand-me-downs, jumble-sale items, ancient relics and gifts follow a multitude of routes to find their way into the box. Whether the dressing-up box is found in the pre-school, the private home or the drama group, its contents are rarely owned by specific individuals. The shared contents are continually raided for innumerable fantastical purposes, and then returned. The more people who use the box, the richer it becomes. Through the dressing-up box, children are able to experiment with a range of role models, toys and activities. Like the other aspects of the intangible element of quality of life, dressing up is essentially childish in nature. Developing a sense of belonging may be more about fancy-dress parties than about citizenship education. Much of what the dressing-up box represents is intangible: trust, support, beliefs, networks. As children grow, they begin to understand how they can contribute to this invaluable web through formal means, such as art clubs or sports teams, or informally through friendships, visits and favour exchanges. We could create a much richer and altogether better dressing-up box for children. We are more economically wealthy and culturally diverse than ever. But in many ways, the informal ‘social capital’ on which the resources in the dressing-up box depend has suffered over the last generation through such factors as greater geographical mobility, privatisation and a general detachment from other people’s children. A better climate for children requires resourcing more systematically and deliberately the networks that already provide the metaphorical dressing-up box. The next chapter analyses the extent to which the framework of government policy matches this vision of the good life for children. 5. Government and governance [Childhood is] . . . the most intensively governed sector of personal existence. In different ways, at different times, and by many different routes varying from one section of society to another, the health, welfare, and rearing of children have been linked in thought and practice to the destiny of the nation and the responsibilities of the state. (Rose 1989: 121)¹¹¹ As our analysis of quality of life shows, the challenge in the long run is to forge institutional arrangements and social norms that produce the right combinations of individual well-being and collective capacity. In a diverse society, allowing people to forge their own identities through their experience of childhood should be a normal expectation. But for all children to do this, and to enjoy a quality of life that is rounded and sustainable, they depend on the adults around them taking collective responsibility. Therefore, aside from the role of specific public services and policies in producing better single outcomes for individual children, we should be paying attention to the conditions that enhance this collective ability by sustaining social resources from which children benefit. It is all too easy for the cumulative impact of separate policy interventions to become a fragmented, incoherent reality for both children and parents. This chapter looks in more detail at the policy framework that has developed under the New Labour government, and at its strengths and weaknesses in relation to a quality-of-life framework. New Labour and children’s policy The UK government’s efforts towards improving the life chances and opportunities available to children have been significant. The government has inherited and extended a long tradition of growing state involvement in children’s lives. Targeted initiatives The government began in 1997 with a series of targeted initiatives dedicated to reducing or eliminating negative impacts on children in highly focused ways. Many of the targets have focused on improving children’s performance at school. Education policy focused initially on introducing literacy and numeracy strategies to drive up the levels of basic attainment of 11-year-olds, on the grounds that, without such basic understanding, accessing the wider, richer curriculum would be impossible. Further performance indicators for the education service, published annually in Opportunity for All, set minimum standards based on test performance and attempt to increase average performance over time. Family learning and basic skills (one in five adults is functionally illiterate) have also been prioritised through policies aiming to reduce the high incidence of poor adult skills. The latter are seen to have a poor knock-on effect on children’s academic chances. School truancy, which is much higher in the UK compared to other European countries, has also been subject to ambitious targets for reduction. These have been revised in the light of their apparent conflict with the demand that all schools increase attainment levels across the board, including those pupils most at risk of disengagement from education. The government has also established a ‘Connexions’ service, providing personal guidance and advice, including on careers, with a particular focus on young people at risk of disengagement. The aim is that this framework will come to form part of a seamless structure of personalised support, working in conjunction with schools and other public services, to encourage positive transitions through adolescence. Public service agreements pertaining to looked-after children have aimed to improve the continuity of care, improve the educational attainment of children looked after by local authorities and reduce the proportion of children who are re-registered on the child protection register. Recent measures include a new public service agreement target to increase by 40% (or, if possible, 50%) the number of looked-after children adopted by 2004/05, and an Adoption and Permanence Taskforce to help councils improve their performance and spread best practice. A more child-centred health service, partly as a response to the Kennedy Inquiry into children’s heart surgery at the Bristol Royal Infirmary, has also become a priority. A children’s rights director in the Department of Health, created under the Care Standards Act 2000, has begun the implementation of the Children’s National Service Framework to set national standards in a similar way to the National Healthy School Standard. There is also a move to set up qualification standards for surgeons operating on children. Youth justice reform has also been ambitious and ongoing. The 1998 Crime and Disorder Act provided for a range of innovative options to replace the choice between a caution and a custodial sentence for young people. Multiple cautions have been replaced by the Final Warning System. Newly established Youth Offending Teams are able to recommend a variety of orders for reparation, parenting, action plans or supervision. These measures were introduced alongside targets to seriously reduce the time taken from arrest to sentence for persistent young offenders and to reduce the rate of re-convictions among the same group. Over time, the introduction of new targets to improve children’s lives has slowed down as the government aims to consolidate its existing commitments. However, there are still regular announcements regarding targeted initiatives as new fears about children’s well-being are raised. One example would be the proposed new measures to reform sex offences relating to children, and especially Internet offences. In addition, more than 100 MPs signed an early-day motion calling for television advertising to be banned during broadcasting hours scheduled for viewing by children under the age of 5. It isn’t likely that this will become policy in the near future, even though some countries have already acted on these kinds of concerns. Sweden has the strictest controls in Europe, and in 1991, a ban on all television and radio advertising targeted at children under the age of 12 was introduced.$^{112}$ Anti-poverty strategy Alongside this series of targeted reforms in key areas of service delivery, a fundamental pillar of the government’s commitment to children has taken shape through its anti-poverty strategy. This set of radical commitments – in particular, the goal of eradicating child poverty within a generation – has achieved significant progress through a system of tax credits providing minimum income to the poorest families with children and a concerted effort to encourage people into work. Government figures released in April 2002 show that, in 2000/01, 3.9 million children were in poverty, a fall of 0.5 million since the last year of the Conservative government. The tax credit system has become a cornerstone of the wider anti-poverty strategy, though its success has been partly mitigated by lower-than-expected take-up. There have also been major increases in income support for non-working households, but these have generally been insufficient to bring households over the 60% line, which, at a time of increasing average incomes, is a moving target. Encompassing and preventative approaches Alongside this restructuring of benefits and labour market participation, the government has also developed a range of area-based programmes and policies. These aim to strengthen encompassing and preventative approaches – that is, forms of support and intervention that are intended to change some of the conditions under which children grow up, reduce the risks of their experiencing ‘negative outcomes’ in later life and increase the capacity of children, families and local communities to thrive. A National Family and Parenting Institute has been established, and labour market reform has included the introduction and extension of parental leave and time rights – the biggest change in 40 years. A new ‘charter’ encourages employers to allow flexible working for parents with children under the age of six, although it remains voluntary. A £25 million parenting fund, announced in 2002, is being designed in conjunction with voluntary organisations to provide practical assistance to struggling families. Alongside the drive to increase labour market participation, the first-ever National Childcare Strategy was launched in 1998, expanding the number and affordability of early-years education and childcare. The 2002 Comprehensive Spending Review includes a commitment to create an additional 250,000 childcare places by 2006. The management of childcare and early-years programmes within government is also being integrated, creating a combined budget of £1.5 billion by 2005/06. Perhaps the most widely supported, though still in its early stages, is Sure Start, a programme designed to provide intensive, specialised and practical support to families with very young children growing up in extreme disadvantage. Based on evidence – backed by the evaluation of Headstart in the US – that specialised support to parents of children under three can result in higher educational performance, less criminal behaviour and less disrupted personal lives for the children when they become adults, the programme is generally seen as an exemplar of an integrated, flexible and evolving approach to prevention with the potential to affect wider practice and culture in the communities surrounding it. Building partly on Sure Start’s success, the government is now committed to establishing a children’s centre (bringing together childcare, early-years education, family support and health services) in the country’s most disadvantaged wards. Alongside these efforts, a ten-year programme of Neighbourhood Renewal is investing hundreds of millions of pounds in an effort to revitalise the most disadvantaged local areas, addressing their multiple problems through ‘joined-up’ strategies to improve public services, create jobs and develop community capacity simultaneously. The seriousness of this government’s commitment to prevention is shown by the fact that, in two separate government spending reviews (in 2000 and 2002), committees looked at interventions and processes to help ‘children at risk’, and by its initiating a green paper on the same theme in late 2002, seeking to bring together the various ways in which children at risk are identified and supported through public institutions and interventions. This is seen as the priority area of children’s policymaking – both from the viewpoint of children’s welfare and from a cost-effectiveness standpoint. A Children’s Fund, aimed at children aged 5–13, has been established alongside a new Children and Young People’s Unit in the Department for Education and Skills. Services funded via the Children’s Fund are intended to add to existing mainstream and local authority children’s services, through projects that aim to cross existing boundaries between education, health and social service departments. This list of policy interventions is impressive, and has already made a significant difference to quality of life for many children, especially those in more disadvantaged circumstances. Much of the current debate about policies for children has come to focus on the ways in which different programmes might fit together – how a government infrastructure defined by separate services, functions and programmes should be ‘joined up’ to encourage seamlessness in the experience of users, and cost-effectiveness in the provision of facilities and workers. One example of this tendency is the government’s exploration of the idea of neighbourhood ‘children’s centres’, acting as a hub for information and service coordination related to children. Another is the attempt to establish cross-cutting coherence in central government, through the Children and Young People’s Unit, the scope of the 2003 green paper and the establishment of funding streams that aim to bridge departmental boundaries and focus on children as a group. However, the attempt to establish coherence or genuine ‘joining up’ is frustrated by a number of factors, and the implicit emphasis of many other policy interventions carries other risks for children’s quality of life. The rest of this chapter sets out the major concerns. Children as children, not performers A society for which the education of children is essentially about pressing the child into adult or pseudo-adult roles as fast as possible is one that has lost patience. Rowan Williams, The Times, 23 July 2002 The first cause for concern is the government’s growing emphasis on performance. Government interventions may be combining with other cultural and social pressures to focus on children’s individual performance to an unhealthy extent. The most obvious example is education, where children are now measured, tested and targeted at virtually every stage. While the idea that all children can achieve at school, not just a select few, is a welcome development, the way that this achievement is being brought about may well be producing perverse outcomes at odds with children’s wider quality of life. In Denmark, seven in every ten children (70%) say that they enjoy school, compared with just over half in France (56%) and in England (54%). Charles Clarke, Secretary of State for Education, has said that enjoying school should be an expectation for every child. But a major study on pupil motivation found that testing and academic pressure can and do have a negative impact on children’s self-esteem and motivation to learn.\textsuperscript{114} Both children and adults say that the education system focuses too narrowly on academic achievement and neglects other aspects of children’s well-being. One study in Northern Ireland recorded that 17% of pupils experienced difficulties in getting to sleep as a result of pressure on them because of their school work.\textsuperscript{115} But stress is not the only problem. The Prince’s Trust found that young offenders and those at risk of turning to crime felt constantly judged and assessed at school and complained that their teachers did not understand their needs.\textsuperscript{116} Truancy in the UK is high compared to other European countries. Secondary schools reported truancy rates that, at 1.0%, were double those of primary schools (at 0.5%) in 1999/2000.\textsuperscript{117} While government has invested significantly in trying to reduce truancy and school exclusion, it also found deep tensions between trying to improve the academic attainment of most children and the target of including all children in the same institutions. As a result, it effectively reversed its previous policy on truancy in 2001. Despite the good intentions behind the drive to improve performance across a set of formal attainment measures, it is difficult to see how such an approach can avoid a deepening marginalisation among those still left out. The problem may be not so much in the concept of higher achievement for all, as in the institutionalisation of achievement through a relatively narrow range of measures. There is also a danger that the emphasis on individual performance can be detrimental to forms of collective trust that, as we have seen, are also crucial to quality of life. Schools have always emphasised socialisation and social skills, and some newer developments, such as the citizenship curriculum, reinforce this. But the dominant message that children receive about the way that they and their schools are judged is that individual academic achievement is paramount. A performance-based system of intervention is most obvious in education, but it runs through many other aspects of children’s policy. Although it can produce results in specific areas, it fits best with a target-setting approach that cannot address the more complex needs of children. Even where government policies are focused on prevention, they implicitly rest on positive outcomes for children that are manifested in particular kinds of performance. The result is that the key institutions working with children are under continuously increasing pressure to perform, and they transfer that pressure directly to the children. For example, for understandable reasons, the government’s child poverty policy framework is framed around the failure of deprived children to ‘achieve’ in the same ways as their better-off counterparts. The street crime debate has focused on control of the dysfunctional child, rather than seeing society or the street as not functioning effectively for some children. Rather than seeing schools as not functioning properly for some children, we seek to control behaviour even more closely and, in some cases, put police in schools. Performance-focused policies can also make the relationship with parents more difficult, if they undermines parents’ confidence in government as an honest broker of information and opportunity. Policymakers often see more direct partnership with parents as an important goal. However, a sharper focus on contractual relationships, formalised obligations and penalties (such as prison sentences for parents of truants) only represents one strand of the set of relationships that government needs to create to benefit from the input of parents and community members. In the strategy document Building a Strategy for Children and Young People, produced by the Children and Young People’s Unit, the word ‘parent’ appears seven times and the word ‘communities’ appears 52 times. The rationale for targeted interventions focused on performance can only really work when a single problem can be addressed in isolation. So, for instance, vaccination against specific diseases looks, at first glance, like an example of a well-defined problem. But very few of the problems facing children are so neat (in fact, vaccination also raises a series of other social issues, as the MMR controversy has shown). Teenage pregnancy, mental illness, bullying, lack of play space and independent mobility – these and many other problems cannot be solved simply by identifying the visible ‘bad’ that is seen to blight children’s lives and then insisting on performances that reduce them. Targeted interventions can produce perverse outcomes, such as when policies to increase the number of classroom assistants end up in conflict with the strategy to recruit and sustain more childcare workers. The reality of children’s lives is far more complex; they cannot be neatly compartmentalised into different areas of activity called ‘education’, ‘crime’, ‘health’ and so on. Parents usually end up negotiating the differing demands and pressures of various institutions and activities into some kind of coherent timetable, and children usually have to deal directly with the contradictions between different aspects of their lives and the institutions with which they come into contact. The growing concentration on ‘evidence-based policy’, though welcome overall, can help to compound the problems of institutional rigidity and narrow focus. Many of the goods and resources that children rely on have to be provided and negotiated in ‘real time’, and adapted and customised to specific individual and local circumstances. Just as busy parents have to make a series of ‘real-time’ decisions about what their children should eat, which activities are allowable, when they should go to bed, whether to buy them a particular toy or book, government needs to be capable of ‘real-time’ decision-making, based on the best-available information and intelligence, about how to design pathways and packages of service and support for specific communities and families. Evidence and analysis cannot always keep up with change in a diverse, fluid society. Focusing policy only on the forms of outcome that produce formal, measurable outputs risks undermining a broader, less tangible set of goods that may be more influential to well-being in the long run: adaptive capacity, social and emotional resilience, and the ability to make and learn from intelligent personal decisions. The final problem with having a focus on visible performance is that the failure to achieve it produces a tendency towards ever-greater institutional control over children. As Alan Prout, one of the project’s advisers, has argued: The cycle is one in which children as a primary target of prevention seem caught in a system that can respond to its own failure only by ratcheting up control. Alan Prout$^{118}$ For instance, England and Wales imprison around 10,000 children and young people every year. This is more than any comparable European country. Children and young people make up 16.3% of their prison population, compared to 10.2% in France and 6.8% in the Netherlands.$^{119}$ The main conclusions of this analysis are two-fold. First, if ‘communities’ want children who fit in with social norms, then the ‘communities’ must recognise the need for active commitment and investment in the task of supporting the positive socialisation – and the quality of life – of children. Second, if government wants to achieve preventive goals in the long run, it must ensure that its various efforts fit into a coherent overall framework that is capable of continuous adaptation and ‘real-time learning’ and of lateral coordination across geographical areas and separate services. In addition, its delivery of services and facilities must have the effect of increasing informal contribution of citizens and community members to other, informal goods that also impact on children’s quality of life. All children, not just poor children Until now, there has been a strong argument for saying that the most important priority for improving children’s lives is to tackle poverty – the form of deprivation that most directly impacts on other aspects of quality of life. Debating ‘intangible resources’ is irrelevant while so many children continue to grow up in poverty. The problem with this position is that it is unable to articulate the positive goals of childhood – what a poverty-free childhood should be about. But addressing income inequality for its own sake, while justified, cannot become a long-term vision for children. Placing attention on reducing poverty, as opposed to increasing quality of life, risks creating services that are stigmatising or unappealing for those they are aimed at, while feeding a detachment from children’s quality of life issues among the better-off and non-parents. In the meantime, waiting for poverty to be abolished means that some of the worst problems of today’s children are not tackled. This delay affects all children, not just poor or disadvantaged ones. The problem facing too much of the government’s agenda for children at risk is that it ends up trying to compensate for the inadequacies or dangers in the experience of some children by recouping the deficit. Because it is not able to articulate clearly the full range of goods contributing to a good quality of life for children, such an approach cannot necessarily reinforce or support the conditions and common resources that enhance children’s quality of life. It may be that government simply cannot provide some of these resources, although it could still help mobilise others in society to do so. But it is crucial to recognise that the chances of continuing to improve the lives of poor children depend heavily on the ability to prioritise quality of life for all children. Children’s lack of voice and power is one of the reasons that they have come to suffer so disproportionately from poverty. But without a common understanding of what children need from their surroundings in order to thrive, and of the importance of such common resources as air, space, trust and consistent expectations, it is difficult to see how ongoing compensation for financial deficit can lead to ongoing improvements in quality of life, or how the effort to tackle disadvantage can be legitimised. Creating a broader framework of quality of life is key to establishing commonality of interests between the middle classes and the rest of society over the next decade. Basing public policy on a deficit model fails to recognise that quality of life is not a linear process related to the ‘gradual actualisation of needs’. In current policy terms, this would mean moving from ‘socially excluded’ to ‘achieving full potential’. Rather, it is a combination of complementary positive states, as described in the earlier chapter on children’s quality of life. So many of the problems that children face today are to do with a failure of balance. For example, the child under pressure at school may begin to experience poor self-esteem, and the child kept away from the community will lack the necessary skills to cope with encounters with traffic or strangers. A deficit mentality that produces policy interventions designed directly to compensate – rather than providing the conditions under which children and families can create their own forms of balance – will always be limited in its effectiveness. Cultural commitment, not contracts Since the Children’s Act in 1989, the role of contracts and contractual relationships in children’s lives has grown steadily. Contracts and formal accountability are some of the main tools available to lever up outcomes. As parents have become more risk averse, so have institutions dealing with children. The growth of a contract culture, of litigation and of claims and counter-claims for compensation mean that, in many areas of children’s lives – from food retailing to education, health and safety in play spaces to the regulation of childminding – formal rules and requirements are laid down in increasing detail. High-profile failures – particularly those periodic failures of child protection, of which the latest focus is the Victoria Climbié inquiry – also produce responses that encourage even greater professionalisation and contractualisation of the responsibility for children in different settings. But the use of contracts to specify the terms of relationships with children is not always appropriate to the forms of care and support that the children should be given, or that arise in more natural settings. Perversely, the contractualisation of responsibility may undermine wider cultural support for children’s needs, making it ‘someone else’s problem’ most of the time. It often seems to do little to increase the capacity of families, parents or wider communities to provide positive, adaptive responses to the needs or interests of children. Some policies do attempt to address this issue by seeking to build collective commitment and capacity for children in local community settings. Again, Sure Start is probably the clearest example. But these efforts currently run against the wider grain, and finding ways to spread their reach and increase take-up is proving stubbornly difficult for government. The task is to build capacity to define and secure quality of life – by definition, a collection of social rather than just individual goals. Further progress in achieving this for the most vulnerable and disadvantaged children rests partly on our ability to locate that effort within a wider framework and cultural commitment – the bonds of community and the institutions with which everybody interacts. These interconnected tasks will not be achieved by a government that is reliant on national control, functional separation or fragmented policies. Currently, the Labour government is committed to moving beyond these problems, but is unsure about exactly how to do it. From policy to governance: why children’s rights are not enough This discussion of public policy interventions and some of their limitations has implicitly highlighted the role of governance – the rules, structures and forms of accountability that are used to shape children’s entitlements and access to resources and opportunities. One crucial part of this debate focuses on the structure of government itself, and the extent to which children’s interests and voices are built into it. But governance also includes non-governmental factors, including the role of other institutions in the public realm, and the impact that they have on children’s lives. In the rest of this chapter we examine the specific challenges relating to governance, some of the alternative models on offer and the role of various sectors of society and tiers of government in contributing to solutions. In broad terms, the challenge is to achieve a form of ‘joining up’ – ensuring that what children need is also what they are entitled to, and that they can access it in ways that reflect the reality of their lives rather a set of formal or institutional structures. The current approach to these issues tends to be highly pragmatic and attempts to use strategic powers and organisational structures to ‘bring together’ the resources and expertise needed for joining up. This ‘what matters is what works’ approach has some benefits, but will not deliver sustained, long-term progress. In contrast, the major alternative currently advocated is a framework based explicitly on children’s rights. However, while some elements of the children’s rights agenda raise major challenges, it does not in itself provide a comprehensive basis for determining children’s access to resources, opportunities or power. What matters is what works: joined-up government for children The problems of fragmentation and unresponsiveness in children’s services are now widely recognised. From children who fall through the cracks of child protection systems to programmes that seek to combine punishment and rehabilitation more effectively with educational and family support, policy has made a priority out of ‘joining up’. The fact that most of the costs of not treating children during childhood fall to different fundholders (the courts and prison services) than those who would pay for the treatment in childhood (local social services and education) has been made increasingly clear. The explicit rationale for such restructuring has almost always been that integrating or reshaping services and the structures through which they are delivered can lead to better outcomes – in other words, what matters is what works. To that extent, the restructuring of governance frameworks has been a pragmatic, ongoing process, in which organisational change and reviews of impact and effectiveness become constant elements in the process of service delivery and reform. The ‘Best Value’ and ‘Quality Protects’ regimes in local government, the review of the national childcare strategy, the introduction of youth offender teams and Connexions advisers, the creation of various strategic units in central government departments, the Treasury’s cross-cutting reviews of children at risk – all these reflect a desire to structure organisational responsibilities, allocate financial responsibilities in more coherent ways, address the needs of children ‘holistically’ and enable responsiveness at local level to individual and community needs. Hundreds of other initiatives are financed through the Children’s Fund and are therefore not filtered through the different agencies but come centrally through the chief executive of the local authority, giving councils a greater role and raising the profile of the projects. The latest manifestations of this approach are: - reviews of local governance structures for children - the piloting of ‘Children’s Trusts’ – single local bodies with commissioning and spending power across a range of local services, charged with planning, shaping and monitoring service delivery for children as a group - the green paper on children at risk, initiated in late 2002, which seeks to identify how existing systems for dealing with children at risk of social exclusion, persistent offending, neglect, abuse, educational disengagement and so on might be brought together still further so that they work more effectively and more resource-efficiently, rather than duplicating each other’s concerns and responsibilities without adding to each other’s impact. In Hertfordshire, the county council has merged its department of education with the children and families staff in the social services department to create the ‘Department for Children, Schools and Families’. Brighton and Hove City Council have undertaken a similar integration of children’s service staff and budgets previously separated into functional departments. In central government, the current political interest in better representation for children has been manifested in a cluster of new structures designed to strengthen the place of children in policymaking. Consequently, in 2000 the government announced new structures for England – a minister for young people, a cross-cutting Children’s Unit and a Cabinet committee chaired by the Chancellor. The cross-cutting Children and Young People’s Unit (CYPU) has certainly been one of the most interesting developments and the closest the government has come to defining quality of life for children. It is designed to influence other government departments to take an active stance in improving children’s lives. Many children’s charities have applauded this political interest and welcome the government’s intention to develop England’s first inclusive strategy for children. The strategy has a wide and positive definition of children’s welfare, including health and well-being, achievement and enjoyment, participation and citizenship, protection, responsibility and inclusion. This definition includes processes such as participation, as well as outcomes such as health or achievement. These new structures are welcome, but they will not provide lasting improvement on their own. At national level, it has proved difficult to ensure that the high-level focus of new units and strategies has a genuine effect on the wider structure and priorities of other departments and existing service budgets. Creating a holistic overview of children’s needs, as the CYPU has set out to do, is one step towards delivering them at ground level. But the allocation of budgets and the priorities of other professions, service delivery organisations and policymakers are still shaped and influenced by a much wider range of pressures and incentives, many of which cannot be redirected from the centre. The creation of a powerful Cabinet committee focused on children, also mooted in recent years, might well act as a focus for more coherent political decision-making, but does not automatically translate into different priorities at other levels of government. Equally, the perpetual reorganisation of formal structures, while it may have a positive impact, is not sufficient for changing the quality of relationships between children, families and service providers. It is possible to restructure quite radically without changing the underlying culture, either of professional ethos and outlook, or of parental and child involvement in decisions over what is best for children. Without a more explicit and positive definition of the kinds of lives children should be living, and the role they should occupy in a wider institutional and governance framework, the effort to reshape and join up services will always be liable to being blown off course by competing priorities. Participation One response to this problem is the growing emphasis on children’s participation.$^{120}$ Citizen involvement in consultation and decision-making has grown rapidly in recent years, and young people have been no exception to the trend. A special focus on citizenship education and community involvement has brought democratic participation for young people into the spotlight. Public institutions at all levels are now experimenting widely with new methods of involvement, from consultation panels to youth parliaments, advisory groups to online polling. As Labour MP Hilton Dawson recently put it: ‘The participation of children and young people in the work of government is the next big idea.’ The Department of Health social care group has spearheaded children’s participation in England; the Department for Culture, Media and Sport consult children in its museums and library sectors; and the Downing Street website runs the ‘10 out of 10’ page for young people. In local authorities, encouraging children’s participation is also becoming more mainstream. Young people, families and communities are seen as key stakeholders who should be consulted and involved in developing services. A study conducted by the IPPR in June 2002 found that 90% of councils responding to a survey in conjunction with the Local Government Association valued the involvement of young people.$^{121}$ Successful solutions to the challenges include youth forums and councils, outreach work at bus stops and peer research schemes. A direct example of where children’s feedback has affected policymaking can be found in a white paper from the Department for Education and Skills. It proposes new ‘pupil learning credits’ to ensure that poor children have the same opportunities to go on school trips and take part in school clubs as their more affluent peers.$^{122}$ The argument is that, if children and young people have a right to have their voices heard in the formulation of policy, the decisions are more likely to reflect their needs and interests. But despite the growing range of consultation practice, there are a number of unresolved issues about its status. First, consultation is not universal, and does not necessarily happen in the most important areas of children’s lives. For example, pupil participation in education remains a subject with which education policymakers, and many schools, are uncomfortable. Children have no legal right to be treated as equal parties in divorce proceedings – either in court or in mediation. The British system contrasts with other jurisdictions such as Australia where there is a system of separate representation for children in divorce proceedings. Second, consultation is rarely directly linked to the exercise of power. There seems a real danger these days that involving and listening to children will be seen by policymakers and service providers as an end in itself, rather than the means by which we work with children to get things changed for the better.$^{123}$ For this reason it tends to be older children, children who are home educated or children who have learned to speak the language of adulthood who are often picked as the champions of their generation.$^{124}$ Participation can easily become a form of symbolic tokenism, or replicate the traditional weaknesses of consultation processes. They provide no real guarantee that institutional decision-making will become genuinely responsive to the evolving needs and interests of young people. The danger is that, in trying to become more responsive, we simply ask children to become mini-adults. An alternative approach – children’s rights? Rather than waiting for institutions and social norms to adapt on their own, the children’s rights model implies that codified status and legal enforcement are needed to ensure that all children get what they deserve. Given the political powerlessness of some groups in society, a rights-based framework seems to offer a protection that would otherwise leave children exposed to disadvantage and discrimination. Campaigners see the establishment of the Disability Rights Commission in April 2000 as an important precedent for rights-based policy enforcement. In addition, the explicit mention of ‘age’ in the list of prohibited grounds for discrimination in Article 13 of the treaty establishing the European Community seemed to confirm that children’s rights would soon feature much more highly in political debate. Currently, the campaigning focus of the children’s rights movement in England is to establish a commissioner or office through which these rights can be reported on. Commissioners and ombudsmen have been appointed in such far-flung places as New Zealand, Sweden, Poland, Iceland, Austria, Spain – and Wales. The UK government has ratified the United Nation’s convention on the rights of the child and is committed to upholding children’s rights. However, it has so far resisted calls to create a children’s commissioner in England to follow the Welsh example. Ultimately, the Human Rights Act means that children, like adults, can seek redress from the European legal system to defend their essential rights. But the argument of children’s rights campaigners – primarily based on the idea that children have a right to be involved in decisions affecting them – goes much further. However, it is difficult to see how children’s rights could be the organising framework for all issues affecting them. Not only is the issue of power over and responsibility for children more complex, but translating rights into workable community institutions and patterns of service provision is not straightforward. The campaign to establish commissions and commissioners for children’s rights risks creating a bureaucratic infrastructure that may raise the profile of some children’s issues but do little to equip us further to solve them. The problem that children face is that their relationship with the rest of society is more complex than most of the other groups that have used the rights-based frameworks with varying success. Differing interpretations of rights, and the conflict between different kinds of rights, mean that whoever holds the power of interpretation becomes $a$, if not $\textit{the}$, central issue. One recent example is the debate over child labour in developing countries. The wave of child unions being started to create rights and expectations at work for children and campaign for better pay and conditions is in direct contradiction to a different interpretation of the right to a childhood free of exploitation, or the right to a decent education. Working out the correct set of solutions in each context requires judgement, power and negotiating skills that cannot be extrapolated automatically from the existence of an abstract right. A further complication is the issue of responsibility. While the last decade has seen voluminous debate on matching rights and responsibilities, the alignment between children’s various responsibilities and the age at which they access formal rights and entitlements is, to say the least, uneven. For instance, children are not fully responsible for themselves before they reach 18, but can be made criminally responsible much earlier. It is currently unclear how a campaign to entrench their social, economic, political and cultural rights relates to a coherent account of the growth of their responsibilities. The strengths of a rights-based approach would be in identifying discrimination and clarifying responsibility in cases of failure. It would focus on campaigning against obvious ‘bads’ – for example, suing schools or parents who fail to fulfil their obligations. But it is far from clear that the route to better outcomes for all children is to give them access to formal dispute and arbitration systems and encourage them to defend and articulate their rights in every situation, including sometimes against their parents. There is a delicate balance to strike here. Children are regularly neglected, ignored or exploited because of their lack of power, voice and status. But whether or nor they have more comprehensive formal rights, they remain dependent in practice on others for their well-being; dependence is one of the central characteristics of childhood. Partly because of their dependence, children’s judgements over what is good for them are only ever partially authoritative; parents, the state and other institutions also have to play a role. Some rights are clearly necessary as a minimum foundation for children’s participation in wider society, but in reality, they tell us little about how to structure public institutions, services and communities so that they create and improve quality of life for children. As we have argued, much of what children depend on to thrive rests on a set of collective and cultural resources. In this context, it may be more productive and more influential to strengthen the conditions and commitments on which children depend, rather than their ability to demand their rights from those around them, and seek compensation if they are not met. In particular, we should be learning more from the institutional model of the family, in which children occupy a central position and are increasingly involved in a process of negotiation and informal adaptation, designed to serve their interests in a wider environment subject to continuous change. In short, rights prove a valuable starting point for advocacy and campaigning, but they do not provide a working model of the good society for children. Beyond these dimensions of governance, which are primarily concerned with legal rights and the structure of administrative institutions, there are broader factors that are equally influential. At local level, government and the public sector have a crucial role to play in encouraging and reinforcing voluntary commitment to children. The media are also a major influence, and the role of civil society, including voluntary organisations dedicated to children’s issues, can also be critical. These issues are addressed in the final chapter, as part of a long-term agenda for improving children’s quality of life. 6. A children’s decade A cross-sector agenda for improving children’s quality of life Given the analysis presented in this report, a single question clearly stands out from any discussion of the changes that might be needed. How can children’s quality of life and well-being, expressed in broad and balanced terms, become more of a priority for the whole of society, as well as for those people and institutions who have a direct interest in children? The danger with any recommendations is that they inevitably lean towards those areas of action that can be most easily affected through simple changes. We have argued that quality of life for children is enhanced or undermined by the workings of complex, overlapping systems in which the whole of society is implicated. We cannot improve children’s well-being only by making public services work better or by sharpening the responsibilities of parents. In this final chapter, we set out an alternative approach that places the reshaping of government and governance for children in the broader context of cultural and community support for children. Our recommendations include structural changes in political and administrative institutions, primarily designed to give children greater power and visibility in certain kinds of decision-making. But the bulk of our recommendations focus on creating the conditions under which all kinds of institutions can provide more effective support to parents and to children in securing quality of life for all. In part, what we need is a framework of institutions, priorities and relationships that helps to mediate and resolve conflicts and contradictions in real time. So we need to develop a vision for children that maximises their quality of life but also enables flexibility and adaptation in relating multiple demands and pressures in a given setting. We also have the inherent tension in approaches to children’s interests between control and guardianship and empowerment and autonomy. We are not saying that a child’s life experiences should be perfectly coherent. Diversity of experience is crucial, but it is the capacity to fit them together, relate them to each other and count on some kinds of basic security that is also necessary if a child is to thrive on diversity. However, at the moment, we have many different institutions pulling in different directions, and children (mostly with their families) trying to find a way of holding them together in order to negotiate a safe passage through young adulthood. Here we offer a broad, long-term agenda for children’s quality of life. Not all of the issues we have raised are susceptible to immediate solution. However, it is possible to imagine a process through which children come to occupy a more central place in our cultural priorities, and through which various institutions combine to produce better outcomes, more enjoyment and richer life experience for children, which is understood and valued for its own sake, as well as for its contribution to their future lives. Votes: why children need political power The starting point, however, should be politics and government. Children, who have no political power of their own, will not automatically find their interests defended in the ongoing process of political change unless they are understood as a constituency in their own right. While individual policy areas such as education will retain high profile and widespread support, it is unrealistic to expect that children’s interests will become explicit in other forms of decision-making, such as planning and transport policies, while they remain invisible citizens. One function of the state has always been to regulate in ways that protect children from abuses of adult power. These forms of protection remain vital, but in a quality-of-life framework, government also needs strong incentives to act in ways that positively promote children’s interests and well-being. But when children represent a steadily declining proportion of the population, the pressure for political priorities to go elsewhere will be strong. Fifty years ago, 60% of the population was under the age of 20. By 2020, the proportion will be less than 25%. Children are almost the only group in society not to have benefited from the extension of the franchise. that occurred over the last two centuries. As Stein Ringen has argued, this structural imbalance helps to explain why children have been so disadvantaged by the last two decades of economic change. Rather than trying to write a detailed list of rights that the state should somehow be able to guarantee, granting children one central right would give them a clearer, more powerful place in the political process: the right to vote. Most debate over voting age currently focuses on reducing it to 16. This could have some positive impact, but does not go far enough. A bolder step would be to align the age of majority with the age of criminal responsibility, and move both to 14. This is not an age at which young people should be expected to operate as adults in every respect. The process of establishing independent adulthood now extends, for a growing number, well into the 20s, as people spend longer in education and getting established in the job and housing markets. There is no reason why voting should be seen as an important staging post, coinciding with a change in the phase of education towards a new five-year ‘pathway’ in which the individual takes a more active and responsible role in shaping their own learning. This is already envisaged by the government’s proposals for reshaping education for 14- to 19-year-olds. Many will argue that raising the age of criminal responsibility, after it has been reduced to cope with the prevalence of offending by very young children, is unrealistic and irresponsible. But the formal age of responsibility is not an exclusive precondition of effective punishment, prevention or rehabilitation. The debate over criminal justice interventions for children should be focused in any case on their family, community and personal circumstances as well as their social development and ability to tell right from wrong. Punishment before 14 could still be swift and, if necessary, severe. But it should be accompanied by a stronger focus on what other agencies – and the wider community – can contribute to prevent future offending. There is something troubling about imposing legal responsibilities on children when their own legal status as citizens is non-existent. A reduced voting age would be one step, but still does not address the interests of most children: those under 14. Here we reiterate the suggestion put forward by Stein Ringen in his Demos pamphlet of 1997, that all children should be issued with votes at birth.$^{125}$ Their families could then decide who would exercise this vote, with the default going to the mothers or any other primary carers, until the children reach the age of 14. Parents could be encouraged to cast the “baby ballot” in consultation with their child, and to think explicitly about the child’s interests. But in any case, children’s votes would reinforce the importance of families with children as an electoral constituency. Central government: promoting coherence and transparency The structural changes to electoral representation recommended above would go a long way, over time, to giving children the weight they deserve in political decision-making. But there are also several changes that could give them a more consistent place in the priorities and implementation methods of central government. There is no perfectly designed institutional structure that can provide automatic solutions. But the changes put in motion over recent years could be consolidated and strengthened by a commitment to make ‘holistic decision-making’ for children a priority of central government. The Cabinet Committee on Children, chaired by the Chancellor and including secretaries of state from all the main spending departments, should become a more frequent and explicit focus for setting priorities and reviewing progress across government. Long-term targets and public service agreements concerned with children should be reviewed to establish cross-cutting responsibilities, such as reducing obesity in children, improving their independent mobility and attacking the increase in depression and psycho-social disorders among children and young people. Ministerial portfolios should be restructured to create a single, powerful focus for different age groups, with ministers’ job descriptions designed explicitly to make their responsibilities cross-departmental. Policy teams and departmental divisions should be given performance targets and reward structures that explicitly emphasise the need to develop policies and strategies that cut across existing departments and policy functions such as health, education and crime. One option would be to create three distinct ministers: for very young children, for children aged 5–14 and for young people – a shift that would build on existing portfolios. The government should ensure that these ministers’ responsibilities include greater leverage over the areas covered by ministers responsible for specific services. One idea currently being proposed is the creation of a single, dedicated, national agency for children. This has some attractions – bringing responsibility for children under a single roof, creating explicit lines of accountability and integrating financial resources, and clarifying priorities and responsibilities at national level. But we believe that such an agency would probably be a red herring. Not only would it be expensive and time-consuming to establish, but trying to separate off the implementation of policies for children from other areas would be counter-productive, to say the least. While there are many public service institutions concerned mainly with children’s welfare in one way or another, the greater challenge is to embed a concern for children’s well-being in the way that most other systems in society – transport, the labour market, environmental protection, the media, and so on – all work. A separate, hived-off agency, however powerful, would struggle to achieve this in practice. Without large amounts of administrative and financial power, such an agency would effectively be marginal. A different way for central government to influence the workings of governance more widely would be to bring together and redirect the priorities of the inspection and regulation agencies concerned with children. For example, OfSTED, the schools regulator, reports frequently on the standards and quality of education provision, but not on the outcomes for children in wider communities. A separate Social Services Inspectorate reports on the quality of social work, while the Audit Commission reviews the effectiveness of children’s services in local authorities. We therefore recommend that OfSTED, the Social Services Inspectorate and the Audit Commission, together with the newly established Commission for Health Improvement, should form a network to produce integrated priority reviews of quality, of the impact of public services on children and of the role of geographical area-based strategies for children. The reviews’ focus should be explicitly directed towards children’s quality of life, the contribution of various factors to it and the effectiveness of government and public service providers in working together to achieve it. One priority for these joint reviews should be identifying the relationship between mainstream, universally available service provision, especially schooling, and services dedicated to children already at risk and on the margins. In particular, the government has an urgent need – one that will not be solved by its current policy processes – for a clearer understanding of how the performance pressures on universal systems can exacerbate the problems of under-achievement and marginalisation, and how, in turn, these systems could become more effective contributors to long-term prevention. Government could also introduce ‘child-impact’ statements in major policymaking exercises on issues likely to affect children’s quality of life. It appears that Sweden and the Flemish community of Belgium are the only jurisdictions in the world to have introduced legislation requiring child-impact analysis, though the Scottish Executive is also committed to introducing systematic ‘child-proofing’. Taken too far, such processes just add further layers of bureaucracy, but as an aid to understanding the impact of such decisions as road or airport expansion, food chain restructuring, housing investment and so on, they could become indispensable in making children’s interests more central. Central government, through the Office for National Statistics, could initiate a comprehensive and regularly published review of children’s quality of life (as currently advocated by Save the Children) across a range of measures including self-reported happiness and satisfaction levels for key services. Establishing an appropriate spread of indicators that could be used universally and would apply at local level in most neighbourhoods would take time and effort, but could have a major impact on our understanding of how quality of life for children is changing. Responsibility for collection and interpretation of this data should not rest solely at national level, but become a key responsibility for local government and other agencies dealing with children (see below). Finally, in the area of information and transparency, the Treasury should introduce regular generational accounting – a comprehensive report every two or three years – setting out how the benefit and burden of existing spending, borrowing and investment will impact on different generational groups, now and in the future. The law: the role of legislation in improving quality of life The law has also been an important tool in delivering quality of life to the individual child’s tangible needs by promoting good and preventing harm to all children, not just the more affluent ones. The state and the law have long had a role in protecting children from abuse and exploitation by other groups in society. So there are laws limiting the hours of paid work that children and young people can perform, laws limiting their sexual relations and laws protecting them from media intrusion. Children and young people cannot be named in court without the permission of the judge and cannot drive, drink or gamble. (See Appendix.) The most significant piece of legislation in the last generation has been the Children Act 1989, which simplified and rationalised the law and repealed over 50 pieces of legislation relating to children’s welfare. Perhaps most significantly, the Act introduced comprehensive responsibilities for local authorities in planning children’s services and offering children minimum levels of protection and support. The Children Act introduced the concept of parental responsibility in place of parental rights and encouraged a ‘no order principle’ which deems it in the best interests of the child for matters to be agreed without a court being involved. More recently, the increasing frequency of reform in children’s services, the high-profile focus on the failures of child protection systems and the new risks posed to children through, for example, the Internet have encouraged the idea that a new Children Act is needed to reintegrate and rationalise the various legislation affecting children’s lives, particularly through regulation and control of the public sector. There may well be a case for such legislation following the results of the Victoria Climbié inquiry and the possible restructuring of systems for supporting children at risk. Our argument would be, however, that we should resist the inevitable temptation to legislate for every possible aspect of children’s relationships with the state and with adults in authority, for their expectations of service providers and for the regulation of other sectors such as the media. There is a case for reviewing the coherence of children’s legal rights and responsibilities. Despite the significant advances embodied in the Children Act, there are still gaps and inconsistencies in children’s legal status. They can participate in war before they can marry without their parent’s consent; they are criminally responsible before they can buy cigarettes; they can drive before they can vote; and so on (see Appendix). It probably also makes sense to adjust the definition of governmental responsibilities for services to children to reflect a more coherent strategic role for local authorities (see below). But it will never be possible to lay down in law every aspect of how children should relate to society, and there is an ever-present danger of further contractualising and over-formalising some of these relationships. Law can create minimum standards and formal accountability. But our reliance on the law may have worked against trust and shared commitment to informal problem-solving. Think of the hotels whose health and safety policies do not allow them to give a child a plaster, or the school banning the making of daisy chains during playtime. In the summer of 2001, one teachers’ union advised its members not to take children out on school trips because of the risk of litigation. Writing ever-more detailed laws is unlikely to ease this growing problem. If legislation does become a serious possibility, we would recommend following a similar approach to the recent Race Relations (Amendment) Act 2000, which introduced a positive duty on public sector institutions to target discrimination and promote race equality. A sensible step would be to make it incumbent on all major public institutions to promote children’s quality of life and well-being positively. However, this would be no more than a foundation for a much broader set of changes, many of which must include voluntary action and cultural change. Rather than establishing a separate Commissioner for Children’s Rights with all its associated bureaucratic infrastructure, government should incorporate responsibility for preventing discrimination against and exploitation of children into the brief of the new, integrated Equalities Commission that it is now committed to creating. Age discrimination is likely to become a more visible and hotly contested issue, for young and old, over the coming decades. Local governance: reviving intermediary institutions? For citizens, the most important level of ‘joining up’ is the local. This is especially true of children. So while the central government framework remains important from the perspective of equity and benchmarking, it is direct interaction with service providers, public institutions and the wider environment that makes the most obvious everyday difference to quality of life. The role of local government in securing outcomes for children has become more ambivalent, not less, in recent years. In statutory terms, the shifts in obligation and structure that local government and other services have gone through reflect a desire for greater strategic coherence. Examples of this are the duty to promote community well-being that all local authorities now carry, and the creation of many different cross-agency partnerships, most notably local strategic partnerships, which aim to develop collaborative relationships across sectors and agencies to make services more responsive to citizens. But these partnerships suffer from two main weaknesses. First, they tend to reflect the overlapping objectives and unequal power distribution of the various institutional systems that feed into them, so that for many organisations, especially voluntary and community-based ones, they seem to represent talking shops dominated by public sector interests. Second, the level of strategic discussion of these partnerships tends to remain abstracted from the operational level of most delivery organisations. They still cover relatively large geographical areas, and it can be difficult to create meaningful connections between joint objectives and ground-level outcomes. As a result, local-authority and other services still suffer from considerable fragmentation. This problem has been exacerbated by the growing use of alternative means to promote national prescriptions or performance measures. So while the government is increasingly committed to devolution of autonomy to ‘the front line’ and to decentralisation of decision-making in key services, the stronger use of performance targets, accountability frameworks, dedicated budgets and so on can make it more difficult to enable separate services to work together locally. The most problematic manifestations of this occur when different services compete for resources because of their differing political salience. Many local authorities find that their social services commitments are hard to fund within existing budgets, but also feel strong pressure to find extra money for education, a service much more likely to win votes and approval from the centre. At a local level, the government needs to change tack, away from creating new funding streams that come into conflict with mainstream structures. It should focus instead on renegotiating the way in which children are viewed in a local context. One possible solution to these problems is the further reshaping of local government functions to organise budgets, service management and activity more explicitly around children. For example, both Hertfordshire and Brighton and Hove councils have recently restructured by bringing together education with the relevant parts of social services, to encourage a more holistic focus on the overall needs of children. The form that discussion has centred around is the idea of the children’s trust, which would somehow have both the power and the freedom to concentrate on children’s interests across the range of relevant services. Children’s trusts might be the focus of strategic service management, or they might become a commissioning body, holding relevant budgets and contracting with other service providers, including those within the relevant local authority, in order to maximise positive outcomes for children. This idea could have a significant impact. It might encourage joint planning and reviews of services that influence children’s lives, and it might strengthen some of the linkages between activities that should be complementary. But as noted earlier, there are great dangers in perpetual restructuring. If the definitions, pressures and incentives acting on children’s service providers do not change at a deeper level, it is difficult to see how they would have a radical effect. The argument is that it is not just better delivery of existing objectives that matters, but a broadening and rebalancing of goals and the creation of new relationships between public institutions and informal social resources that can make the most difference. Nevertheless, we recommend that, whether it takes place through a single reconstituted children’s commissioning body or not, developing a single, cross-agency strategic function at local level, capable of identifying and procuring the appropriate resources to support individual children in different circumstances, should be a priority. It is relatively easy to see how such a role for older children might grow out of recent changes to the youth and careers service. The new Connexions personal advisers potentially form the core of a service that could offer advocacy and advice to young people and their families, and play a powerful ‘brokerage’ role in accessing services and designing pathways for teenagers. For younger age groups, such a role might also emerge quite naturally from some existing responsibilities among social workers and health visitors, as Lisa Harker of the IPPR has argued.$^{126}$ The long-term goal should be that all children have access to a community-based professional whose responsibility it is to ensure that their development is supported as actively as possible by public services, community institutions and informal sources of support and information. In effect, a new kind of infrastructure would emerge from this relationship, whereby the individual child (and his or her family) can use their link with a ‘child development’ service as a passport to access a much wider range of resources. Two questions arise from this idea, however. One is whether such a link between children and community workers could ever be strong enough to bring about real change in the institutional options available to children and families. The second is whether such workers could ever generate the trust needed to work effectively with the children and families most in need of support. Building local trust, local space and children’s assets The answer to the second question above relates partly to the forms of intervention that child development workers would be responsible for. As Lisa Harker has also argued,$^{127}$ while social workers are responsible for making decisions about child protection that could involve taking children away from their parents, there is an inevitable limit on the extent to which they can be trusted by their clients. Equally, while their role is focused only on such marginal cases of children at risk, the relationship is always likely to be a stigmatised one. There is no easy solution to this, but there are ways in which this crucial link between child and state could be made more productive. The first is for the roles of children and parents in negotiations to be made more explicit and better recognised, so that their roles as co-producers of any solution and as respected participants in the process are understood. This point is argued in greater detail in relation to the child protection system in a forthcoming Demos pamphlet.$^{128}$ The second way is that, rather than the function of the child development professional relating only to the more joyless elements of local public service planning and management, it needs to be connected to a much wider range of strategies for building trust and inclusive social networks for children across local communities. As we saw in chapter 3, the quality of cultural space for children – that is, the strength of adult expectations, availability of supportive social networks and role models, range of informal learning opportunities and safe spaces to play – has an important impact on children’s quality of life. These factors are influenced indirectly by such factors as housing mix, levels of violence and fear, poverty and so on, as Robert Sampson’s work in Chicago makes clear.\textsuperscript{129} However, through the relentless focus on performance management and institutional accountability, it has become all too easy for policy to concentrate only on those aspects of quality of life that come under the direct control of public service institutions. Policies for building trust and community capacity, while recognised as important, in practice receive a far lower priority than the incremental improvement of mainstream, managed services. One way to address this imbalance would be to make the focus of a new child development service the explicit adding of value to the resources and facilities available for children in a specific community. A useful part of this task would be expanding the \textit{spaces for play and learning} available to children between home and school – in parks, museums, libraries, leisure centres and so on – and ensuring that they are linked together, and to other children’s services such as education and crime prevention, in effective ways. Although virtually all local authorities have a leisure strategy, and many are also investing in parks and green spaces, there is relatively little joining up of these activities. The government recently announced a £200 million investment in improving play spaces and facilities via the New Opportunities Fund. So far, however, this review focuses only on improving the quality and availability of dedicated play schemes and facilities. Building on this commitment, government should develop a national play strategy, prioritising an increase in active, independent play, linking it to public health and educational objectives, and building the commitment from public, private and voluntary sectors to increase the accessibility of play and learning opportunities for children in all communities. A new national play leader would coordinate and pioneer the strategy. One interesting example of a new approach to these issues is Discover, a community learning centre in Stratford, east London. This offers children hands-on, interactive learning opportunities through a dedicated centre that can house various exhibits and activities, and a network of outreach and development activities with local parents, schools and community groups. Such centres provide important clues as to how ‘children’s centres’ might work in practice – building informal social networks, participation and trust across local communities by offering a particular kind of high-quality experience to children themselves. A play policy should also make it easier for communities and children to change rules affecting play space – for example, altering traffic routes and parking rules to develop ‘home zones’, and receiving permission and support for one-off events like street parties and community festivals. Playgrounds and local parks, particularly in urban areas, are two of the few spaces that virtually all children are likely to use in some way. Placing information near playgrounds, as well as children’s workers and outreach strategies for a wider range of play and learning opportunities, would also help improve the availability of such networks. Child development workers could also play a role in developing and ‘mutualising’ networks of informal support among parents, from pregnancy on. Many existing activities, such as the National Childbirth Trust’s antenatal classes for parents-to-be, create huge value for children and parents and, in many areas (not just disadvantaged neighbourhoods), help to compensate for the decline of more traditional forms of community. To help reinforce such changes, national government and local authorities could introduce a ‘children’s passport’, linked to the range of benefits, including worker support, that are increasingly available to very young children and their parents. This passport could be linked directly to child benefit, for example, and to the allocation of a capital sum as proposed under the government’s Child Trust Fund policy. The growth of this financial investment would then be linked from the start to a wider range of institutional and community resources, to information about learning and care opportunities, and to ‘progress checks’ relating to child development, health, education and so on. Finally, government should radically increase support for mentoring programmes and other arrangements that increase adult involvement in supportive social arrangements with young people. In the current atmosphere of hysterical anxiety over paedophilia, the difficulty for young people in establishing trusted sources of advice and role models in the wider community is likely to become even greater. But there are huge stocks of potential goodwill and commitment to children and young people that need to be actively facilitated, as well as properly regulated to prevent abuse. Promoting intergeneration exchange and solidarity should become a growing priority. One idea might be to introduce a mentoring programme that would involve 16- to 18-year-old school leavers in a national children’s service. Young people would gain accreditation for working as part of the child development service and could become involved as learning mentors – organising sports and other activities, reading to children or providing parenting support. This programme would enable them to ‘fast track’ into children’s services later in life and could be linked to other benefits such as reduced university fees or free transport. Creating community value: broadening the role of schools The agenda we have set out could be developed by many different organisations, varying according to local conditions. But local authorities, just like central government, remain relatively remote from individual children and their families. In discussing structural options for reforming children’s services at local authority level, we also argue that substantive change is unlikely to occur for most children unless education becomes a more central contributor to local quality of life. While local authorities now have some clearer priorities and the potential to achieve greater autonomy from Whitehall, there is one major area of policy that remains a vacuum: the role of local education authorities. LEAs now have minimum performance standards and, in a few cases, have been pushed aside in favour of private management companies or other partnership arrangements. As a result, the role of LEAs in coordinating provision, helping to improve standards and building links between education and other areas of policy remains hazy. After a period of strongly imposed national funding priorities, individual schools are now beginning to receive much higher levels of delegated funding. The education department has signalled that it will encourage new forms of collaboration and networking between schools. But both the role of the local intermediary tier in coordinating this range of activity and the definition of educational improvement in relation to broader community need remain seriously confused. Reforming structures for children at risk, therefore, will not become effective in the long run until the role of LEAs is clarified. Our analysis of quality of life has constantly emphasised the importance of holism for children – promoting social and emotional development, independent play and civic participation alongside material wealth and academic attainment. Delivering an agenda locally requires a knitting together of human-scale institutions, so that, between them, they provide balanced support. While local voluntary organisations and civic activity have not necessarily declined in every area, and the evidence for social capital in Britain is mixed, it certainly seems true that the ‘civic infrastructure’ of relationships, information, trust and mutual concern seems ragged in many parts of the country. But as was also noted, in chapter 3, the institution that seems to do most to strengthen such capacity, and retains high levels of support and legitimacy, is the school – in particular, the primary school. This points to a new challenge for education policy: to broaden the role of schooling so that it can promote the broader needs of children in communities, alongside the formal standards of attainment that currently dominate education policy. Education has taken on a new kind of significance in British life over the last decade. While it has always been fundamental to the distribution of opportunity, it has become more ‘high stake’ as governments have come to rely more heavily on its ability to contribute to other policy objectives, and to tackle social and economic inequality by attaining higher standards of performance and therefore distributing life chances and future opportunities differently. Some argue that, to meet these increased expectations, schools need to be left alone to concentrate on higher achievement, rather than dragged into tackling an even wider range of social problems. But this ignores the very basic evidence that schools have to deal with what is happening around them because of the direct impact such factors have on pupils. It is well established that the most influential factors in determining educational attainment are environmental, in the sense that they occur outside the school. Quality of teaching and school management play smaller roles than one might guess from the current terms of government policy. Many schools and school leaders, in fact, regularly argue that it is unbalanced to focus only on formal measures of achievement when they are working in settings where many other factors are in flux – where unemployment, poor housing, community fragmentation, crime and so on are steadily undermining the conditions needed for effective teaching and learning to take place. Others, including those in high-performing schools of all kinds, increasingly articulate the concern that an understandable pressure towards formal and academic attainment is compromising the social, emotional and personal development of young people, echoing the evidence on these aspects of quality of life that we have already reviewed. Even in relatively affluent areas, schools are under increasing pressure to deliver results first and deal with other social, emotional and environmental issues second. Schools and community learning Our analysis leads to the conclusion that the answer lies not just in strengthening education’s contribution to future life chances through higher attainment, but in giving schools the opportunity to play a more direct role in improving quality of life for those who live around them. Given the familiar problems of making separate agencies deal with complex human needs, and of engaging citizens in productive, reciprocal relationships, it surely makes sense to maximise the impact of those local institutions that do have an ongoing, trusted relationship with a large part of the community, and are in direct contact with the needs and potential of children as they present themselves in everyday life. As Ben Jupp’s study for Demos showed, schools are by far the most widely supported local institution and the richest source of cross-cutting social networks among parents and others. But for many, if not most, in local communities, the school remains a closed institution, serving their pupils mostly behind high walls, dealing with the wider community only in relatively marginal ways. As an alternative, the concept of the ‘community’ or ‘full-service’ school is relatively well established. It implies that school facilities may be more accessible to the wider community, and that a range of other professions and services, such as health and mental health departments, housing, behaviour support, social work, careers guidance and so on would be co-located in the school and available to support the needs of students, particularly so that they can support their ongoing educational progress. US states such as Florida have introduced legislation to support community services in schools, including nutritional advice, assistance in applying for public benefits and adult education. The full-service concept has had positive results in terms of improved attendance and attainment, improved employment prospects, reduced drug abuse, fewer teenage pregnancies, reduction of crime and improved family health. The move towards ‘new community schools’ in Scotland is closely related to the full-service concept. Launched in 1998, the Scottish model now has 62 pilot projects underway.\textsuperscript{131} Co-location of services is, of course, not an instant provider of an integrated approach. Evaluators in Scotland have identified some problems, such as: professional disputes about leadership in specific areas; differences over salary differentials and status; and areas being stigmatised because they are perceived as requiring special help.\textsuperscript{132} But there is a growing body of innovative practice and energy being developed around the idea, particularly in schools looking for creative solutions to serious challenges. The DfES has established an ‘extended schools’ policy, in which it supports the development of wider community uses for schools and the growth of ‘out of hours’ learning. The problem, however, is that the justification for these extended activities is couched solely in terms of their ability to support the existing standards agenda, the justification being that an enriched, extended community level underpins formal learning outcomes. As the original \textit{Schools Plus} report put it: \begin{quote} This report does not see Schools Plus activities as a remedy in themselves, but as an important and at present under-exploited element in schools’ overall strategy for raising attainment and expectations of both pupils and adults.\textsuperscript{133} \end{quote} In relation to a school standards agenda, this is true. But more broadly, it risks putting the cart before the horse. Unless education is also contributing to the broader well-being of children and the capacity of communities to support it, the focus on attainment will continue to be skewed in ways that produce perverse outcomes. In reality, too much of the wider framework of schools policy and regulation and the ways in which the impact of schooling is measured undermine the possibility of schools playing a broader, more proactive role in community life. This usually happens through unintended consequences of policy such as: competition between schools for intake leading to unwillingness to collaborate; growing school-to-work distances creating traffic congestion problems and undermining neighbourhood involvement in the local school; narrow performance targets pushing other forms of outcome down the priority list; and so on. We therefore recommend that government should set a long-term objective: that, over the next five to ten years, effective schools should become directly involved in helping to deliver well-being to their students, not just academic attainment. This means that, as well as adding new layers of activity to what schools already do, the way they are measured, funded and rewarded for success will all need to evolve over time. For example, schools could become the neighbourhood base for the commissioning and coordination of service packages for individual children, as behaviour support workers and Connexions advisers already try to do. The schools should be encouraged to be open for longer and to develop a range of community activities and learning services that build cooperative relationships with the local community. Criteria for performance league tables, OfSTED inspections and school funding should be adjusted to reflect the impact of schools on the social and emotional development of pupils, and to reflect their contribution to improving social outcomes in the wider area. Over time, there is no technical obstacle to developing ‘value-added’ measures that reflect this broader definition of child development. Schools, often operating in collaborative groups or networks, should be given the opportunity to work more directly in partnership with health service providers, housing associations and others to tackle problems such as estate regeneration, playspace and park improvement, transport and independent mobility for children, jobsearch for parents, family literacy, and so on. Funding streams from central and regional government should be consolidated in ways that encourage these forms of ‘civic entrepreneurship’ by groups of institutions. One possibility is that, alongside core per capita funding for education in schools, a supplementary form of funding could reward ‘neighbourliness’ or the extent to which schools are reinforcing the wider conditions for quality of life – for example, by working with struggling schools in the same area, creating common admissions arrangements in order to offer a wider range of curriculum options to all children, tackling negative factors such as crime, poor housing and so on. As a result, accountability frameworks, which currently discourage too much flexibility and joint action across current service functions, would come to reflect more accurately the ways in which different players come together to ‘co-produce’ common outcomes. The overall effect would be a much wider range of ‘schooling collaboratives’ working through a variety of networks and partnerships to provide diverse learning opportunities and social solutions in integrated ways. Such a model is also compatible with a wider diversity of education providers, if government were to take the decision that competition in supply is also desirable. Such a strategy could be developed, in this five- to ten-year timescale, out of the foundations put in place by recent education policy. High expectations, transparency and performance goals for schools, alongside a growing diversity of curriculum options and organisational structures, provide the potential for a much wider spectrum of roles and strategies for schools in their local communities. The key, however, lies in removing existing structural barriers in the systems of accountability and measurement to the emergence of new roles. The final dimension of this new role for schools lies in school governance. The current model, where a board of governors guides the work of a relatively autonomous headteacher, operating within a wider framework of accountability and intervention from the centre, is hugely unproductive. Membership of a board of governors represents an onerous and impoverished form of involvement for all but the most committed parents and citizens; as a result, successive governments have struggled with the problem of recruiting more governors. Present-day governing bodies also give only limited practical support to headteachers, who are now, in effect, operating as chief executives responsible for significant budgets, operational management and curriculum leadership across quite complex organisations. The final drawback of the current model is that it plays no role in creating shared aspirations and responsibilities between schools, organisations and service providers working in the same neighbourhoods. We therefore recommend that government, as part of its existing agenda for encouraging collaboration and networking between schools, should make possible a wider range of governance models for restructuring the relationship between schools and the wider community. Options include: - establishing local ‘school boards’ with stronger powers and responsibilities for improving child well-being and education across a whole local community, and operating closer to street level than existing local authorities. - shared management boards, in which headteachers can develop teams of directors more akin to the managements of large companies, and bring senior service managers from other areas such as policing and social services into positions of direct responsibility in education governance, developing strategies for neighbourhood improvement as well as the narrower delivery of core curriculum services. - the more radical option of giving ‘ownership’ of schools, or clusters of schools, to the community. This could be done by developing models of mutual ownership in which parents and other community members, perhaps through non-profit foundations, could take on strategic responsibility for education and receive support and finance from central government to deliver a range of services. Schools operating in these ways could also provide the bedrock of data-collection for the national quality of life for children surveys recommended above. Media and representation – creating space for children in the ‘information society’ Children’s lack of power is also directly connected to the way they are served by the media. Overall, the media’s portrayal of children is highly skewed towards a small number of topics. According to a recent US study, more than 90% of newspaper and TV coverage of children focused on two topics: youth crime and violence, and child abuse and neglect.$^{134}$ The growing concern about commercial pressure on children to grow up too fast is matched only by the growing sensationalism of media coverage devoted to the issues of paedophilia and the Internet. Treatment of children in the media therefore risks overemphasising two negative trends at the same time: an unbalanced emphasis on children as objects of desire and participants in a celebrity-fuelled race for consumer satisfaction and social status; and mounting anxiety about the need to control new media and the opportunities it presents to abuse and exploit children. As children’s media become more diversified, during a period of growing competition and diversity in the supply of content and broadcasting services, there is no reason to think that it will automatically become worse in quality. Equally, media convergence and interactivity present new opportunities to link entertainment with learning and to enrich the knowledge and experience available to children through media space. But this process of diversification also risks pushing children’s media into a set of niches that further separate their lives from the rest of society in terms of understanding, recognition and respect, while children continue to be bombarded with pressures, expectations and information from the adult world. The case for new regulation and control of children’s media is all too easily made and, if it comes to fruition, will not always be effective. Our analysis suggests that the problems of representation and imbalance in children’s media are more likely to be the product of their under-representation in society as a whole and their lack of political power. But two issues of concern do stand out that might be addressed in part through intelligent regulation. The first is whether or not commercial advertising to children – particularly of products that can undermine their quality of life, such as foods lacking in nutritional value – is becoming unbalanced. We therefore recommend that OfCom, the newly established communications regulator, should investigate the regulation of advertising to children and whether certain kinds of advertising could be taxed or banned at certain times to redress this balance. The second is the lack of children’s voice in both children’s and adult media. Here we recommend that all major broadcasters and media outlets should establish structures for user feedback and representation on children’s issues in the same way that growing numbers of newspapers appoint ‘reader’s editors’ and use new forms of consultation to guide editorial policy. Finally, government should support the creation of an independent, national children’s news agency, perhaps created by expanding and networking the relatively small number of children’s media organisations that already exist, in order to support representations of children and views more grounded in their direct experience. Civil society and the voluntary sector: the role of children’s charities Much of the market for campaigning on children’s issues is currently captured by a small number of large, well-established charities. Barnardos, the National Society for the Prevention of Cruelty to Children (NSPCC), The Children’s Society, NCH and Save the Children (SCF) have origins in the nineteenth century and came into being to tackle social problems caused by Industrial Revolution. Several were started by religious organisations, and all are dedicated to improving the lives of disadvantaged children. Over the last generation, such charities have changed the profile of their activity hugely. Originally providers of charitably funded services, they are increasingly enmeshed in the contract-based provision of public services. They have also become skilled and powerful media-based advocates, and often are formidable operators in parliamentary and political lobbying on children’s issues. Recent campaigns initiated by one or more in this group have included those to end youth homelessness, to stop the smacking of children and to stop child sex abuse and prostitution. The big charities are also centrally involved in the campaign to establish a children’s rights commissioner. Clearly, a long-term agenda for change in the treatment of children by the wider society should be led and shaped by many different civil-society institutions. But there are uncomfortable questions to be addressed about the extent to which the recent strategies of these bigger charities have clarified or obscured the true range of issues affecting children. The Victoria Climbié inquiry has focused attention on the NSPCC and the extent to which voluntary organisations can be made accountable for service failures. The failure in that case, while not the central focus here, helps to illuminate the difficulty of achieving joint accountability through contract-based arrangements, when responsibility for child protection is distributed across such a wide range of institutional players. Some of the reaction to such failures tends towards the hysterical, and the NSPCC and others have been accused of pursuing organisational self-interest in ways that undermine their missions. This is too neat a response to failures for which society as a whole should take responsibility. But it is the case that non-profit organisations are experiencing the same pressures of competition, the need for profile and increasing complexity in their operating environment that also beset government and businesses. The use of expensive, high-profile, high-impact advertising campaigns should be reviewed to find out how effective they are in leading to longer-term change in culture and behaviour towards children, as opposed to their effectiveness in fundraising and lobbying strategies. The apparent increase in intensity of competition between these charities for voice and influence also raises the question of whether or not mergers and reshaping of the sector would lead to a more effective division of labour across the landscape of children’s needs, and a lessening of the pressure to achieve profile as a prerequisite to anything else. Finally, these and many other voluntary organisations are involved in many different efforts to reduce or prevent things that inhibit children’s quality of life. But the dominance of high-profile campaigning and the temptation to cement negative, single-focus images of abuse, neglect and exploitation in the public mind may be contributing to a skewed perception of the risks facing all children, and therefore to unrealistic expectations that such risks can be totally eradicated. A more constructive approach to improving quality of life for children would be to review the balance of risks facing different groups of children and develop advocacy strategies and service innovations dedicated to more effective risk management by and on behalf of children. We therefore recommend that the leading children’s charities should come together to review the range of risks to children’s well-being and develop joint strategies for communicating these risks accurately and reducing them through effective management, as well as prioritising some of the newer threats to children’s quality of life. There is no doubt that a powerful advocacy role for children will be needed over the next generation, but it may well be that children’s charities could play a more positive role in prevention if they were able to escape from the niche in which they now find themselves. Children, commerce and work This report has deliberately not focused on issues of family-friendly employment because, as an area of debate, it is already well covered. However, its centrality to quality of life for children should be made clear. Recent strides in the UK in re-regulating aspects of the labour market, extending time leave rights for parents and encouraging flexibility at work to reflect parental commitments should be seen as the beginning of a long-term reform agenda rather than the completion of an older set of commitments to end discrimination at work. Developing a work culture that places more emphasis on autonomy, productivity and balance is an ongoing priority. The incremental extension of legally recognised time rights and minimum standards is justified. But the more urgent question is whether the competitive drive for productivity and the wider culture of consumption and commerce that surrounds it truly reflects the peak of adult well-being and fulfilment and makes it possible to realise our full aspirations for our children. While employers could bear much higher degrees of flexibility and support for working parents, it is also true that the economic cost of more time spent with children and fewer hours worked needs to be shared more widely; it cannot simply be imposed on employers. This might result in the reshaping of careers, so that people expect to work less while their children are relatively young, but also expect to work well into their 70s. In the meantime, proactive expansion of workplace childcare facilities and a strong commitment to keep developing the availability and affordability of childcare should be a central priority for government. The bigger question for parents, employers and the media, alongside policymakers, is about the trade-off between time spent at work, the accumulation of material goods and paid-for services used as substitutes for ‘informal’ care time formerly given by parents to children, and the possibility that we might discover new ways of making collective choices to prioritise the quality of children’s and family lives over the fulfilment of success in the workplace. This question of cultural change and choice also links directly to the issue of marketing to children and whether there should be stronger regulation of the strategies and images used to sell to and through children. Rather than seeking to control – in ever-greater detail – companies involved in selling or supplying goods or services recognised to be part of a current problem for children’s quality of life, such as asthma or obesity, one option would be to regulate companies so that they are required to contribute positively to quality of life in other ways, such as through employee volunteering, corporate community investment and so on. In effect, this would be a tax on companies profiting from high-risk areas of children’s lives. In the longer term, corporate and payroll taxes might be adjusted to reward practices, such as family-friendly employment, that contribute to children’s well-being. Allowing such taxes to be paid in kind would allow space for interesting innovation. Finally, as these new forms of financial reporting and impact evaluation are introduced, government should also announce a commitment to reversing the proportions of public spending in children's lives, particularly through education spending, to ensure that the highest levels of per capita spending are directed towards children in the first five years of life when intervention and support can have the greatest long-term impact. The UK government has finally grasped the nettle of higher education funding, and effectively established the principle that university graduates whose earnings benefit from their education should pay back a growing proportion of the cost. It is regrettable that public subsidy cannot support all of the expansion in higher education, but it remains the case that public spending in the earlier years is more strongly justified. The government should take the brave step of entrenching this principle in the way that it plans for and calculates education budgets over the next decade. Conclusion: learning from and investing in the family and creating ‘adaptive capacity’ Much of political and moral debate still centres around the apparent fragmentation of family life. As we saw in earlier chapters, the evidence on family breakdown is mixed, and the decline in the popularity of marriage appears to have slowed. The evidence on the impact on children of divorce and reconstituted families is still inconsistent, but it is increasingly accepted that higher flexibility in adult relationships may compromise some aspects of children’s development. We need to recognise that, as other traditional supports and surrounds to children’s lives have been reshaped, the family remains the institution that has adapted most successfully to changing circumstances, and does most to produce positive quality of life for children. From meeting basic security and constancy needs, to interpreting complex cultural contexts, the family is the ombudsman between children and society. The family is the primary arbiter over the child’s well-being, supported by external influences but not replaced by them. Its role in children’s lives is both proactive and reactive, responding to children’s needs and society’s demands and seeking to realise specific conceptions of what is good for particular children. Public policy is gradually, even reluctantly, coming to recognise the primacy of the family’s influence as a social unit on children’s prospects for the future, as well as on their current well-being. This has been reflected in the recent review of adoption policy that has led to radically higher targets for the number of children moved out of state care and into permanent families.$^{135}$ But rather than seeking to identify and idealise a single form of family, or to somehow return to a bygone set of social norms and power structures, we need to learn a different kind of lesson from the way that family life has changed. Most families have become object lessons in child-centred adaptation. They have to live and work in the real world. Parents cope – because they have to – with more flexible yet often longer working hours, more fragmented community relationships and new risks to their children’s safety. Parents also cope, in various ways, with the consequences of relationship breakdown, and seek forms of support and compensation that enable children to deal positively with it. In the main, families have managed the changes of the last 30 years by giving children a more central role in financial and other family decision-making, and by building flexible organisational and social arrangements around the increasingly diverse needs of individual children. Thus new communications technologies, consumer power, flexible labour markets, out-of-school childcare and so on have all been incorporated into mainstream family life in one way or another. Parents recognise a new need to support their children’s evolving individual identities. The working model of the family is based on continuous negotiation and adaptation, combining constant commitment with growing flexibility about how outcomes are best secured. Family relationships are not laid down by charter or written into contracts. Many children suffer lapses of care and appalling forms of abuse within families. However, most families still place children’s needs and interests explicitly at their centre, and then seek to organise what needs to be done around these needs and interests. In that sense, family life has become more democratic, though the tendency towards participation and autonomy is always combined, sometimes uneasily, with the need for parents to act as guardians and protectors. Of course, families are still also an institution, and their form and function are directly influenced by their place in much wider systems of economic exchange, cultural participation and so on. It is worth noting that the legal, structural and traditional characteristics of families as institutions no longer neatly overlap with the set of norms, expectations, informal commitments, supportive networks and flexible organisational arrangements that are now used to organise family life. The result is that there is an under-recognised quality in the way family life works. We need to learn how to create institutions and formal rules that can adapt on the same kind of terms, while explicitly recognising the fact that what happens in family life has the greatest influence on outcomes for children. Over time, this recognition should lead to a much stronger parent and family support infrastructure, supported and sponsored by government, but delivered and reinforced by organisations from all sectors. Perhaps the most basic lesson is that good parents do not support their children only by paying attention to them when something negative is happening, or when they are clearly at risk, or when they cause trouble of some kind. Whatever the specific philosophy, children’s well-being rests on a constancy of commitment and care framed by a positive idea of what is good for the child, however implicit. This, in turn, may provide a lesson for policy: - First, negative outcomes for children can only be reduced so far without a central, explicit vision of what is good for children. - Second, public institutions cannot deliver this positive vision without working proactively in conjunction with the rest of society to make it possible. A model combining constant concern for children’s well-being with continuous flexibility and adaptation in the face of a changing environment may provide a new kind of blueprint for the organisations charged with providing services and resources for children. This should provide a clue to the ways in which public service providers seek to involve parents and others more directly. So far, much of the trend in policy has been towards trying to formalise parents’ responsibilities by contractualising them, and introducing sanctions when they fail to deliver. Stronger responsibilities may well need to be asserted for the sake of children’s well-being, but if all public service providers do is insist that parents must fit in more actively with the operating routines and structures of existing institutions, we will have got it the wrong way round. The organisational character of education, healthcare, employment, criminal justice and neighbourhood management could, and probably should, change radically over the next generation. These changes will only serve children’s interests if parents and institutions are prepared to construct their activities jointly around the full needs and potential of the child. Equally, we have to recognise that many of the worst things that happen to children will happen in families. It remains the case that most of the children who are abused are maltreated by people known to them – if not parents, then people who are friends of or related to their parents. Privatised responsibilities and joined-up institutions will never be able to replace or diminish the impact of the culture and informal social ties of children; they can only hope to influence that culture and those social ties. The persistence of abuse and exploitation provides a graphic illustration of the need to make children’s well-being the focus of debate and collective concern. It is right to insist that children’s interests should be the focus of public concern, but wrong to think that we can write law or policy that serves them fully. Children depend on the concern and support of adults beyond their own parents in order to flourish and thrive. They also rely on the strength of social norms, and of people’s readiness to challenge existing loyalties and shame in order to overcome and prevent the forms of abuse and neglect that linger. None of these is a task that government, or any specialised agency, can accomplish alone. That is why we should continue to debate the morality of how we treat children, and to argue over what is good for children beyond the limits of our own direct responsibilities. In the end, the capacity of society as whole to replenish and renew itself depends on the extent to which all of us are ready to take an interest in other people’s children. ## Appendix ### Timeline – what children can do when \| Age \| UK (some regional variation) \| International \| Historical (UK) \| \|-----\|------------------------------\|---------------\|-----------------\| \| 1 \| \| \| \| \| 2 \| \| \| \| \| 3 \| \| \| \| \| 4 \| Northern Ireland: start compulsory education \| Luxembourg: start compulsory education \| \| \| 5 \| Can drink alcohol at home with parental consent. England, Scotland & Wales: start compulsory education \| \| Pre-1833: children could begin work \| \| 6 \| \| \| \| \| 7 \| \| Denmark, Finland & Sweden: start compulsory education \| \| \| 8 \| Scotland: age of criminal responsibility \| \| \| \| 9 \| \| \| 1833: children below this age not allowed to work (in textiles) \| \| \| England & Wales: age of criminal responsibility \| Nepal: 7% of girls are married by this age \| \|---\|-------------------------------------------------\|------------------------------------------\| \| 10\| \| \| \| 11\| \| Chile, Mexico & Panama: age of consent \| \| 12\| Parents can be prosecuted if children under this age are left home alone. Scotland: can make a will \| Norway: can refuse to change name Japan & Spain: age of consent \| \| 13\| Can be employed, subject to conditions \| Netherlands: age of criminal responsibility \| \| 14\| Can ride a horse without protective headgear \| Canada, Iceland & Italy: age of consent \| \| 15\| End of compulsory education \| Denmark: age of criminal responsibility France: age of consent \| \| 16\| Age of consent (heterosexuals and homosexuals). Can marry with parental permission, buy cigarettes, operate a petrol pump \| France, Italy, Spain, Austria & Belgium: can buy alcohol \| \| 17\| Can hold a driving licence Northern Ireland: age of consent (heterosexuals and homosexuals) \| \| \| Age \| Rights and Responsibilities \| Luxembourg: Criminal Responsibility \| 1994–2001: Age of Consent for Homosexuals \| \|-----\|-----------------------------\|------------------------------------\|------------------------------------------\| \| 18 \| Can vote, marry, drink alcohol, own a credit card, watch films of all certifications England, Wales & Northern Ireland: can make a will \| \| \| \| 19 \| \| \| \| \| 20 \| \| \| \| \| 21 \| \| US: cannot buy alcohol under this age \| 1967–1994: Age of Consent for Homosexuals \| 1 P Wilson, ‘Reframing Children’s Services’, NCVCCO Annual Review, Journal No 3. 2 Office for National Statistics, Social Trends, No. 31 (London: Office of National Statistics, 2001), p. 41. 3 Ibid. 4 The Guardian/ICM Monthly Poll August 2000, www.icmresearch.co.uk/reviews/2000/guardian-poll-august-2000.htm 5 DFEE, Tomorrow’s children: the review of preschools and playgroups (London: DFEE, 1999). 6 Independent Television Commission Survey, The Times, 24 July 2001. 7 DFEE, Statistical First Release, SFR8/1999, www.dfe.gov.uk/statistics/DB/SFR/s0023/sfr-0899.pdf 8 The Guardian/ ICM Monthly Poll August 2000, as above. 9 J Bradshaw (ed), The Well-being of Children in the UK, (London: Save the Children, 2002), p. 90. 10 Ibid., p. 91. 11 UNICEF statistics, www.childinfo.org/index2.htm. 12 BMRB International for the NSPCC Full Stop Campaign, Nov 2000, www.nspcc.org.uk/html/home/informationresources/hiddenchildabusesurvey.htm 13 Economic and Social Research Council, The Dangers of Safe Play: Children 5–16 Research Briefing, No. 22, (Hull: ESRC, 2000). 14 General Household Survey 2000, available at www.dataarchive.ac.uk/findingData/ghsAbstract.asp 15 DLTR statistics, available at www.transtat.dft.gov.uk/tables/tsgb02/4/section4.htm 16 As described by Frank Furedi at a children environment seminar at Demos. 17 Nestle Family Monitor: Sport and the Family, www.nestle.co.uk/about/familymonitor/ 18 The Play Space Survey (London: Children’s Society and Children’s Play Council, 2001). 19 J Kagan, Galen’s Prophecy, (London: Basic Books, 1994), pp. 194–95. 20 Wall’s Ice Cream’s annual survey of children’s purchasing power, The Independent, 13 June 2000. 21 M Riddell, ‘Childhood’, in J Lotherington (ed), The Seven Ages of Life, (London: Centre for Reform, 2002). 22 BMRB Target Group index data 2002, available at www.bmrb.tgi.co.uk 23 MORI, ‘Children’s attitude to politics’, 22 March 2002, available at www.mori.com/polls/2002/atl.shtml 24 S Middleton, K Ashworth & I Braithwaite, Small Fortunes: Spending on children, childhood poverty and parental sacrifice (London: Joseph Rowntree Foundation, 1997). 25 Sustain, TV Dinners: What’s being served up by the advertisers (London: Sustain, 2001). 26 R Williams, Lost Icons: Reflections on Cultural Bereavement (London: Continuum, 2000). 27 Office for National Statistics, Social Trends No. 32 (London: Office of National Statistics, 2002), p. 48. 28 The Office of National Statistics, Britain 2000: The official yearbook of the UK, (London: ONS, 2000). 29 M F Orellana, B Thorne, A Chee & W S E Lam, ‘Transnational childhoods: The deployment, development and participation of children in processes of family migration’, paper presented at 14th World Congress of the International Sociological Association, 1998. 30 Office of National Statistics, Social Trends No. 32, 2002. 31 G Rees & C Rutherford, Home Run: families and young runaways (London: Children’s Society, 2001); and Fatherhood in Britain (London: Family Policy Studies Centre, 1997). 32 R O’Neill, Experiments in Living: The fatherless family, (London: Civitas, 2002). 33 Joseph Rowntree Foundation, Children’s Views of Their Changing Families, 2001, available at www.jrf.org.uk/knowledge/findings/socialpolicy/931.asp C Smart, B Neale & A Wade, ‘New Childhoods? Children and co-parenting after divorce’, available at www.hull.ac.uk/children5to16programme/details/smart.htm. Full account in Smart et al, The Changing Experience of Childhood: Families and divorce (Cambridge: Polity Press, 2001), available at www.leeds.ac.uk/family BMRB Youth Target Group Index data, 2001, see www.bmrb.co.uk The Millennial Family (London: The Future Foundation, 1999). ‘No More Nine to Five: Childcare in a changing world’, Daily Telegraph, 13 September 2000. Institute of Social and Economic Research/Future Foundation/Abbey National survey, The Times and Independent, 20 March 2000. The Millennial Family, 1999. Bradshaw 2002, p. 130. Ibid. S Ringen, The Family in Question, (London: Demos, 1997). V McGivney, Adults Learning in Preschools (Leicester, NIACE, 1998). Information from Demos seminar presentation by Annabel Phillips, Head of Youth Research at MORI. Bradshaw 2002, p. 331. The Princess Royal Trust for Carers. Information, advice and support for carers at www.carers.org/home/ F Sly, T Thair & A Risdon, Labour Market Trends Index: Women in the labour market, (London: Office of National Statistics, 1998), see also The National Family Parenting Institute, at www.nfpi.org/data/research/lis_par.htm For more information, contact the Daycare Trust, www.daycaretrust.org.uk H Wilkinson, Crèche Barriers, (London: Demos, 2001). The Daycare Trust, Raising Expectations: Delivering childcare for all, at www.daycaretrust.org.uk/mod.php?mod=userpage&menu=19&page_id=26 Britain 2000, the official yearbook of the United Kingdom, ONS, 2000. Joseph Rowntree Foundation, Findings: Employers, communities and family-friendly employment policies, at www.jrf.org.uk/knowledge/findings/socialpolicy/972.asp S Ringen, The Family in Question (London: Demos, 1997) The Cabinet Office, Women’s Income Over the Lifetime, available at www.cabinetoffice.gov.uk/womens-unit/publications/publications_1998_to_2000.htm UNICEF, A League Table of Child Poverty in Rich Nations (Florence: Innocenti Research Centre, 2000), see also www.unicef-icdc.org/publications/Annual Abstract of Statistics 2001 (London: ONS, 2001). M Brewer & P Gregg, Eradicating Child Poverty in Britain: Welfare reform and children since 1997 (London: Institute for Fiscal Studies, 2002). Child Poverty Action Group, information available at www.cpag.org.uk/ Independent Television Commission, ‘Sharp Rise in Internet and Interactive Television Usage, Says New ITC Research’, 24 July 2001, available at www.itc.org.uk/latest_news/press_releases/release.asp?release_id=505 Joseph Rowntree Foundation, Poverty and Social Exclusion in Britain, 2000, at www.jrf.org.uk/knowledge/findings/socialpolicy/930.asp A Hill, ‘Thumbs are the new fingers for the Game Boy generation’, The Observer, 24 March 2002. H Matthews, Children and Community Regeneration: Creating better neighbourhoods (London: Save the Children, 2001). M O’Brien, D Jones, D Sloan & M Rastin, ‘Children’s Independent Spatial Mobility in the Urban Public Realm’, in Childhood: A global journal of child research, Vol 7:3, August 2000. C Howarth, P Kenway, G Palmer & R Miorelli, Monitoring Poverty and Social Exclusion: Labour’s inheritance, (York: Joseph Rowntree Foundation for New Policy Institute, 1999). Bradshaw 2002, as above. Social Exclusion Unit, Making the Connections, 2002, at www.socialexclusionunit.gov.uk/publications/reports/html/Making%20the%20Connections/contents.htm UNICEF statistics at www.childinfo.org/index2.htm Bradshaw 2002, p. 29. Office for National Statistics, Health Statistics, 2001. Bradshaw, 2002. S Chinn & R Rona, ‘Prevalence and trends in overweight and obesity in three cross-sectional studies of British children, 1974–94’, British Medical Journal 322, 2001, pp.24–26. Office for National Statistics, Social Trends No. 32, 2002. Ibid. Dr Paul Redgrave, Director of Public Health with responsibility for children’s services in Sheffield. The Guardian/ICM Monthly Poll, August 2000, as above. C Flood-Page, S Campbell, V Harrington & J Miller, Home Office, Youth Crime: Findings from the 1998/1999 Youth Lifestyles Survey, 2000, available at www.homeoffice.gov.uk/rds/pdfs/hors209.pdf Some Facts About Young People Who Offend, July 2001, Nacro, Youth Crime Factsheet, list of available youth crime factsheets at www.nacro.org.uk/publications/youthcrime.htm Flood-Page et al, 2000. Scottish executive 2002, reported in Bradshaw, 2002, p.289. Nacro, 2001. DOH surveys reported in Bradshaw, p.303. Information on smoking from E Goddard & V Higgins, Smoking, Drinking and Drug Use Amongst Teenagers in 1998 (London: The Stationery Office, 1999), and C Currie, K Hurreleman, W Settertobulte, R Smith & J Todd, Health and Health Behaviour among Young People: Health behaviour in school-aged children: a WHO cross-national study (HSBC) International Report (Copenhagen: World Health Organisation, 2000), reported in Bradshaw 2002, p. 306. I Christie & L Nash (eds), The Good Life (London: Demos, 1998), p. 68. A list of pilot quality-of-life indicators can be viewed at www.auditcommission.gov.uk/products/guidance/C7AC1199-B39F-42D8-AFE7-2CDA20C4534C/quality_of_lifeguid1.doc Bradshaw, 2002, p. 231. E Goddard & V Higgins, Smoking, Drinking and Drug Use Amongst Teenagers in 1998 (London: The Stationery Office, 1999). G Vulliamy & R Webb, ‘Stemming the Tide of Rising School Exclusions: Problems and possibilities’, in British Journal of Educational Studies 48, 2, 2000, pp. 119–133. Social Exclusion Unit, Making the Connections, 2002. R Cardarelli, J Sefton & L J Koflikoff, Generational Accounting in the UK (London: National Institute for Economic and Social Research, 1999). Friends of the Earth, reported in Bradshaw, 2002, p. 210. Life Satisfaction (London: Strategy Unit, 2003). See www.piu.gov.uk/2001/futures/main.shtml#Life Satisfaction ‘Still Running: Young people on the streets in the UK’ (London: Children’s Society, 1999). C Hooven, L Katz & J Gottman, The Family as a Meta-Emotion Culture, as reported in D Goleman, Emotional Intelligence: Why it can matter more than IQ (London: Bloomsbury, 1996), p. 190. For a useful and broad review of evidence, see A Bandura, Self Efficacy: The exercise of control, (New York: WH Freeman and Co, 1997). J Head, P Martikainen, M Kumari, H Kuper & M Marmot, Work Environment, Alcohol Consumption and Ill Health: The Whitehall II study, (London: HSE Publications, 2002). H Gardner, ‘Cracking Open the IQ box’, The American Prospect, Winter 1995, in D Goleman, Emotional Intelligence: 97 J Gardner & A Oswald, How does education affect mental well-being and job satisfaction? a paper presented to a National Institute of Economic and Social Research conference at the University of Birmingham, June 2002, at www2.warwick.ac.uk/fac/soc/economics/staff/faculty/oswald/reveducationgardneroswaldjune2002.pdf 98 J Dunn & K Deater-Deckard, Children’s Views of Their Changing Families (York: Joseph Rowntree Foundation, 2001). 99 Audit Commission, What Counts as Good Value: Using indicators of ‘quality of life’ and ‘community involvement’ (London: Audit Commission, 2002). 100 Office for National Statistics, ‘Local Authority Flows’, at www.statistics.gov.uk/CCI/SearchRes2.asp?IPS=5&CT=2&Term=local%20authority%20flows 101 R J Sampson, J Morenott and F Earls, ‘Beyond Social Capital: Spatial Dynamics of Collective Efficacy for Children’, in American Sociological Review, Vol 64, Oct 1999, 633–660. 102 P 6, Escaping Poverty: From safety nets to networks of opportunity (London: Demos, 1997). 103 B Jupp, Living Together: Community life on mixed tenure estates (London: Demos, 1999). 104 P Brierley (ed), UK Christian Handbook: Religious Trends 3 (London: Christian Research, 2002/03). 105 B Jackson, Hope for the Church (London: Church House Publishing, 2002). 106 This estimate has been taken from the Scout Association’s annual report census for 2001, stating that the number of children on waiting lists was around 33,631. This figure has been doubled to include the Girl Guide movement who do not collate waiting-list information, but are of a similar size to the scouting movement. 107 Strategy Unit, Life Satisfaction, 2003. 108 V Morrow, Networks and Neighbourhoods: Children and young people’s perspectives (London: Health Development Agency, 2001). 109 The Guardian/ICM Monthly Poll, August 2000, as above. 110 MORI, A Study of the Family in Today’s Society, 1997, at www.mori.com/polls/1997/nfm02.shtml 111 N Rose, Governing the Soul (Routledge, 1989), as referred to in A Prout, The Future of Childhood, 1st Annual Lecture of the Children’s Research Centre, Trinity College, Dublin, 2001. 112 Consumers International, A Spoonful of Sugar – Television Food Advertising Aimed at Children: An international comparative study (Consumers International, 1996). 113 Economic and Social Research Council Study, as reported in ‘Pupils just want to be cool’, The Times, 12 January 2001. 114 W Harlen & R Deakin Crick, A systematic review of the impact of summative assessment and tests on students’ motivation for learning (London: Evidence for Policy and Practice, University of London, 2002). 115 Health Promotion Agency, Minds Matter: Exploring the mental wellbeing of young people in Northern Ireland: Secondary analysis of the health behaviour of school children survey 1997/98 (2001), available at www.healthpromotionagency.org.uk/Resources/mental/pdfs/Mindsmatter.pdf 116 It’s Like That: The views and hopes of disadvantaged young people (London: The Prince’s Trust, 2001). 117 DfES reported in Bradshaw, 2002, p. 273. 118 Prout, 2001. 119 A Neustatter, Locked In, Locked Out: The experience of young offenders in prison and out of society: A Calouste Gulbenkian Foundation report (London: Central Books, 2002). 120 T Bentley, K Oakley, K Kilgour & S Gibson, The Real Deal: What young people really think about government, politics and social exclusion (London: Demos, 1999). 121 Involving Young People in Decision Making, Research Briefing 10 (London: IPPR, 2001). 122 Child Poverty Action Group, ‘Listening to children: their contribution to anti-poverty policies’, Poverty 111, winter 2002, available at www.cpag.org.uk/ 123 R Hodgkin & P Newell, Effective Government Structures for Children 2001: A Calouste Gulbenkian Foundation report (London: Central Books, 2001). 124 Carnegie Young People Initiative, Taking the Initiative, a series of reports available at www.carnegie-youth.org.uk/index-5.html 125 S Ringen, 1997 p. 72. 126 L Harker & I Kendall, From Welfare to Well-being: The future of social care, (London: IPPR, 2002). 127 Ibid. 128 Cooper et al. 129 Sampson, ‘Beyond Social Capital’, 1999. 130 Jupp 1999, as above. 131 The Scottish Office, New Community Schools Prospectus (The Scottish Office, 1998), Annex A, available at www.scotland.gov.uk/library/documents-w3/ncsp-00.htm 132 A Dyson & E Robson, School, Family, Community: Mapping school inclusion in the UK (York: Youth Work Press for the Joseph Rowntree Foundation, 1999). 133 DfES: Schools Plus Policy Action Team, Schools Plus: raising attainment and expectations, available at www.dfes.gov.uk/schools-plus/part2.shtml#SS 134 Study commissioned by the Casey Journalism Center and conducted by Professor Dale Kunkel from the University of California, Santa Barbara. 135 B Broad, R Hayes & C Rushforth, Kith and Kin: Kinship care for vulnerable young people (London: National Children’s Bureau, 2001).
Optional Practical Training (OPT) Tutorial Presented by: Center for International Education Session Topics - Post-completion OPT eligibility & Application deadlines - OPT Application Process Overview - Application Forms & Required Supporting Documents - Prepare and Mail your Packet to USCIS - Maintaining F-1 Status during OPT - Traveling & Health Insurance during OPT - OPT is ending, now what? - Helpful Resources Post-Completion OPT, Eligibility, and Application Deadline International Student Employment 1. On-Campus 2. Practical Training: - Curricular Practical Training (CPT) - Optional Practical Training (OPT) - 24-Month STEM OPT Extension - Cap Gap Extension 3. Off-Campus: - Severe unforeseen financial hardship, - Internship with a qualifying International Organization - Violation to employment regulations will lead to the termination of the student’s SEVIS record! 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Obtain your new OPT I-20 - Submit the OPT I-20 request, I-765 and most recent I-94 record to ISS as a service request. - An Advisor reviews your request, confirms eligibility & issues OPT I-20 within 7 business days. - You will receive an OPT I-20 and Coversheet via email. Program end date Verification • We will verify that you applied for graduation with Enrollment Services. ➢ For more details: http://web.csulb.edu/depts/enrollment/graduation/ • If you have not applied for graduation your OPT request will be denied! Review your OPT I-20 before taking next steps... OPT Information can be found in p. 2 OPT I-20 will change depending on the application Status: Requested → Pending → Approved OPT Application Forms & Required Supporting Documents You can access all the required OPT application documents and forms from our website: Optional Practical Training \| California State University Long Beach (csulb.edu) Click on APPLICATION INSTRUCTIONS POST-COMPLETION OPTIONAL PRACTICAL TRAINING (OPT) OPT I-20 REQUEST FORM Instructions: Complete Section 1 and 2 in this form to request an I-20 for Post-completion Optional Practical Training (OPT). SECTION 1: Student and program Information. To be completed by the student requesting the OPT I-20 \| Field \| Description \| \|------------------------------\|--------------------------------------------------\| \| Student’s Last Name \| \| \| First Name \| \| \| Beach ID Number \| \| \| Major \| \| \| Current Address \| \| \| City, State, Zip Code \| \| \| Alternative Email Address \| \| \| Phone Number \| \| \| Expected Program End Date OR coursework completion date \| \| \| Preferred OPT Start Date* \| \| SECTION 2: Student Acknowledgement. Your signature below confirms that you understand your responsibilities as an OPT applicant. - [ ] I acknowledge that I am solely responsible for understanding OPT regulations including application process & deadlines, reporting requirements, unemployment limitations, and others as presented in OPT Self-Assessment/online tutorial and the CSULB OPT page. - [ ] I understand the ISS advisors and staff will communicate with me primarily via the alternative email address provided above. - [ ] I will notify an International Student Advisor if I cannot graduate on the date indicated in this form. - [ ] I understand that I will not be eligible for an I-20 program extension in the case that I fail to complete all graduation requirements by the OPT authorization end date. Sign here ___________________________ Today’s Date: _______________ * You may request a preferred OPT Start Date. The date must be no earlier than the day after your program end date, and no later than 60 days after your program end date. Start date cannot be change after you file for OPT. SECTION 3: OPT I-20 Eligibility Review. To be completed by the ISS Advisor. - [ ] Confirm student updated contact information - [ ] Current I-20 Program End Date: _______________________ - [ ] Passport Expiration Date: _______________________ - [ ] Shorten I-20 Program End Date to: _______________________ Active CMS Holds: _______________________ GWAR/WPE status: _______________________ GPA: _______________________ Full-Time for a prior Academic Year: T1 _______ T2 _______ Current Semester Full-Time or FCE/RCL in CMS: _______________________ The student’s request is: - [ ] Accepted - [ ] Rejected - [ ] Pending Advisor name: _______________________ Decision Date: _______________________ Form G-1145 • E-Notification of application receipt • Optional What Is the Purpose of This Form? Use this form to request an electronic notification (e-Notification) when U.S. Citizenship and Immigration Services accepts your immigration application. This service is available for applications filed at a USCIS Lockbox facility. General Information Complete the information below and clip this form to the first page of your application package. You will receive one e-mail and/or text message for each form you are filing. We will send the e-Notification within 24 hours after we accept your application. Domestic customers will receive an e-mail and/or text message; overseas customers will only receive an e-mail. Undeliverable e-Notifications cannot be resent. The e-mail or text message will display your receipt number and tell you how to get updated case status information. It will not include any personal information. The e-Notification does not grant any type of status or benefit; rather it is provided as a convenience to customers. USCIS will also mail you a receipt notice (I-797C), which you will receive within 10 days after your application has been accepted; use this notice as proof of your pending application or petition. USCIS Privacy Act Statement AUTHORITIES: The information requested on this form is collected pursuant to section 103(a) of the Immigration and Nationality Act, as amended INA section 101, et seq. PURPOSE: The primary purpose for providing the information on this form is to request an electronic notification when USCIS accepts immigration form. The information you provide will be used to send you a text and/or email message. DISCLOSURE: The information you provide is voluntary. However, failure to provide the requested information may prevent USCIS from providing you a text and/or email message receiving your immigration form. ROUTINE USES: The information provided on this form will be used by and disclosed to DHS personnel and contractors in accordance with approved routine uses, as described in the associated published system of records notices [DHS/USCIS-007 - Benefit Information System and DHS/USCIS-001 - Alien File (A-File) and Central Index System (CIS)], which can be found at www.dhs.gov/privacy. The information may also be made available, as appropriate for law enforcement purposes or in the interest of national security. Complete this form and clip it on top of the first page of your immigration form(s). \| Applicant/Petitioner Full Last Name \| Applicant/Petitioner Full First Name \| Applicant/Petitioner Full Middle Name \| \|-------------------------------------\|--------------------------------------\|---------------------------------------\| \| Email Address \| Mobile Phone Number (Text Message) \| Form G-1145 09/26/14 Y Page 1 of 1 Form I-765 page 1 ☐ Type or print in black ink ☐ Complete pages 1-7. Only sections that apply to you ☐ In part 1, select: 1a ☐ Make sure you are using the latest form edition Part 1. Reason for Applying I am applying for (select only one box): 1.a. ☐ Initial permission to accept employment. 1.b. ☐ Replacement of lost, stolen, or damaged employment authorization document, or correction of my employment authorization document NOT DUE to U.S. Citizenship and Immigration Services (USCIS) error. NOTE: Replacement (correction) of an employment authorization document due to USCIS error does not require a new Form I-765 and filing fee. Refer to Replacement for Card Error in the What is the Filing Fee section of the Form I-765 Instructions for further details. 1.c. ☐ Renewal of my permission to accept employment. (Attach a copy of your previous employment authorization document.) Part 2. Information About You Your Full Legal Name 1.a. Family Name (Last Name) 1.b. Given Name (First Name) 1.c. Middle Name Other Names Used Provide all other names you have ever used, including aliases, maiden name, and nicknames. If you need extra space to complete this section, use the space provided in Part 6. Additional Information 2.a. Family Name (Last Name) 2.b. Given Name (First Name) 2.c. Middle Name 3.a. Family Name (Last Name) 3.b. Given Name (First Name) 3.c. Middle Name 4.a. Family Name (Last Name) 4.b. Given Name (First Name) 4.c. Middle Name Add a physical address if different than your mailing address Apply for SS# if necessary (questions 13a-17b) You will be applying for your employment authorization (EAD) and Social security number/card at the same time with the same form. If you already have a SS Card answer “no” in question #14. Use your latest I-94 record to answer questions about last arrival Passport must be valid for another 6 months at least at the time of the application Eligibility Category Q#27: (c)(3)(B) for Post-completion OPT Applicant's Statement (1a) Signature can only be handwritten. USCIS will deny e-signatures from students. Sign inside the box. You must be in the U.S. to file form I-765. You will not be eligible for OPT once you have departed the U.S. and your program end date has passed! These pages only apply to you if you utilized an attorney and/or an interpreter to assist in filling out this application. You may skip these pages. Use Part 6. Additional Information to provide: - All previously used SEVIS numbers and - Evidence of any previously authorized CPT or OPT and the academic level at which it was authorized. Example: SEVIS # No0769854 CPT: 01/21/2020-05/22/2020 OPT: 6/25/2020 - 6/24/2021 [BA] I-765, Application for Employment Authorization Alert: On Sept. 29, 2020, the U.S. District Court for the Northern District of California in Immigratic Legal Resource Center et al., v. Wolf, et al., 20-cv-05883-JWS, preliminarily enjoined DHS from implementing or enforcing any part of the [USCIS Fee Schedule and Changes to Certain Other Immigration Benefit Request Requirements rule](#). While the rule is preliminarily enjoined, we will continue to: - Accept USCIS forms with the current editions and current fees; and - Use the regulations and guidance currently in place to adjudicate applications and petitions, includes accepting and adjudicating fee waiver requests as provided under Adjudicator's Field Manual (AFM) Chapters [10.9 (PDF, 2.87 MB)](#) and [10.10 (PDF, 2.87 MB)](#). Form I-765 Supporting Documents • Copy of Passport (must be valid for 6 months in the future) • Copy F-1 Visa (it is ok if expired) • Copy of I-94 Card or I-94 record - go to [www.cbp.gov/I94](http://www.cbp.gov/I94) to print your most recent record • Copy of all I-20s & any EADs you received. Form I-765 Fees https://www.uscis.gov/i-765 - The current fee for form I-765 is $410 dollars. - Fee is scheduled to increase to $520 dollars on April 1, 2024! - Make your payment to: - U.S. Dept. of Homeland Security - Payment can be done through: - Personal check or - Money order or - Cashier’s check - Pay by credit card using [Form G-1450, Authorization for Credit Card Transactions](https://www.uscis.gov/i-765) - Pay online if you chose to file your application through the USCIS portal. Picture Requirements https://travel.state.gov/content/travel/en/passports/how-apply/photos.html • Provide 2 identical photos, passport style taken within the last 30 days. • Photos should be 2”x2” in size. • Find photo examples online in the link provided above. Prepare your full application and file it to USCIS Filing On time - You must file your OPT packet within 30 days from the original OPT request date indicated in SEVIS. Date might be different from the issue date indicated in your new OPT I-20. - USCIS accepts your OPT application by mail or online. Both methods are equally acceptable. Reminder: You can file Form I-765 90 days before your program end date, but no later than 60 days after. • Coversheet & OPT I-20 ☐ You will receive your OPT I-20, and your Coversheet from the ISS Advisor within 7 business days from the request. ☐ Follow the instruction on your Coversheet to file your OPT application by mail or to file online: Filing by mail Follow the instruction on your Coversheet to mail your OPT packet to the correct USCIS Lockbox. A. Assemble your application packet. - Form G-1145 E-Notification of Application. - Current edition of Form I-765 signed with a written signature in black ink. - A money order, personal check or cashier’s check for $410, made payable to: U.S. Department of Homeland Security. - Two identical U.S. passport style photos no more than 30 days old. - Copies of all issued I-20’s including your new OPT I-20 (all copies require written signatures from the student). - Copy of passport photo ID page with expiration date showing (valid for at least another 6 months) - Copy of your most recent I-94 record. The I-94 can be a copy of the front and back of the paper card, change of status I-797 Form or Electronic I-94 Record. - Copy of your F-1 Visa (Expired Visas are acceptable). - Copy of any previously issued EAD’s front and back. USCIS Filing Tips: Use this link to review the full list of recommendations to properly file a paper application to USCIS. Other recommendations include: single-sided copies of your documents, remove all staples, use only paper that is 8.5 X 11 in. In size. B. Mail your application to the correct USCIS Lockbox \| Eligibility Category \| To mail via U.S. Postal Service (USPS) use this address: \| To mail via FedEx, UPS, and DHL deliveries use this address: \| \|----------------------\|----------------------------------------------------------\|-------------------------------------------------------------\| \| 8 CFR 274a.12 \| USCIS \| USCIS \| \| (c)(3)(B), Post-completion OPT \| Attn: I-765 C03 P.O. Box 805373 Chicago, IL 60680-5374 \| Attn: I-765 C03 (Box 805373) 131 South Dearborn - 3rd Floor Chicago, IL 60603-5517 \| B. Monitor your incoming USCIS mail by signing up for Informed Delivery by USPS - Informed Delivery provides a digital preview of your mail and allows you to manage and track your packages scheduled to arrive soon. - Sign up online at Informed Delivery by USPS. D. Track your OPT application with USCIS Case Status Online - You will receive a Receipt Notice of Action (Form I-797) in the mail with your case number within a few week from filing. - Use the case number to check the status of your application online at Case Status Online. - You should expect your Employment Authorization Document (EAD) to arrive by mail. The Social Security card will follow afterwards, only if you requested one. - Processing time may take an average of 90 days from your receipt date. - Contact USCIS immediately if the correspondence you receive presents inaccurate information. Filing Online - Follow the instruction on your Coversheet to complete the online OPT application with USCIS. - You must have an OPT I-20 BEFORE starting the online USCIS application for OPT. Online Filing Benefits - Case status alerts and secure messages - See all case correspondence - Check your case status and update personal information - Upload evidence • Application Progress & Status Updates - You will receive a Receipt Notice of Action (Form I-797) in the mail with your receipt number. If you filed by mail. - In contrast, you will have the receipt notice immediately after completing the online filing. - Notify USCIS immediately if you notice mistakes in form I-797. - Use the case number to check the status of your application online at https://egov.uscis.gov/casestatus/landing.do - Use the online tools to submit inquiries to USCIS about your application. RELATED TOOLS MAKE UPDATES Change of Address GET HELP Submit a Case Inquiry INQUIRE USCIS Processing Times Information LOCATE USCIS Office Locations USCIS Contact Center Dial 800-375-5283 • Begin Training - If Approved, you will receive the Employment Authorization Document (EAD) within 90-100 days from the receipt date. - Verify the Information in your EAD is correct - You can start your employment and/or apply for a SS# on the Valid Date printed on the EAD. - You will receive your Social Security Card in the mail shortly after your OPT approval, for questions go to www.ssa.gov Common mistakes to Avoid 1. Application is not submitted within the timeframe. 2. Application is incomplete. 3. Payment issues: i.e. check is dated too far away in the future, money not available, wrong fee amount, etc. 4. Pictures do not follow requirements. Review the picture requirement here or on our website. 5. Failure to respond to an RFE by the given deadline. - What is a Request for further Evidence (RFE)? ❖ An RFE is a formal notice sent by the immigration adjudicator reviewing your OPT application for: missing documents, better pictures, clarification of information ❖ Must respond within 60 days Maintain F-1 Status while Completing Post-Completion OPT • Train within your field of study - All training opportunities must be related to your major. For assistance with this requirement, use these resources: - https://bigfuture.collegeboard.org/majors-careers - https://www.onetonline.org - https://nces.ed.gov/ipeds/cipcode/Odefault.aspx?y=55 - You begin your employment only on the EAD start date & end employment on the EAD expiration date. - You must train a minimum of 20 hours per week. - You must not be unemployed more than 90 days for the duration of your OPT approved period. - Your SEVIS record will automatically terminate when you accumulate 90 cumulative unemployment days. Valid Employment Categories - Regular paid employment - Single full-time, or multiple part-time jobs - Multiple, short-term employers - Work for hire / independent contractor - Self-employed business owner - Employment through an agency - Volunteer / Unpaid internship (where Labor Regulations are not in violation) Report within 10 days from the change - Your SEVP Portal will help you update your record accordingly. - The SEVP Portal will be accessible to you only after OPT is approved. - You will receive an email to set up your individual SEVP Portal from firstname.lastname@example.org. Use the SEVP Portal to report the following information except email: - Physical home address. - Mailing address. - Telephone numbers. - Employment information, including unemployment periods. After you set up your SEVP Portal you can access it at https://sevp.ice.gov/opt For help with the SEVP Portal visit SEVP PORTAL HELP or contact an International Student Advisor/DSO. You are encouraged to use Request Documents or Signatures \| California State University Long Beach (csulb.edu) to submit changes to your preferred email address or a request to reset your SEVP portal. Is your job related to your major? Sample Descriptions • Bachelor's degree in Electrical Engineering: I work full time as an Electrical Engineer at ABC Corp., a government contractor. In my job, I analyze client requirements for electrical systems and provide them with cost estimates of such systems. My work requires understanding of electrical circuit theory, which I studied in-depth at the University of ABC. • Bachelor's degree in Business: I work full time as a Loan Officer at a mortgage company, Happy Homes, where I meet with clients and evaluate, authorize and recommend approval of loan applications. On a daily basis, I use the knowledge I gained in my credit analysis, sales and marketing classes that I took as part of my major program of study. • Master's degree in Music: I am working at a hospital playing the harp in patient rooms. I also conduct hands-on harp beginner workshops for long-term patients. On average, I work at the hospital 35 hours a week. My duties directly utilize the skills and knowledge I acquired from my coursework and degree in music therapy. Travel & Insurance Requirements Traveling Outside the U.S. TRAVEL - Travel is NEVER recommended when your application is pending AND your academic program already ended. - Travel may be ok before program end date under certain circumstances but always ask an International Student Advisor first! How to Re-Enter Safely - Valid Passport - Valid F-1 Visa Stamp - Freshly Signed OPT I-20 - Request a travel signature online: [Request Documents or Signatures \| California State University Long Beach (csulb.edu)] - EAD Card - Letter from your Employer - Contact information for the designated school official (DSO) at your school More info at: studyinthestates.dhs.gov/2014/06/know-before-you-go-international-students-and-summer-travel Health Insurance ENROLL - Purchase JCB Insurance - Purchase an international insurance program you prefer - Health Insurance is not required but ABSOLUTELY recommended! OPT Students may enroll in the JCB Plan on a voluntary basis. OPT students may purchase a maximum of 12 consecutive months of coverage from the OPT effective date. OPT extension coverage beyond 12 months is not allowed. Enrollment must be completed within 30 days of the expiration of prior coverage on the schools’ student health insurance plan. A gap in coverage is not allowed. A copy of a valid EAD or OPT application or receipt (I-765 or I-797c) is required to enroll. Inquired with ISS Advisor about alternative insurance providers for OPT students. Ending Post-Completion OPT OPT TIMELINE Application Window 90 days before program end date – 60 days after 1. Apply up to 90 days before Graduation 2. Graduation Date and/or program end date in SEVIS I-20 Form 3. Choose any day within 60 days after graduation for OPT start date Note: you cannot have a start date beyond 60 days after graduation 4. If eligible, apply for 24-month STEM OPT EXTENTION 90 days before Post-Completion OPT ends. 5. End date in EAD CARD. Last day to work unless granted extension 6. Depart the US MANTAINING F1 STATUS IF APPROVED BY USCIS - Work at least 20 hrs. per week in a job related to your field of study. - Report Employment/Unemployment and Address updates to CIE. - Cannot accrue more than 90 days aggregate total of unemployment. GRACE PERIOD - 60 Days grace period to: depart the U.S., transfer to another school, or change to another visa category - If you are simply remaining the U.S. for the grace period, you cannot leave and re-enter the U.S. End of OPT You have a 60 Day Grace Period to: - Depart the U.S. - Complete a transfer to another college/university to study full-time again - Complete a change of program level here at CSULB (i.e. B.A., M.A.) - Seek a Change of Status to a different visa type Cap Gap - Students who are eligible for a Cap-Gap extension of post-completion OPT employment and F1-status may request an updated I-20 from a DSO. 24 Month STEM OPT Extension - Students who are eligible MUST apply 90 days before OPT expires. For more information visit us at www.cpie.csulb.edu/employment Helpful Resources The Career Development Center (CDC) - Online: http://careers.csulb.edu/ - Learn about: - Resume Writing - Internships - Job Search Strategies - Interview Skills Beach Connect- Advising & Tutoring • Online: sso.csulb.edu • Meet with your immigration advisors • Access university resources Prospective and current F or M students can use information on this page to learn about the process and rules for studying in the United States as an international student. Connect online: studyinthestates.dhs.gov/students Watch the I-901 SEVIS Fee tutorial video for a step-by-step guide for each step of the payment process. LEARN How to Study in the States View the Study Guide to the States Obtain a Form I-20 Know about F or M Status Contact ISS Monday–Thursday, 9:00 a.m. – 4:00 p.m. Closed every day 12:00 p.m. – 1:00 p.m. Fridays: 9:00 a.m. - 3:00 p.m. Location: FND 185B Email: email@example.com www.csulb.edu/international Facebook: CSULB International Student Services Instagram: CSULB_ISS
Archaeological studies on the site of the former Cistercian grange Kolga Villu Kadakas and Erki Russow Tallinna Ülikool, humanitaarteaduste instituut, ajaloo, arheoloogia ja kunstiajaloo keskus (Tallinn University, School of Humanities, Institute of History, Archaeology and Art History), Uus-Sadama 5, 10120 Tallinn, Estonia; firstname.lastname@example.org INTRODUCTION According to written sources a grange of a medieval Cistercian monastery of Roma existed in the sparsely populated eastern part of the historic district Harjumaa, in a place called Kolga (Germ. Kolk), where a private manor was situated in the Early Modern period. During the last centuries nothing of the buildings of the medieval grange has existed above ground and there is a long historiography of discussion about the location and architecture of the complex. After recent fieldwork some things are a bit clearer. The present article introduces the results of fieldwork in the historic manor centre of Kolga in the seasons 2015 and 2016 (Fig. 1). The results have been briefly introduced in Estonian language (Kadakas 2016a; 2016b). The fieldwork took place partly in connection with the plans of the present owner to reconstruct the park area, partly initiated by the academic goal to specify the location and extent of the building remains of the medieval grange. Simultaneously the fieldwork was also a part of a practice course of buildings archaeology for BA students of cultural heritage and conservation (Estonian Academy of Arts). BUILDINGS OF MEDIEVAL GRANGES IN ESTONIA According to written sources the few Cistercian monasteries and nunneries on the territory of Estonia had some granges as well. No medieval grange building survives today even as a considerable ruin. The historic region of Harjumaa (Germ. Harrien) had the shape of a triangle and all the three corners of this triangle are still covered with large forested and swampy areas with little arable land and sparse population. All these three ‘corners’ were granted to Cistercian institutions by the Danish crown in the 13th century already: the eastern corner to the monastery of Roma on Gotland, the western corner to the monastery of Daugavgrīva (Germ. Dünamünde) near Riga in present Latvia, and the southern ‘corner’ to the nunnery of Tallinn (Johansen 1933, 784). According to building historian Kaur Alttoa there probably was a grange of Daugavgrīva monastery somewhere on the site of the later Padise (Germ. Padis) monastery in the second half of the 13th century (Altooa 2001, 15). Remains of the oldest building of the site under the later western range have been linked with this hypothetical grange phase with caution (Kadakas 2012, 66). The Cistercian nunnery of Tallinn had a grange in Kuimetsa (Germ. Kuimetz), serving as the centre of its land estate. Some walls of the basement storey of the grange building have preserved inside a low artificial knoll in the later manor park. According to some early 19th century drawings the building has been reconstructed as a fortified rectangular tower house with a basement, two stories above ground, and a crenellated battlement with corner turrets (Tuulse 1942, 288). This fortified house (ca. 17 × 30 m) also had a round cannon tower (outside ø ca. 9 m) built on one corner (Kadakas 2009, 169). Outside historic Harjumaa building remains have been connected with a Cistercian grange only in one case. The nunnery of Lihula (Germ. Leal) probably had a grange to manage the nearby land estate in Kloostri (Germ. Klosterhof). Remains of a medieval building may be located inside the ruin of the early modern manor house (Tuulse 1942, 287), but this has not been proved. HISTORICAL BACKGROUND OF KOLGA MANOR Most of the territory of Kuusalu parish, the eastern end of the historic province of Harjumaa, is still a sparsely populated woodland area. Most of it, including the surroundings of Kolga, belonged in the Middle Ages to the Cistercian Abbey of Roma, situated on Gotland across the Baltic Sea. Although there is no data about the grange from the 13th century, the later Kolga manor acted as the centre of the overseas land estate – a grange of the abbey. The abbey traded the land estate just some years before Reformation, in 1519 with the king Christian II of Denmark for another land estate situated on Gotland (Johansen 1933, 253, 368, 784–785; see also Markus 2009, 17–22). During the following decades, until the Livonian War, Kolga was the land estate of the Danish King inside the territory of the Livonian branch of the Teutonic Order, which caused many problems, as the king enfeoffed Kolga for short periods to different persons between 1528 and 1551 (Johansen 1933, 368). By the beginning of the Livonian War, the Danish king Christian III had enfeoffed Kolga manor to Christoffer van Monnickhusen, brother of the last Bishop of the Bishoprics of Saare-Lääne and Kurland. He also acted as a political representative of the Danish crown. In the name of Christian III he took over the castle of Tallinn from the last commander (Germ. Komtur) of Livonian Order on 26 July 1558 and kept it for about half a year (Renner 1876, 205). Shortly thereafter, in August 1558 the whole province of Virumaa was conquered by the Russian troops. Thereafter, Monnickhusen was not able to enjoy his estate for long: in August 1558, after an unsuccessful raid to Tallinn, the retreating Russian troops burnt Kolga manor (... branden de fiende den hoff tom Kolcke af...), captured a steward called Wrangel and a lot of peasants (Renner 1876, 208). In 1581 the Swedish forces conquered the manor centre from the Russians and the land estate was enfeoffed to Pontus de la Gardie (1520–1585), the supreme commander of the Swedish forces in Finland and Estonia (Genealogisches Handbuch 1930b, 56). The building complex was probably for the last time destroyed in 1602 during a plunder by Polish forces (Karling 1938, 4). In the first half of the 17th century Kolga manor belonged to the son of Pontus de la Gardie, Jacob (1583–1652), Governor General of Livonia (Johansen 1927, 10). After the marriage of his daughter Christina Catharina to Gustav Otto von Stenbock (1614–1685), Swedish military commander and politician (Genealogisches Handbuch 1930a, 199), the manor remained for centuries with this influential family, functioning as one of the largest land estates of the province (Johansen 1933, 369). ENGRAVING BY GOETEERIS AND PREVIOUS INTERPRETATIONS An engraving of the ruins of Kolga manor exists from 1615 and has long served as the primary and only visual source regarding the buildings of the Cistercian grange (Fig. 2). It was made by Anthonis Goeteeris, a paymaster of a Dutch diplomatic mission on the way from Tallinn to Russia. Goeteeris kept a diary on the way and published it in 1619 with several copper engravings, which he had made on the way (Goeteeris 1619; Johansen 1927, 3–4). In September 1615 Geoteeris depicted burnt ruins of a large stone building in Kolga manor. He also noted a markedly high chimney which had remained from another building (Goeteeris 1619, 10–11; Johansen 1927, 10, 15; Fig. 2). No medieval documents shed any light on the architecture of the building complex. One can get some idea of it based on an inventory, which was made in 1586 after the death of Pontus de la Gardie. It lists a fortified house, a room for a bakery, a room above the gate, cellars, and separate buildings for a brewery, a granary, a dwelling shed, a cattle shed, a cattle yard and stables (Karling 1938, 4). It is thought that the ruins were probably demolished to acquire building material for the new building complex already during the 17th century. In 1626 building a new house ![Fig. 2. Kolga manor in 1615. Copper engraving by Anthonis Goeteeris (Goeteeris 1619, 10–11).](image) In 2. Kolga mõis 1615. aastal. Vaselõige. Autor Anthonis Goeteeris (Goeteeris 1619, 10–11). was commissioned from a master builder Zacharias Hoffmann, but ten years later demolition of some foundations and walls was ordered (Karling 1938, 5–6). Based on this engraving Paul Johansen concluded that the ruin of the large stone building comes from the period of the monastic grange, which was built as a conventual building (Johansen 1927, 10). Later researchers have rejected his suggestion of a conventual building, as there was no need for a regular monastic building complex in a grange (Tuulse 1942, 287–288; Kangilaski 1981, 62–63). All researchers have agreed that the building must have been fortified. On the basis of the engraving Armin Tuulse supposed that it was a towerlike high building (Tuulse 1942, 287–288). According to Tuulse it was in the later firearms period provided with a round corner tower; also that there were smaller stone buildings around the main one, represented by a building with a dansker, depicted on the foreground of the engraving (Tuulse 1942, 287–288). Villem Raam has supposed that the main building had three stories with two rooms each; he also identified a thick round cannon tower on the right side of the engraving (Raam 1988, 104). Based on the engraving and general context, various dates have been suggested for the main building. Helmi Üprus has supposed that the main building probably dated from the turn of the 15th century (Üprus 1956, 7). Raam has supposed that the main building was probably built in the 14th century already as the first stone building, but the thick round cannon tower might have been built even by the Russian troops during the Livonian War (Raam 1988, 104). PREVIOUS SEARCH FOR THE GRANGE BUILDINGS During the last century nothing of the medieval building complex has been preserved above ground. All researchers have agreed that it has been located somewhere near the existing, early modern manor buildings, but its exact location has been a matter of debate, asserted with very few facts. Different locations have been suggested. Johansen supposed that the medieval main building was located in the western part of the later manor park, at the site of a small ruin inside a low, ca. 2 m high artificial knoll, called Tondimägi ('hill of a ghost'; Fig. 3: 2) (Johansen 1933, 369). The small ruin of a ca. 10 m wide square building with thin walls (ca. 1 m), on top of the knoll has been a protected monument under the name of ‘remains of Kolga monastery’ (reg. no. 2852) from the middle of the 20th century. Tuulse, Üprus and Epp Kangilaski have avoided the issue of location. Raam has supposed that the ruin on Tondimägi hill does not come from the main building, but from a larger auxiliary one (Raam 1988, 104). The first archaeological fieldwork in Kolga manor was done in 1985 and 1986 by Kalle Lange who was called to document a trench (Fig. 1), which had been dug for installing heating pipes (Lange 1985; 1986). At the same time he made a test pit on Tondimägi hill and concluded that the small ruin dated rather from the Early Modern period and was a part of the park complex (Lange 1986, 7–8). The opinion has been later accepted also by specialists of early modern manor architecture (e.g. Hein 2016, 35). The trench for the heating pipes was located in the north-western corner of the main square between the early modern mansion and the park. He recorded remains of several limestone walls or foundations and a cultural layer. Lange noticed that all the discovered walls were oriented at a slightly different angle (ca. 15°) compared to the buildings of the existing early modern manor complex and concluded that these must come from a previous building complex. He also noticed that only one existing building – a semi-underground cellar, located ca. 20 m north-west from the pipe trench (Fig. 1: 4) had the same orientation as the discovered walls. He concluded that parts of the cellar together with the walls discovered in the pipe trench should belong to a large building (Lange 1986, 6–7). Unfortunately Lange’s results remained unpublished and are largely unknown. The few later monitoring works have not provided any new data about the medieval building complex. Without knowledge of the results of Lange, a small-scale fieldwork was organized in 1998, with the aim to locate the remains of the medieval grange. A test pit was dug on the Tondimägi hill which confirmed Lange’s results that there is no reason to consider this ruin to be medieval. Some small test pits were made in different parts of the early modern manor complex from where only a few 19th century artefacts were obtained.$^1$ In 2000 a research and maintenance program for of the manor park was commissioned by the owner of the manor from Jimmy Norman (Sweden). It also included fieldwork during which remains of some destroyed structures of the 18th and 19th century park, e.g. a pavilion and paved pathways were located, uncovered and recorded (Norman 2000). There has been a lot of talk among the enthusiasts of Kolga manor history that some basement rooms of the existing 18th and 19th century manor buildings come from the medieval grange. Therefore before the fieldwork of 2015 the accessible cellars$^2$ were inspected. None of these showed any signs of earlier origin than the 17th or 18th century. Some walls between the cellars of manor buildings are very thick, but this was probably a result of lining masonry attached to the original walls to support the barrel vaults. In conclusion, before the fieldwork of 2015 it was clear that there is reason to search for the remains of the medieval grange in the north-western part of the main square, and to start from locating once again the walls recorded 30 years ago by Lange. FIELDWORK OF 2015–2016 Walls in the NW-part of the main square The fieldwork of both years started with a short survey with ground penetrating radar (GPR)$^3$, with a hope to locate some solid walls. Several tests with GPR provided rather clear signals that could be interpreted as walls, which were later really discovered with targeted test pits. Several signals reflected natural formations, and several gave misleading information, caused mostly by 20th century structures and disturbances, also tree roots. --- $^1$ A joint project of the National Heritage Board of Estonia and the University of Gotland: ‘Roma–Kolk: A Cultural Exchange Across the Baltic Sea over 1000 Years’. The University of Gotland was represented by archaeologists Olle Hoffmann and Cathrine Sjölund (E-mail to V. Kadakas in 17.12.2014 from Urve Russow who was the organizer of the Estonian side of the project). $^2$ There may be more uninspected rooms under the mansion, to where an access was closed during the Soviet period. $^3$ Kaarel Orviku, Phd and Hannes Tönisson, Phd (Institute of Ecology, Tallinn University). In 2015, 14 pits were dug (Fig. 1) to locate the walls recorded by Lange and an extra wall near the northern edge of the main square, indicated by very clear GPR signals. While digging the first pit it became clear that the area is covered by a 1–2 m thick layer of demolition debris.$^4$ Therefore an excavator was used to remove it. A very thick wall ($ca.$ 2.06 m), running in the north-south direction (Fig. 1: 9)$^5$, had been recorded by Lange next to the south-western corner of a former cattle barn (Fig. 1: 4). Due to its extraordinary thickness Lange interpreted it as a defensive wall (Lange 1985, 5). An extension of this wall was discovered in 2015 $ca.$ 15 m south of it (1.9 m thick). Considering its extraordinary thickness and location next to the slope, it could have been the western curtain wall of the complex. At the same time it could also have functioned as the western wall of the main building. From this thick wall a somewhat slimmer limestone wall running eastward ($ca.$ 1.2 m) had been identified by Lange (1985, 5). Its extension towards east was discovered in 2015 in four test pits. In one of the pits, another wall extending towards north was discovered (Figs 1; 4). Traces of its demolished extension towards south were also recorded. Right south of this east-west wall a 2.5 m deep cellar room with a floor of dressed limestone slabs was discovered. Collapse debris of a black-glazed tile oven was discovered on this floor (see below). Probably an entire tiled stove had collapsed from the main storey into the cellar together with the intermediate floor(s). A small part of the oven debris was excavated. In 1986 Lange identified a $ca.$ 3 m long fragment of another wall of undetermined thickness, running in the north-south direction and located $ca.$ 30 m south-east from the above described walls (Figs 1; 5). On its southern end Lange identified remains of a narrow ($ca.$ 0.6 m) intermediate wall, extending towards west. On its northern end he found a 43 cm deep wide niche. A floor of limestone slabs was recorded $ca.$ 1.9 m deep from the ground level. Lange identified that a group of rooms had been located on the western side of this main wall, near the later --- $^4$ This is probably the main reason why previous attempts to locate the ruin with hand-dug pits have failed. $^5$ Although the medieval building complex is not oriented exactly according to the cardinal directions (shifted by $ca.$ 15°), this article refers to its discovered walls as the closest cardinal directions for the sake of clarity. coach washing pond (Lange 1986, 7; Fig. 1: 11). In 2015 several unsuccessful attempts were made in this area to rediscover this wall or its possible extensions.$^6$ In 2015 near the northern edge of the square another wall, running in the east-west direction was discovered in three test pits according to the GPR signals (Figs 1; 6). On the southern side of this wall remains of a limestone pavement, and on the northern side remains of a floor of unworked limestone slabs was discovered. This indicates that probably an open area was situated right south of the wall, whereas an interior room (or row of rooms) was on the northern side. To be exact, the wall consisted of separate sections of walls, which ran in parallel, but were positioned slightly offset from each other, and had a different thickness (0.7–1.4 m). It could have been a row of façades of separate buildings, being built next to each other, probably not during one building phase. Another wall – possibly a side wall of such buildings, positioned at right angles to the main wall was discovered a year later. Possibly this row of east-west walls continued further to the east, even until the early modern mansion. In the middle of the 1990s, while digging a trench for a cable in front of the door in the northern wall of the mansion, an earlier wall was noticed, running possibly in the east-west direction as well.$^7$ A continuation of such a hypothetical wall was searched for with GPR in 2015. Only one test pit was dug on this line:$^8$ it appeared that at least in the pit there has been no such wall. Search for the extent of the grange in the South and East After the fieldwork of 2015 the extent of the supposed building complex of the grange seemed to be more or less clear in the west, where a 1.9–2.1 m thick wall, running along the natural slope in the north-south direction, had been identified. Therefore the fieldwork of 2016 concentrated on identifying the extent of the building complex in the other three cardinal directions, preferably by finding the corresponding curtain walls. Unfortunately most of the GPR signals in the southern and eastern part of the main square proved to result from natural formations of gravel, not by remains of man-made --- $^6$ The attempts failed probably because of extensive 20th century disturbances and large tree roots. $^7$ The wall was noticed by architect Raul Vaiksoo and historian Ott Sandrak, who accidentally were present at the dig. By the time they had brought a camera and measuring equipment, the trench had been closed already (personal communication from R. Vaiksoo to V. Kadakas in 06.08.2015). $^8$ Most of the area between the cattle barn and the mansion was not available for digging because of functioning pipelines and power cables. structures. In most cases even nothing but topsoil could be identified above natural gravel in the test pits. Only in the south-eastern part of the main square two structures with a cultural layer were identified, following a similar orientation as the walls discovered before. One of these was a rectangular platform (ca. 2.6 × 3.0 m), made of a single layer of thick limestone slabs, laid on natural gravel without mortar. Another one, located ca. 8 m further south, was a shallow foundation laid of some layers of both rocks and limestone with lime mortar. Only in the east it had a straight edge, in the other directions the surfaces were broken. Therefore it is not clear if it was once a foundation for a wall of a building or a foundation for a simpler structure. If it was a building, the contemporary ground level around it or its interior floor level was not much deeper than the present topsoil. There was a lot of household material from the 17th and 18th centuries (see subchapter ‘finds’ below) in the cultural layer around and on top of these two discovered structures, providing an implicit indication of the date of these as well. It should be kept in mind that probably not every structure, which has an orientation similar to the grange building complex, comes from the grange period. Probably new buildings and smaller structures were added according to the old orientation throughout the 16th and early 17th century. Even if these two structures come from the monastic period, they have not been part of the main house, but ancillary buildings at best. The extent of the grange complex in the south and east remains unclear. Neither proper walls nor any cultural layer were discovered in the test pits. Therefore, it is also unclear, if the grange complex was surrounded by a curtain wall at all, or has it been demolished beyond easily detectable traces or was it searched for in a wrong area. In several pits in the south-eastern part of the main square a pavement of small limestone slabs laid upright was discovered. A row of upright slabs marks the edges of the pavement. It appeared that the discovered pavement elements formed some kind of a network of stone paved paths. After comparison with historic plans of the manor centre, it was clear that the discovered network of pathways corresponds to the ones depicted on a plan from 1880 (EAA.3724.4.111, sheet 70). Probably some elements of this pathway network were recorded in 2000 already (Norman 2000, 28–29). Thus, these elements could be easily excluded from a list of possible structures from the monastic grange period. However, it is a significant discovery regarding garden archaeology, which is not yet an established research field in Estonia. Search for the extent of the grange in the North The possible northern curtain wall was searched for in 2016 north of the early modern cattle barn building. Like the single existing structure that has the same orientation with the supposed grange walls, the two-room cellar building (Fig. 1: 8) had caught the attention of Lange. A brief visual survey of the cellar rooms in 2015 had given an indication that it had been built in at least two building phases. Both rooms are covered with large early modern barrel vaults. To support the vaults most of the original wall surfaces had been covered with secondary lining masonry. Of the earlier walls only the wall between the two rooms could be observed on a large scale. Its orientation and location enabled to present a hypothesis that originally it might have been part of the northern curtain wall of the grange complex. Its possible extension towards east was well indicated by GPR in several spots, but it was discovered only in one test pit 6 m east of the cellar.\textsuperscript{9} The discovered wall was ca. 1.2 m thick. Compared to the wall on the western edge of the complex (1.9–2.1 m), this one was rather thin. Therefore it is not clear if the discovered wall functioned as the northern curtain wall of the grange complex or if the complex extended even further north. FINDS The assemblage collected during the two seasons of fieldwork comprised of ca. 170 fragments of artefacts, of which the greatest share (109 sherds altogether) belongs to stove tiles. Other finds include pieces of domestic pottery, mainly Early Modern period glazed redware (tripods, slipware dishes), Dutch faience, a piece of late 17th century Westerwald stoneware, few examples of metal finds such as a Swedish copper coin (1/6 öre, the date is illegible), a copper alloy belt-mount, an iron bullet and 2 wrought iron nails. Presently, only the collection of stove tiles deserves closer introduction for the current overview. A survey of the stove tiles indicates that we are handling here remains of at least three tiled stoves. The earliest one of these (Stove 1) might belong the mid-16th century or an even slightly earlier period and is perhaps represented with two fragments (Fig. 7: 1–2), however, both are stray finds and too small to give a more detailed opinion. \textbf{Fig. 7. A selection of stove tile fragments.} \textit{In 7. Valik ahjukahlite katkeid.} (AI 7742: 2, 111, 46, 49, 159, 43, 58, 59, 64, 41.) Photo / Foto: Erki Russow \textsuperscript{9} It appeared that on the northern side of the former cattle barn, on top of the demolition debris of the old manor complex an additional layer of soil has been brought during the Soviet period. Therefore, even in the single pit where the wall was discovered, it was not possible to dig through the debris down to the original ground or floor levels. The second set of finds originated from a slightly later heater (Stove 2). The majority of these sherds (72 fragments) were found together on the bottom of the basement from the debris of the former tiled stove (see above; Fig. 1: 10). Based on the collected samples it can be said that the stove was built of black glazed tiles with various motifs. The relative variability of decoration lets us reconstruct it with a geometrically arranged floral pattern possibly on the lower zone and with images of rulers on the upper zone of the stove (Fig. 7: 3–5, 8). The latter examples also give us a vague possibility to estimate the probable erection time of the tiled stove, however a more thorough investigation on the images is needed in the future. At the moment, it seems plausible that the surviving images of persons belong to the series of Mecklenburg rulers, dating from the early 17th century. However, the high fragmentation of the finds makes it relatively difficult to identify the individuals depicted. Still, a few surviving elements (corner decoration, hairstyle, clothing, jewels, etc.) give some clues. Comparison of Kolga finds with relevant stove tiles from southern Baltic, notably from towns of Mecklenburg (see Döry & Mulsow 2006; Kaute & Schäfer 2016 among others), it appears that at least two historical persons might be recognizable. One female (Fig. 7: 3) should portray duchess Margarethe Elisabeth of Mecklenburg-Güstrow (1584–1616; see Döry & Mulsow 2006, Abb. 5), and the male (Fig. 7: 5) could be her husband Johann Albrecht II of Mecklenburg-Güstrow (1590–1636; see Döry & Mulsow 2006, Abb. 26). Some other sovereigns from the same region are also not excluded (duchess Anna Sophia, duke Adolf Friedrich I), but the size of the sherds does not allow to draw definite conclusions. Considering the social, cultural and economic ties between the Northern Germany and Estonia under Swedish rule it is not surprising to see these figures in a material environment of a Swedish noble family of the early 17th century. Perhaps duchess Margarethe Elisabeth, daughter of duke Christoph of Mecklenburg-Gadebusch and princess Elisabeth of Sweden, who spent her childhood and adolescence – until marrying Johann Albrecht II in 1608 – in Stockholm (Döry & Mulsow 2006, 61) deserve special highlighting here. The find context and tiles themselves do not give firm data about the building time of the stove. This can be defined only vaguely, through the dating of the original matrices of the stove tiles. Through the extrapolation the year 1611 has been suggested for the production of these images (Döry & Mulsow 2006, 58–59), and only recently confirmed by new excavation information (Kaute & Schäfer 2016, 182). Thus Stove 2 at Kolga manor should be dated later than 1611. Another aspect to highlight here is the quality of the impressions: in most cases the decoration pressed onto the tiles is slightly blurred, thus perhaps indicating the use of secondary matrices and not the original ones. If this assumption is true then we have to take into consideration an additional time lag between the production of original matrices and the making of the Kolga tiles. This is really hard to calculate leaving thus the archaeological dating of the tiled stove by and large open. Here, the building and the acquisition history of the Kolga property might help further with the interpretation of the discussed find complex. One thing is sure: this tile oven has been built in the period of Jakob de la Gardie (1583–1652). Beside the above mentioned stoves a few other stove tiles belong to the Kolga collection. These are from a slightly later period and are from undecorated stoves (Stoves 3–4) covered with black and white glazed tiles, but the number of finds (2) and the size of the fragments is too small to give more close interpretation of the stoves. No household finds which could be linked to the monastic grange period were obtained. This is so probably because only park topsoil, demolition and collapse debris was excavated. A few small fragments of dressed limestone details – probably of door and window jambs of the grange – were found (Fig. 8). CONCLUSIONS ABOUT THE MEDIEVAL GRANGE BUILDINGS The fieldwork of 2015 and 2016 confirms the results of Lange from 1986: there have been stone buildings from an older manor complex, located in the area of the north-western corner of the main square. The building remains are situated in a rather large area, extending at least 70 m in the north-south and at least 60 m in the east-west direction, and cover an area over 4000 m². This obviously surpasses at least most of the private medieval manors, recorded in medieval Estonia, but is expectable in case of a Cistercian grange. It is obvious that all the walls which were discovered in such a large area did not belong to a single large building, but several smaller ones with courtyards in between. Although no medieval artefacts were obtained and the limestone walls are rather difficult to date, regarding the general context it is probable that at least most of the discovered walls date back to the monastic grange period. Obviously some built elements could have been added or restored during the 16th and early 17th centuries. Only fragments of some walls were opened which makes the reconstruction of the plan of the grange, even localization of its main building depicted by Goeteeris almost impossible in the present state of research. However, continuity of some walls in a long extent could be proven in some cases which gives some hints to the location and orientation of some major building parts. The 1.9–2.1 m thick wall in the north-south direction was obviously the western curtain wall of the complex. Probably some buildings were constructed next to it, possibly even the main building, the fortified house, the ruins of which were depicted in 1615 by Goeteeris. In such a case the western curtain wall could have functioned as the western wall of the fortified house as well. Another group of houses was probably situated under the eastern part the early modern cattle barn. Only here information of a courtyard pavement was obtained: it was situated south of the east-west directional wall. Behind it several smaller buildings existed and were probably attached to the northern curtain wall of the complex, using it as their back wall. Development of the building complex during a longer period and several phases is indicated by the somewhat different orientation angle (ca. 15°) of these buildings, compared to the walls discovered in the north-western corner of the main square. There has been a lively discussion lately among the enthusiasts of the history of Kolga manor regarding the position and direction of view of Goeteeris while preparing the engraving (e.g. Tähemaa 2015, 16–17). This is an important issue from the point of reconstructing the grange buildings. Unfortunately, even after recent fieldwork it is not possible to give a conclusive answer. Nevertheless, the direction of view from the north, from across the road seems most likely$^{10}$ (Fig. 9). In such a case, the sledge moving from the gate along the path to the right would have headed towards the road bridge (Fig. 3: 3). In this spot the road is slanting towards the bridge even today. The main building, the fortified house would have been located in an area of the western part of the later cattle barn, and the house with the gate and dansker in an area of the eastern part of the cattle barn. The ruined cannon tower, depicted on the right side of the main ruin, would have been situated on the spot of the later two-room cellar building. The intermediate wall of the two cellar rooms, which comes from an earlier building phase (see above), could have been e.g. a side wall of the tower. It would explain why this intermediate wall is protruding westwards from the line of the thick wall, discovered running in the north-south direction and interpreted as the western curtain wall of the grange complex. However, this interpretation of the engraving waits confirmation or correction by further fieldwork results. The extent of the whole complex, the layout and dating of the buildings remain waiting for further fieldwork results as well. In theory, something could be supposed about the demise of the ruins, based on the collapsed remains of the tiled stove, found in the 2.5 m deep cellar (see above). If the cellar with the stove tiles was located in the fortified house which Goeteeris depicted as a ruin in 1615, there are two possibilities. Either the stove had collapsed together with the building already by 1615, or it was still to be built during a hypothetical reconstruction work, which should have happened soon after the visit of Goeteeris. In 1636 a master builder Hans Langen was commissioned for a demolition of old walls (Karling 1938, 5–6). It is not clear from the document, if it was the old main building or --- $^{10}$ The idea of the direction of view of Goeteeris from the north, from across the road, was first introduced to V. Kadakas by historian Ott Sandrak, although he had a different idea of the location of the fortified house (personal communication in 10.08.2016). another one. It is even possible that the ruined main house (or part of it) had been restored between 1615 and 1636. After the rapid career of Jacob de la Gardie probably enormous new resources were suddenly available for a totally new manorial complex, so that all the previous expenses could be ignored as obsolete trifle. He enjoyed an extraordinary career, becoming the most important man in the overseas provinces of Sweden very soon after the visit of Gooteeris (1619 Governor of Estonia, 1622 Governor General of Livonia). Subsequently he was among the top men of the whole kingdom as well (Lord High Constable 1620–1652), and got large land estates with huge income also elsewhere in Estonia (e.g. the castles of Haapsalu, Viljandi, Tarvastu and Helme with the corresponding land estates and their income) and Sweden (Genealogisches Handbuch 1930b, 56). The conservative habit of restoring the ruins of medieval fortified houses of the manorial estates of Estonia is rather not to be expected in such extraordinary circumstances. For these reasons it is probable that all the remains of the Cistercian grange of Kolga were totally razed from the ground in 1636 or soon thereafter. The speed of demolition probably depended on how fast the stone material was needed for reuse in the new mansion and the debris for remodelling the landscape around it. Regarding the location of the grange buildings in landscape, it can be said that it has been built on an edge of a limestone plateau, where it borders with a ca. 3–4 metre lower wet area of a river valley in the west. A spring is situated on this slope, only some metres west of the ruin area, which feeds the ponds of the early modern manor park even today. It is not clear if any of the water ditches or ponds come from the monastic grange period, but it is obvious, that the Cistercians of Kolga chose the location next to a spring on purpose and used its running water.$^{11}$ The Kolga River comes closest to the manor centre in the northwest (ca. 250 m) where a bridge (Fig. 3: 3) has been located at least during the Early Modern period. The bridge enabled traffic between the manor centre and its villages and a harbour site in Tsite, situated ca. 6 km in the northwest. The water mill of the manor has been situated next to the river during the recent centuries. In addition, a system of some kind of water channels can also be observed much closer to the ruin area, under the former distillery building (Figs 1: 5; 3). These channels were probably fed by the same spring through the two ponds which exists today. ACKNOWLEDGEMENTS The authors are most grateful to Anu Koppel, the owner of the manor centre who initiated, took part and supported the fieldwork in various ways, to geologists Kaarel Orviku and Hannes Tönisson for the studies with GPR, to archaeologists Kalle Lange and Urve Russow and architect Raul Vaiksoo for consultations on previous fieldwork results, to Anu Karjatse and Ulvi Meier from Kolga Museum, and to Anu Tähemaa and Ott Sandrak, independent enthusiasts of local history, for various consultations, to Kahrut Eller for consultations about Cistercian granges, to Meelis Rondo for visual recording and popularizing the fieldwork, to Igor Jarlõkov, Tarmo Hook and Katrin Iisma, also several BA students of Estonian Academy of Arts for taking part in the fieldwork. This article was supported by institutional research funding IUT (IUT18-8) of the Estonian Ministry of Education and Research. $^{11}$ About the usage of water e.g. in Padise monastery see Kadakas 2015. 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Lange, K. 1986. Soojustrassi arheoloogiline ülevaatus Kolga möisas. Tallinn. (Manuscript in MA.) Markus, K. 2009. Misjonär või möisnik? Tsistertslaste roll 13. sajandi Eestis. – Acta Historica Tallinnensia, 14, 3–30. Norman, J. 2000. Vårdprogram för parkanläggningen vid Kolk herrgård, Estland (Conservation Program for the Park of Kolga Mansion, Estonia). (Manuscript in the archive of Kolga Museum.) Raam, V. 1988. Kolga kloostriasula. – Harju rajooni ajaloo- ja kultuurimallestised. Ed. by E. Vainu. Tallinn, 103–105. Renner, J. 1876. Johann Renner’s Livländische Historien. Ed. by R. Hausmann & K. Höhlbaum. Göttingen. Tuulse, A. 1942. Die Burgen in Estland und Lettland. Õpetatud Eesti Seltsi Toimetused, XXXIII. Dorpat. Tähemaa, A. 2015. Kloostrimõis Kolgas – mötteid ja vastuteta küsimusi. Kolga ootab arheolooge. (Manuscript in the archive of Kolga Museum.) Üprus, H. 1956. Kolga loss. Ajalooline öiend. Tallinn. (Manuscript in MA.) ARHEOLOOGILISED UURINGUD TSISTERTSLASTE KOLGA KLOOSTRIMÕISA ASUKOHAS Villu Kadakas ja Erki Russow 2015. ja 2016. aasta suvel uuriti Kolga mõisa parki, et täpsustada seal keskajal paiknenud kloostrimõisa hoonete asukohta ja ulatust (jn 1). Suur osa endise Kuusalu kihelkonna maid kuulus alates 13. sajandist kuni 1519. aastani Roma tsistertslaste kloostrile, mis paiknes Ojamaal. Maavalduse keskuseks oli Kolga mõis. Toetudes Hollandi diplomaadi Anthonis Goeteerise 1615. aasta graviüürile (jn 2), mille kujutatakse suure kiviohune põlenud varemeeid, on väidetud, et mõisa hoonestusse kuulus massiivne kiviohune. Joonise järgi otsustades oli sellel eenduv torn ja hoovi ümbritsev ringmüür, millest pääses sisse danskriga väravahoone kaudu. Mõisa pöletasid Vene väed Liivi sõja alguses 1558. aasta augustis. 1581. aastal vallutasid Kolga Rootsi väed ning mõis läänistati väepaiklik Pontus de la Gardie’le. 17. sajandi I poolel kuulus Kolga mõis tema pojale Jakobile, Liivimaa kindralkuvernereile ja rigimarssalile. Keskaegse hoonestuse asukohta on mõisasüdames oletatud erinevates kohtades. Ekslikult on muinasuskaitse all „Kolga kloostri säilmetena” pargi lääneosas Tondimäe nime kandnud madala künka sees paistev vare (jn 3). Ilmselt moodustas see ehitis hoopis osa hilisemast pargiansamblist. Keskaegse mõisa jäänuseid on oletatud ka mõisa hilisemas peahoones ja lähemates köralvahooonetes. Nende hoonete täna ligipääsetavates keldriruumides siiski märke keskaja ehitistest ei paista. Esimesena avastas Kolga keskaegse kloostrimõisa müürid 1985. aastal arheoloog Kalle Lange kunagise tõlade pesemise tiigi (jn 1: 11) läheduses küttetrassi ehituse käigus. Paljandus mitu paekivimüüri, mis paiknesid hilisema mõisaansambl hoonete suhtes viltu. Lange märkas, et leitud müüride suhtes on mõisa hoonetest ainsana ehitatud samas sihis kaheruumilise kelderi endise lauda lääneotsa juures (jn 8). Ta järeldas, et leitud müüre tuleb koos keldriga vaadelda varem selles piirkonnas eksisteerinud suurema ehitise jäänusena. Kahjuks jää Lange avastus vaid käsikirjalise kaevamisaruande kaante vahele ning seetõttu laiema tähelepanuta. 2015. ja 2016. aasta otsingud algasid georadariga, mille järel kaevati üksikud šurfid. 2015. aastal otsiti Lange leitud müüride pikendusi. Juba esimest šurfi kaevates selgus, et varemeeala katab 1–2 m paksune vairingurusu kihit, mis tuli eemaldada ekskavaatoriga. Endise lauda (jn 1: 4) edelanurga lähistel avastati kompleksi arvatav läänepoolne, 1,9 m paksune välrisringmüür (jn 1: 9), mis võis olla rajatud paeplatoo lääneseerval. Veidi ida pool leiti öhem ristuv müür, samuti sellega omakorda ristuv põhja-lõuna suuniline müür (jn 4). Ristumiskohast vahetult lõuna pool tuli 2,5 m sügavuselt välja paeplataidest põrandaga kelder (jn 1: 10), kust leiti musta glasuuriiga kahhelahju rusu. Lange poolt avastatud kõige lõunapoolsaim müüre (jn 5) tõllapesu tiigi lähedal (jn 1: 11) ei suudetud uuesti üles leida. Endise lauda idaosast lõunapool avastati georadarid andmetele toetudes idaläinе suuniline müür (jn 1; 6), täpsemalt erineva paksusega müürilõikude rida. Sellest lõuna pool tuvastati hoovisillutis ning põhja pool siseruumide põrandad. 2016. aasta suvel oli eesmärk kindlaks teha hoonekompleksi ulatus lõuna-, ida- ja põhjaküljel, s.t otsiti ringmüüri. Hoolimata georadarid näitustest ja mitmetest šurfidest ei õnnestunud auringi lõunaoas leida jälgi ei kapitaalsetest keskaegsetest kivimüüridest ega ka elutegovuskihist. Mitmed signaalid osutusid loodusliku pinnase moodustisteks. Jää lahtiseks, kas kloostrimõisa oletatav ringmüür pole seda ala hõlmamud, polegi olud kapitaalseid ringmüüri, ei suudetud seda üles leida või on see hävinud ka maa-aluses osas. Auringi kaguosas õnnestus välja puhastada kaks rajatist, mille orientatsioon ühildub varasema mõisa kompleksiga: umbes 3,0 × 2,6 m suurune, ristikülikukujuline suurtest paekividest seguta laotud platvorm ja lubiseguga laotud ebamäärase kujuga vundament. Tegemist oli arvatavasti väiksemate kõrvalehitistega, mis on püstitatud kloostrimõisa ajal või varasel uusajal, 16.–17. sajandil. Selgus, et mitmes šurfis avastatud püst paeküükideid laotud sillutiseliseadne kivipind moodustab 2,5 m laiuse pargiée, mida on kujutatud 1880. aasta plaanil (jn 3). Põhja pool endist lauta leiti oletatav põhjapoolne ringmüür seal paikneva kaheruumilise keldri vahe-seina joonel. Müür on 1,2 m paksune, mis lääneringmüüriga võrreldes on suhteliselt õhuke ning seetõttu ei pruugi olla kompleksi ringmüür: hoonestus võis ulatuda kaugemale põhja poole. Saadi u 170 esemeleidu, millest suurema osa (109) moodustavad ahjukahlid. Muud leiud on enamasti 17.–18. sajandi tarbekeraamika killud, põhiliselt punane glasuurkeraamika, Hollandi fajanss, 17. sajandi Westerwaldi kivikeraamilise nõu katke ja mõned metall-lejud (nt Rootsi 1/6 öör 17. sajandi II poolest, vasesulamist pannal, samuti üks välke rauast suurtükikuu). Ahjukahlid pärinevad vähemalt kolmest ahjust, millest varasem (16. saj keskpaik või veidi varasem) on esindatud vaid möne killuga. 72 killu pärinevad abjust, mille rusu leiti auringi loodeosas keldrist (jn 1: 10; 7). Osa musta glasuuriiga kahlitest on kaetud taimemotiivide, teine osa valitsejate portreedega. Praeguses uurimisseisus on võimalik tuvastada, et osa kujutisi kuuluvad 17. sajandi alguse Mecklenburgi valitsejatele. Isikute tuvastamine on väikeste kilude tõttu keeruline, kuid tõenäoliselt on mõnel killul kujutatud Mecklenburg-Güstrowi hertsoginna Margarethe Elisabeth (1584–1616), mõnel tema abikaasa Johann Albrecht II (1590–1636). Arvestades tihedaid sidemeid Põhja-Eesti ja Põhja-Saksaamaa vahel Rootsi valitsusajal, on nende luterlike valitsejate kujutamine ootuspärane. Ahju ehitusaja kindlaks tegemine muudab keeruliseks asjaolu, et kasutatud on sekundaarseid matriite. Siiski saab olla kindel, et ahi paiknes mõnes peakorruse esinduslikus ruumis ning on ehitatud Jakob de la Gardie valitsusajal. Kuna kaevati põhiliselt pargi haljustusmulda või keskaegse möisa varingurusu, siis kloostriaegseid leide ei ole seni saadud. Leiti mõni paest raidkivi fragment (jn 8). Välisuuringud näitavad, et Kolgas asuva hilise-ema baroke möisasüdame loodeosas on keskajal töepoolest asunud suur kivihoonete kompleks. Ehitusjäädused paiknevad suurel, umbes 70 × 60 m suurusega neljakandilisel alal, mis hõlmas vähemalt 4000 m². Sellisena ületab see kindlasti keskmise Eesti keskaegse möisa suuruse, kuid on tsistertslaste kloostrimöisa puhul ootuspärane. Ilmselt ei ole köik leitud ehitusjäädused ühest hoonest, vaid mitmete hooneteaga kompleksist. Tõenäoliselt pärimeb suurem osa leitud müüre kloostrimöisa ajast, kuigi 16.–17. sajandi jooksul jõuti üht-teist lisada. Hoonekompleksi plaani rekonstrueerimine, samuti Goeteerise kujutatud peahoone kindel lokaliseerimine on praeguses uurimisseisus võimatu. Auringi läänneservas leitud 1,9–2,1 m paksune põhja-lõuna suunaline müür võis olla kompleksi läänemüür (jn 1: 9). Selle sisekülgel paiknesid ilmselt hooned, võib-olla isegi peahoone. Teine rühm hooneid paiknes ilmselt põhja-ringmüüri vastas, endise lauda idaosa kohal. Seal leitud idääline suunalises müürist lõuna pool paiknes hoov. Praeguses uurimisseisus tundub kõige tõenäolisem, et Goeteeris vaatles möisakompleksi põhja poole, teiselt poole maantee (jn 9). Sellisel juhul paiknes kujutatud kindlustatud maja vare endise lauda lääneseosa kohal ning danskriga värvahooene selle idaosa kohal. Paremal kujutatud eenduv torn võis paikneda hilisema kaheruumilise keldri kohal. See oletus vajab kinnitamist või ümberliikumist täiendavate välisuuringutega, samuti jääb praeguses uurimisseisus selgusetuks kompleksi ulatuse ja rajamisaja ja olulisme ehitiste arhitektuuri kindlaks tegemine. Leitud kahhelahju ebamäärane dateering ei võimalda otsustada, kas ahi oli juba Goeteerise visiidi ajaks koos hoonega hävinud või alles ehitati järgne nud taastamistööde käigus. Kirjalikest allikatest on teada, et ehitusmeister H. Langenilt telliti 1636. aastal muu hulgas mingi vana hoone lammutamine. Jakob de la Gardie erakordne ja 1620. aastatel kiirelt kulgenud karjäär võimaldas talle tõenäoliselt külluslikud ressursid, mistõttu võidi vana kindlustatud maja 1615. aasta järel taastada, kuid kümmekond aastat hiljem juba asendada uue ja uhkemaga. Vanad varem lammutati lõplikult uue peahoone ja körvalhoonetehitusmaterjaliks tõenäoliselt juba Jakob de la Gardie ajal. Kolga kloostrimöis oli ehitatud paekiviplatoo lääneserval, millest ida pool laiub 3–4 m madalam jõelamm, kus paikneb hilisem möisa park. Nõlval asub allikas, mis toidab kraavide ja tiikide süsteemi. Ei ole selge, kas mõni neist pärimeb kloostri perioodist, kuid on tõenäoline, et kloostrimöisa asukoht valiti allika kõrvalle meelega. Möisa veski on viimastel sajanditel olnud u 250 m loode pool kulgeva jõe ääres, kuid algsest võis see paikneda ka viinavabriku all asuvate veekanalite kohal.
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Get started with Footmaxx Footmaxx.com/get-started EDITORIAL OBSERVATIONS 9 COVID-19: HIGHLIGHTS OF RESPONSES—CLINICAL, ECONOMIC, REGULATORY The pandemic caused by COVID-19 (brought on by the severe acute respiratory syndrome coronavirus, SARS-CoV-2) has now touched every continent, save Antarctica. The World Health Organization (WHO) is now estimating the global death toll will reach 400,000 by mid-June, with no end in sight. FROM THE LITERATURE 17 • Impact of Gait Retraining Over Time • Fragility Fractures and Caregiving • Does Childhood Play Relate to Motor Development? • Prevalence of Obesity Continues Upward Trend COVER STORY 23 THE UTILITY OF EXTERNAL FIXATION FOR MIDFOOT CHARcot NEUROARTHROPATHY When conservative therapies fail, surgical reconstruction of the foot is often required to restore function, heal ulcerations, and decrease risk of amputation in patients with CN. External fixation remains a reliable method, with plenty of advantages. By P. Tanner Shaffer, DPM, Jonathan Hook, DPM, FACFAS, and Ben Potter, DPM LER FEATURES 31 BIKE FIT UNPLUGGED After 40 years of bike fitting, this expert from New York’s Hospital for Special Surgery walks us through his process for bike fitting with a story told in pictures. By Happy Freedman 41 PREFAB OR CUSTOM: WHICH FOOT ORTHOSIS IS BETTER FOR PLANTAR HEEL PAIN? Examining the evidence behind recent analyses in the literature, this expert focuses on who is creating the custom work and the necessary training to create therapeutic orthoses. By Stanley Beekman, DPM FROM THE MEETING 13 HIGHLIGHTS FROM THE APTA COMBINED SESSIONS • Pole Walking Offers Health Benefits, Improved Gait Parameters • Use of a Wearable Plantar Sensory Neuroprosthesia Improves Fall Risk NEW DEPARTMENT WOUND CARE UPDATE 35 THE ROLE OF TOPICAL OXYGEN THERAPY IN THE TREATMENT OF WOUNDS As obesity and diabetes continue their upward trends, wound care is a growing challenge. Oxygen is essential to multiple wound healing processes. Learn more in this new regular LER column from an international wound expert. By Windy Cole, DPM COVID FRONTLINES 55 KEEP YOUR BUSINESS SAFE DURING COVID-19 Clinical care organizations and businesses need to help guide employees through the new world of remote work created by the COVID-19 pandemic. By Andrew Rawson CROSSWORD PUZZLE 62 TEST YOUR KNOWLEDGE OF INFORMATION FROM THIS ISSUE The views and opinions expressed in this issue are those of the authors and do not necessarily reflect the official policy or position of Lower Extremity Review. “My patients keep thanking me... for relieving their foot problems with PediFix® Medical Footcare Products” “I save valuable time not having to make palliative pads and get excellent results with the PediFix line,” adds another specialist. Your patients will express their gratitude too, for the instant and long-lasting pain relief you’ll provide with Conservative Care Footcare Products from PediFix. Don’t be fooled by imitations. Our proven designs, exclusive materials and old-world craftsmanship combine to provide you and your patients with durable devices that really work. For deformity cushioning, prominence and lesion protection, pressure and shear reduction, choose from these and dozens more ready-made medical footcare products from PediFix®. Budin™ Toe Splints align crooked, overlapping and flexible hammer toes. #8155/57/58 Hammer Toe Crests support bent-under toes to relieve toe-tip irritation, metatarsal pain, make walking easier. Choose Felt, Suede, or Gel. 3-Layer Toe Separators™ cushion, soothe and separate. #8130 Covered PolyFoam™ Toe Caps offer full toe protection. #8134/5 Effective. Economical. Easy. For a free catalog, product sample or more information, Call: 1-800-424-5561 or 845-277-2850 FAX: 1-800-431-7801 or 845-277-2851 E-mail: email@example.com To order, contact your favorite PediFix supplier: McKesson Henry Schein Gill Podiatry Call for more Yes! Please send me: ☐ Free Catalog ☐ Free Product Sample PRODUCT NAME / # My Name ____________________________________________________________ Practice/Clinic Name _________________________________________________ Address ___________________________________________________________ City __________________________ State _____ Zip _________________ Phone _____________________________________________________________ Fax _______________________________________________________________ Email ______________________________________________________________ In our practice, we see approximately ________ (#) patients each week. My favorite supplier is ______________________________________________ I prefer: ☐ To Dispense ☐ To Prescribe ☐ Patient Direct Order Mail to: PediFix, Dept. LER819, 301 Fields Lane, Brewster, NY 10509 Fax to: 845-277-2851 Please provide all information requested. Allow 2 weeks for delivery. This offer is for healthcare professionals only. Lower Extremity Review Lower Extremity Review informs healthcare practitioners on current developments in the diagnosis, treatment, and prevention of lower extremity injuries. LER encourages a collaborative multidisciplinary clinical approach with an emphasis on functional outcomes and evidence-based medicine. LER is published monthly, except for a combined November/December issue and an additional special issue in December, by Lower Extremity Review, LLC. Subscriptions may be obtained for $38 domestic and $72 international by writing to: LER, PO Box 390418, Minneapolis, MN, 55439-0418. Copyright ©2018 Lower Extremity Review, LLC. All rights reserved. The publication may not be reproduced in any fashion, including electronically, in part or whole, without written consent. LER is a registered trademark of Lower Extremity Review, LLC. POSTMASTER: Please send address changes to LER, PO Box 390418, Minneapolis, MN, 55439-0418. LOWER EXTREMITY REVIEW 41 State St. • Suite 604-16 • Albany, NY 12207 518.452.6898 INFORMATION FOR AUTHORS LER encourages a collaborative multidisciplinary clinical approach to the care of the lower extremity with an emphasis on functional outcomes using evidence-based medicine. We welcome manuscripts (1000-2000 words) that cross the clinical spectrum, including podiatry, orthopedics and sports medicine, physical medicine and rehabilitation, biomechanics, obesity, wound management, physical and occupational therapy, athletic training, orthotics and prosthetics, and pedorthics. See detailed Author Guidelines at lermagazine.com – click the Editorial tab on the homepage. ELECTRONIC SUBMISSIONS Please attach manuscript as an MS Word file or plain text. Tables may be included in the main document, but figures should be submitted as separate jpg attachments. Send to: firstname.lastname@example.org The Material Edge® NRG Flat Plate NRG Morton Toe NRG Contour Plate ‘TORAY’ Toray Performance Materials Corporation Lightweight Support \| Rapid Production \| High Volume \| Continuous Fiber Reinforced Thermoplastics www.toraypmc.com \| email@example.com For more information call: +1 805 482 1722 The pandemic caused by COVID-19 (brought on by the severe acute respiratory syndrome coronavirus, SARS-COV-2), has now touched every continent, save Antarctica. The World Health Organization (WHO) is now estimating the global death toll will reach 400,000 by mid-June, with no end in sight. Hopes for an early vaccine were bolstered by recent positive findings from clinical trials, but the trials must be allowed to run full course and the data must be thoroughly analyzed before we have the evidence to move forward. Things are moving at a rapid pace in multiple spheres. Here’s a quick recap of what we’ve seen happening—both clinically and in the world of business. Distinct Coagulopathy and Cloth Face Masks Researchers, both public and private, are seeking to understand how the virus infects the human body and why it is so devastating to some. What seems clear is that, for some, it can be far more than the respiratory syndrome initially identified. In a new review published in the Journal of Clinical Medicine, Marchandot and colleagues in France discuss the distinct coagulopathy that appears to affect some individuals and the disproportionately worse outcomes they suffer as a result. The authors conclude: The relationship between COVID-19 and thrombogenesis seems deeply intricate, complex, and still little understood. And call for research to further explore whether the COVID-19 related coagulopathy is new or is part of the well-known sepsis-induced pattern. Data show that nearly 81% of those who report COVID-19 symptoms are classified as mild cases that are treated at home. However, rapid spread has been seen from symptomatic, pre-symptomatic, and asymptomatic individuals, making testing ever more important and reaffirming the need for face masks to reduce droplet transmission. The Centers for Disease Control and Prevention continues to recommend the wearing of cloth face masks in public settings where other social distancing measures are difficult to maintain (eg, grocery stores and pharmacies), especially in areas of significant community-based transmission. Business Community Stepping Up Numerous businesses are stepping up to support essential workers. Let us know what YOU’RE doing so we can let others know as well. ADDG Provides SelectFlex Insoles to Genentech Employees, Donates to Global Giving Alliance Design & Development Group (ADDG), Matawan, NJ, co-creator of SelectFlex, commercially available adjustable arch insoles, became an ergonomic vendor for Roche subsidiary Genentech. Genentech is a developer of medicines for serious diseases, including a new treatment for severe COVID-19 pneumonia that was recently approved for clinical trial by the US Food & Drug Administration. As a vendor, ADDG’s SelectFlex insoles are now among the health and safety offerings in Genentech’s employee Ergo Room, which means ADDG is supporting the efforts of a biotechnology company on the forefront of fighting coronavirus. ADDG is also donating 10% of all SelectFlex sales to the Global Giving Coronavirus Relief Fund. Allard Offers 5% List Price Reduction on AFOs Amid Covid-19 Pandemic Allard USA, Rockaway, NJ, announced it has reduced list prices on all Allard AFOs by 5% immediately, effective through year-end 2020. The basis for the decision is twofold. First, to help practitioners reduce the number of face-to-face visits by fitting patients with a customizable carbon fiber AFO versus the requirements of fitting a patient with a traditional plastic AFO, said Dennis Williams, Allard USA CEO. Second, to help practitioners financially amid the COVID-19 pandemic. “We care about our O&P community and want to help our orthotists be successful; reducing their cost is one way we can give back,” said Kelly Millard, Allard USA Director of Sales. DJO Offers 6-Month Free Access to TJA Outpatient Risk Assessment Tool DJO, a subsidiary of Colfax Corp., Austin, TX, announced that its QaraScore patient risk assessment algorithm will be available with a 6-month free trial for all new users. This offer is being made available to support the resumption of elective orthopedic procedures (which were suspended due to COVID-19), help surgeons qualify patients for outpatient total joint arthroplasty (TJA), and make patient safety a priority. The software tool is a validated, multidisciplinary algorithm that provides medical professionals with the information needed to predict which patients are most medically appropriate to discharge home the same day or the next morning. Össur Donates Nasal Swabs for COVID-19 Testing In the face of a nasal swab shortage in Iceland, On April 10, the Centers for Medicare and Medicaid Services (CMS) began directly depositing grants to Medicare facilities and providers impacted by COVID-19, based on eligible providers’ 2019 Medicare payments. The funds, totaling $30 million, were part of the $100 billion distribution established through the Coronavirus Aid, Relief, and Economic Security (CARES) Act Provider Relief Fund. As the funds are grants, they do not need to be paid back. Providers who were allocated a payment were required to sign an attestation confirming receipt of the funds and agree to the terms and conditions within 45 days of payment. A second round of direct deposits totaling $20 million, also part of this aid package, were distributed beginning April 24, based on 2018 patient net revenue. However, durable medical equipment, prosthetics, orthotics, and supplies (DMEPOS) suppliers were not included in this round of funding, according to AAHomecare. Instead, DMEPOS suppliers could apply for payments from this funding stream through the General Distribution Portal. To access information regarding the CARES Act, visit www.hhs.gov/coronavirus/cares-act-provider-relief-fund/index.html. To access the CARES Act General Distribution FAQs, visit www.hhs.gov/sites/default/files/provider-relief-fund-general-distribution-faqs.pdf. Telehealth OK to Certify for Diabetic Shoes, Face-to-Face Encounter for Shoe Selection, Fitting According to the American Orthotic & Prosthetic Association (AOPA), the Durable Medical Equipment Medicare Administrative Contractors (DME MACs) have confirmed that physicians who are certifying the medical need for diabetic shoes may use telehealth to fulfill face-to-face encounter requirements during the COVID-19 Public Health Emergency (PHE). However, suppliers of diabetic shoes will still be required to perform an in-person evaluation at the time of shoe selection and an in-person fitting of the shoes at delivery. On April 6, 2020 the Centers for Medicare and Medicaid Services (CMS) released an Interim Final Rule with Comment Period (IFC) that indicated for claims with dates of service on or after March 1, 2020, policy-based “requirements for face-to-face or in-person encounter for evaluations, assessments, certifications, or other implied face-to-face services would not apply during the COVID-19 PHE.” Additional guidance was provided on the IFC by the DME MACs on May 7, 2020, in a joint educational article. The DME MAC article indicated that while the IFC provided significant relief from policy-based face-to-face visit requirements, a subsequent CMS IFC that was issued on May 20, 2020, reiterated the statutory requirement to establish and document the medical necessity for Medicare-covered services. The DME MAC joint article indicated that the IFC-based waiver of face-to-face encounter requirements only applies to policy-based requirements and not to face-to-face encounter requirements that are memorialized elsewhere, specifically those that are part of the Durable DMEPOS (Durable Medical Equipment, Prosthetics, Orthotics and Supplies) Quality Standards or Social Security Act. To access the DME MAC guidance article on the CMS IFC, visit www.cmsmedicare.com/ic/pubs/news/2020/05/cope17144.html. --- Paceline Assists in the Manufacture of Surgical Masks Paceline, Matthews, NC, a provider of medical products and solutions for casting, fabrication, prosthetics, orthotics, and more, recently purchased machines specifically to produce ear loop fabric for surgical masks as a means to join the fight against COVID-19. “With our years of knowledge in the medical fabrics industry, we reached out to the nation’s largest surgical mask manufacturer to see if we could lend them support,” said Paceline President and CEO, Joe Davant. “We found they had a tremendous need for ear loop fabric…” According to Davant, 100% of the fabric made on the new machines will be going to surgical mask manufacturers. The company is open to expanding capacity should additional manufacturers need assistance as well. SkinIntegra Donates to Hospitals; Offers Free Samples to Healthcare Facilities Healthcare professionals on the frontlines of the COVID-19 pandemic are subject to frequent hand washings with disinfecting soap, which is harsh on hands and can cause cracks, potentially leading to infections. To this end, SkinIntegra, Huntington Beach, CA, has donated over 2,000 samples of its Rapid Crack Repair Cream to hospitals in California, Arizona, New York, and Pennsylvania. The company said it is committed to protecting healthcare workers and has set up a website to handle requests. The donation size provides skincare protection for 1 worker, with 2 daily applications, for 1 month. Hospitals, healthcare facilities, diabetes and wound care centers, and skilled nursing care facilities can apply for product donations at skinintegra.com/pages/donations. 1st in Customer Satisfaction and Orthopedic Excellence AFOs Custom AFOs Richies Gauntlets 800.301.8275 Orthotics • AFOs • Richies • 3D Scanning hersco.com “Why are certain of my colleagues always on the news, quoted in articles, or constantly in the media?” If you’re like most, you probably wonder how some of your colleagues achieve so much notoriety. Why are they considered “experts” and you’re not? The difference is the amount of publicity they create. The good news is: You can build your own media presence and we’ll show you how. Think about the patient. How does the patient know who is an expert and who is not? The only thing the patient sees is who is on the news and who is quoted in the newspaper or who comes up first on Google or Twitter. Patients often assume the more publicity a provider receives, the better provider they are. But we know there are plenty of excellent providers who never get quoted in the press. The patient doesn’t realize that you may be as good as—if not better—than the providers they see in the media. Is it time for you to get noticed? We know what you’re thinking: I don’t know how to do that. True: Most healthcare professionals are more focused on their work and less focused on their marketing and public relations efforts. Let’s look at how we can help you create the visibility and exposure that you need to help grow your practice. For 10 years, you have placed your trust and loyalty in LER. Now it’s time to let us help you develop a complete branding and market differentiation plan for patient retention, patient satisfaction, and greater patient referrals. Let our team of marketing, public relations, and branding experts take your practice to the next level. We are offering a complimentary practice-building strategy session to the first 100 applicants who log on to the address below by July 30, 2020. Let us help you take your practice to the next level. Visit www.lermagazine.com/expert to schedule your strategy session. SIGN UP FOR YOUR FREE PRACTICE-BUILDING STRATEGY SESSION TODAY We will evaluate your marketing and public relations efforts and identify what is holding back your practice. We will determine where patient referrals are being lost and what is limiting your visibility in the media. We will share multiple strategies on how to increase your presence in the media so you can retain existing patients longer, generate more patient referrals, and grow your practice to new levels. As a bonus, we will create and provide you with samples of your own custom-branded PDF magazine for distribution to your patients. Use of a Wearable Plantar Sensory Neuroprosthesis Improves Fall Risk By LAURA FONDA HOCHNADEL One of the complications of peripheral neuropathy is a lack of sensation in the feet. This, in turn, can cause difficulties with gait and balance, as well as increased fall risk. As a means of addressing these issues, Lars Oddsson, PhD, developed a neuroprosthesis, called Walkasins, to replace the lost sensation. Walkasins consist of a foot pad that analyzes and interprets plantar pressure, sending the information to a leg unit that is worn just above the ankle (Figure). The leg unit delivers sensory signals to nerves in the lower leg, helping the user adjust his gait, thus also restoring balance. Interim data from the Walk2Wellness trial by Oddsson and several colleagues showed that this neuroprosthesis does indeed appear to decrease falls in this patient population. Fall data during the study, the 6 months prior to the study, and from the ongoing long-term clinical trial were presented in a poster, On Certain Patients, a Wearable Plantar Sensory Neuroprosthesis Appears to Decrease Falls, at the 2020 APTA Combined-Sections Meeting held in Denver, CO, February 12–15, 2020. Fifty-two subjects were enrolled in the study as of the date of the poster publication; 37 participants logged 10 weeks of daily use; and 9,100 days (182 mean use days) in the study were accumulated by participants. The average age of the cohort was 74.6 years. It was also noted that, compared to non-fallers, those who had experienced falls in the 6 months prior to the study had lower Functional Gait Assessment (FGA), walked slower, and scored lower on the Activities-specific Balance Confidence (ABC) scale. During the study itself, falls were reported by 19 people, a 37% decrease from the 30 people who reported experiencing falls in the 6 months prior to the study. Of these 19 people, 14 had previously experienced falls. As of the poster publication, during the ongoing clinical trial period, 36 falls were reported compared to 69 in the 6 months prior to the study, for a decrease of 52% (Table). It bears to note that 7 of the 36 falls were on ice/snow or in the shower, and 5 of the 36 falls resulted in a serious injury—however, the device was not being worn at the time of injury. ![Figure 1. (Left) Leg Unit and sensor Foot Pad of Walkasins. (Right) Walkasins functionality during gait.](image) \| Falls \| No Treatment Required \| Treatment Required \| TOTAL \| Gait Speed (m/s) \| \|-----------------------\|-----------------------\|--------------------\|-------\|-----------------\| \| Indoors w Walkasins \| 3 \| 1 \| 4 \| 0.76 \| \| no Walkasins \| 8 \| 1 \| 9 \| \| \| Outdoors w Walkasins \| 12 \| 1 \| 13 \| 0.90 \| \| no Walkasins \| 5 \| 1 \| 6 \| \| \| Unknown Factors \| 2 \| 2 \| 4 \| \| \| TOTAL \| 29 \| 6 \| 36 \| \| Table. All falls to date in walk2Wellness trial, whether medical treatment was required, and gait speed for participants having falls indoors and outdoors. Pole Walking Offers Health Benefits, Improved Gait Parameters The use of trekking poles while walking has been around for decades, having originated in Finland as a way for skiers to maintain fitness off season. Since then, pole walking has been capitalized and expanded upon as the health benefits of this total body workout have been recognized, and in recent years has gained in popularity in the US. But what physical affects would the use of trekking poles have on older community ambulators? This is the question that Meridee Danks, DPT, NCS, an assistant professor of physical therapy at the University of North Dakota, and colleagues sought to answer. Their resulting poster, Effects of Pole Walking on Older Adults Following Six Weeks of Training, was presented at the 2020 APTA Combined Sections Meeting held in Denver, CO, February 12–15, 2020. A cohort of 3 men and 8 women with a mean age of 64.3 years participated in the study, with 100% compliance. They were fit with walking poles and provided instructions on their use. The group met twice a week for 6 weeks to go for walks, ambulating at self-selected speeds. If a participant was unable to attend the group walk session, he or she performed walking on their own. Results were measured using the Senior Fitness Test and undergoing gait analysis using the GAITRite walkway. While the sample size was small, the results are promising. According to the pre- and post-results of the Senior Fitness Test, of the 8 measures applied, significant improvements were seen in 5: 30-second chair stand test (pre, 15.73 ± 5.55; post, 17.55 ± 6.12), body weight (pre, 187.12 ± 40.03; post, 184.74 ± 40.13), 2-minute step test (pre, 101.00 ± 19.15; post, 112.64 ± 20.26), heart rate post 2-minute step test (pre, 92.70 ± 11.28; post, 84.60 ± 12.18), and 8-foot up and go (pre, 5.51 ± 0.58; post, 5.26 ± 0.69). Regarding the gait measures, 4 of the 5 showed significant improvements: right stride length normal pace, in centimeters (pre, 139.87 ± 12.59; post, 145.21 ± 8025); normal pace gait velocity without poles, centimeters per second (pre, 138.65 ± 11.80; post, 147.83 ± 8.6); normal cadence without poles, steps per minute (pre, 119.16 ± 9.97; post, 122.45 ± 8.13); and post normal pace gait velocity, centimeters per second (without poles, 147.83 ± 8.64; with poles, 160.44 ± 12.76). Additionally, 7 of the participants reported postural improvements with the poles and all provided positive feedback. Postural improvement was largely attributed to pole fitment, according to Danks. Proper pole height/fitment is based on the user holding the pole handle with the arm bent at a 90-degree angle; this has the benefit of placing the user in a more upright postural stance. Ten of the 11 participants indicated they would continue pole walking after the study completion. Based on the results, it appears in healthy older adults, pole walking can improve gait, balance, posture, and endurance. Trekking poles are readily available, affordable, and a motivating way to expand upon fitness and posture benefits of walking in older community-dwelling adults. Older adults see the trekking poles as a “sport” fitness device versus a medical device (cane or walker) which they perceive makes them look old. ### Table 1. Paired t-Test Results for Senior Fitness Test \| Test \| Session \| M ± SD \| t \| df \| p \| \|-----------------------\|---------\|------------\|------\|----\|-----\| \| 30-sec Chair Stand (sec) \| Pre \| 15.73 ± 5.55 \| 3.62 \| 10 \| .005** \| \| \| Post \| 17.55 ± 6.12 \| \| \| \| \| 30-sec Arm Curl (reps) \| Pre \| 19.55 ± 6.12 \| 1.44 \| 10 \| .180 \| \| \| Post \| 21.73 ± 4.89 \| \| \| \| \| \| Post \| 66.09 ± 4.77 \| \| \| \| \| Weight (lbs) \| Pre \| 187.12 ± 40.03 \| 2.26 \| 9 \| .050* \| \| \| Post \| 184.74 ± 40.13 \| \| \| \| \| 2-min Step Test (reps)\| Pre \| 101.00 ± 19.15 \| 4.63 \| 10 \| .001* \| \| \| Post \| 112.64 ± 20.26 \| \| \| \| \| HR Post 2-min Step Test \| Pre \| 92.70 ± 11.28 \| 3.39 \| 9 \| .008 \| \| \| Post \| 84.60 ± 12.18 \| \| \| \| \| \| Post \| 2.30 ± 8.35 \| \| \| \| \| Right Sit and Reach (cm) \| Pre \| -3.28 ± 10.06 \| 0.71 \| 8 \| .497 \| \| \| Post \| -1.89 ± 9.35 \| \| \| \| \| Back Scratch Right (cm) \| Pre \| -8.66 ± 8.90 \| 1.09 \| 10 \| .302 \| \| \| Post \| -8.09 ± 8.38 \| \| \| \| \| 8-Foot Up and Go (sec) \| Pre \| 5.51 ± 0.58 \| 2.38 \| 10 \| .039* \| \| \| Post \| 5.26 ± 0.69 \| \| \| \| * denotes statistical significance (p < .05) denotes statistical significance (p ≤ .01) denotes statistical significance (p ≤ .001) ### Table 2. Pre- and Post-Gait Analyses \| Test \| Session \| M ± SD \| t \| df \| p \| \|-------------------------------\|---------\|--------------\|------\|----\|-----\| \| Left Stride Length Normal Pace (cm) \| Pre \| 140.31 ± 12.99 \| 2.17 \| 10 \| .055 \| \| \| Post \| 145.16 ± 8.04 \| \| \| \| \| Right Stride Length Normal Pace (cm) \| Pre \| 139.87 ± 12.59 \| 2.30 \| 10 \| .044 \| \| \| Post \| 145.21 ± 8.25 \| \| \| \| \| Normal Pace Gait Velocity – without Poles (cm/s) \| Pre \| 138.65 ± 11.80 \| 3.23 \| 10 \| .009** \| \| \| Post \| 147.83 ± 8.6 \| \| \| \| \| Normal Cadence – without Poles (steps/min) \| Pre \| 119.16 ± 9.97 \| 2.83 \| 10 \| .018* \| \| \| Post \| 122.45 ± 8.13 \| \| \| \| \| Post Normal Pace Gait Velocity (cm/s) \| Without Poles \| 147.83 ± 8.64 \| 2.60 \| 10 \| .027* \| \| \| With Poles \| 160.44 ± 12.76 \| \| \| \| denotes statistical significance (p ≤ .05) denotes statistical significance (p ≤ .01) *denotes statistical significance (p ≤ .001) Footmaxx 3Dmaxx Your one-stop-shop for patient solutions Custom Orthotics Your choice of our signature custom orthotics with the option to design-your-own AFOs Handmade and of the highest quality & comfort Scanning Technology Choose what fits best for your practice - 3D scanning, gait analysis, iPad scanning technology, or casting kits Make Footmaxx your go-to choice Footmaxx.com \| f v v \| 1.800.779.3668 Do you have patients struggling with chronic back pain and mobility issues caused by an anatomical leg deficiency? Relief is as simple as lifting the heel in order to level the pelvis & 5th lumbar. For over 50 years G&W Heel Lift, Inc. has been supplying quality heel and foot lifts to treat these issues. Lifts are available in specific or adjustable heights. Other items include, ischial lifts, Valgus/Varus wedges, heel cups, spur pads and other associated products. For details about these and all G&W Heel Lift products, visit our website, call or follow us on Facebook @ https://www.facebook.com/gwheellift/. Starting with gait retraining: an analysis of changes in impact over time By the Biomechanics of Human Movement Research Group of Ghent University The repetitive impact that is experienced upon collision with the ground may be related to running injuries but is modifiable. Lower-impact running can be achieved by receiving biofeedback in response to the peak tibial acceleration, but when are runners adapting to lower-impact running? Ten runners with high impact, herein defined as the peak tibial acceleration, ran 25 minutes on an athletic track in the Flanders Sports Arena. They were equipped with a wearable biofeedback system that accurately measures, monitors, and sonifies the impact in real-time. The system consists of 2 lightweight accelerometers, which attach to each leg of the runner, and an application hidden in a backpack for the provision of perceivable music-based biofeedback. A change-point analysis was used to detect any change in impact (see Figure 2). No changes occurred whilst running without the biofeedback. The impact changed in the biofeedback condition. The major change was a reduction in impact, which occurred after almost 700 strides or after about 8 minutes. However, the time needed to achieve the major reduction varied considerably between the runners. The simple analysis tool can aid physicians seeking to determine the timing effects of gait retraining by means of biofeedback on impact loading. Because of the rather quick response to the gait retraining due to a strong sensorimotor coupling, Pieter Van den Berghe PhD and colleagues want to highlight the potential of an autonomous biofeedback system that provides real-time and auditory feedback for lower-impact running. The Biomechanics of Human Movement research group focuses on understanding the neuromechanical interaction of the moving body and the environment to answer questions related to the optimization of learning processes, sports performance, and musculoskeletal loading. A research project focusing on overground running retraining by means of auditory biofeedback was initiated together with the institute for systematic musicology IPeM. Source: Van den Berghe P, Gosseries M, Gerlo J, Lenoir M, Leman M, De Clercq D. Change-point detection of peak tibial acceleration in overground running retraining. Sensors. 2020;20(6):1720. Figure 1. A subject running indoors at 11.5 km/h while wearing an interactive biofeedback system. The music-based biofeedback was played through a headphone. Figure 2. The temporal evolution in axial peak tibial acceleration of a participant. More details are given in the article published in Sensors’ special issue, Sensors for Biomechanics Application. Fragility Fractures, Bone Health Management, and Caregiving By Joanna Sale, PhD Patients who have fragility fractures may experience a disruption of their responsibilities as caregivers to family members and others who depend on them. The purpose our study was to examine how caregiving responsibilities were associated with, and possibly impacted by, the fracture. Introducing the new DARCO DUO The MedSurg Duo™ shoe combines two different densities of EVA to provide excellent pressure relief long term. The sole provides 4x better shock absorption than a standard TPR sole. The MedSurg DUO™ shoe is built to last. DUO™ Features and Benefits - The Dual Density EVA sole is lightweight, more durable, and provides better shock absorption. - Adjustable ankle strap with ankle pad is softer, meaning more patient comfort. - Dual Buckle means strap and pad can be switched left or right. - The DUO™ is compatible with the PQ - Peg Assist Offloading Insole to form the premier offloading combination on the market. - 5 sizes means reduction in inventory. - Duo EVA sole provides up to 40% pressure reduction over a standard post op. shoe. www.darcointernational.com Contact your DARCO distributor today! Pair with the PQ Peg Assist to enhance offloading. experience and the resulting management of bone health. Without being prompted to talk about their experiences of caregiving, approximately 25% of our sample of 145 individuals reported they were providing care to a family member or friend at the time of their fracture or during recovery post-fracture. The caregiving role appeared to be a cause of the fracture in some participants and caregiving was prioritized over participants’ own bone health management. We believe that fragility fracture potentially leads to an impairment of an important social role in patients providing physical and emotional support for dependents as caregivers. Our results suggest that healthcare providers could facilitate self-management of individuals’ fracture and bone health while these individuals serve as caregivers to others. For example, an individual with a recent wrist fracture attempting to open a spouse’s medicine bottles would have different needs from an individual with a history of vertebral fractures who is caring for his or her grandchildren. Clinicians could learn more about how the caregiver role affects bone health management by requesting details about specific tasks related to caregiving and how they have affected the fracture and bone health, and vice versa. Joanna Sale, PhD, is a scientist at the Li Ka Shing Knowledge Institute at St. Michael’s Hospital, Unity Health Toronto, and associate professor, Institute of Health Policy, Management and Evaluation, Dalla Lana School of Public Health at the University of Toronto, Canada. Source: Sale JEM, Frankel L, Paiva J, et al. Having caregiving responsibilities affects management of fragility fractures and bone health. Osteoporosis Int. (2020). https://doi.org/10.1007/s00198-020-05385-1 Continued on page 20 Does Physical Activity Relate to Motor Development? Do certain kinds of physical activity (PA) help children develop motor skills better than others? To find out, researchers from East Carolina University used data from 342 children who had taken part in the 2012 National Youth Fitness Survey to look at specific kinds of PA and motor skill development in preschool-aged children. Using a questionnaire, parents reported on their children’s activity; motor skill development was determined by the Test of Gross Motor Development-2nd Edition (TGMD-2). Multiple regression analyses were used to examine the relationship between PA type and overall Gross Motor Quotient (GMQ). Commonly reported activities were running (43%), playing outdoor games (35%), and riding a bike (34%). Based on the standard scores, participants’ motor skill development for locomotor, object control, and overall GMQ were considered average. Four specific activities stood out: Riding a bike, scooter riding, swimming, and jumping on a trampoline were positively associated with GMQ, significantly so. With the exception of riding a bike, the physical activities positively related to GMQ had a reported range of participation between 7–12%. Unfortunately, the activities that the children participated in the most were not the same as the activities that were positively related to motor skill development. Source: Wood AP, Imai S, McMillan AG, Swift D, DuBose KD. Physical activity types and motor skills in 3–5-year old children: National Youth Fitness Survey. J Sci Med Sport. 2020;23(4):390-395. Nearly 1 out of every 2 US adults will be obese by 2030, and nearly 1 in 4 will be severely obese, according to estimates published in the New England Journal of Medicine. Researchers used 1993-2016 data on 6.3 million US adults who participated in the Behavioral Risk Factor Surveillance System to project the prevalence of different body-mass index (BMI) categories through 2030. Among the other findings: • By 2030, the prevalence of obesity (BMI at or above 30) will be above 50% in 29 states. No state will be below 35%. • In Alabama, Arkansas, Mississippi, Oklahoma, and West Virginia, obesity prevalence is projected to reach 58%. • Severe obesity (BMI at or above 35) will likely be the most common BMI category for women (28%), black adults (32%), and those with low income (32%). The authors write: “Given that health professionals are often poorly prepared to treat obesity, this impending burden of severe obesity and associated medical complications has implications for medical practice and education. In addition to the profound health effects, such as increased rates of chronic disease and negative consequences on life expectancy, the effect of weight stigma may have far-reaching implications for socio-economic disparities as severe obesity becomes the most common BMI category among low-income adults in nearly every state.” Source:* Ward ZJ, Bleich SN, Cradock AL, et al. Projected US state-level prevalence of adult obesity and severe obesity. N Eng J Med. 2019;381:2440-2450. LaunchPad is excited to introduce a new family of thermoplastic components for articulated AFOs! Realize the benefits of double action ankle joints without the large hardware and difficult fabrication. Featured below is a fully outfitted articulated AFO that combines Pivot ankle joints, SNAPstop and X-Tension components. This trio combination allows you to tune the shank-to-floor alignments with resist or stop motion to optimize gait and outcomes for your patient. PIVOT Available in pediatric and adult sizes, The Pivot coordinates sizing with the SNAPstop product. The Pivot on your AFO is simply a mechanism of movement that gives you an opportunity to control motion in the sagittal plane. By itself it brings no value to the end user until you resist or stop motion. The index bushing prevents rotation during assembly. Like SNAPstop, gross lateral projection is reduced by molding around the smallest common denominator and then installing the thread height after fabrication. 7 times thinner than any flexure joint available today, reducing unsightly lateral projection and shoe interference X-TENSION BAND DYNAMIC X-TENSION: Resists tibial progression and restores confidence throughout stance phase transitions over the foot, increasing 3rd rocker power and contralateral step length. STATIC X-TENSION: Transitioning your AFO has never gotten easier. Choose the appropriate bumper height and add a static X-Tension component to rigidly lock your AFO. SNAPSTOP - Simple fabrication - Snap-in adjustments - Large impact surface - Durability - Quiet Motion Stop Dorsiflexion 2 Motion Stop Dorsiflexion 1 Motion Stop Neutral Motion Stop Plantarflexion 1 For more information, go to launchpad-op.com The Utility of External Fixation for Midfoot Charcot Neuroarthropathy When conservative therapies fail, surgical reconstruction of the foot is often required to restore function, heal ulcerations, and decrease risk of amputation in patients with CN. External fixation remains a reliable method, with plenty of advantages. By P. Tanner Shaffer, DPM, Jonathan Hook, DPM, FACFAS, and Ben Potter, DPM Within the past decade, the worldwide prevalence of diabetes has increased from 4% to 6.5%, prompting the World Health Organization to classify diabetes as a 21st century epidemic.¹ Within the United States, more than 100 million adults are now living with diabetes or prediabetes, according the Centers for Disease Control.² As of 2020, 34.2 million Americans—10.5% of the US population—have diabetes, while another 88 million have prediabetes, a condition that, if left untreated, often leads to type 2 diabetes within 5 years. Sadly, the rate of new diabetes diagnoses, which is linked to the rising rate of obesity, remains steady. With the increase in prevalence, the total estimated economic cost of diabetes in the US has increased more than 25% to $327 billion, up from $245 billion over a span of only 5 years (2012-2017).³ Approximately 700,000 people were diagnosed with diabetes per year during that time and prevalence is expected to increase as the population grows and ages. As the population of patients with diabetes grows, medical professionals manage more diabetic complications on a day-to-day basis. One such complication is Charcot Neuroarthropathy (CN). While CN is also associated with a multitude of etiologies (eg, tertiary syphilis, alcoholic peripheral neuropathy, spinal cord injuries, renal dialysis), the majority of today’s cases are associated with severe peripheral neuropathy secondary to diabetes. Based on several population-based studies, the prevalence of CN is estimated to be 0.4 – 13%; however, CN is also associated with a high level of mistaken or delayed initial diagnosis—nearly 80% in one study.⁴ Presently, an estimated 150,000 US patients with diabetes suffer with CN. Pathophysiology Charcot Neuroarthropathy is a rapidly progressive hypertrophic osteoarthropathy that leads to severe foot and ankle deformities.¹ CN weakens the ligaments and bones in structures that undergo substantial stress (particularly the foot), causing collapse, fracture, and joint destruction.⁵ Although the consequences of this limb-threatening complication have been known since it was first described in 1883, its etiology was elusive.⁶ Traditionally, two competing theories were used to describe its mechanism—the Neurotraumatic Theory and the Neurovascular Theory. The Neurotraumatic Theory states that CN is caused by unperceived trauma to an insensate foot. Sensory neuropathy then leaves the patient unaware of subsequent microtraumas that, over time, cause osseous breakdown. The Neurovascular Theory postulates that autonomic neuropathy of blood vessels leads to arteriovenous shunting of blood into bone. This, in turn, causes the bone to become ‘washed out’ of its minerals, leading to breakdown secondary to bony resorption.⁷ Today, it is accepted that CN is caused by a combination of both theories: Autonomic neuropathy with repeated microtrauma (typically from ambulation) leads to increased hyperemia/inflammation, increased osteoclastic activity (osteopenia), and bone/joint destruction and deformity. While CN can affect any joint under substantial stress, it more often affects the weight-bearing bones and joints of the foot and ankle. The most common area of the foot involved is the midfoot.⁸ Brodkey, who classified CN based on its joint location in the foot and ankle, reported that approximately 60% of CN cases affected the tarsometatarsal joints or the naviculocuneiform joints.⁹ Osseous destruction of the midfoot leads to the classic ‘rocker-bottom’ deformity associated with midfoot CN. Rocker bottom deformity imparts a 4-fold increase in risk of ulceration in CN patients versus other diabetic feet.¹⁰ External Fixation The main goal in treating midfoot CN is to create a stable plantigrade foot, with no wounds or infection, that can be placed in a custom... diabetic shoe or brace.\textsuperscript{10} Conservative measures are often attempted initially and are aimed at preventing deformity progression and offloading ulcerated or at-risk areas. Total Contact Casting (TCC) is widely considered the conservative ‘gold standard’ and is indicated for CN of the midfoot as well as forefoot. However, while effective at offloading, TCC and other conservative modalities do not correct refractory deformity after CN has progressed. In these cases, surgical reconstruction of the foot is often required to restore function, heal ulcerations, and decrease risk of amputation.\textsuperscript{11} While many different surgical techniques are advocated for deformity correction for CN, external fixation remains a reliable method. This is due to several advantages. External fixation: - Can Be Utilized in the Setting of Infection: Whereby internal fixation is contraindicated in the setting of acute osteomyelitis or cellulitis (due to bacterial seeding and biofilm formation), external fixation can span or bypass areas of infection.\textsuperscript{12} In fact, external fixation is often used as an alternative to maintain deformity correction when internal fixation is removed due to infection. - Is Minimally Invasive: When compared to internal plates and intramedullary nails, external fixators cause less disruption of the soft tissue, osseous blood supply, and periosteum.\textsuperscript{13} This is particularly important in patients with poor healing potential such as those with osteoporosis, a poor soft tissue envelope, or peripheral vascular disease (though less common in CN patients; see Peripheral Arterial Disease in Patients With Diabetic Charcot Neuropathy, page 27). - Allows for Early Weight Bearing: External fixation allows for earlier ambulation when compared to other surgical constructs. This is an advantage because, in general, the patient population with diabetes tends to be non-compliant. A study in 2016 found that 27.5% of patients with diabetes were non-compliant with weight-bearing restrictions post-operatively. Of those patients, 50% went on to experience adverse events.\textsuperscript{14} Since many patients with CN will inevitably walk despite restrictions, a construct stout enough for them to ambulate earlier improves their outcomes. - Allows for Both Immediate and Gradual Correction: While static external fixation can be used to stabilize osteotomies or fusion sites, dynamic external fixation allows for multplanar deformity adjustment at the surgeon’s discretion.\textsuperscript{12} Immediate, single stage correction can occasionally cause neurovascular compromise and soft tissue necrosis from overstretching of structures. External fixation allows the provider to dial in and adjust correction over a longer period to avoid this.\textsuperscript{15} - Allows Simultaneous Soft Tissue Care/Wounds Can Be Addressed Simultaneously With External Fixation: External fixation allows the surgeon to easily assess and manage concomitant open wounds during postoperative care. In acute or chronic open wounds with CN, staged soft tissue reconstruction is frequently required in addition to osseous work to attain wound closure. External fixation can be used as an adjunct to allow soft tissue flaps to be offloaded/protected and closely monitored in the post-operative period.\textsuperscript{16,17} - Is an Extremely Strong Fixation Construct: In a cadaveric biomechanical study by Latt et al in 2015, external fixation was compared to compression screws for arthrodesis (joint fusion) across the midfoot.\textsuperscript{17} In measuring compression across midfoot joints (a requirement for midfoot fusion surgeries in CN), external fixation averaged 186% of the amount of compression achieved by screws alone. Furthermore, external fixation can be extended well beyond the primary surgical area, adding to its inherent stability. - Can Be Utilized in the Acute Phase of CN: CN has several stages in its progression (first described by Eichenholtz). In the acute stage (0-I) of CN, the foot is clinically red, hot, and swollen due to hyperemia of the soft tissue and underlying bony structures. Some consider this a relative contraindication to internal fixation because of a compromised soft tissue envelope (due to swelling) and poor bone purchase from osteopenia. However, because of its minimally invasive nature and lack of dependency on cortical purchase for stabilization, external fixation can successfully provide deformity correction in this setting.\textsuperscript{18} Although it is a reliable construct for fixation in patients with midfoot CN, external fixation is not without its drawbacks. It is bulky, can be expensive and time consuming, and requires regular follow up. In a retrospective review of a level 1 trauma center, Chaus et al reported an average cost per external fixation frame of $5900.\textsuperscript{19} This cost analysis highlights the importance of using external fixation for CN only when necessary. Furthermore, pin tract infections occur quite frequently, with up to 100% occurrence rate; however, most studies report a rate of approximately 20%.\textsuperscript{5} Significantly, nearly all such infections can be managed through local pin care alone or with oral antibiotics. Parameswaran et al published a retrospective review of 285 patients who underwent external fixation; only 3.1% developed pin tract infections that actually necessitated pin removal.\textsuperscript{20} A Word About Outcomes There is a paucity of strong evidence for outcomes regarding different methods of surgical fixation for CN reconstruction; however, a Continued on page 27 Put Some Spring in Their Step Posterior Spring AFO Stores & Releases Energy with Every Step A Dynamic AFO with Progressive Flexibility from Heel to Toe Ultra Light Carbon Fiber Construction Made from Prepreg Carbon Fiber Dynamic Energy Return Adjustable Anterior Shell Overlapping posterior section allows for compression of the proximal tibia. Removable for easy donning. Custom Foot Bed with Foam Padding Or Custom Proflex® SMO for Enhanced Ankle Control Open Heel Design Provides soft initial floor contact preventing sudden knee flexion Easily Fits in Shoe Suggested L- Codes: L1945, L2755, L2820 CustomComposite Custom Composite Manufacturing, Inc. www.cc-mfg.com \| 866-273-2230 Healthcare innovation is no longer optional. Technology Driven Progression is required to make patient care more efficient, evidence-based and profitable. Managing and synthesizing accurate gait and balance data are vital to Optimizing Patient-Centered Mobility Performance and understanding the effectiveness of interventions that portray patients' mobility in, and capacity for, daily activities. Contact us today to learn how quickly and easily you can integrate the Zeno Walkway Powered by PKMAS Software into your operations! www.protokinetics.com 610.449.4879 firstname.lastname@example.org systematic review by Dayton et al in 2015 provides some substantial findings.\textsuperscript{21} It compared outcomes and complications between internal and external fixation constructs used to treat CN of the ankle as well as the foot. A total of 23 studies were included: 12 studies with 275 cases where internal fixation was used and 11 studies with 341 cases where external fixation was used. \textit{Overall}, internal fixation carried an odds ratio for a successful outcome of only half that of external fixation (odds ratio 0.52; $P < 0.05$). When taking a closer look at only midfoot CN, there was no significant difference between success rates for internal versus external fixation. However, the study data revealed that external fixation was utilized more often in complicated cases involving osteomyelitis or large wounds—cases where internal fixation clearly would have had little success. In summary Charcot Neuroarthropathy is a debilitating complication of diabetes that affects approximately 150,000 US patients with diabetes. Deformity associated with CN imparts a significantly increased risk of ulceration and amputation in this medically complex population, and healthcare providers are being encouraged to manage associated complications more aggressively, which translates to more frequently. In doing so, external fixation is being utilized more and more to address CN deformities. Research shows that it is an incredibly versatile construct that can treat all forms and stages of CN with a high level of success. Though sometimes costly and time consuming, its utility in complicated cases with complex deformities cannot be denied.\textsuperscript{16} P. Tanner Shaffer, DPM, is a Resident Foot and Ankle Surgeon at Mercy Hospital & Medical Center in Chicago, Illinois. Jonathan Hook, DPM, FACFAS, is affiliated with the podiatric residency program at Mercy Hospital and Medical Center in Chicago, Illinois. He is in pediatric practice, specializing in foot, rearfoot reconstruction, and ankle surgery at Midland Orthopedic Associates in Chicago. Ben Potter, DPM, is a Resident Foot and Ankle Surgeon at Mercy Hospital & Medical Center in Chicago, Illinois. References 1. Rios-Ruh JM, Martin-Oliva X, Santamaría-Fumas A, et al. Treatment algorithm for Charcot foot and surgical technique with circular external fixation. Acta Orto Mex. 2018;32(1):7-12. 2. Centers for Disease Control and Prevention. National Diabetes Statistics Report, 2020. Atlanta, GA: Centers for Disease Control and Prevention, US. Dept of Health and Human Services; 2020. 3. American Diabetes Association. Economic Costs of Diabetes in the U.S. in 2017. Diabetes Care. 2018 Mar; dc180007. Available at https://doi.org/10.2337/dc18-0007. Accessed May 20, 2020. 4. Milne TE, Rogers JR, Kinnear EM, et al. Developing an evidence-based clinical pathway for the assessment, diagnosis and management of acute Charcot Neuro-Arthropathy: a systematic review. J Foot Ankle Res. 2013;6:30. 5. Dodd A, Daniels TR. Charcot Neuroarthropathy of the foot and ankle. J Bone Joint Surg (Amer Vol). 2018;100(8):696-711. 6. Rogers LC, Frykberg RG, Armstrong DG, et al. The Charcot foot in diabetes. Diabetes Care. 2011;34(9):2123-2129. PERIPHERAL ARTERIAL DISEASE IN PATIENTS WITH DIABETIC CHARCOT NEUROARTHROPATHY Peripheral arterial disease (PAD) has been a common finding in patients with diabetes, both types 1 and 2, for decades. However, its specific prevalence in patients with Charcot neuroarthropathy (CN) was not well defined until recently. In 2016, Wukich and colleagues designed a study to evaluate the prevalence of PAD in patients with CN, both with and without ulceration, compared to patients with diabetic foot ulceration (DFU) but no CN. Using lower extremity noninvasive arterial testing, they compared the test results of 85 patients with CN with the results of 126 patients with DFU but no CN. Although prevalence of PAD was 40% in the group with CN, it was less likely in the group with CN compared to the group with DFU (see graphic). Furthermore, patients with CN were 82% less likely compared to patients with DFU to have critical limb ischemia (CLI), defined as great toe pressure <30mm Hg. Compared with patients with DFUs, the patients with CN were - Less likely to have PAD: odds ratio [OR] 0.48 (95% confidence interval [CI] 0.28 to 0.85; $P = .011$) - Less likely to have ischemia: OR 0.33 (95% CI 0.16 to 0.69; $P = .0033$) - Less likely to need for revascularization: OR 0.27 (95% confidence interval 0.10 to 0.73; $P = .0097$) They concluded that: PAD in patients with CN is not uncommon; however, CLI and the need for revascularization were significantly less likely than in patients with DFU without CN. Source: Wukich DK, Raspovic KM, Suder NC. Prevalence of peripheral arterial disease in patients with diabetic Charcot Neuroarthropathy. J Foot Ankle Surg. 2016;55(4):727 – 731. Continued on page 28 7. Varma AK. Charcot neuroarthropathy of the foot and ankle: a review. J Foot Ankle Surg. 2013;52(6):740-749. 8. Salini D, Harish K, Minnie P, et al. Prevalence of Charcot arthropathy in type 2 diabetes patients aged over 50 years with severe peripheral neuropathy: a retrospective study in a tertiary care south Indian Hospital. Indian J Endocrinol Metab. 2018;22(1):107-111. 9. Brodsky JW. The Diabetic Foot. In: Coughlin MJ, Mann RA, Saltzman CL, editors. Surgery of the Foot and Ankle. 8th ed. St. Louis, MO: Mosby;2008. Pp. 278-283 10. Larsen K, Fabrin J, Holstein PE. Incidence and management of ulcers in diabetic Charcot feet. J Wound Care. 2001;10(8):323. 11. LaPorta GA, D’Andelet A. Lengthen, alignment, and beam technique for midfoot Charcot Neuroarthropathy. Clin Podiatr Med Surg. 2018;35(4):497-507. 12. Shibuya N. The Charcot Foot. In Lee MS, Grossman, eds. Complications in Foot and Ankle Surgery Management Strategies. Springer International Publishing; 2017;329. 13. Fragomeni A, Rozbruch S. The mechanics of external fixation. HSS Journal. 2007;3(1):13. 14. Manway JM, Blazek CD, Burns PR. Special considerations in the management of diabetic ankle fractures. Curr Rev Musculoskelet Med. 2018;11(3):445-455. 15. Ramanujam CL, Zgonis T. An overview of internal and external fixation methods for the diabetic Charcot foot and ankle. Clin Podiatr Med Surg. 2017;34(0):25-31. 16. Short DJ, Zgonis T. Circular external fixation as a primary or adjunctive therapy for the podoplastic approach of the diabetic Charcot foot. Clin Podiatr Med. Surg. 2017;34(1):93–98. 17. Latt LD, Glisson RR, Adams SB, Schuh R, Narron JA, Easley ME. Biomechanical comparison of external fixation and compression screws for transverse tarsal joint arthrodesis. Foot Ankle Int. 2015;36(10):1235. 18. Schade VL, Andersen CA. A literature-based guide to the conservative and surgical management of the acute Charcot foot and ankle. Diabet Foot Ankle. 2015; 6:26627. 19. Chaus GW, Dukes C, Hak DJ, Mauffrey C, Mark Hammerberg E. Analysis of usage and associated cost of external fixators at an urban level 1 trauma centre. Injury. 2014;45(10):1611-1613. 20. Parameswaran AD, Roberts CS, Seligson D, et al. Pin tract infection with contemporary external fixation: how much of a problem? J Orthop Trauma. 2003;17(7):503-507. 21. Dayton P, Feilmeier M, Thompson M, Whitehouse P, Reimer RA. Comparison of complications for internal and external fixation for Charcot reconstruction: a systematic review. J Foot Ankle Surg. 2015;54(6):1072-1075. XTERN, the most versatile solution for your foot drop patient • Fully assembled, ready to dispense • One day turn around • Only from Kevin Orthopedic Institute Kevin B. 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He provided commentary to LER Editor Janice T. Radak for the photographs taken at a recent bike fitting clinic and displayed in this story. By Happy Freedman Bike Fit Unplugged is the technique I developed, based on 40 years of conducting Bike Fits. My priority is to preserve airway diameter and function through the Fit process. The process begins with a phone interview. This is to determine if there are injuries that are not appropriate to be treated with a Bike Fit. This is followed by emailing the client/patient a detailed questionnaire to get a history which includes cycling skills, injuries, and other medical conditions and considerations. We start the fitting process with a musculoskeletal examination conducted by a physical therapist, or trainer with a masters in exercise physiology or comparable degree. This exam is followed by the actual Bike Fit. I do all the fitting at Hospital for Special Surgery (HSS) in the Leon Root, MD Motion Analysis Laboratory (LRMALab). The lab is equipped with a 14-camera motion capture system, high-speed video, electromyography equipment (EMGs), and force plates. I also have a pulse oximeter, an assortment of lasers, a spriometer, and a metronome in my toolbox. Specific to cycling, we have an Apex sizing bike from the UK, a Rock’n’Roll trainer, 2 feedback sports trainers for small-wheeled bikes, and a custom Moulton bicycle from the UK that’s equipped to use as a rolling fit bike and for patients with limited mobility in the hips and knees. It has a low stand-over height that is easy to step through for patients with limited mobility and is equipped with short cranks (145 cm length), an adjustable stem, adjustable seat post, and saddle with very long rails. I also have an assortment of handlebars, stems, and saddles in conjunction with a collection of wrenches, Allen keys, and assorted shop tools required to properly fit myriad brands of bikes. After the musculoskeletal exam, which includes strength, flexibility, and neurological function assessments, we perform the bike measurements required to capture all fit contact points, saddles, pedals, and handlebars, along with all pertinent frame dimensions. The bike is in place on a trainer when the examination is conducted. Cleats are checked for wear and adjustments, while shoes are checked for proper fit. If foot orthoses or insoles are present, they are also inspected. The on-bike examination is conducted next. Generally, we start with a warm-up. During the warm-up, I use a pair of lasers lined up off the 2nd metatarsal and patella to give me a centerline and the ability to image lateral motion during the pedal stroke. Among the observations I have made over the years, quadriceps make inadequate stabilizers. Poor posture usually affects your ability to breathe well, yet most cyclists are set up in a quad dominant position. Start With the Breathing When fitting, I start at the top, looking at airway function and posture, trying to find positions where the core is stabilized but breathing capacity is not impaired. When tracking errors of the knees are observed, I look at upper extremity mechanics as well as the hips (see Figure 1). I have often found the cyclist to be quad dominant with their gluteus minimus and medius on vacation. I also work on opening up the chest to improve tidal flow and volume. And I look for temporal mandibular joint syndrome (TMJ), which can affect your airway function and therefore can affect your performance. Rhomboids usually need to be strengthened in the cyclist to help open up the torso and intercostals. At this point in the fit I look at use of the diaphragm, breathing, and intercostal expansion. I also look at the elasticity of the intercostals when the cyclist is breathing on both the hoods and the drops using different handlebars. I’m looking for the loss of elasticity within the intercostals—which can occur if the bars are too wide or too narrow—so I’m searching for the sweet spot in the middle (see Figure 2). Next, I start to move the cyclist forward and back. The cyclist is assessed both on and off the saddle, looking at which muscle groups are activated as well as the position of the center of mass. In particular, I’m looking for how far back the cyclist needs to go to get the gluteus maximus and medius to fire. The goal is to teach mobility—when you are riding a bike on the road, you need to be able to transfer weight back and forth between the wheels. If the bike Continued on page 32 Figure 1. The green laser is tracking how cyclist Diane Goodwin’s knee is bending when she pedals. It is aligned with the second metatarsal and the patella when the pedal stroke is between 6 o’clock and 9 o’clock. Bike Fitter Happy Freedman is looking for lateral excursion as she pedals. The greater the travel, the more likely someone will exhibit knee pain over time. If the knee moves medially, toward the bike, it will create medial knee pain, says Freedman; if it moves laterally, there are increased odds of lateral knee pain. He can’t eliminate the pain, he says, but he can reduce it using shims, orthoses, and revamped cleat settings. “I try to retrain the cyclist to use antagonist muscles. I like to focus on the glutes, which are key knee stabilizers.” He notes that the laser usually tracks errors that come from above. “If the core is unstable, or the hips are unstable, the knees will follow their lead and be unstable,” he says. “If you strengthen the core, the knees will fall into place. If you can figure out which muscle groups to use—which muscles need to be activating when, you can achieve corrections that will avoid subsequent injuries…and that makes everybody happy.” Figure 2. Bike Fitter Happy Freedman is checking cyclist Diane Goodwin’s center of mass, first with the rider in a squat with her arms extended, then on the saddle. He’s trying to determine if her core is active or if she is collapsing on the handlebars. While you can measure with a strain gauge on the handlebars, he says, it takes more time; this hands-on method allows for real-time correction and the ability to work with the cyclists and teach them to distinguish the correct posture from one that might feel comfortable, but not be helpful. He’s also looking at the elasticity of her intercostals to determine appropriate width for the handlebars. Handlebars that are too narrow can restrict breathing as can those that are too wide. “Because the vertebrae compress and we’re not as tall later in the day, that can affect the measures on the bike, so you have to make assumptions about how much more or less stable the cyclist will be…and then make adjustments accordingly.” This, as he sees it, is the problem with computerized bike fitting—such measurements don’t take into account the physiological changes that occur over the course of the day. “This drives some competitive cyclists to think the numbers are chiseled in stone and they panic when things are off a millimeter, yet the variability of the human body is in centimeters,” Freedman says. “Look at a pro-bike race when team racers give the leader their bike after a crash with no adjustment…the leader is able to keep going because the ankle, knee, shoulder, and wrist are all mobile-adapters. Any joint that travels through multiple planes can work as a mobile adapter, so if you know where you need your torso to be, you can compensate…most people don’t realize that. So, it’s training the body as much as fitting the bike.” The cyclist needs to be comfortable on the bike. “If you’re not comfortable, you won’t be efficient for long.” He notes that posture can also affect cardiovascular efficiency, so by manipulating the cyclist’s position on the bike, you can improve endurance and recovery. “If your posture is poor, you have dysdiaphragmatic breathing…with proper diaphragmatic breathing, you can draw more air into the lungs. The diaphragm needs to be free to expand to draw larger volumes of air; bad posture can cause obstruction. The more bends you have in the line, the greater amount of friction you have when breathing. Everybody talks about aerodynamics as outside the body, but you can also look at it inside the body, from the lungs all the way down. If you round off 30% of the throat by pushing the chin forward, you get much greater throughout. It’s all about how riders position themselves on their bikes.” setup locks you into one position, it affects the handling. You need to be able to move forward and back as a rider for climbing and descending, sprinting, and to improve cornering, by maintaining traction when exiting a corner. The cyclist must be nimble on the saddle to maximize the handling characteristics of a bicycle. Being seated in one position eliminates stability. Observation has taught me that your gluteals are stronger than the quadriceps, and, over time, will produce a more efficient pedal stroke. Size Changes One of the pearls of a dynamic bike fit is that all cyclists will change their height over the course of the day—we’re tallest in the morning and shortest in the evening. One may change between 1.5 and 4.5 cm during the course of a day. Therefore, a precise measurement in the morning is less likely to be correct in the evening. This biological drift due to the viscoelastic nature of spinal soft tissue is better served with a ‘target range’ when bike fitting that accounts for these inherent variabilities. This fluidity in size calls into question how accurate our measuring systems need to be for determining frame size and component positions/alignments. A millimeter of error may not be relevant in the context of the biological variability throughout a bike ride. When fitting, I look at the body as a series of interconnected mobile adapters. These articulations are the ankles, knees, hips, shoulders, elbows, and wrists. The spine may function as one large mobile adapter. No joints are looked at in isolation. As professional bike fitters, we take this larger, biomechanical view of joint function when evaluating the cyclist on a bike. Cyclists need to be mobile when on their bike, to improve ride quality as well as to optimize their own body mechanics through the ability to self-adjust. This is part of the process that I try to teach the cyclist. Furthermore, in my fittings, I encourage gastrocnemius and soleus complex activation. This is done to help improve venous return to the heart. As described by Starling’s law, stroke volume of the heart increases in response to an increase in the volume of blood in the ventricles, before contraction (the end diastolic volume), when all other factors remain constant. A mobile position can potentially lower the cyclist’s heart rate. Cycling is an endurance activity, so my goal is to make the rider as comfortable as possible while improving efficiency. A good rock guitar solo is a wonderful treat to the ears, but the true master musician will exceed that experience when unplugged. Given that the big picture—breathing, comfort, agility, and efficiency are what’s really important in the bike fit—unplugged may be the way to achieve that goal, especially in the hands of a true master bike fitter. Happy Freedman serves as a Master Bike Fitting Specialist in the Leon Root, MD, Motion Analysis Lab at the New York Hospital for Special Surgery (HSS). A cycling coach, innovator, and internationally recognized expert in the field of bike fit, Freedman helped develop the first multi-disciplinary hospital-based state-of-the-art Bike Fit Lab, to be used for performance, clinical bike fit evaluations, and research at HSS in New York City. His professional experience covers a range of related areas and his current position in Prosthetics and Orthotics in the HSS Rehabilitation Department allows him to work in close cooperation with physical therapists and investigators in the motion lab. FINAL THOUGHTS If you use foot orthoses for correction, you can manipulate the tracking of the knee, Freedman explains. But, he notes, this doesn’t necessarily correct issues further up the line, such as the hip or weak glutes, and may mask them. “Some people may need only the orthoses,” he says, “but you need to look at the whole line.” He notes that classic bike fitting starts at the foot and makes corrections with shims and wedges. “You can change the cleat angle with a wedge or a stack of wedges which will change the angle of the foot to the pedal, but,” he asks, “what if in reality the problem is an instability in the pelvis?” If you start wedging before you examine the whole body on the bike, you’re not necessarily fixing problems, but could be masking problems. Each tool serves a different purpose, he says; the secret is to know which one to use. “The body is not parts all stacked up, it’s a complex organism. Bicycles are complex too,” he says. “The goal is to make them—body and bike—work together efficiently as a unit.” Perfect positioning. Easy scanning. Superior orthotics. SmartCast® The unique shape of every foot is captured more accurately than ever with advanced scanning and our exclusive SmartCast Foot Positioning System™. Custom orthotics ship in ONLY FOUR BUSINESS DAYS. Get your patients back on their feet quickly with consistently fast turnaround! Incorporating our innovative technology with the hands-on experience of our highly-skilled technicians produces distinctly better custom orthotics. Our passion is helping people. Since 1964, we’ve been trusted to provide relief to millions suffering from foot pain. Northwest Podiatric Laboratory The Premium Custom Orthotic™ www.nwpodiatric.com Introduction When you think back to your early studies in General Biology you may recall memorizing the steps of the Krebs Cycle. It is through this process of aerobic respiration that most living things generate energy. In aerobic organisms, cells utilize oxygen (O₂) as a final electron acceptor to synthesize high-energy adenosine triphosphate (ATP) from adenosine diphosphate (ADP). This ATP is what fuels most cellular processes. Wounded tissues exhibit an increased energy demand leading to a hypermetabolic state. Therefore, wound healing is heavily reliant on attaining adequate levels of oxygenation within the injured tissues. Oxygen is essential to multiple wound healing processes including oxidative killing of bacteria, cellular signaling and proliferation, collagen deposition, and angiogenesis. The Antimicrobial Effects of Oxygen Oxygen is a necessary component for control of bacterial burden during the inflammatory phase of wound healing. After tissue injury has occurred, chemical signals such as histamine are released. These stimuli induce migration of monocytes and neutrophils into the wound site. These cells then produce reactive oxygen species (ROS) by the process of a respiratory burst. ROS are responsible for the oxidative killing of bacteria that protects the wound from infection. Without adequate local tissue oxygenation, the respiratory burst is impaired, resulting in increased susceptibility to infection. Hohn et al conducted a study in which they determined that skin wounds of rabbits exposed to air containing low oxygen concentrations had more elevated levels of Staphylococcus Aureus than skin wounds of rabbits exposed to air containing high levels of oxygen. Local tissue oxygen levels are a determining factor in the microbial contamination of wound tissues. Growth Factor Regulation ROS in low levels plays a role in both cellular signaling and growth factor release. Growth factors use various mechanisms such as fibroblast migration and keratinocyte proliferation to stimulate healing. Acute hypoxia stimulates growth factor production, but chronic hypoxia inhibits or eliminates it. Siddiqui and colleagues investigated the proliferation of fibroblasts in varying environments. They compared cells grown in a hypoxic environment (1% O₂) vs standard culture conditions (20% O₂). The results of the study showed cell proliferation was 3 times slower with exposure to 1% oxygen versus 20% oxygen. The investigators concluded that chronically low levels of local oxygen were detrimental to growth factor production and led to decreases in fibroblast proliferation. Collagen Synthesis Fibroblasts are responsible for the synthesis of collagen fibers. Collagen is the most abundant protein produced in the human body. Deposition of collagen is a fundamental step in the wound healing process as it provides a natural scaffold or substrate for new tissue growth. The formation of the collagen triple helix is O₂ dependent. Without the triple helix, procollagen is non-functional. It is these extracellular cross-linkages that are ultimately responsible for the tensile strength needed in prolonged wound healing. Hunt and colleagues used a rabbit model to track the rate and density of collagen formation with changes in oxygen levels. The results demonstrated that exposure to hyperoxic environments accelerated collagen synthesis. Angiogenesis The formation of new blood vessels, or angiogenesis, is critical in wound healing. This neovascularization provides channels for active cells, nutrients and O₂ to travel to the... Presenting our... New Fall Prevention Brace "ULTIMATE SB" CPT Codes: L1940 L2330 L2820 The Ultimate (SB) Stabilizer Brace functionality is to stabilize gait, improve postural balance/sway, provide stabilization in the ankle joint and to reduce the risk for falls. It is anticipated that the patient will benefit functionally with the use of this device. The custom device is utilized in an attempt to reduce the mortality/morbidity of falling. $295* Available in 9"* and 12" NOTE: The minimum casting requirements for all AFO and Gauntlets is a 14" STS Bermuda Casting Sock. wounded tissues. Vascular endothelial growth factor (VEG-F) is a major angiogenic stimulus. Initially, hypoxia acts as a stimulus to VEG-F. However, prolonged hypoxia inhibits VEG-F formation and function and obstructs neovascularization.\textsuperscript{7} Topical oxygen therapy has been shown to increase both VEG-F levels as well as angiogenesis. A 2008 study by Gordillo et al evaluated outcomes in 1,854 outpatient wound clinic patients who were screened for non-randomized enrollment into either hyperbaric oxygen therapy treatment (HBO) or topical oxygen (TO) for the treatment of their chronic wounds. The investigators determined that there were no significant changes in wound measurements in the HBOt patient group. However, the TO treatment group did exhibit a noticeable decrease in overall wound dimensions. Tissue biopsies were obtained from wounds in both treatment arms. There was an increase in VEG-F found within the TO group. Overall, the investigators concluded that TO showed better wound healing benefits compared to HBO.\textsuperscript{7} Case Example It has been the author’s experience that continuous topical oxygen therapy (cTOT) offers an effective non-invasive chronic wound treatment that may speed healing by improving microcirculation and oxygenated hemoglobin as demonstrated by the case in Figures 1 and 2. Case Patient: 85 y.o. male with a left lower leg venous ulcer of 62-weeks duration; ABI: 1.07 Past Medical History: Peripheral Vascular Disease; Venous Insufficiency; Venous Stasis Dermatitis; Non-Insulin Dependent Diabetes Mellitus; Degenerative Joint Disease; Hypertension Previous failed wound therapies: Alginate; Foam and Compression Dressings; Iodine; Silver Dressing; Collagen; Medihoney; Santyl Discussion Oxygen is an important biomarker when determining a wound’s ability to heal. As demonstrated above, oxygen is essential for all phases of wound healing. The oxygen gradient in wounded tissue is unequal. Supply may not meet demand. This is especially true in patients... Continued from page 37 suffering from small vessel disease. Although the etiology of non-healing chronic wounds is multi-factorial, hypoxia is a common component in a vast majority of cases. Chronic wounds continue to pose a challenge to clinicians. For many years hyperbaric oxygen therapy (HBOT) has been employed to deliver high-pressure 100% oxygen to the tissue in the hopes of increasing wound oxygenation. HBOT relies on adequate arterial perfusion in order to transfer oxygen to the wounded tissue. The advent of newer technologies can now enable small, portable battery-powered oxygen generators to allow cTOT to be applied directly to the wound base at normospheric pressure. cTOT is a novel treatment that could prove to be a more cost-effective alternative to HBOT as it may potentially be applied to a broader cross-section of patients, including some that may not be eligible for HBOT. Windy Cole, DPM, serves as Medical Director of the Wound Care Center, University Hospitals Ahuja Medical Center and Adjunct Professor and Director of Wound Care Research at Kent State University College of Podiatric Medicine, both in Cleveland, Ohio. She is a dedicated healthcare advocate with interests focused on medical education, diabetic foot care, wound care, limb salvage, clinical research and humanitarian efforts. Dr. Cole has published extensively on these topics and is a sought-after speaker both nationally and internationally. Dr. Cole also serves as a member of the Editorial Advisory Board for LER. References 1. Tandara AA, Mustoe TA. Oxygen in wound healing—more than a nutrient. World J Surg. 2004;28(3):294–300. 2. Rodriguez PG, Felix FN, Woodley DT, Shim EK. The role of oxygen in wound healing: a review of the literature. Dermatol Surg. 2008;34(9):1159–1169. 3. Hohn DC, MacKay RD, Halliday B, Hunt TK. Effect of O2 tension on microbicidal function of leukocytes in wounds and in vitro. Surg Forum. 1976;27(62):18–20. Bishop A. Role of oxygen in wound healing. J Wound Care. 2008;17(9):399–402. 4. Bishop A. Role of oxygen in wound healing. J Wound Care. 2008;17(9):399–402. 5. Siddiqui A, Galiano RD, Connors D, Gruskin E, Wu L, Mustoe TA. Differential effects of oxygen on human dermal fibroblasts: acute versus chronic hypoxia. Wound Repair Regen. 1996;4(2):211–218. 6. Hunt TK, Pai MP. The effect of varying ambient oxygen tensions on wound metabolism and collagen synthesis. Surg Gynecol Obstet. 1972;135(4):561–567. 7. Gordillo GM, Sen CK. Revisiting the essential role of oxygen in wound healing. Am J Surg. 2003;186(3):259–263. Clinical Reports tailored to your patient conditions MOST AFFORDABLE GAIT ANALYSIS SPECIFICALLY TAILORED FOR O&P IMPROVE PATIENT OUTCOMES OBJECTIVE MEASURES FOR REIMBURSMENT email@example.com www.gaitrite.com 888-482-2362 FULLY PORTABLE compact storage QUICK SET UP under 75 seconds MINIMAL TRAINING easy reporting features PROVIDE THE BEST FOR SWING AND STANCE PHASE Step-Smart® Brace Your patient’s favorite brace for drop foot. Custom Step-Smart is also available. Send casts to Insightful Products. (207) 885-0414 • www.insightfulproducts.com Recent analysis of the podiatric literature concludes that custom foot orthoses aren’t superior to prefab inserts—an account one expert rejects. It’s a matter of who does the custom work, he says. By STANLEY BEEKMAN, DPM This article is adapted, by Dr. Beekman and the Editors of LER, from his podium presentation at the Richard O. Schuster, DPM, Memorial Biomechanics Seminar, sponsored by the New York College of Podiatric Medicine, in New York City, November 2018. At that presentation, Dr. Beekman reviewed and critically reconsidered the findings of studies of the efficacy of custom foot orthoses in managing mechanically induced plantar heel pain. —The Editors In March 2018, the British Journal of Sports Medicine published Nadine Rasenberg, PhD,* and her coauthors’ systematic review and meta-analysis of the literature on the efficacy of foot orthoses for plantar heel pain (I’ll refer to the paper simply as “Rasenberg’s”). The next day, on March 19, a United Press International headline read: “Pricey insoles aren’t worth the cost.” On March 21, Reuters’s coverage began with “Shoe inserts may not help plantar heel pain.” I soon came to the realization that there are concerns about the reliability and validity of the Rasenberg paper. Why? In part because of our collective experience: At the Schuster Memorial Biomechanics Seminar later that year, when speaking about Rasenberg’s work, I asked the audience if anyone had ever had a patient present with a prefabricated device that didn’t work and, by making a functional orthosis for that patient, their condition had improved. Every participant raised their hand—in the affirmative. My aim in this article, as it was in my Schuster presentation, is to provide a critical examination of Rasenberg’s work and of the studies included in her meta-analysis. Are “pricey insoles” worth the cost? What Rasenberg Said In the British Journal of Sports Medicine paper, Rasenberg stated: Five studies compared prefabricated orthoses with custom-made orthoses. All studies provided data that could be used for pooling. No difference was found on short-term pain… between prefabricated and custom-made orthoses. […] One study reported self-reported recovery at short term and found a significant effect… in Continued on page 42 favour of prefabricated orthoses. [...] In summary, foot orthoses are not superior for improving pain and function compared with sham or other orthoses.\textsuperscript{1} Background: What, Exactly, is a Custom Foot Orthosis? Rasenberg did not define “custom foot orthosis” (CFO) in her paper. An Internet search reveals that most definitions are provided by orthotics laboratories, which might be biased in defining a CFO. The definition offered by the Canadian Life and Health Insurance Association, Inc., seems appropriate: Custom made foot orthotics are functional devices made from a directly-molded impression of the patient’s full contours of the foot using plaster, slipper cast made of resin, foam impression, wax or 3D scan. The foot orthotic is constructed from raw materials and manufactured to each patient’s individual prescription. The foot orthotic is removable from the patient’s footwear. [...] Generally, in order to be eligible for coverage under a group benefit plan the orthotics must be prescribed by the appropriate medical professional before the purchase is made.\textsuperscript{2} There are 4 main criteria necessary to meet that definition, according to the Association’s description. The device must be: - functional - prescribed for the individual patient - made to a negative mold - prescribed by an appropriate medical professional. Criterion #1: Functional—Dr. Schuster (to whom the Memorial Biomechanics Seminar is a tribute) told me: “Foot orthoses change the surface we walk on from one that is flat and level that requires the body to adapt to, to one that does not require these adaptations” (Schuster R, personal communication, 1974). The 4 changes produced by a foot orthosis are: - frontal-plane corrections for varus or valgus deviation - heel height for equinus - heel lift, with or without a sole lift (applied to a shoe), for leg-length differences - possibly, correction to allow the first ray to plantarflex at propulsion. For a device to be functional, it has to be made appropriately. That requires recognition (through biomechanical examination) of why excessive pronatory compensation is taking place, an ability to find the neutral position, and appropriate posting to attempt to maintain that position. Criterion #2: Prescribed individually—An individual prescription should address the 4 imbalances listed above. This can be done by static or computerized gait examination, or both. One evaluation used outside the United States is the Foot Posture Index,\textsuperscript{3} developed by a collaboration of esteemed podiatrists at notable universities in Great Britain and Australia. The index uses several parameters, including bulging of the talo-navicular joint (Figure 1\textsuperscript{a}). Criterion #3: Uses a negative mold—It is impossible to make a custom orthosis without a negative mold. A negative mold can be obtained via plaster casting, foam impressions, or digital scanning. Factors that are captured by a negative mold include the width of the heel; width of the forefoot; metadductus angle; the metatarsal length (the angle a line drawn connecting the first and fifth metatarsal makes with the long axis of the foot); the height of the medial arch; the height of the lateral arch; and if needed, the exact areas to place metatarsal pads, toe crests, cuboid pads, and the ends of heel raises. Criterion #4: Prescribed by an appropriate medical professional—Asking who is an “appropriate” medical professional raises more questions than it provides answers, in regard to education and to experience in prescribing, fabrication, dispensing, and follow-up. Should education be equivalent to that of a US podiatrist—ie, the doctorate level? Even the American Board for Certification in Orthotics, Prosthetics, and Pedorthics requires a minimum of 500 hours of orthotic fitting prior to certification.\textsuperscript{4} Instead, a simpler method to determine who is an “appropriate” medical professional would be results-based: How difficult would it be for someone to make a foot orthosis that outperforms a prefabricated device—especially because there are a number of feet of uncharacteristic shapes, including metatarsus adductus, forefoot splay, accessory navicular, and prominent styloid process (Figure 2)? Imagine an optometrist who isn’t able to prescribe a pair of glasses that outperforms an off-the-shelf pair; would you say, based on this optometrist’s ability, that off-the-shelf glasses perform better? Or that the optometrist isn’t adequately trained? With that notion in mind, the focus of this article is to determine whether the orthoses used in the studies that were the basis of Rasenberg’s paper were properly made and whether they were truly “custom.” And because meta-analyses focus on the possibility of hidden bias, I’ll also raise the question of bias in areas not addressed by Rasenberg. Rasenberg’s Review and Meta-analysis Rasenberg reviewed 895 studies, 38 of which were utilized for her paper. The section dealing with a comparison of CFOs to prefabricated arch supports used 5 studies: those of Baldassin,\textsuperscript{5} Landorf,\textsuperscript{6} Martin,\textsuperscript{7} Pfeffer,\textsuperscript{8} and Wrobel.\textsuperscript{9} To ensure no hidden bias, Rasenberg evaluated 12 parameters to determine which studies Continued on page 44 Give us a call today and let us fabricate the right shoe for your patient’s feet. We provide the highest quality of custom Molded Shoes. WE CAN DUPLICATE ANY STYLE SHOE We accept different kinds of cast - Plaster - Fiberglass wrap - STS Casting sock Please make sure they are accurately captured. Right Way Custom Molded Shoes 3825 INVESTMENT LN. SUITE: 10 RIVIERA BEACH, FL. 33404 TEL: 561 840 6792 FAX: 561 840 6799 www.rightwaycms.com firstname.lastname@example.org were unbiased. The higher the number of those parameters, the less the bias. The selection of articles and the minimization of the risk of bias assume that there is no bias on the part of the studies’ author(s). Earlier statements are revelatory—On closer look, however, this might not be the case. In 2015, Rasenberg published an article on the so-called STAP (Soles as Treatment Against Pain) study, a randomized controlled trial that examined the cost-effectiveness of CFOs for plantar fasciopathy in general practice and sports medicine.$^{10}$ In that paper, she stated: “The secondary objective of our study is to examine the cost-effectiveness of custom made insoles by a podiatrist, compared to usual care in patients with plantar fasciopathy.” Rasenberg also stated, in her 2015 paper, that “the standardized intake at the podiatrist will consist of an examination of the posture of the foot using the standardized Foot Posture Index,$^{[27]}$ the Hubscher test,$^{[28]}$ the navicular drop test$^{[29]}$ and the range of motion in the tarsometatarsal joint and the first metatarsophalangeal joint (MTP-I) as measured with a goniometer.” Earlier, I mentioned the Foot Posture Index, but there are no standardized podiatric tests to show the 4 imbalances previously discussed: functional hallux limitus, frontal plane deviations, asymmetry, and equinus. Furthermore, the 2015 study mistakenly lumps podiatrists into the same category worldwide. In the Netherlands, podiatry is a 4-year, accredited, full-time Bachelor of Science course;$^{11}$ in the United States, it is a postgraduate doctoral course. Rasenberg goes on to say in the 2015 paper that “the podiatrists will report for each patient, whether they agree with the indication for orthotic insoles as established by the GP or sports physician.” In the United States, the podiatrist determines the indication for a foot orthosis. Further down, Rasenberg states that “orthotic devices seem to be a frequently applied treatment option, despite a lack of evidence on the effectiveness.” She references Thomas$^{12}$ and Covey.$^{13}$ Interestingly, Thomas states, “The second tier of the treatment ladder includes continuation of the initial (Tier 1) treatment options with considerations for additional therapies: orthotic devices [75 to 78]…$^{12}$” References 75 through 78 in the cited Thomas paper in fact support the use of orthoses: - “The present study demonstrates a significant difference after using the functional orthosis for 8 weeks in foot pain and foot function (FHSQ [Foot Health Status Questionnaire] and overall health status (EQ-5D [questionnaire]))”$^{14}$ (original reference 75) - “The meta-analysis results showed significant reductions in pain after orthotic intervention”$^{15}$ (original reference 76) - “Mechanical control of the foot is a successful method of treating plantar fasciitis. Custom-made orthoses, over-thecounter arch supports, and tension night splints are all effective as initial treatments for plantar fasciitis. Patients in the present study demonstrated the best compliance with the use of custom-made orthoses, which may indicate that orthoses provide the best long-term results$^{77}$ (original reference 77 [this paper was also used in the 2018 Rasenberg paper$^{75}$]). • “23 patients have been fitted with the University of California Biomechanics Laboratory (UCBL) Shoe Insert for plantar fasciitis. In the last 15 months a total of 10 patients have been fitted with the insert at the UCLA Rehabilitation Center in Los Angeles. Most of these patients had been treated previously with arch supports, heel cushions, steroids, and phenylbutazone, without success. In all but 2 cases the relief from discomfort with the shoe insert was almost instantaneous$^{78}$ (original reference 78). In defense of Rasenberg, Covey’s article$^{63}$ cited a Cochrane review$^{77}$ that found no difference in pain reduction between CFOs and prefabricated foot orthoses. This assertion came from a paper by Hawke,$^{77}$ which, in turn, was based on papers by Landorf,$^{6}$ Martin,$^{7}$ and Pfeffer.$^{8}$ Those 3 papers are among the 5 analyzed in Rasenberg’s 2018 systematic review and meta-analysis. The 5 Papers Examined Because Rasenberg did not define “custom orthosis,” my review of the 5 papers she analyzed in her 2018 study$^{1}$ largely focuses on whether or not (1) the orthoses used in the papers fit the definition of a CFO and (2) there was possible bias not found by Rasenberg. Martin: Prospective study—This paper$^{7}$ is important not only because it was used in Rasenberg’s 2015 paper but also in Covey’s paper$^{63}$ that was the basis for Rasenberg stating that “orthotic devices seem to be a frequently applied treatment option, despite a lack of evidence on the effectiveness ....” Martin, a podiatrist from the United States, performed a biomechanical examination on the subjects in his study, which included checking for equinus and frontal plane deviations. The impression for the CFO was made using laser scanning. The orthoses were 5mm Polydur (Bergmann Orthotic Laboratory, Northfield, IL), with a 4° rearfoot post, with intrinsic posting allowing 4° pronation. The prefabricated device was Foot Soldiers (Foot Soldiers, Professional Footcare International, Inc., Valencia, CA). Both groups were taped for 2 weeks prior to receiving the CFO or prefabricated orthosis. Martin made the CFO according to the previously noted 4-criteria definition. He concluded that “the group using custom-made orthoses showed the greatest improvement over time.”$^{71}$ Landorf: Review of trials—This paper$^{6}$ is especially important because it appears to be well-researched and was one of the 3 papers Continued on page 46 in the Cochrane review quoted by Covey, on which Rasenberg based her question about the efficacy of orthoses. Landorf, a podiatrist from Australia (ie, he has a baccalaureate in podiatry), stated: Each participant was assessed using a standardized assessment by the investigator, an experienced podiatrist (K.B.L.). Neutral position plaster casts were taken by the investigator; [...] The customized foot orthosis was fabricated at a commercial orthotic laboratory (The Orthotic Laboratory, Melbourne, Australia) using principles described by Hice. A plaster cast was posted to the neutral calcaneal stance position, and a hard plastic shell was vacuum molded over the cast. [...] A firm foam heel post was applied inferior to the heel. The prefabricated device used was not named; however, at the end of the article, the statement of funding and support says: “The Orthotic Laboratory, Foot Science International, and Allied Health Industries donated orthoses and orthotic materials.” Note that Foot Science International makes a prefabricated support called Formthotics. Although Landorf states that he used principles described by Hice, this does not appear to be the case. Hice was concerned about the forefoot abducting, relative to the rearfoot, therefore sliding laterally off the orthosis. He attributed this to inadequate posting of a foot with a high oblique midtarsal joint axis. Hice makes this clear by stating that: Casting a foot with the subtalar joint in neutral and the midtarsal joint stable in the direction of pronation captures a specific forefoot-to-rearfoot relationship. An orthotic shell made from this cast has a forefoot-to-rearfoot relationship that is unaltered by either a forefoot post or rearfoot post. In his illustrations, Hice shows an extrinsic forefoot post; in another place, he states: The orthosis will be generally comfortable. If the orthotic front edge irritation occurs because of forefoot posting height, a Morton’s extension made of flexible material (Korex) may be incorporated into the device. [Figure 3] However, Landorf clearly uses intrinsic posting as he describes the methodology: “A plaster cast was posted to the neutral calcaneal stance position, and a hard plastic shell was vacuum molded over the cast.” When looking at the data, a dropout rate of ≥ 25% is a factor in considering hidden bias. Landorf’s data aside, in the papers that Rasenberg reviewed, the dropout rate ranged from 10.6% to 27% in the prefabricated group and 4% to 27% in the CFO group. When looking at Landorf’s data alone, he had the lowest dropout rate: 0% in the prefabricated group and 2% in the CFO group (Table 1). This, by itself, would not seem that significant—except that, in an earlier (1998) article, of which Landorf is a coauthor, it is stated that: With this in mind, the Australian Podiatry Council and state associations have, in recent years, identified a number of issues for consideration concerning pediatric orthoses…. These include community con- Continued on page 49 Thanks to my ToeOFF®, I have been able to EMPOWER PEOPLE to challenge their limits and find new heights, NO MATTER THE OBSTACLE! – Aika, Doctor of Physical Therapy and 2-time Paraclimbing World Champion (RP3) Prevent Falls & Gain Stability THE STABILIZER DEVELOPED BY surestep A GAIT STABILIZING ORTHOSIS FOR ADULTS The Surestep Stabilizer is a device that provides mediolateral stability, as well as stabilizing the foot/ankle in the sagittal plane, facilitating clearance during swing phase for patients with dropfoot. With the carbon fiber insert on the posterior strut, the Stabilizer helps to bring the foot up as the leg swings across, but also helps to assists with deceleration of the foot after heel strike. This makes for a much more normal, natural gait. Visit our website for resources including our fall risk assessment and measurement order form. 17530 Dugdale Drive \| South Bend, IN 46635 \| 877.462.0711 \| surestep.net Table 1. Dropout Rates \| Study Author \| Length of Trial \| Lost to followup/prefab \| Lost to followup/custom \| \|--------------\|-----------------\|-------------------------\|------------------------\| \| Baldassin$^5$ \| 8 wks \| 18/72 (25%) \| 19/70 (27%) \| \| Landorf$^6$ \| 3 mos \| 0/44 (0%) \| 1/46 (2%) \| \| Martin$^7$ \| 12 wks \| 23/85 (27%) \| 14/85 (16%) \| \| Pfeffer$^8$ \| 8 wks \| 5/47 (10.6%) \| 8/42 (19.1%) \| \| Wrobel$^9$ \| 3 mos \| 4/25 (16%) \| 1/26 (4%) \| Concerns in regard to efficacy, cost and clinical outcomes as well as increasing competition from alternative suppliers. In response to these concerns, and following widespread consultation, the Council adopted a number of strategies, which had, as a fundamental basis, the development of Australian clinical guidelines for pediatric prescription orthoses.$^{19}$ The possibility of hidden bias should therefore have eliminated the Landorf article from the Rasenberg meta-analysis. His conclusions, not surprisingly, are: “At this stage, it is not possible to conclude that either prefabricated or customized orthoses are better, and it cannot be suggested that customized orthoses are better over time and therefore have a cost advantage.”$^{6}$ Pfeffer: Prospective trial—This also is an important paper,$^8$ not only because it was cited in Rasenberg’s 2015 paper, but because it was used in Covey’s paper that was the basis for Rasenberg stating that “orthotic devices seem to be a frequently applied treatment option, despite a lack of evidence on the effectiveness.” Pfeffer is an orthopedic surgeon from the United States. All patients were examined by an orthopedic surgeon at each center who specialized in foot and ankle disorders. There was no biomechanical examination. The prefabricated devices used were a silicone heel pad (Bauerfeind, Atlanta, GA), a felt insert (Hapad, Bethel Park, PA), and a rubber heel cup (Tuli’s). Pfeffer states: Each center had reviewed a Prolab instructional video on casting technique. The orthoses were made from a negative cast of the patient’s foot while the subtalar joint was in a neutral position. Either $ \frac{1}{4} $ inch or $ \frac{3}{16} $ inch polypropylene was used for each orthosis, with the thickness determined by the weight of the patient.$^8$ However, the video on the Prolab Web site runs 10 minutes and 25 seconds. The narrator says: “Neutral is by feeling for congruency of the STJ or lining the second metatarsal with the long axis of the leg. Do not pronate or supinate the foot but keep it in neutral.” Instruction on the neutral position lasts 17 seconds—inadequate, because this skill is an important one and requires instruction to perform properly. Furthermore, Pfeffer is a member of American Orthopedic Foot and Ankle Association. As for possible hidden bias, see “Clearing up the misconceptions of orthopedic surgeons over the VA Provider Equity Act” in a 2016 posting on the Podiatry Today Web site,$^{20}$ regarding orthopedic surgeons vs. podiatrists. Knowing the above, Pfeffer’s results aren’t surprising: All 5 treatment groups demonstrated improvement in both pain scales at 8-week follow-up. The Foot Function Index, when controlled for covariates (baseline pain, duration of pain, and history of similar heel pain), indicated that the greatest diminution in pain was in the rubber insert and silicone insert groups, followed by the felt insert, stretching-only, and CFO groups.$^8$ Baldassin: Double-blind trial—The paper’s author is a physical therapist; his coauthors are a physician and a PhD. All are from Brazil. Baldassin states: One hundred forty-two patients out of 248 evaluated were randomly allocated to receive a prefabricated or customized foot orthoses (both 95% EVA [ethylene vinyl acetate]) […] The customized foot orthosis was made from a nonplaster casting technique. This implies that the molds from the patients’ feet were taken in the proper foam (EVA), and it was not necessary to make a negative cast.$^5$ No mention is made of a biomechanical exam. Furthermore: During this modeling process, the expert held the subtalar joint in a neutral position. The next step consisted of joining the 2 remaining plates of EVA under the single foam plate, already molded and cooled, in water to prevent any undesirable material deformity. Afterward, the expert cut and shaped the insole according to the participant’s footwear.$^5$ No mention of wedging or posting was made. When a patient has forefoot varus or a hypermobile first ray, there is an inverted forefoot–rearfoot relationship. When the device is Continued on page 50 placed on the ground without posting (intrinsic or extrinsic), the calcaneus is in an everted position and has a pronatory effect on the rear foot. Because the molded orthoses had a pronatory effect, it can be predicted what results Baldassin would have: “…the prefabricated inserts appeared to be at least as effective in reducing the heel pain as a custom orthotic device…” Wrobel: Double-blind trial—This podiatrist from the United States stated, in his paper: The PFO (Orthaheel Workforce; Vionic Group LLC, San Rafael, California) contained a full foot-length, Shore C, 45-durometer, ethyl vinyl acetate, triplanar orthotic footbed with a 15-mm heel cup […] The device had an intrinsic 48° rearfoot medial post and was balanced through the forefoot. The manufacturer’s brushed nylon top cloth was covered by the study’s standard 3-mm neoprene top cover. Additionally: A senior experienced biomechanics instructor (B.J.) with more than 20 years of teaching and practice experience performed all of the biomechanical examinations, neutral suspension castings, and CFO prescriptions. All of the patients in the CFO group received a standard prescription for functional CFOs posted with the forefoot balanced to the rearfoot deformity (neutral calcaneal stance position) with the following exceptions: 1) valgus rearfoot (neutral calcaneal stance position) received a flat rearfoot post and 2) rearfoot varus of greater than 6° was posted to a maximum of 6° varus. Medium arch fill was used for patients who could not dorsiflex past 0° and for those who were obese (30% over ideal body weight); minimum arch fill was used for all of the other patients. Additional accommodations were made to the prescription process, depending on body stature, foot type, first-ray function, and ankle function. Wrobel concluded: “We found that the CFO group had a significant 125% greater improvement in spontaneous physical activity after 3 months of treatment for plantar fasciitis compared with the 22% improvement with PFOs and the 0.5% improvement with sham devices.” Wrap-Up In the Rasenberg meta-analysis, 2 studies (Wrobel, Martin)—each performed by first-author podiatrists from the United States—showed that a CFO provides better results than a prefabricated foot orthosis. The other 3 studies—Baldassin, Pfeiffer, and Landorf—were marked by significant insufficiencies: - Baldassin did not perform a biomechanical examination, did not take a negative cast, and was not adequately trained. Continued on page 53 With PolyMem, finger and toe injuries don’t have to slow you down. Save time with PolyMem Finger/Toe dressings, which are easy to apply – even for patients themselves – and often require fewer dressing changes thanks to their unique design. Simply roll the dressing onto the injured digit and let PolyMem do the work. PolyMem dressings help reduce edema, bruising, pain and inflammation when applied to open or closed injuries. THE IDEAL CHOICE FOR MANAGING: - Sprains - Strains - Contusions - Abrasions - Lacerations - Burns - Ulcers - Matricectomies NEW, BIGGER sizes available – ideal for large toes! GO 4-D presents 3D PRINTED PRESCRIPTION ORTHOTICS Built with Fitstation by HP A powerful foot scanning and data platform that is revolutionizing the orthotic industry. Go 4-D 3D printed orthotics have the flexibility and segmental control exactly where the patient needs it. The unique biomechanical lattice design of our 3D printed custom orthotic allows the practitioner to design with more precision than ever before. A 3D printed orthotic can reduce the bulkiness while maintaining the support required, which will lead to better patient compliance. Embrace the future of podiatry and learn more about 3D printing at 1-888-353-4643 go4-d.com Go 4-D is the exclusive medical channel partner of HP Fitstation in North America. Fitstation by HP Recommended by the NFL Medical Committee • Pfeiffer and associates\textsuperscript{8} were trained by watching a video for 10 minutes and 25 seconds, \textit{17 seconds} of which were devoted to the most critical part of making a proper custom orthosis (ie, a neutral position). Their inadequate training disqualifies them from making a CFO. • Landorf\textsuperscript{9} has possible bias from an earlier paper; his study should therefore have been rejected for meta-analysis. My conclusion? In the United States, CFOs should be prescribed, and dispensed, only by a well-trained health professional, such as a podiatrist.\textsuperscript{10} Stanley Beekman, DPM, is retired from private podiatric practice. He was Assistant Professor of Podopediatrics and, later, Assistant Professor of Sports Medicine, both in the Department of Clinical Services, Ohio College of Podiatric Medicine (now the Kent State University College of Podiatric Medicine), Kent OH. He was board certified in both podiatric orthopedics and podiatric surgery. Disclosure: The author has had no financial ties to any podiatric laboratory for the past 36 years. Acknowledgements: I would like to thank my mentor J. C. D’Amico and the editors of LER for helping me prepare this paper. References: 1. Rasenberg N, Riel H, Rathleff MS, Bierma-Zeinstra SMA, van Middelkoop M. Efficacy of foot orthoses for the treatment of plantar heel pain a systematic review and meta-analysis. Br J Sports Med. 2018;52(16):1040-1046. 2. Weir J. Reference document: understanding claims for footwear and foot orthotics. Canadian Life and Health Insurance Association Inc Web site. January 2017. www.chia.ca/web/CLHIA_LP4W_LND_web-station.nsf/page/7BC4EF1D202CCDFD085257A808004F6144/$file/Orthotics%20Reference%20Document%20ENG.pdf. Accessed April 9, 2020. 3. Keenan A-M, Redmond AC, Horton M, Conaghan PG, Tennant A. The Foot Posture Index: Rasch analysis of a novel, foot-specific outcome measure. Arch Phys Med Rehabil. 2007;88(1):88-93. 4. Orthotic fitter. American Board for Certification in Orthotics, Prosthetics & Pedorthics Web site. www.abcop.org/individual-certification/Pages/orthotic-fitter.aspx. Accessed April 7, 2020. 5. Baldassin V, Gomes CR, Beraldo PS. Effectiveness of prefabricated and customized foot orthoses made from low-cost foam for noncomplicated plantar fasciitis: a randomized controlled trial. Arch Phys Med Rehabil 2009;90(4):701-706. 6. Landorf KB, Keenan A-M, Herbert RD. Effectiveness of different foot orthoses to treat plantar fasciitis: a randomized trial. Arch Int Med. 2006;166(13):1310-1319. J Am Podiatr Med Assoc. 2004;94(6):542-549. 7. Martin JE, Hosch JC, Goforth WP, Murff RT, Lynch DM, Odom RD. Mechanical treatment of plantar fasciitis. A prospective study. J Am Podiatr Med Assoc. 2001;91(2):55-62. 8. Pfeiffer G, Bacchetti P, Deland J, et al. Comparison of custom and prefabricated orthoses in the initial treatment of proximal plantar fasciitis. Foot Ankle Int. 1999;20(4):214-221. 9. Wrobel JS, Fleischer AE, Crews RT, Jarrett B, Najafi B. A randomized controlled trial of custom foot orthoses for the treatment of plantar heel pain. J Am Podiatr Med Assoc. 2015;105:281-294. 10. Rasenberg N, Fuit L, Poppe E, et al. The STAP-study: the (cost) effectiveness of custom made orthotic insoles in the treatment for plantar fasciopathy in general practice and sports medicine: design of a randomized controlled trial. BMC Musculoskelet Disord. 2016;17:31. 11. Podiatry. National diploma supplement; national transcript. Study Direction Organisation of Podiatry (SROP) Web site. June 2013. www.podotherapie.nl/files/professional/opleidingen/national-transcript-podotherapie-2013-eng.pdf. Accessed April 9, 2020. 12. Thomas JL, Christensen JC, Kravitz SR, et al. The diagnosis and treatment of heel pain: a clinical practice guideline—revision 2010. J Foot Ankle Surg. 2010;49(3 Suppl):S1-S19. 13. Covey CJ, Mulder MD. Plantar fasciitis: how best to treat? J Fam Pract. 2013;62(9):466-471. 14. Rome K, Gray J, Stewart F, Hannant SC, Callaghan D, Hubble J. Evaluating the clinical effectiveness and cost-effectiveness of foot orthoses in the treatment of plantar heel pain: a feasibility study. J Am Podiatr Med Assoc. 2004;94(3):229-238. 15. Lee SY, McKeon P, Hertel J. Does the use of orthoses improve self-reported pain and function measures in patients with plantar fasciitis? A meta-analysis. Phys Ther Sport. 2009;10(1):12-18. 16. Campbell JW, Inman VT. Treatment of plantar fasciitis and calcaneal spurs with the UC-BL shoe insert. Clin Orthop Relat Res. 1974;(103):57-62. 17. Hawke F, Burns J, Radford JA, du Toit V. Custom-made foot orthoses for the treatment of foot pain. Cochrane Database Syst Rev. 2008;(3):CD006801. 18. Hice GA. Orthotic treatment of feet having a high oblique midtarsal joint axis. J Am Podiatry Assoc. 1984;74(11):577-582. 19. Petchell A, Keenan A-M, Landorf K. National clinical guidelines for podiatric foot orthoses Australasian Journal of Podiatric Medicine: AJPM.1998;32(3):97-103. 20. Weil L, Jr. Clearing up the misconceptions of orthopedic surgeons over the VA Provider Equity Act. Podiatry Today. May 27, 2016. https://www.podiatrytoday.com/blogged/clearing-misconceptions-orthopedic-surgeons-over-va-provider-equity-act. Accessed April 12, 2020. Keep Your Business Safe During COVID-19 BY ANDREW RAWSON The COVID-19 crisis is creating unprecedented challenges for practitioners and business owners. Organizations are facing new challenges and need to help employees transition back to the physical workplace. A few thoughts on keeping your business safe. Remote-work Policies Telecommuting or remote-work policies are nothing new; however, the COVID-19 pandemic underscores the need to develop a written policy that is accessible online 24/7 and can be updated in real-time as circumstances and guidelines evolve. Areas to cover include tracking working hours, using approved video conferencing and other tools to communicate with team members and patients, accessing IT support, and contact information for questions and concerns. Employers will want to share pandemic-related resources, including those from the Centers for Disease Control & Prevention (CDC), appropriate professional associations, and keep staff up to date on federal, state and local orders/guidance. Organizations should also create a return-to-work (RTW) plan that explains new protocols, policies, and other changes. Sharing the RTW plan with employees before they return to the workplace can help them prepare physically and psychologically. Awareness of Sexual Harassment and Discrimination The workplace is not confined to a building, and sexual harassment is not limited to face-to-face interaction. Making lewd comments during a video conference, sharing offensive images in emails/texts, or threatening a co-worker on social media are a few examples of cyber harassment. Now’s a good time to train employees on how to recognize, report, and prevent all forms of harassment, bullying, discrimination, and other misconduct. Too many incidents of harassment go unreported, in part because individuals fear retaliation or don’t know how to report misconduct. Establishing a formal complaint process that may include a hotline, a dedicated email address, or a designated contact can help address and prevent incidents. COVID-19-related Discrimination Unfortunately, fears about the coronavirus have led to reports of discrimination and social stigma against Asians, as well as healthcare workers and others on the frontlines. Be sure to update policies, procedures, and trainings to include COVID-19 discrimination and bias. The American Physical Therapy Association sponsored a Facebook Live event to address health disparities and implicit bias brought out by COVID-19, and how the physical therapy community can help mitigate these disparities. In March, Janet Dhillon, Chair of the Equal Employment Opportunity Commission, posted a message about COVID-19 discrimination based on national origin and race, urging employers and employees to “be mindful of instances of harassment, intimidation, or discrimination in the workplace and to take action to prevent or correct this behavior.” Data Privacy and Security, Beyond HIPAA As part of an organization’s cyber security strategy, employers should provide regular training and reminders on new cyber risks and threats. Cyber criminals are taking advantage of more employees working remotely. The Federal Bureau of Investigation’s (FBI) Boston office issued a warning about hackers hijacking teleconferences and online classrooms with pornographic images, hate speech, and threatening language. Both the FBI and the CDC are warning of coronavirus-themed phishing emails targeting US-based medical providers. The emails contain COVID-19 subject lines with links and downloads for malware that can allow criminals to take over healthcare IT systems and steal information. Information-security training raises awareness of the different types of phishing, malware, and ransom attacks; the risks of using public networks; and best practices for protecting digital and physical assets. The pandemic has upended old routines, and employees are dealing with evolving changes in all aspects of their lives. Providing relevant training and timely communication on compliance and conduct topics can help maintain a strong culture and enable a successful transition as staff return to the workplace. Given the rapidity of changes, communicating clearly and frequently is key. Andrew Rawson is the Chief Learning Officer and Co-Founder of Traliant, an award-winning provider of online sexual harassment training and other essential workplace compliance, conduct, and culture topics. References 1. Centers for Disease Control and Prevention. Coronavirus (COVID-19). Available at https://www.cdc.gov/coronavirus/2019-ncov/index.html Accessed May 20, 2020. 2. American Physical Therapy Association. Health Disparities Brought to the Forefront as COVID-19 Spreads: What the Physical Therapy Profession Can Do (Recorded Event). Available at http://www.apta.org/Courses/20/4/23/COVID-19/. Accessed May 20, 2020. 3. Equal Employment Opportunity Commission. What You Should Know About the ADA, the Rehabilitation Act and the Coronavirus. Available at https://www.eeoc.gov/eeoc/newsroom/wysk/wysk_ada_rehabilitation_act_coronavirus.cfm. Accessed May 20, 2020. 4. FBI Boston Office. Newsroom. March 30, 2020. FBI Warns of Teleconferencing and Online Classroom Hijacking. Available at https://www.fbi.gov/contact-us/field-offices/boston/news/press-releases/fbi-warns-of-teleconferencing-and-online-classroom-hijacking-during-covid-19-pandemic. Accessed May 20, 2020. 5. HIPAA Journal. April 22, 2020. FBI Issues Flash Alert About Covid-19 Phishing Scams Targeting Healthcare Providers. Available at https://www.hipaajournal.com/fbi-issues-flash-alert-about-covid-19-phishing-scams-targeting-healthcare-providers/. Accessed May 20, 2020. 6. Centers for Disease Control and Prevention. Newsroom. April 3, 2020. COVID-19-Related Phone Scams and Phishing Attacks. Available at https://www.cdc.gov/media/phishing.html. Accessed May 20, 2020. Cutting Edge Technology from a name you can Trust. Dynamic, Floor Reaction, Carbon AFO • Clinically designed and tested in conjunction with certified orthotists at Atlanta Prosthetics & Orthotics (APO) (call for details) • Anterior and Tuberosity relief • Fully lined calf-band • Designed for non-contact in critical, pressure point areas • Does not excessively push out the shoe • Structurally reinforced in high stress junctions • Non-obtrusive brace design • Forefoot Dorsi-assist • Optional leather valgus/varus strap • One Year Warranty FITTING SAMPLES $95! 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Because of them, we are able to provide you with this unique, informative and invaluable magazine! lermagazine.com Mobile Measures is a mobile app that offers physical therapists and other providers access to outcome performance measures that assess fall risk, risk of hospitalization, frailty, and more. The app guides users to the best test for more than 40 different patient populations, calculates scores automatically, offers immediate interpretation of the results using the most up-to-date research, and shares results via email to enhance documentation and improve communication. With Mobile Measures, users can visualize the impact of their patient’s condition, track progress, and determine the effectiveness of treatments directly at the point of care, while improving efficiency. Mobile Measures is available on the App Store and Google Play. A free trial is available. Mobile Measures 609/330-4628 mobilemeasures.org Diabetes-related chronic and non-healing wounds are a leading cause of limb amputation in the United States. Due to the complex nature of these wounds, proper clinical treatment has been limited. Now, for what they say is the first time, faculty in the University of Connecticut (UConn) Biomedical Engineering Department designed a wirelessly controlled bandage and corresponding smartphone-sized platform that can precisely deliver different medications to the wound with independent dosing. This smart bandage was developed by Ali Tamayol, PhD, an associate professor with the University of Nebraska-Lincoln (UNL) College of Engineering, along with researchers from UNL and Harvard Medical School. The bandage is equipped with miniature needles that can be controlled wirelessly, allowing the drugs to be programmed remotely by care providers. The needles can penetrate deeper layers of the wound bed with minimal pain and inflammation. This method proved to be more effective for wound closure and hair growth as compared to the topical administration of drugs, and it is minimally invasive, the researchers said. A UConn researcher has helped develop a new smart bandage that could change the way diabetic wounds are treated. Image courtesy of Ali Tamayol, PhD. The research, recently published in the journal Advanced Functional Materials, was first conducted on cells and later diabetic mice with full-thickness skin injuries. With this technology, the mice showed signs of complete healing and lack of scar formation, showing the bandages’ ability to significantly improve the rate and quality of wound healing in diabetic animals. These findings can potentially replace existing wound care systems and significantly reduce the morbidity of chronic wounds. Konica Minolta ultrasound systems provide the power, clarity, functionality, and ease-of-use to support ultrasound-guided procedures. 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Fitbits were the most used digital device but also tested were a suite of devices like Xbox, Wii, and iPads, making the exercises more interactive and enabling remote connection between patients and their physical therapists. Having a selection meant the physical therapist could tailor the choice of devices to meet the patient’s mobility problems while considering patient preferences. Lead author Leanne Hassett, PhD, from the Faculty of Medicine and Health at the University of Sydney, said benefits reported by patients using the digital devices in rehabilitation included variety, fun, feedback about performance, cognitive challenge, that they enabled additional exercise, and the potential to use the devices with others, such as family, therapists, and other patients. “These benefits meant patients were more likely to continue their therapy when and where it suited them, with the assistance of digital healthcare,” she said. This study is not only the largest in terms of the number of participants but also comprehensive in that it included a range of devices. Image courtesy of Flinders University, Adelaide, Australia. Participants reported doing more walking at 6 months, meaning their rehabilitation was improved, but this was not detected in the physical activity measure (time spent upright) generally. In the younger age group, the devices also increased daily step count. Distinctions between physical activity were made through measurements with an activPAL, a small device attached to the thigh that records how much time is spent in different positions (sitting, standing, lying) as well as number of steps taken each day. This study used research physical therapists to deliver the study; the next step will be to trial the approach in clinical practice by incorporating it into the work of physical therapists. 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Together they will work to educate the population served by the FSHD Society on how to best manage foot drop, including discussing the use of orthoses. FSHD is a genetic disorder that leads to weakening of the skeletal muscles. One of the symptoms of FSHD is foot drop, which, if not properly managed, can lead to falls. For information about the FSHD Society, FSHD Connect conference, FSHD Advocate magazine, and webinars, visit fshdsociety.org. ROBOTIC EXOSKELETON FOR SKIING Roam Robotics has introduced Elevate, a new robotic exoskeleton that allows skiers with bad knees to conquer the slopes without knee pain. The exoskeleton is made of plastic and high-strength fabrics. The pneumatically powered unit attaches to the thigh and the ski boot. An air compressor, battery, and main computational circuitry ride in a 10-pound backpack. Attached to one of the shoulder straps is the controller. 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ZenToes 608/283-7807 zentoes.com FDA CLEARS EXTERNAL ELECTROSTIMULATION DEVICE FOR PERIPHERAL BLOOD CLOTS Sky Medical Technology, Daresbury, England, has received US Food & Drug Administration (FDA) 510(k) clearance for its geko electrostimulation device, which is designed to stimulate the calf muscles to increase blood flow in the deep veins of the calf, thereby preventing blood clots in at-risk non-surgical patients. The non-invasive, battery-powered wearable device operates without external pressure to the leg and allows complete mobility. With FDA 510(k) clearance for immediate post-surgical stimulation of calves to prevent venous thromboembolism (VTE) already established, the geko device becomes the first muscle pump activator of its kind to win clearance for VTE prevention across all patients. DIGITIZED WOUND MANAGEMENT Healthy.io is a company dedicated to turning smartphone cameras into clinical medical-grade devices. New from Healthy.io is a digital wound management solution. 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This seminar is intended for physicians who need to diagnose and/or treat patients with lymphedema (LE) and/or lipedema (LI). Upon completion of this activity, participants will be able to recognize the physical, imaging, and laboratory findings related to LE/lymphedema or LI/lipedema; diagnose correctly and contrast the available therapies for lymphedema and lipedema; and diagnose potential candidates for lymphatic surgery. Questions? Contact us at firstname.lastname@example.org. ORDER NOW AT LERN-CME.ORG Presented by Lymphatic Education & Research Network This activity has been planned and implemented in accordance with the accreditation requirements and policies of the Accreditation Council for Continuing Medical Education (ACCME) through the joint providership of the Academy for Continued Healthcare Learning and LERN. ACHL is accredited by the ACCME to provide continuing medical education for physicians. The Academy for Continued Healthcare Learning designates this activity for a maximum of 7.00 AMA PRA Category 1 Credits™. Physicians should claim only the credit commensurate with the extent of their participation in the activity. How Well Did You Read This Issue? Test your knowledge of information from this issue of Lower Extremity Review and the world in general with our crossword puzzle feature. The answer box can be found online at lermagazine.com. ACROSS 1. The rising rate of this condition is linked to the rate of new diabetes diagnoses 5. Through this cycle of aerobic respiration, most living things generate energy 8. Relating to the bones of the midfoot and rearfoot 10. Characteristic of a disease 11. Tibia and femur location 13. Opioid painkiller, abbr. 14. Wearing away 16. Something that baffles understanding and can’t be explained 19. Enzyme ending 20. Top grades 23. External fixation can span or bypass areas of 24. In low levels, it plays a role in both cellular signaling and growth factor release, abbr. 26. Billionth, prefix 27. The C in CN 29. It stops a flow of liquid 30. Fibrous membrane covering the surface of bones DOWN 1. Reduced bone mass 2. Diagnoses are better ___ than late 3. X-ray picture, eg 4. Year, for short 5. Metric weights, abbr. 6. High ___ adenosine triphosphate 7. Seams used in surgery 9. Compass point 12. Enemy 15. No longer feeling 17. Cause pain, swelling, and redness 18. ___ traumas (small scale) 21. Any rounded or flattened anatomical structure 22. Layman’s abbreviation for medical professional 25. Locations 26. Take a short sleep 28. Video device, for short CROSSWORD BY MYLES MELLOR With over 12,000 crosswords published internationally, Myles Mellor is one of the top crossword writers in the world. 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BACKGROUND PAPER Finance: Does It Kill or Create Jobs? APRIL 2022 BACKGROUND PAPER Finance: Does It Kill or Create Jobs? April 2022 Alternative Policy Solutions 113 Qasr al-Einy street PO Box 12511 Cairo - Postal Code: 11511 Egypt +02 2797 6970 http://aps.aucegypt.edu – email@example.com This paper is registered under creative commons license Attribution - non Commercial - no Derivatives 4.0 International. This background paper was prepared by Osama Diab, independent economic rights and development researcher, under the supervision of Soha Abdelaty, APS's deputy director. Cover design and typesetting: Mohamed Gaber Alternative Policy Solutions is a non-partisan, public policy research project at The American University in Cairo. Using rigorous, in-depth research and a participatory process of consultations with a diverse range of stakeholders, we propose evidence-based policy solutions to some of the most difficult challenges facing Egypt. Our solutions are innovative, forward-looking and designed to support decision makers’ efforts to introduce inclusive public policies. The views and propositions expressed by Alternative Policy Solutions are those of the project’s researchers and consultants and do not reflect the opinions of The American University in Cairo. Inquiries and requests regarding the project’s activities should be addressed to the project’s team directly. # TABLE OF CONTENTS 1. Introduction: Three Decades, Three Trends ................................................................. 5 2. Data and Methodology .................................................................................................. 6 3. Literature Review ........................................................................................................... 9 4. The Link Between the Financial Sector and Growing Unemployment .................... 10 5. Limiting the Harmful Effects of Subordinate Financialization on Job Creation ......... 13 5.1. Ending the preferential tax treatment of financial profits ...................................... 14 5.2. Alternatives to high-interest monetary policy ......................................................... 17 5.3. Financial sector and capital market regulation ....................................................... 17 6. Preliminary Financial Regulation Measures ............................................................... 18 6.1. Fiscal measures ........................................................................................................ 18 6.2. Financial market regulation and monetary policy .................................................. 18 7. Conclusion ..................................................................................................................... 19 8. References ..................................................................................................................... 20 LIST OF FIGURES AND TABLES Figure 1 Financial and insurance sector to GDP from 1990 to 2020 ................................. 7 Figure 2 Employment to population ratio in Egypt from 1991 to 2019 ............................. 8 Figure 3 Gross capital formation in Egypt as % of GDP from 1990 to 2019 .................. 8 Figure 4 Breakdown of total domestic credit by sector in Egypt from 2000 to 2020 ....... 12 Table 1: Capital and current credit as % of total domestic credit from 2000 to 2020 ..... 12 Table 2: Tax rates for corporate financial income disaggregated by type of security ...... 15 Table 3: Tax rate for individuals' financial income disaggregated by type of security .... 15 1. Introduction: Three Decades, Three Trends The share of the employed population relative to total population has been declining globally in recent decades. Several reasons have been cited as causes of the decline, including increased labor productivity, austerity, and the financialization of the economy. Even among the employed, an increasing share are grappling with underemployment, precarious work, and stagnant wages. Women are often more vulnerable to such structural changes in the labor market, especially austerity and increasing precarity. Egypt is no exception to this global trend. Without minimizing other factors, this paper will focus on the impact of financialization on job creation in the Egyptian context. Financialization is a relatively recent concept. It refers to a process whereby financial activities grow in size and influence at the expense of non-financial activities; accordingly, more value in society is captured by financial investments than by work or non-financial investments (see the literature review section below for a more detailed definition of financialization). In mainstream economics, the increase in financial activity is usually perceived as developmentally desirable, especially because banks mobilize and put otherwise idle savings and deposits into productive use that generates wealth for society (Bonizzi, 2013). However, banks do more than just mobilize and extend idle deposits to productive and wealth generating activities. When the economy is in a state of imbalance (i.e., persistent current account deficit, persistent large budget deficit, currency overvaluation, very high interest, etc.), banks and financial institutions tend to invest in non-productive and extractive activities, namely, funding budget and trade deficits. The impact is therefore twofold: on the level of the economy as a whole, the financial sector can tend to channel capital away from other productive sectors; within the financial sector itself, capital tends to fund deficits in current and consumption expenditure rather than productive activities. This is particularly visible in Global South high-interest contexts. As it stands, Egypt’s financial sector is no exception due to long-term structural imbalances in trade and budget, a large rentier economy, and a poorly performing private sector, including the small and medium enterprises (SME) sector (Adly, 2020). This Global South variety of financialization is sometimes referred to as “subordinate financialization”. The Global South high-interest context poses both a challenge and an opportunity. On the one hand, opportunities to benefit from macroeconomic imbalances mean banks have less incentive to provide financial services to the value-adding sectors of the economy. Further, the global nature of financialization means that some of the underlying structural issues need to be addressed on a transnational level, limiting what national governments can achieve on their own. However, in a context of unsaturated markets and potential for growth, there is still more room for investing in productive sectors in the Global South compared to “core” economies, where financialization is a result of capital saturation in their productive sectors (Kalogerakos, 2013). Although financialization is not always a key concern in mainstream development literature on the Global South, it potentially constitutes an important obstacle to the achievement of development goals, including the Sustainable Development Goals (SDGs). The eighth SDG, for example, promotes “sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all”. This SDG’s targets include a focus on labor-intensive sectors (target 8.2), productive activities (target 8.3), and the achievement of full and productive employment (target 8.5) (United Nations, n.d.). As will be discussed throughout the paper, increased financialization may—under certain conditions—be antithetical to this focus on the productive economy. This background paper explores the possible impact on job creation and productive investments of a growing financial sector that is increasingly reliant on fixed-interest investments. It also examines possible measures that could counterbalance the effects of the current dominant regime of high-interest and extractive financialization. In order to achieve this objective, the paper will start with an overview of the methodology employed and data used in the study. The subsequent section will identify and address the research gaps in current literature on financialization globally and in Egypt. The following section, examining the link between the financial sector and job creation, discusses the global and national policy context that gave rise to the respective phases of growth and decline in the size of the financial sector, as well as the nature of such growth and decline. This section will also explore whether the association identified between a growing financial sector and lower employment and capital formation is a mere correlation (i.e. coincidence) or a more substantial causal relationship. Following that, the paper will examine policy measures other countries have implemented to maximize the benefits and minimize the risks of growing financial activities, in order to distribute gains in productivity and the fruits of economic growth more evenly. The paper finally concludes with a list of finance-related measures the government should examine in order to further spur job creation. 2. Data and Methodology This paper draws on data from various official sources. For the evolution of financial sector size, it uses historical GDP data published by the Egyptian Ministry of Planning (MOP), which breaks down the GDP by economic sector. To measure the size of the financial sector, the contribution of financial intermediaries and insurance companies to GDP from 1990 to 2019 was combined. This indicator acts as a proxy for the income and profits realized by the sector. The bank assets/GDP indicator from the Global Economy database (n.d.) is another widely used proxy for the size of the financial sector. The indicator captures the amount of financial capital that banks hold, thus offering a good picture of the level of capital the sector attracts, compared to the GDP measure, which captures value added by entities registered as financial intermediaries. For the other two main variables (employment-to-population and capital formation), the World Bank Data database was used, which is based on official statistics. In the case of labor market indicators, the paper uses the ILO modeled estimate, which makes datasets comparable across countries and imputes missing data when needed (ILO, n.d.). It should be noted that this paper uses employment-to-population indicators rather than unemployment rates because the latter only measures the number of unemployed adults who are capable of and actively searching for work. The labor force, according to this indicator, comprises employed workers and the unemployed population who are able to work and are seeking employment. Unemployment statistics, however, do not capture people who have left the labor force entirely in despair of finding work. In other words, people exiting the labor force contribute to a reduced unemployment rate because they cease to be counted as unemployed, not because they have found employment (Kassab, 2019). In Egypt as elsewhere, employment-to-population ratios decline alongside unemployment rates. The report will therefore rely on the employment-to-population indicator to more accurately capture the level of job creation and employment. Finally, the paper relies on statistics from the Central Bank of Egypt (CBE) for the time series on domestic credit, which breaks down the financial sector’s lending activity to its constituent parts: the government, public business sector, public private sector and household sector. This helped determine how much of the sector’s financing activity was directed to capital and current expenditure (see below), which in turn allowed for a distinction between more generative financial activity (wealth and job creating) and extractive financial activity (wealth extracting and job suppressing). For data on taxation and interest payments, the paper relies on national budget statistics published by the Ministry of Finance. The size of the financial sector has witnessed numerous ups and downs during the last three decades in Egypt, even if the overall and long-term trend has been an upward one. The first period, stretching roughly from the early 1990s until the early 2000s, was one of formidable growth. The financial and insurance sectors (hereafter referred to simply as the financial sector) grew from 3.75% of GDP in 1990 to 6.14% in 2002, while bank assets to GDP grew from 48.5% to 78.32% during the same period. The decade of growth was followed by a period of decline from 2002 until 2011 in which the financial sector’s share in GDP fell sharply from 6.14 in 2002 to 3.7 in 2011. The third phase was a phase of stability from 2011 until 2019 during which the financial sector’s share of GDP remained almost unchanged at around 4.5% of GDP. However, during the same period, bank assets to GDP grew significantly, from 61.37 in 2011 to 89.26 in 2017 (last available data). Data generated for the purposes of this paper shows that there is a clear association between growing financial activity on the one hand and lower employment and capital formation on the other. For example, in the first growth period (1990–2002) the size of the financial sector grew by about 66% relative to GDP, which itself grew considerably during the decade (see Figure 1). During the same period, the employment-to-population rate declined from 42.32% in 1991 (earliest available data) to 40.61% in 2002 (see Figure 2) (World Bank, n.d.-c). Capital formation, which measures the level of new investments in the non-financial sector, also declined from 28.9% to 18% of GDP during the same period (World Bank, n.d.-d). Conversely, during the period of decline (2002–2011) the size of the financial sector fell again to the 1990 level of 3.7% of GDP. During the same period, the employment-to-population ratio increased from 40.61% to 43%, also very similar to the early 1990s ratio. Capital formation levels at the start and end of the period remained stable. During the last period (2012–2019), the size of the financial sector hovered around 4.5% of GDP, while the employment-to-population ratio dropped from 43% to 40.47% and capital formation was also stable around 17%, which is significantly lower than the average for the region and other middle-income countries like Egypt. This suggests that lower employment rates might have other long-term structural causes, such as austerity and increased productivity. Additionally, banking assets to GDP increased significantly during the period indicating, as discussed above, growth in the sector, although it is not reflected in GDP figures. This could be explained by the relatively low return of the additional stock of bank assets. Figure 1 Financial and insurance sector to GDP from 1990 to 2020 Source: Author's calculations based on GDP figures from the Egyptian MOP Figure 2 Employment to population ratio in Egypt from 1991 to 2019 Source: World Bank (n.d.-c). Figure 3 Gross capital formation in Egypt as a percentage of GDP from 1990 to 2019 Source: World Bank (n.d.-d). It should be noted that while some data for 2020 is already available, it was excluded from the dataset and analysis to ensure that the exceptional circumstances of the Covid-19 global pandemic did not distort the findings. These datasets provide a sufficiently accurate picture of the evolution of the financial sector both in terms of size and type of investment. It does, however, come with a number of caveats. As will be discussed below, one aspect of financialization is the increased financial activity of non-financial entities. Unfortunately, neither indicator used here captures this likely growing phenomenon because they only capture the added value and financial assets of financial corporations. For example, if a manufacturing company makes profits through trade in financial securities, it will be recorded in the GDP as added value of the manufacturing sector, and it will not be captured by the bank assets/GDP indicator. This means that the contribution of the financial sector to GDP is likely to be substantially underestimated. This underestimation is confirmed by looking at the finance-related profits of listed companies: these constituted 11.2% of profits of both financial and non-financial firms in 2005, 27.9% of profits in 2009, and 69.4% of total profits in 2015 (Hanieh, 2016). 3. Literature Review There has been an explosion of literature on financialization in recent decades, especially since the 2008 global financial crisis. Increasing global inequality and a deep economic crisis are often linked to the growing and shifting role of finance, prompting many scholars and commentators to examine the impact of a growing/changing financial sector and activity on economic performance in general as well as on the particular issues of growth, inequality, and job creation. Bezemer and Hudson (2016), for example, wrote about how finance is a key barrier to the productive economy as it attracts funds away from it. For Gerald Epstein (2019) financialization is “the increasing importance of financial markets, financial motives, financial institutions, and financial elites in the operation of the economy and its governing institutions, both at the national and international levels”. Despite the extensive literature, there has been considerably less attention devoted to financialization in the contexts of low- and middle-income countries. Bonizzi (2013) argues that financialization in “advanced” Anglo-American economies is based on the appreciation of financial asset prices (e.g., stocks and bonds), whereas in “developing countries,” financialization often occurs through the increase in interest income since high inflation and the need to encourage capital inflows and discourage outflows pushed Global South governments to adopt high interest rates. This so-called “subordinate financialization” refers to a situation in which “financial capital can secure profits and take them out of the country safely, while industrial capital pays the penalty of low competitiveness” (Lapavistas & Kadri, 2018). Bonizzi also argues that the combined availability of high-return/short-term financial investments has led to a reduction in productive investments in many developing countries. Adam Hanieh (2016) argues that a major limitation in the study of financialization is “that the vast majority of academic work on financialization has concentrated on the core capitalist countries—particularly the US, UK and Japan (and to a lesser degree, France and Germany)”. According to Hanieh, work beyond these economies has been restricted to a handful of countries, notably, Brazil, South Korea and Turkey, and has largely focused on how these countries are inserted into global financial flows, rather than mapping the specificities of their own domestic financial markets. He adds that Arab countries have been almost completely absent from the debates on financialization. Only Adam Hanieh has written about financialization in Egypt and the MENA region, but his focus is mostly on the scalar and spatial dimension of GCC accumulation and spillovers through the mediation of banks and financial institutions. As such, this policy paper attempts to shed light on the socioeconomic impacts of the growing financialization of economic activities in Egypt in particular, but also in Global South economic contexts more generally. 4. The Link Between the Financial Sector and Growing Unemployment The financial sector witnessed formidable growth in the 1990s, largely attributable to the dramatic expansion of Egypt’s stock market as a result of Law 95/1992 on capital markets, which led to the listing of over 600 stocks in the Cairo and Alexandria Stock Exchange in 1992 (Otaify, 2016). The growth in this period can also be explained by the shift in banking activity from lending to investments associated with the stock market, as well as the emergence of investment banks and brokerage companies. This transformation of non-interest bank profits was observed in many countries around the world during the same period (Bonizzi, 2013). The subsequent decline may be partially explained by the two major financial crashes in the first decade of the millennium, the dotcom bubble of 2002 and the global financial crisis of 2008. Additionally, 26% of listed companies were delisted from the Egyptian stock exchange in 2002 due to new listing regulations, which might have also placed downward pressure on the financial sector’s size (Otaify, 2016). During the same period, bank assets to GDP also fell from 78.32% to 61.37%. In addition to being a turbulent decade for financial investments, this was a decade of high GDP growth rates in Egypt. The indicators of financial sector size are both relative to GDP, which means that the decline in absolute size was less acute. As for the last “stable” decade, since the contribution to GDP is largely determined by return on investment while the bank assets to GDP indicator is determined by the value of assets regardless of their return and profitability, the disparity between the stable relative size of returns and the growing size of assets is likely explained by the financial sector’s shift to investment in low-risk/low-return financial assets, namely, sovereign debt. On the employment front, the crisis of employment is everywhere a structural rather than cyclical crisis, caused by two distinct, yet related, factors: 1) the growing financialization of the economy due to a crisis of profit and saturation in traditional sectors (Kalogerakos, 2013); and 2) advances in labor-saving technologies restricting the creation of new jobs. For example, the global employment-to-population ratio declined from 62.4% in 1991 to 54.8% in 2020. This was exacerbated by the Covid-19 pandemic but the ratio was already at 57.5% in 2019 (World Bank, n.d.-a). Another indicator of the structural dimension of the employment crisis is the doubling of labor productivity from 1991 to 2019 (World Bank, n.d.-b). Simply put, this means that the same amount of goods and services need on average half the amount of labor to produce compared to 1991. Egypt is no exception in this respect. Employment-to-population ratios have declined over the past three decades while GDP per person employed has also almost doubled in the same period (World Bank, n.d.-b). However, policy prescriptions for economic recovery following crisis or slowdown are almost always polarized between countercyclical (i.e., stimulus) or procyclical (i.e., austerity) measures, indicating that economic policy is dictated by a belief in the cyclical nature of the employment crises across the political and ideological spectrum, from the fiscally conservative, procyclical advocate to the “progressive”, countercyclical evangelist. This polarization precludes effective policy discussions that acknowledge the structural causes of the crisis. But what is the role of the financial sector in this crisis? There are strong indicators that the association between lower employment and the growth of the financial sector is more than just a coincidence. The first indicator is the low labor intensity of financial investments. In fact, the financial sector is one of the least labor-intensive sectors in Egypt. For every 1% of GDP contributed by the financial sector in 2017, there were 42,000 employees. In manufacturing, in contrast, there were 160,000 workers for every 1% of GDP whereas in agriculture the number was even higher at 224,000.$^1$ This means that when the financial sector grows at the expense of other sectors, it will not make up for the jobs lost in those sectors, especially when it attracts capital that would have $^1$ Author’s calculation based on the 2017 CAPMAS Annual Bulletin of Labor Force Survey (Central Authority of Public Mobilization and Statistics, 2018) and the GDP data broken down by economic sector published by the MOP (n.d.). been otherwise invested in more labor-intensive activities; this impact can be further aggravated when the financial sector itself invests in activities that do not create sufficient jobs. Financial investments’ ability to attract capital away from job-creating activities is more acute in high-interest Global South contexts. Capital and investment are diverted away from the increased risk in more traditional sectors such as manufacturing and agriculture and toward lucrative and safe investments in sovereign debt. Rowthorn (1995) argues that declining profitability and heightened risks in the real economy leads to lower capital formation and hence lower employment. Moreover, Egyptian financial intermediaries have traditionally been overly prudent in dealing with the private sector, especially SMEs, which they often perceive as high risk (El-Said et al., 2013). This tendency is exacerbated when government debt emerges as a safe alternative. Figure 4 and Table 1 show how the share of bank credit extended to the private sector shrinks significantly in favor of government financing when the financing needs of the government increase. But even within the private sector, Egyptian banks preferred lending to private-sector firms connected to the state because they were seen to be implicitly supported by the state against failure (Diwan & Schiffbauer, 2018). Official CBE data shows that in 2000, domestic credit had indeed mostly gone to the private sector and was supporting capital expenditure more than current expenditure, but this did not last long. At the time, domestic credit had a capital-current ratio of 70–30. This ratio was completely mirrored by 2020 when it became 30–70 (see Table 1). A breakdown of domestic credit extended by banks demonstrates that current financing constituted 90% of loans to the government, as well as all credit extended to the household sector. The reason only 90% of lending to the government is counted as current financing is because about 90% of government expenditure on average is current, while the remaining 10% is capital expenditure. Capital financing, on the other hand, included all lending to the private sector and the public business sector and 10% of all credit extended to the government. While this calculation is not without limitations, it gives a general idea of the tremendous shift in financing behavior in the last two decades away from non-government to government financing. A look at interest expenditure helps make more sense of the nature of this shift. The government’s expenditure on interest rates increased from about 18% of total expenditure in 2006 to 33% in 2020, reaching about 9% of GDP.$^2$ The fact that interest payments constitute double the financial sector’s contribution to GDP indicates that a large chunk of these interest payments are collected by non-financial actors and foreign investors. Although Egypt’s high interest rate makes its financialization analogous to other experiences in the Global South, the Egyptian situation was peculiar in that Egyptian banks were the only ones in the region that witnessed a significant decline in banks’ non-interest income between 1998 and 2013. This further indicates a movement toward investment in sovereign debt and away from non-interest income (i.e., fees and commissions). Egyptian banks’ non-interest income was about 57% between 1998 and 2001, then dropped to 29% between 2010 and 2013 (Hanieh, 2016). $^2$ Based on data gathered by the author from different national budgets issued by the Ministry of Finance. Figure 4 Breakdown of total domestic credit by sector in Egypt from 2000 to 2020 Source: Author’s calculation from the CBE’s Statistical Monthly Bulletins (see reference list for a list of specific issues) Table 1 Capital and current credit as a percentage of total domestic credit from 2000 to 2020 \| Year \| Capital credit of total domestic credit (%) \| Current credit of total domestic credit (%) \| \|------\|-------------------------------------------\|--------------------------------------------\| \| 2000 \| 70.07 \| 29.93 \| \| 2001 \| 67.14 \| 32.86 \| \| 2002 \| 66.90 \| 33.10 \| \| 2003 \| 67.01 \| 32.99 \| \| 2004 \| 64.29 \| 35.71 \| \| 2005 \| 60.33 \| 39.67 \| \| 2006 \| 57.04 \| 42.96 \| \| 2007 \| 58.51 \| 41.49 \| \| 2008 \| 58.85 \| 41.15 \| \| 2009 \| 52.48 \| 47.52 \| \| 2010 \| 50.17 \| 49.83 \| \| 2011 \| 44.80 \| 55.20 \| \| 2012 \| 40.96 \| 59.04 \| \| 2013 \| 36.70 \| 63.30 \| \| 2014 \| 33.18 \| 66.82 \| \| Year \| Financialization \| Employment \| \|------\|------------------\|------------\| \| 2015 \| 32.38 \| 67.62 \| \| 2016 \| 31.01 \| 68.99 \| \| 2017 \| 35.07 \| 64.93 \| \| 2018 \| 34.20 \| 65.80 \| \| 2019 \| 33.48 \| 66.52 \| \| 2020 \| 30.72 \| 69.28 \| Source: Author’s calculation from the CBE’s Statistical Monthly Bulletins (see reference list for a list of specific issues) 5. Limiting the Harmful Effects of Subordinate Financialization on Job Creation This section will outline the options for limiting the harmful effects of subordinate financialization on job creation. They are roughly divided into three main categories. The first are policy options for the tax treatment of financial profits, which aim not only at increasing tax revenues but also at making extractive financial investments less attractive relative to job-creating financial and non-financial investments. The second set of policy options concern monetary and financial regulation policies to limit the harmful effects of subordinate financialization. However, before delving into policy options, the paper will examine a third option, looking at how a Global South economy that has been traditionally home to one of the highest interest rates in the world managed to escape the trap of financialization or at least minimize its harmful impact with a set of short-term countercyclical interventions. The positive potential of short-term cyclical intervention should not, however, lead to a dismissal of the structural nature of the employment crisis and the need to consider long-term structural changes to offer more sustainable solutions to the long-term trends discussed in this paper. The case of Brazil When Brazil shifted toward neoliberalism and the commitment to monetary stability in the early 1990s, financial investments were primarily encouraged by very high interest rates. Bonizzi (2013) argues that the resulting expansion of public debt marked the internal financialization of the country and a redistribution of income from the middle class to financial capital. The Central Bank of Brazil, which has traditionally been the guarantor of one of the highest real interest rates in the world, decided in 2009 to reduce the policy interest rate from 13.75% to 8.75%. The consequences of the cut seemed to bear out the oft-made claim that the country’s high real interest rates were a key obstacle to economic development (Segura-Ubiergo, 2012): interest rate reduction along with increased government spending led to GDP growth of 7.6% in 2009 while inflation stood at 5.1% (Filho & de Paula, 2015). Reflecting the well-established inverse relationship between employment and interest rate (Feldmann, 2013), Brazil’s unemployment rate fell in the wake of the global financial crisis from 8.52% in 2009 to 7.73% in 2010, and then to 6.92% in 2011 (World Bank, n.d.-e). Even the employment-to-population ratio remained stable at around 60% for a few years before and after the reduction in interest rate (World Bank, n.d.-f). Egypt can perhaps learn a few lessons from the Brazilian government’s response to the global financial crisis, which allowed it to emerge with minimal loss. Barbosa (2010) explained that contrary to the Latin American debt crises of the 1980s and its procyclical response in the 1990s, the Brazilian authorities in 2009 adopted a sequence of monetary and fiscal countercyclical actions to stop the international crisis from harming the Brazilian financial system. According to Barbosa, these actions helped the government absorb the worst of the crisis without any major disruption in the banking system, and an economic recovery was already evident in the second quarter of 2009; not only did unemployment not shoot up as feared, but real wages continued to grow, and consumer and business confidence was quickly restored (Barbosa, 2010). The measures taken were a mix of monetary, fiscal, and regulatory actions. Monetary measures included a reduction in the reserve requirements by the Central Bank of Brazil and a substantial cut in the country’s base interest rate. Fiscally, the treasury offered interest-rate subsidies for Brazil’s two largest commercial banks and enacted a number of temporary reductions in federal indirect taxes on a selection of capital, consumer, and durable goods amounting to about 0.3% of GDP. Finally, the government required its own state-owned commercial banks to increase their lending to the private and SME sector during the crisis. Barbosa argues that a number of preconditions for such policies were already in place. Firstly, countercyclical policies were supported by existing mechanisms of social protection that allowed the government to easily reach the most affected/vulnerable socioeconomic groups, who happened to also be the consuming classes and therefore the boosters of aggregate demand. The expansion and increased depth of social protection programs like Takaful and Karama could therefore similarly improve the Egyptian government’s countercyclical interventions considerably. Barbosa also argues that the economic approach of the administration at the time facilitated the countercyclical policy because the government authorities did not lose too much time debating the ideological implications of each policy initiative. Therefore, a rejection of austerity policies as a way out of crisis is a necessary precondition for the effective enactment of countercyclical policies. 5.1 Ending the preferential tax treatment of financial profits Financial profits in Egypt are taxed at much lower rates than other forms of profit and income. Tax rates differ significantly depending on the type of security (e.g., shares, bonds, etc.), income (e.g., dividends, capital gains, etc.), and nationality. In general, they are subject to lower tax rates than non-financial income, whether wage income or non-financial profits (see Tables 2 and 3). A single rate for all types of income would have the advantage of lowering administrative and accounting costs, increasing clarity and certainty, simplifying the tax system, and most importantly, reducing the diversion of capital away from productive and job-creating activities by ending financial investments’ preferential tax treatment. Some steps in the right direction have been taken in recent years. For example, as of 2021 treasury bill profits were no longer exempt from income tax and were subject to a withholding tax of 20% (Hassan, 2021). Stock-trading profits are now subject to a 10% tax starting in 2022, albeit still far from the general non-financial income tax rates (see Tables 3 and 4). Such light taxation has three main effects: first, it puts a strain on the collection of corporate tax, affecting public resource mobilization; second, it intensifies capital diversion to financial activities; and third, it has an indirect and long-term effect on payroll tax and value-added tax (VAT) due to the possible negative impact on employment and consequently mass consumption, affecting resource mobilization even further. In other words, if there are fewer jobs available (especially in the formal sector), then payroll tax revenues will decline. Further, if fewer jobs place downward pressure on aggregate demand, this will eventually translate into downward pressure on VAT revenues as well. Other than statutory tax rates, the financial sector is typically well-positioned to pay lower effective tax rates using various tax avoidance techniques due to the liquid nature of its investments, not to mention its role in assisting other sectors pay lower effective rates as enablers and intermediaries. For example, Oxfam research found that in 2015 the 20 biggest European banks made EUR4.9 billion in financial profits in Luxembourg, a low-tax jurisdiction for trade in European bonds. This amount is more than the profits of British, Swedish, and German banks combined. The research also found that European banks paid zero taxes on EUR383 million in profits made in tax havens in 2015 (Aubry & Dauphin, 2017). There is also sufficient reason to believe that similar dynamics are in play in Egypt, where it has been revealed once again that most commercial and investment banks have extensive tax haven operations.$^3$ To limit tax avoidance by financial intermediaries, Egypt should be quick to sign international agreements aimed at combating tax avoidance, as well as critically engage more deeply with emerging --- $^3$ For an example of financial intermediaries as enablers in Egypt see al-Wakea, 2016, and as enablers and avoiders see Diab, 2016. anti-tax avoidance global regimes to encourage the effective participation of low- and middle-income countries. The main international agreement aimed at combating tax avoidance is based on the Common Reporting Standard (CRS), which is the main global standard for the collection, reporting, and exchange of financial account information on foreign tax residents. Devised by the OECD in the last decade to increase tax transparency and limit endemic tax avoidance practices that marred the global financial system in recent decades, the regime requires countries and tax authorities to exchange information about non-resident financial accounts, obtained annually from their financial institutions automatically, with the countries to which the account holders belong. This reduces the possibility of tax evasion by hiding assets abroad. Egypt’s engagement should be two-fold. It needs to participate actively in global efforts to combat tax avoidance, but at the same time it should mobilize against the current loopholes in the system that makes it biased against low- and middle-income countries. A study published by the Financial Transparency Coalition (n.d.) says that the CRS in practice excludes the lowest-income countries that are most affected by tax avoidance and asset hiding practices, and simultaneously the most in need of money due to their economic vulnerability. A loophole in the system allows the participating countries to choose the countries with which they will exchange information, which means, according to the report, that politically and economically weaker countries are usually excluded. The report says that none of the 31 low-income countries in the world receive any tax information about their citizens from abroad and only 21 out of 109 middle-income countries (19%) receive information. As for higher income countries, 55 out of 78 (70%) receive tax information on their citizens from other countries. Although Egypt is a signatory to the Global Forum on Transparency and Exchange of Information for Tax Purposes, which aims at enhancing financial and banking transparency through the exchange of financial information of individuals and entities for tax purposes, it has not yet signed the CRS. Egypt has also not entered any bilateral exchange relationships since it has become a member of the Global Forum (OECD, n.d.). Egypt should therefore play a more active role in ending the tax information regime’s bias against Global South countries. As briefly mentioned above, the factors responsible for such imbalance can be summed up as follows: 1) the high administrative cost of collecting and exchanging such information, which acts as a barrier to low-income countries; 2) the principle of reciprocity, which dictates that recipient countries cannot receive tax information about their citizens and entities from another jurisdiction unless they reciprocate and send the counterpart jurisdiction financial information about their citizens; and 3) the ability of countries to pick and choose which jurisdictions they exchange information with on the pretext of concerns about the protection of personal data, which excludes many of the low-income countries. Another option to limit potential tax manipulation in financial activities is to broaden the application of country-by-country reporting (CbCR) to include financial institutions that have offshore operations. CbCR obliges companies to report the profits of all entities associated with them in every country, allowing the tax authorities to assess whether the company is involved in profit shifting and tax avoidance. Research shows that the effective tax rate of financial institutions and banks that are subject to CbCR reporting is 2.5% higher than those that are not subject to the standard (Overesch & Wolff, 2021). As it stands, CbCR only applies to multinational enterprises (MNEs) with annual consolidated group revenue of EUR750 million (EGP15 billion) or more (Egyptian Tax Authority, n.d.). This threshold is too high, especially in Global South contexts, and will exclude about 90% of multinational enterprises (MNEs) from the reporting standard (OECD, 2020a), including some of the largest commercial and investment banks. The threshold for reporting should therefore match the economic context and reality of each country. The OECD itself admits that the current revenue threshold discriminates “against developing countries, where smaller MNEs can be responsible for larger shares of economic activity—and for larger shares of tax risk” (OECD, 2020b). In fact, Egypt is among the few countries to impose a lower threshold for MNEs whose parent entities are tax residents in Egypt, setting the threshold at EGP3 billion instead of USD750 million (Egyptian Tax Authority, n.d.). However, this should be further lowered for financial institutions since finance is a field that does not require the same high level of revenue to cheaply establish offshore shell companies for tax avoidance purposes. 5.2 Alternatives to high-interest monetary policy Improving public resource mobilization will help tilt the balance toward job-creating finance because it will lead to less borrowing at high interest rates from capital markets, which should control the capital markets’ overreliance on investment in government debt and encourage them to finance capital investments instead. As discussed above, the most mainstream way to control currency exchange rate in countries with structural imbalances is to promote a high-interest monetary regime. This approach, however, enriches bankers and financial investors (many of whom are foreign) on the backs of taxpaying citizens and low- and middle-income groups, as was the case in Brazil. It has also been found that countries that respond to inflation by raising real interest rates are more likely to experience employment contractions, with significantly higher costs for women’s employment (Braunstein & Heintz, 2008). While it is true that Egypt has lowered its interest rates since the momentous spike following the 2016 economic reform program, in April 2021 it still had the world’s highest real interest rate (Magdy, 2021). The CBE should therefore lower real interest rates further and use a mix of non-interest fiscal and monetary measures inspired by the Brazilian experience to manage excessive inflation and “cool down” the economy in an equitable manner and only when necessary. These measures can include the sale of foreign currency on the spot market as well as the temporary manipulation of indirect taxes on consumer, capital, and durable goods. 5.3 Financial sector and capital market regulation Having a wealth of state-owned banks, Egypt is well-positioned to craft a development-oriented lending policy akin to the Brazilian example discussed above. Indeed, in a very positive step, the CBE, as part of its SME financing initiative, used its leverage to instruct private and public banks to dedicate 20% of their debt portfolio to concessional financing to SMEs at 5% interest. However, available evidence suggests that banks did not comply and SMEs continue to face extreme difficulties in accessing finance; at best it is unclear whether banks have met this requirement (Amer & Selwaness, 2021). The only measure put in place at the moment to ensure bank compliance with the condition is exempting SMEs from banks’ reserve requirements. To complement this incentive-based rather than penalty-based approach, the CBE should enact a credit guarantee scheme to lower the risk of SME financing by providing partial guarantees in cases of default. When they are able to access finance, small-scale borrowers have to deal with predatory microcredit firms that charge up to 45% interest on their loans (Seif Eldin, 2021). Egyptian law also does not allow for the establishment of cooperative banks, which offer long-term maturity at a low interest rate to SME borrowers, reducing the extractive and regressive nature of high-interest credit regimes. Cooperative banking played and still plays a significant developmental and poverty reduction role in Global South and Global North settings alike. The establishment of well-managed cooperative banks could also play a role in mobilizing the resources of low- and middle-income citizens by providing them with investment opportunities, both access to finance for small-scale borrowers and financial investment for small-scale depositors (Alternative Policy Solutions, 2019). A 2018 study on poverty alleviation through cooperative banking in India shows that in three Indian states financial inclusion through cooperative banks played a significant role in poverty reduction (Lal, 2018). The study highlights that access to basic financial services such as savings, loans, insurance, and credit through cooperative banking has generated a positive impact on the lives of the poor. The positive impact was, however, limited for a variety of reasons, including a less than optimal presence in rural areas. Moreover, the loans were not low-cost and small enough, and know-your-client rules were too strict, placing administrative barriers on those who were already outside the system. Lack of knowledge about the banking products also limited the success of cooperative banking as a poverty alleviation mechanism in the three Indian states. Despite such limitations, the study asserts that “cooperative banks have been playing an imperative role in the socio-economic development of the country by making available institutional credit at reasonable cost, particularly in the rural areas”. 6. Preliminary Financial Regulation Measures As discussed above, counterbalancing the impact of ‘subordinate’ financial activity on employment and job-creating investment requires a broad mix of policies ranging from fiscal and monetary to legal and regulatory. To turn these measures into concrete policy, the government must conduct and engage with independent research detailing the impact of major macroeconomic monetary shifts on job creation and investments in the real economy. In this section, some potential measures will be outlined. While they need further examination, they have the potential to yield fast yet lasting results, as well as start a much-needed structural shift to limit the negative effects of extractive ‘subordinate financialization’. These measures mostly address the Central Bank of Egypt as the setter of monetary policy, and the Ministry of Finance as the setter of fiscal policy in separate sections below. The employment crisis is multifaceted and structural, and hence cannot be reduced to a modification of financial policy on the national level. Given the scope of this paper, the policy measures in this section will be mostly limited to the regulation of financial markets. However, as discussed throughout the paper, there is a near inevitable secular evolution toward less employment due to improvements in labor-saving technologies. The exploration of non-work-based streams of income is therefore necessary, though it is beyond the immediate scope of this paper. 6.1 Fiscal measures The Ministry of Finance should consider how to streamline different financial income tax rates to be on a par with non-financial income tax rates, preferably by subjecting financial income to the general income tax rate. In doing so, it should also ensure that speculative short-term investments are taxed at higher rates to promote long-term investments in job-creating activities. When preferential tax treatment is granted, it should be limited so as not to create a complex tax system, and it should prioritize sustainable and job-creating activities with a general socially favorable outcome. The ministry should also consider using budgetary savings from lower debt servicing costs to finance temporary reductions in VAT when necessary, and to design and support interest-subsidy policies directed at the SME sector especially when it is unable to reduce real base interest rates due to out-of-hand global macroeconomic conditions. 6.2 Financial market regulation and monetary policy Both the Ministry of Finance and the CBE should explore ways to use widely available investment and saving certificates offered by public banks and post-office savings accounts to mobilize the savings of low- and middle-income groups and offer a larger number of financial investment opportunities with minimal institutional and capital barriers. This should ensure a more even distribution of financial profits derived from fixed-interest investments. They should also consider establishing cooperative banks. As it stands now, the law only allows for the establishment of banks as joint stock companies with a high capital barrier of EGP5 billion.$^4$ Cooperative banks would not only provide alternatives to the high-cost credit provided by microcredit firms, but also serve to mobilize the resources and savings of low- and middle-income households and individuals. The CBE should consider lowering the real policy interest rate and adopting other measures to control $^4$ Article 64 of Law 194/2020 on the Central Bank of Egypt and the banking sector. inflation when necessary, such as open market operations, including sales of foreign exchange on the spot market. Furthermore, to ensure that 20% of banks’ loan portfolios is indeed directed toward SMEs, the CBE should explore the use of public commercial banks to enact similar policies to provide concessional loans to job-creating activities. It could also incentivize banks further to meet such a requirement by enacting a credit guarantee scheme to lower the risk of SME lending by providing partial guarantees to SMEs in cases of default. At the international level, the government should further join Global South efforts to make the tax information exchange regime more balanced. This can be done either by introducing a period of non-reciprocity in the exchange of tax information until low- and middle-income countries develop the necessary administrative and infrastructural capabilities that would allow them to reciprocate information with other jurisdictions or by limiting the ability of single jurisdictions to pick and choose other jurisdictions to exchange financial information with, to avoid the current situation where most exchanges of financial information happen between and among high-income countries. Other measures it should consider include joining the CRS and entering into as many bilateral and multilateral financial information exchange agreements as possible. The government should also broaden the application of CbCR by lowering the threshold for financial institutions with offshore operations below the current annual revenue threshold of EGP3 billion. 7. Conclusion Increased financial activity is due to the appeal of financial investments as an investment avenue characterized by low taxation, low risk, minimal effort, and high profitability relative to productive and job-creating economic activities. This trend is not peculiar to Egypt and is global in scope. However, high interest rates unique to the Global South context aggravate the adverse social impact of financialization and the extractive nature of its activities. A lack of effective policy intervention will simply allow the continuation of already existing harmful trends that have marred national and global economies over the last few decades. Further growth of extractive finance in a high-interest rate environment can be expected to sustain and exacerbate income and wealth inequality and create downward pressure on job creation. The impact on wealth generation, as expressed by low capital formation, will also deepen the increasing unavailability of decent jobs, which have already become scarcer due to productivity gains resulting from improvements in labor-saving technologies. As a result, economic growth will become further decoupled from job creation and wage increases—a phenomenon that has characterized the age of neoliberal hegemony and its failed promise of spontaneous trickle-down economic growth and productivity gains. 8. References - Adly, A. (2020). Cleft capitalism. Stanford University Press. 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Minor Subdivision Review Process Lake County Department of Planning, Building and Development 500 W. Winchester Road, Unit 101 • Libertyville, Illinois 60048 • Telephone (847) 377-2600 • Fax (847) 984-5744 E-mail: firstname.lastname@example.org Website: http://www.lakecountyil.gov Director: Eric D. Waggoner, AICP Last reviewed: 03/28/2016 MINOR SUBDIVISION REVIEW PROCESS EARLY ASSISTANCE MEETING Applicant meets with multi-disciplinary team to discuss proposal PRE-APPLICATION CONFERENCE Applicant meets with Multi-Disciplinary Team (MDT) to discuss substantive and procedural matters related to application PLANNING, BUILDING & ZONING (PB&Z) COMMITTEE INFORMATIONAL MEETING Following MDT review of Final Plat and Final Engineering, developer and area residents share information about the proposed subdivision and the area in which it is to be located FINAL PLAT REVIEW AND ACTION Includes Final Engineering, Planning, Building and Zoning (PB&Z) Committee action on final plat MINOR SUBDIVISION REVIEW PROCESS Early Assistance Meeting This is an informal meeting with representatives from development service agencies of Lake County organized by a Project Manager. A minor subdivision involves the creation of 5 or fewer lots or a subdivision containing a private street used for access to 2 or more lots. As a prospective developer, you will be able to obtain general information on site capacity, natural resource issues, the subdivision review process, review fees (review fees are not refundable), and other applicable requirements of the Lake County Code. Following this meeting, the applicant may need to conduct further research on various development aspects associated with the subdivision and/or an on-site inspection may need to be conducted with staff to further assess aspects of concern related to the subdivision. At the conclusion of this stage, the applicant should understand the subdivision review process and the primary areas of concern associated with the land to be developed prior to initiating the subdivision process. If interested in pursuing a subdivision development, an application for a Preapplication Conference can be obtained from the Project Manager; this application will include a “checklist” for the required subdivision plans to be submitted to staff for the Preapplication Conference. Preapplication Conference Purpose: The purpose of the Preapplication Conference is to: 1) Introduce the applicant to the members of the Multi-Disciplinary Team (MDT)$^1$ and give them the opportunity to review the proposed subdivision design; 2) perform a site assessment of the project area, and 3) determine the ability of the subdivision design to comply with Lake County ordinances. It also enables staff to review preliminary engineering and natural resource aspects related to the subdivision. After attending the Preapplication Conference the applicant should have knowledge of the Lake County Code regulations, what steps need to be taken to complete the subdivision process and what limitations exist for the land to be developed prior to further investing time and money in the subdivision. If any variations are required from Sections 151.185 through 151.204 of the Lake County Code, these will need to be acted on at this stage of the subdivision process prior to proceeding to the Final Plat stage. Validity: The Preapplication Conference is valid for one year. A Final Plat must be filed within one year from the date of the Preapplication Conference or the applicant will need to reinitiate the Preapplication Conference again. Neighbor Notice and Informational Meeting After the Preapplication Conference, staff provides notice to adjacent and abutting property owners surrounding the subdivision of an informational meeting that is conducted before the PB&Z Committee. The purpose of this meeting is for the Committee and the public to ask questions and receive information on the subdivision application. $^1$The Multi-Disciplinary Team (MDT) is composed of staff members of Lake County’s Division of Transportation, Public Work Department, Engineering Division, Health Department, and the Departments of Planning, Building and Development. The purpose of the MDT is to review and provide technical assistance for proposed developments in unincorporated Lake County. Final Plat Purpose: The Final Plat stage of the subdivision process involves review and approval of the Final Engineering plans and Final Plat documents for the subdivision. This stage results in multi-disciplinary team approval of the Final Plat and Final Engineering plans culminating in approval of the Final Plat by the Planning, Building and Zoning Committee. This stage also requires all subdivision plat related documents (i.e. school agreements, covenants, and performance bonds) be in place. Review Process: Before the Project Manager accepts the Final Plat and Final Engineering plans for the subdivision a check-in$^2$ is conducted with Project Manager. The purpose of this meeting is to ensure that all information required by the Lake County Code is present and in the proper form. Upon acceptance of the Final Plat and Final Engineering plans, the project manager will distribute the documents to the project team members and other affected agencies (i.e. school districts, utilities) for their review and comment. Each distribution to the project team has a (15) day review period within which comments from the team members are received, compiled and sent to the applicant in advance of a Multi-disciplinary meeting where they will be discussed by staff. The project manager in charge of the subdivision will provide notice to the applicant of the date, time and place of the scheduled Project Team meeting. Bonding: If the developer decides to begin construction activities prior to Final Plat approval, he/she is doing so at their own risk. Whether construction begins prior to or after the Final Plat is approved, the developer will be required to furnish a Restoration Assurance to the County to assure restoration of the site in the event of a default by the developer. The value of this assurance represents 30% of the total improvement costs for the subdivision. A second assurance termed "the subdivision assurance", represents 100% of the total costs of the improvements. Both assurances are required at the time the Final Plat is presented to the Planning, Building and Zoning Committee (PB&Z Committee) for approval. Either a Letter of Credit, Surety Bond, or a cash bond (i.e. Cashiers Check, Bank Draft, Certified Check or Bank Money Order) are acceptable forms of assurances. Final Plat Approval: After all of staff’s comments have been addressed and all other agency approvals have been obtained, you will be advised by the project manager to obtain signatures on the final plat mylar. Upon the receipt of all signatures and having received executed originals of the Homeowner’s Covenants and Restrictions, School Agreements, and Assurances, the subdivision will be scheduled for the PB&Z Committee for action. Upon approval of the Final Plat by the Committee and signature by the Plat Officer (Chairman of the PB&Z Committee), the Final Plat, together with the Homeowners’ Covenants and Restrictions and School Donation Agreements, will be recorded with the Lake County Recorder. Bonding: If the developer decides to begin construction activities prior to Final Plat approval, he/she is doing so at their own risk. Whether construction begins prior to or after the Final Plat is approved, the developer will be required to furnish a Restoration Assurance to the County to assure restoration of the site in the event of a default by the developer. The value of this assurance represents 30% of the total improvement costs for the subdivision. A second assurance termed "the subdivision assurance", represents 100% of the total costs of the improvements. The subdivision assurance is required at the time the Final Plat is presented to the Planning, Building and Zoning Committee (PB&Z Committee) for approval. The advantage of proceeding prior to Final Plat approval with construction is that it is possible that the developer's bonding exposure can be reduced. Either a $^2$ Mandatory Check-ins. Prior to your first submittal and subsequent submittals of documents for staff review at the beginning of the stages of the plat review process (Final Engineering and Final Plat), you are required to contact the Project Manager to schedule the mandatory “check-in”. The purpose of the check-in is to preview submittals for any obvious errors or omissions. For check-ins involving engineering plans, the consulting engineer will be required to be present. Letter of Credit or a cash bond (i.e. Cashier’s Check, Bank Draft, Certified Check or Bank Money Order) are acceptable forms of assurances. Final Plat Approval: After all of staff’s comments have been addressed and all other agency approvals have been obtained, you will be advised by the project manager to obtain signatures on the final plat mylar. Upon the receipt of all signatures and having received executed originals of the Homeowner’s Covenants and Restrictions, School Agreements, and Assurances, the subdivision will be scheduled for the PB&Z Committee for action. Upon approval of the Final Plat by the Committee and signature by the Plat Officer (Chairman of the PB&Z Committee), the Final Plat, together with the Homeowners’ Covenants and Restrictions and School Donation Agreements, will be recorded with the Lake County Recorder. The timeframe, from the date of the Preapplication Conference to Final Plat approval is dependent on the complexity of the subdivision, the completeness of documents submitted for review, and the time consultants take to respond to staff comments. APPLICATION FOR DEVELOPMENT REVIEW OWNERSHIP INFORMATION Owner Name: ____________________________________________________________ Agency Name: ____________________________________________________________ Address: _______________________________________________________________ Phone Number: ______________________ Fax Number: _________________________ Cell Phone Number: _________________ Email Address: _______________________ Ownership Disclosure (circle appropriate classification) – Applicant must provide documentation ☐ Land Trust - Petitioner shall identify each beneficiary of land trust by name, address and beneficiary’s interest. Applications must be verified by trustee. ☐ Corporation - Application shall include the names, addresses of all stockholders owning interest in excess of 20% of stock in the corporation. ☐ Business - Application shall include the names, addresses of all true and actual owners of business or entity. ☐ Partnership/Joint Venture/Syndicate/Voluntary Association - Application shall include the names, addresses of all partners, syndicate members, or members of voluntary association. REPRESENTATIVE AUTHORIZATION (if applicant is someone other than owner of property) I/we hereby designate the following individual(s) to represent me in all matters pertaining to this application. Representative Name: ______________________________________________________ Agency Name: ____________________________________________________________ Address: _______________________________________________________________ Phone Number: ______________________ Fax Number: _________________________ Cell Phone Number: _________________ Email Address: _______________________ Applicant Acknowledgment I hereby acknowledge that my project will not be eligible for permits until all relevant agencies have authorized their issuance. I further acknowledge that I may need to secure consultants to effectively represent me in the application process. Finally, I acknowledge that the information I have submitted is true. and accurate; I hereby take full responsibility for its content and acknowledge that the County shall not be held responsible or liable for any analysis and/or decisions made erroneously on the basis of any inaccurate information supplied to them. Applicant: ___________________________ Date: _______________________ DEVELOPMENT DETAILS Township Name: ___________________________ Zoning: _______________________ Parcel Number(s): ___________________________ Existing Use: __________________________________________________________________ Proposed Use: __________________________________________________________________ Subdivisions: Subdivision Type: □ Conventional □ Conservation □ Planned Unit Development Composition: □ Residential □ Non-residential □ Mixed Use Site Capacity Gross land area: ________________ Number of lots³: __________ Number of Units⁴: __________ Average lot area: __________ Roadway Access Authority: □ IDOT □ LCDOT □ Township Sewage Provider: □ Private □ Public Agency: - Water Provider: □ Private □ Public Agency: - Nonresidential Developments: Development Type: □ Conventional □ Planned Unit Development Gross land area: Site Capacity Floor Area⁵: Existing: __________ Total: __________ Maximum Allowable: __________ Impervious Surface⁶: Existing: __________ Total: __________ Maximum Allowable: __________ Roadway Access Authority: □ IDOT □ LCDOT □ Township Sewage Provider: □ Private □ Public Agency: - --- ³ Number of units based on Site Capacity Calculations (see Lake County Code Section 151.070) ⁴ Number of units based on Site Capacity Calculations (see Lake County Code Section 151.070) ⁵ Floor Area – The sum of the total square footage of all stories of a building under roof measured from the exterior limits of the building. ⁶ Impervious Surface – Any hard surface, man made area that does not readily absorb or retain water, including but not limited to building roofs, parking and driveway areas, graveled areas and sidewalks. Water Provider: ☐ Private ☐ Public Agency: - REVIEW PROCESS: (completed by Project Manager) Subdivision: - Major Subdivision - Plat Amendment - Minor Subdivision - Street Extension - Lot Split - Planned Development Site Plan/Site Capacity: - Site Plan Review - Site Plan Amendment - Site Capacity Analysis Vacations: - Street Vacation - Plat Vacation OTHER ASSOCIATED ACTIONS: (completed by Project Manager) - Zoning Variance; Project No. __________ - Zoning Map Amendment; Project No. __________ - Conditional Use Permit; Project No. __________ - Planned Development: Project No. __________ DEVELOPMENT CONSULTANTS: Planner: ________________________________________________________ Address: _______________________________________________________ Phone Number: ______________________ Fax Number: __________________ Cell Phone Number: _________________ Email Address: __________________ Engineer: ________________________________________________________ Address: _______________________________________________________ Phone Number: ______________________ Fax Number: __________________ Cell Phone Number: _________________ Email Address: __________________ Surveyor: ________________________________________________________ Address: _______________________________________________________ Phone Number: ______________________ Fax Number: __________________ Cell Phone Number: _________________ Email Address: __________________ Landscape Architect: ______________________________________________ Address: _______________________________________________________ Phone Number: ______________________ Fax Number: __________________ Cell Phone Number: _________________ Email Address: __________________ 8 Architect: _______________________________________________________ Address: _______________________________________________________ Phone Number: _______________ Fax Number: ______________________ Cell Phone Number: ______________ Email Address: __________________ SUBMISSION CHECKLIST FOR PRE-APPLICATION CONFERENCE Lake County Planning, Building and Development Department 500 W. Winchester Rd. • Unit 101 • Libertyville, Illinois 60048-1331 Telephone (847) 377-2600 • E-mail: email@example.com • Fax (847) 984-5608 Website: http://www.lakecountyil.gov/ Last amended 11/03/2015 INFORMATION FOR PRE-APPLICATION CONFERENCE REVIEW Please use this checklist in combination with Chapter 151 of the Lake County, Illinois Code of Ordinances (the Lake County Code) when preparing for submittal. If you have questions regarding applicability of any item, please contact the Development Review Section at (847) 377-2600 (Items in gray are to be completed by staff). DATE OF SUBMISSION _______________ HANSEN #_____________________ PROJECT NAME: _____________________________ ________ APPLICANT NAME: _____________________________ PARCEL NUMBER (S): ___________________________ TOWNSHIP: ______________________________________ PROJECT MANAGER: _____________________________ When completing the checklist, apply the following symbols: Y = Yes, information is provided, N = information is not provided, N/A = not applicable to this project. ___ Completed meeting with staff to determine feasibility. The Project Manager should have reviewed the site layout with the applicant to verify that the project can meet standards of the Lake County Code or determine extent of possible variance requests. ___ Completed “Application for Development Review” ___ Plat of Survey or Tax Map – Depicting the existing boundaries of the subject parcel(s) and all existing structures and roads. ___ Concept Plan and natural resource plan that shows the following: (7 copies of this information is to be distributed to the Staff Review Committee) A. Proposed means of access to a public road B. Surrounding land use C. All adjacent roads D. Preliminary maps and analysis of natural resources present on the site as well as contiguous resources on adjacent property. (Lake County Code Subchapter: Site Capacity, Site Plan Review & Natural Resource Protection (151.070 et seq.) for more information) E. Proposed subdivision layout or building layout with parking lots, and proposed storm water detention basins where applicable. F. Overlay of the plan onto the natural resource map to show the impact of the development on the natural resources and how the resources will be protected. G. Provide an explanation how the stormwater will be managed per Lake County Code Subchapter: Site Development Regulations (151.146(D)). ___ All Applicable Fees (NON-REFUNDABLE) – paid to the Lake County Treasurer SUBMISSION CHECKLIST FOR PRELIMINARY PLAT AND PRELIMINARY ENGINEERING Lake County Department of Planning, Building and Development 500 W Winchester Road • Libertyville, Illinois 60048 Telephone (847) 377-2600 • Fax (847) 984-5744 Director: Eric Waggoner INFORMATION FOR PRELIMINARY PLAT REVIEW Please use this checklist in combination with Chapter 151 of the Lake County, Illinois Code of Ordinances (The Lake County Code) when preparing for submittal. If you have questions regarding applicability of any item, please contact staff at (847) 377-2600. (Items in gray are to be completed by staff). DATE OF SUBMISSION _______________ HANSEN # _______________ PROJECT NAME: ____________________________________________ APPLICANT: _______________________________________________ PARCEL NUMBER(S): _________________________________________ TOWNSHIP: _______________________ PROJECT MANAGER: _________________________________________ When completing the checklist, apply the following symbols: Y = Yes, information is provided, N = information is not provided, N/A = not applicable to this project. The following information and documentation shall be required for Preliminary Plat submissions prior to their formal review by the Staff Review Committee: Required Documents: - Complete application - Planning Report - Preliminary Plat Information - Preliminary Engineering Information APPLICATION _____ Is the Preliminary Plat being filed within 12 months of the date of application for the Pre-application Conference? Completed application for Preliminary Plat (The application form can be obtained in the office of the Division of Development Services or may be downloaded from the County’s website at http://www.lakecountyil.gov) PLANNING REPORT The information shall be presented on 8.5 inch by 11 paper and shall be bound into a report which includes: Location Information - A vicinity map depicting the location of the subject property in relation to major roads, natural features or municipalities. - The address and the parcel identification numbers of the property to be developed. Ownership Information Ownership representations of the property to be developed as follows: - Fee Ownership: A copy of the deed or other instrument conveying ownership of the subject property to the listed owner(s). - Land Trust Agreement: The name, address and percent interest in any trust. Each beneficiary shall be identified as required by 765 ILCS 405/2. - Corporation, Business Entity, Partnership/Joint Venture/Syndicate: The application shall include the correct names, addresses and percent interest of all stockholders or shareholders owning any interest in excess of 20 percent of all outstanding stock of the corporation. If the corporation has no shareholders, a statement to that effect shall be submitted. Contact information - The name, address and telephone number of all individuals and firms involved in the design and development of the subject subdivision including, but not limited to, the developer, planner, engineer, surveyor and landscape architect. Jurisdictional Information - The address, telephone number and contact person for each of the following agencies or corporations; - Cable Television Company - Electric Company - Fire Department/Protection District Gas Company Highway Authority Controlling Access Nearest Municipality Park District (if any) Local Post Office Sanitary Sewer Provider (if any) School Districts (Residential Uses only) Telephone Company Water Provider (if any) Plat Information - The zoning of the subject property. - The type of subdivision (e.g., conventional, conservation, planned development, commercial, mixed-use). - A sketch of a typical lot for each proposed use. - A table listing the following information: - Average Lot Area - Floor Area (Nonresidential Uses) - Gross Lot Area - Impervious Surface (Nonresidential Uses) - Lot Width - Maximum Lot Area - Minimum Lot Area - Net Lot Area - Number of Dwelling Units - Use of each lot or Outlot (e.g., Multiplex, Commercial, Open Space); - Draft Site Capacity Calculations (may also be part of natural resource plan). - A description of how school and park contributions will be made (i.e. cash, land donation) and what districts’ are involved in the contribution. - Status of adjoining properties. Include use, zoning and land use class (i.e. single family residential, agricultural). - Landscaping (as required by Section 151.167 of the Lake County Code). Provide a description of the type and width of required transition yards, if any, along all property lines and between different use classes (i.e. single family residential, commercial). Infrastructure Improvement Information Roadway Information: - Name, Classification (freeway, arterial, collector, local street), existing and ultimate right-of-way width and highway jurisdiction of each dedicated road adjoining the property to be developed. Total linear feet of proposed roads and the length of all proposed cul-de-sacs Copy of an access permit application for any state, county or township road. Stormwater Information: - Stormwater Improvements (See Stormwater Management Improvement Plans under Preliminary Engineering Improvements) Sewer and Water Information: (See Sewer and Water Improvement plans under Preliminary Engineering Improvement Information) --- PRELIMINARY PLAT INFORMATION 1. GENERAL PLAT/PLAN STANDARDS - Sheet size not greater than 24 inches × 36 inches. - A scale of 1 inch equals 50 feet or 1 inch equals 100 feet to portray the proposed subdivision on a single sheet. - A graphic scale and a north arrow must be shown. - Linear dimensions given in feet and decimals of a foot. - Area dimensions given in acres or square feet. - Sheets are numbered consecutively and bound into a package. - Each sheet shall have a title block that contains the following information: - The name of the subdivision; - The title of the sheet (i.e. Preliminary Plat, Natural Resource Plan); - The sheet number - The name, address and telephone number of the developer; - The name, address and telephone number of the preparer; - The date of original design along with all subsequent revision dates shall be noted. 2. BOUNDARY SURVEY AND EXISTING CONDITIONS - (Sheet 1) Boundary survey prepared, sealed and signed by registered surveyor that contains: - Angles, bearings, azimuths, dimensions and curve data of all existing property and right-of-way lines. - The location of all existing recorded easements on the property. - A description and location of all survey monuments sufficient to reproduce any line or re-establish any monument in the subdivision. - Legal Description of the existing property. Show existing lot and parcel configurations. (Sheet 2) A topographic survey prepared either by a surveyor or an engineer depicting existing contour lines at not greater than 1 foot intervals extending a minimum of 200 feet off-site that includes: - The location of any known farm and storm drainage tiles. - The normal shoreline of water bodies, channels, existing detention basins, their easements and direction of flow. - The location, size and flow line elevation of all existing storm sewers, culverts, sanitary sewers and water mains of record. - The location of septic tanks and any existing septic fields (i.e., trenches, mounds, seepage beds, etc.) if any, of record. - The location of all existing wells of record. - Natural and other groundwater sources, such as seeps, springs, flowing and other artesian wells, that are visible or are of record. - The soil types indicated in the Soil Survey of Lake County or as determined by an on-site soil survey. The soil boundaries shall be drawn on the plan and the soil designations shall be shown in the area where each soil mapping unit exists. 4. PRELIMINARY NATURAL RESOURCE INVENTORY, NATURAL RESOURCE PLAN AND SITE CAPACITY CALCULATIONS Draft Site Capacity Calculations (See Sections 151.070 through 151.072 of the Lake County Code) (Sheet 3) The location and extent of all applicable natural resource areas with acreages listed on the plan and in a table as follows: - Nonlinear Water Bodies (Lakes and Ponds) - Mature Woodlands - Linear Water Bodies (Channels) - Regulatory floodplains, flood-prone areas and limits of floodways - Water body buffers (for linear and nonlinear water bodies) - Wetlands - Young Woodlands - Significant Trees (Sheet 4) The location and extent of disturbance of all applicable natural resource areas with acreages listed on the plan and in a table with a table indicating (1) the gross area (pre-development area) of each identified natural resource, (2) the net area (post-development area) of each identified natural resource and (3) the percentage protection of each identified natural resource. The location, type and nature of all measures and practices to be utilized to protect natural resource protection areas from development activities, as required by the Lake County Code. TREE SURVEY (See Section 151.070 through 151.072 of the Lake County Code, when required) - The location of all existing trees 12 in. DBH or greater added to the topographic survey. - Trees tagged with identification numbers. - Tree legend with tag number, tree size, type and condition. - Prepared, sealed and signed by registered surveyor 5. PRELIMINARY PLAT INFORMATION - The layout, design and dimensions of all proposed lots. - Lots numbered consecutively. - The layout and design of all proposed public and private road rights-of-way. - Right-of-way widths and cul-de-sac radii are labeled. - Proposed road names are on the plat. - All proposed open space areas. Open space areas shall be identified by type (e.g., natural resource protection, recreation, storm water detention) and ownership (e.g., common, deed restricted). - All lands to be dedicated for schools, recreational areas or other purposes are shown on the plat along with their acreages. Phasing Requirements (see Section 151.197 of the Lake County Code for Phasing standards). A. Phasing that excludes a portion of the parent parcel from subdivision - Phase limits shall be clearly shown - Remnant parcel conforming and able to be separately divided. B. Phasing that includes the entire parent parcel. _____ Preliminary Plat includes the entire property to be developed. _____ Phase limits are clearly shown. _____ Phases must function independently with respect to natural resource protection standards, open space, engineering and density. _____ Phases with no immediate development plans are: o Labeled, “Outlots,” on the Preliminary Plat, or o Excluded from the initial phase with a note referencing the date of Preliminary Plat approval – the final plat for all phases must be approved within 24 months of approval of the initial phase. 6. (Sheet 5) PRELIMINARY ENGINEERING INFORMATION 1. Roadway Improvement Plans _____ Documentation Requesting Access – provide written approval, copy of the application, or review letter approving the proposed access location has been received from the appropriate roadway authority. (Municipal-Village, Township, County-LCDOT, State-IDOT) _____ Rights-of-Way – layout and design of all proposed public and private road rights-of-way. Right-of-way widths and cul-de-sac radii shall be labeled. Proposed road names shall appear on the plat. _____ Typical cross-section for proposed streets. _____ Roadway Plans – center line of proposed roadways with centerline stationing at 100-foot intervals. Horizontal curve data, pavement width, all intersection radii, and center line slopes indicating direction of flow and percent slope. 2. Stormwater Management Improvement Plans _____ Preliminary stormwater management report including impervious area calculations, tributary area drainage map and existing conditions runoff volume and rate. Preliminary layout of detention basins, compensatory storage, water quality treatment, overland flow paths, swales, bridges, culverts, channels and other aspects of the stormwater drainage system. Depiction of all flood-prone areas, flood table and floodplain. Preliminary wetland delineation and jurisdictional determination. If state funds or technical assistance support this project, the Interagency Wetland Policy Act may apply. Contact funding agency or the IDNR Division of Resource Review and Coordination for details. (IDNR website. http://dnr.state.il.us/grants/finast.htm) Existing conditions topographic survey at one-foot intervals, based on USGS datum and extending 200 feet off-site where necessary to show drainage conditions. Narrative describing how the runoff reduction hierarchy of Sections 151.145 through 151.154 of the Lake County Code has been addressed in the stormwater design. 3. Sewer and Water Improvement Plans A description of the proposed means of sewage disposal and water supply. A. Subdivisions served by on-site wastewater disposal systems: (1 & 2 must be provided on separate plan sheet) 1. Soil map by a licensed, Certified Professional Soil Classifier, drawn to the same scale and overlaid onto the preliminary engineering plan, which includes all sampling locations (200 ft. grid points and intermediate borings) 2. Boring logs for all sampling locations. B. Subdivisions served by public sanitary sewer and water main systems: The location and size of all proposed water mains and associated structures (e.g., valves, vaults, fire hydrants). If applicable, the size and location of water reservoirs, wells and the connections points to off-site water distribution systems. _____ Proposed points of connection to existing systems. _____ A discussion of adequate capacities and modification to existing facilities to accommodate additional system demand, if required. _____ A description of easements and future ownership/operation of improvements. _____ Design basis including number of units and projected flow calculations. _____ Invert elevations at point of connection an lowest on-site invert elevation. _____ A discussion of critical factors affecting design (e.g., river, railroad, highway crossings, wetlands, floodplains or extreme grade changes). _____ A discussion of major anticipated system improvements and proposed locations of facilities (i.e. upgrade or new lift station). _____ A discussion of looping of water mains. SUBMISSION CHECKLIST FOR SUBDIVISION FINAL PLAT Lake County Planning, Building and Development Department 500 W. Winchester Rd. • Unit 101 • Libertyville, Illinois 60048-1331 Telephone (847) 377-2600 • E-mail: firstname.lastname@example.org • Fax (847) 984-5608 Website: http://www.lakecountyil.gov/planning/ Last amended 11/03/2015 Notification of Project Team Recommendation No Final Plat shall be approved unless it is found to be in full compliance with all applicable regulations of Chapter 151 of the Lake County, Illinois Code of Ordinances (the Lake County Code) with the approved Preliminary Plat (if applicable), and all review fees have been paid (Review fees are not refundable). If the Project Team recommends approval, the recommendation shall be accompanied by the following: 1. Instructions for obtaining Final Plat certificate signatures for submitting the signed Final Plat Mylar for final review prior to approval. 2. Instructions for executing the covenants and restrictions and agreements, if any, and for submitting the executed documents for final review prior to approval. 3. Instructions for obtaining performance assurances in accordance with Lake County Code Subchapter: Subdivisions (151.185 et seq.), and for submitting the assurances for final review prior to approval. 4. Upon finding that the Final Plat Mylar and any Covenants, Restrictions, Agreements and assurances are in the proper form, staff shall prepare a report and recommendation for presentation to the Planning, Building and Zoning Committee. The Planning, Building and Development Director also shall place the subdivision on the agenda of the next regularly scheduled Planning, Building and Zoning Committee Meeting and shall notify the applicant of the date, time and place of said meeting. Staff will present the proposed Final Plat to the Planning, Building and Zoning Committee for approval. 5. The petitioner shall then have the sole responsibility for recording the Final Plat and associated documents with the County Recorder and for paying all costs associated with the recording of the documents. Upon recording, the Final Plat shall be kept in the custody of the county. 6. The name, document number and recording date of the Final Plat and each associated document recorded together with the plat. 7. The amount and date of expiration of the performance assurance. 8. Directions for commencing construction activities, if construction has not already commenced, in accordance with Lake County Code Subchapter: Subdivisions (151.185 et seq.); and 9. Any conditions associated with approval of the final plat. If the Project Team or the Planning, Building and Zoning Committee fail to approve a Final Plat, the applicant may: 1. Amend the Final Plat or obtain the additional information and documentation requested by the Project Team or the Planning, Building and Zoning Committee and resubmit the subdivision for further review in accordance with the standards of Lake County Code Subchapter: Subdivisions (151.185 et seq.) 2. Appeal the decision of the Planning, Building and Zoning Committee in accordance with the standards of Lake County Code Subchapter: Subdivisions (151.185 et seq.) Lapse of Final Plat Approval Planning, Building and Zoning Committee approval of the Final Plat shall expire if the Final Plat and associated documents are not recorded with the Lake County Recorder within 5 (five) days following Planning, Building and Zoning Committee approval. --- Final Plat Submittal Checklist for Subdivisions Final Plat documents are reviewed for the purpose of ensuring that the Final Plat, together with the other documents that will be recorded to legally create the proposed subdivision, are in full compliance with the state statutory requirements and all and applicable county regulations. The following information and documentation shall be required for the Final Plat submittal and review: i. Application ii. General Requirements iii. Final Plat and plan Information iv. Covenants and Restrictions v. Agreements Additional information regarding final engineering should be reviewed in the Final Engineering Checklist for Subdivisions as well as the Lake County Code. --- I. APPLICATION - Completed application for Preliminary Plat - The application form may be obtained at the Development Services Division office or on the web at http://www.lakecountyil.gov/Planning/publications/Forms.htm. --- II. GENERAL REQUIREMENTS (PER SECTIONS 151.185 TO 151.204) - Submission is within 24 months of preliminary approval. - Public Informational meeting has been held. _____ Is cost estimate approved? _____ IDNR has terminated the endangered species review. _____ Has the natural resource inventory report been completed? _____ A wetland report has been submitted. _____ Has wetland jurisdiction been determined? _____ Does the project border a state water body? _____ Have all access points or permits for access been approved? _____ Have the site capacity calculations been approved? _____ Has all required Road right-of-way been dedicated? _____ Open space areas for natural resource are represented and labeled with the location, width and purposes of dedications and easements; (drainage, utility, open space, buffer yards) _____ Have all Health Department requirements been met? _____ Have all required notes from the Health Department been added to the Plat? _____ Do all lots meet the requirements of the Lake County Code for the zoning classification? III. FINAL PLAT AND PLAN INFORMATION _____ Sheet size not greater than 24 inches x 36 inches. _____ A scale of 1 inch equals 50 feet or 1 inch equals 100 feet to portray the proposed subdivision on a single sheet. _____ A graphic scale and a north arrow are provided. _____ Linear dimensions given in feet and decimals of a foot. _____ Area dimensions given in acres or square feet. _____ Sheets are numbered consecutively and bound into a package. _____ Each sheet shall have a title block that shall identify the name of the subdivision; the title of the sheet; the sheet number and the name, address and telephone number of the developer. The name, address and telephone number of the preparer and the date of original design along with all subsequent revision dates shall be noted. _____ Is all required Preliminary Plat information included on the Final Plat? _____ All site data, dimensioning and interior plat information such as; o Lot area; o Consecutive lot numbering; o School, park and recreation sites; o Floodplain and flood table notes, elevations & limits o Setback lines (Front/Streets) _____ Appropriate certification blocks provided in the Plat Procedures Manual. o See Lake County Code: Appendix E o Owner’s Certificate o Surveyor’s Certificate o County Clerk’s Certificate o Certificate of the County Engineer o Certificate of the Highway Access Authority o Planning Building and Zoning Committee Certificate o Director of Planning, Building and Development Certificate (if applicable) o Certificate of Township Highway Commissioner (If applicable) o Certificate of the Regional Superintendent of Schools o Certificate of the Health Officer (project on septic and or wells) o Certificate of Municipality o State of Illinois and Federal. (The approval or certificate of the Illinois Department of Natural Resources is required for any plat bordering bodies of water in which the State of Illinois has any property interests.) o Plat Submitted By Certificate. _____ The Final Plat is sealed and signed by Surveyor. _____ Has proposed grading been submitted or approved? _____ A Tile Survey has been submitted. _____ Twenty-foot wide easement for all storm sewers, drainage swales and overland flow routes outside the right-of-ways is shown. _____ All detention basins are contained in an easement and labeled . . . “Common open space and easement for stormwater detention purposes”. _____ Wetlands and wetland buffers area contained in a deed restriction. _____ Floodplains are contained in a deed restriction. _____ The layout and design of all proposed public and private road rights-of-way; right-of-way widths and cul-de-sac radii; proposed road names are shown. All proposed public street rights-of-way are labeled as follows: “Hereby Dedicated for Public Road Purposes”. Any existing public street rights-of-way include document number and labeled as follows: “Heretofore Dedicated for Public Road Purposed Per Document No. ________”. IV. COVENANTS AND RESTRICTIONS Have all covenants and restrictions been submitted? Do covenants and restrictions address maintenance and ownership of open space? Are covenants & restriction notes placed on the plat? V. AGREEMENTS Is a performance guarantee required? Will maintenance guarantee be required? Have the School Contribution Agreement been reviewed and approved? Are the school agreements referenced on the plat? Have the Park Contributions been reviewed and approved? MISSING ITEMS ___________________________________________________________ ___________________________________________________________ SUBMISSION CHECKLIST FOR SUBDIVISION FINAL PLAT Lake County Planning, Building and Development Department 500 W. Winchester Rd. • Unit 101 • Libertyville, Illinois 60048-1331 Telephone (847) 377-2600 • E-mail: email@example.com • Fax (847) 984-5608 Website: http://www.lakecountyil.gov Last amended 11/03/2015 Notification of Project Team Recommendation No Final Plat shall be approved unless it is found to be in full compliance with all applicable regulations of Chapter 151 of the Lake County, Illinois Code of Ordinances (the Lake County Code) with the approved Preliminary Plat (if applicable), and all review fees have been paid (Review fees are not refundable). If the Project Team recommends approval, the recommendation shall be accompanied by the following: 10. Instructions for obtaining Final Plat certificate signatures for submitting the signed Final Plat Mylar for final review prior to approval. 11. Instructions for executing the covenants and restrictions and agreements, if any, and for submitting the executed documents for final review prior to approval. 12. Instructions for obtaining performance assurances in accordance with Lake County Code Subchapter: Subdivisions (151.185 et seq.), and for submitting the assurances for final review prior to approval. 13. Upon finding that the Final Plat Mylar and any Covenants, Restrictions, Agreements and assurances are in the proper form, staff shall prepare a report and recommendation for presentation to the Planning, Building and Zoning Committee. The Planning, Building and Development Director also shall place the subdivision on the agenda of the next regularly scheduled Planning, Building and Zoning Committee Meeting and shall notify the applicant of the date, time and place of said meeting. Staff will present the proposed Final Plat to the Planning, Building and Zoning Committee for approval. 14. The petitioner shall then have the sole responsibility for recording the Final Plat and associated documents with the County Recorder and for paying all costs associated with the recording of the documents. Upon recording, the Final Plat shall be kept in the custody of the county. 15. The name, document number and recording date of the Final Plat and each associated document recorded together with the plat. 16. The amount and date of expiration of the performance assurance. 17. Directions for commencing construction activities, if construction has not already commenced, in accordance with Lake County Code Subchapter: Subdivisions (151.185 et seq.); and 18. Any conditions associated with approval of the final plat. If the Project Team or the Planning, Building and Zoning Committee fail to approve a Final Plat, the applicant may: 3. Amend the Final Plat or obtain the additional information and documentation requested by the Project Team or the Planning, Building and Zoning Committee and resubmit the subdivision for further review in accordance with the standards of Lake County Code Subchapter: Subdivisions (151.185 et seq.) 4. Appeal the decision of the Planning, Building and Zoning Committee in accordance with the standards of Lake County Code Subchapter: Subdivisions (151.185 et seq.) Lapse of Final Plat Approval Planning, Building and Zoning Committee approval of the Final Plat shall expire if the Final Plat and associated documents are not recorded with the Lake County Recorder within 5 (five) days following Planning, Building and Zoning Committee approval. --- Final Plat Submittal Checklist for Subdivisions Final Plat documents are reviewed for the purpose of ensuring that the Final Plat, together with the other documents that will be recorded to legally create the proposed subdivision, are in full compliance with the state statutory requirements and all applicable county regulations. The following information and documentation shall be required for the Final Plat submittal and review: - vi. Application - vii. General Requirements - viii. Final Plat and plan Information - ix. Covenants and Restrictions - x. Agreements Additional information regarding final engineering should be reviewed in the Final Engineering Checklist for Subdivisions as well as the Lake County Code. --- I. APPLICATION - Completed application for Preliminary Plat - The application form may be obtained at the Development Services Division office or on the web at http://www.lakecountyil.gov/Planning/publications/Forms.htm. --- II. GENERAL REQUIREMENTS (PER SECTION 151.185 THROUGH 151.204) - Submission is within 24 months of preliminary approval. - Public Informational meeting has been held. _____ Is cost estimate approved? _____ IDNR has terminated the endangered species review. _____ Has the natural resource inventory report been completed? _____ A wetland report has been submitted. _____ Has wetland jurisdiction been determined? _____ Does the project border a state water body? _____ Have all access points or permits for access been approved? _____ Have the site capacity calculations been approved? _____ Has all required Road right-of-way been dedicated? _____ Open space areas for natural resource are represented and labeled with the location, width and purposes of dedications and easements; (drainage, utility, open space, buffer yards) _____ Have all Health Department requirements been met? _____ Have all required notes from the Health Department been added to the Plat? _____ Do all lots meet the requirements of the Lake County Code for the zoning classification? III. FINAL PLAT AND PLAN INFORMATION _____ Sheet size not greater than 24 inches x 36 inches. _____ A scale of 1 inch equals 50 feet or 1 inch equals 100 feet to portray the proposed subdivision on a single sheet. _____ A graphic scale and a north arrow are provided. _____ Linear dimensions given in feet and decimals of a foot. _____ Area dimensions given in acres or square feet. _____ Sheets are numbered consecutively and bound into a package. _____ Each sheet shall have a title block that shall identify the name of the subdivision; the title of the sheet; the sheet number and the name, address and telephone number of the developer. The name, address and telephone number of the preparer and the date of original design along with all subsequent revision dates shall be noted. _____ Is all required Preliminary Plat information included on the Final Plat? _____ All site data, dimensioning and interior plat information such as; o Lot area; o Consecutive lot numbering; o School, park and recreation sites; o Floodplain and flood table notes, elevations & limits o Setback lines (Front/Streets) _____ Appropriate certification blocks provided in the Plat Procedures Manual. o See Lake County Code: Appendix E o Owner’s Certificate o Surveyor’s Certificate o County Clerk’s Certificate o Certificate of the County Engineer o Certificate of the Highway Access Authority o Planning Building and Zoning Committee Certificate o Director of Planning, Building and Development Certificate (if applicable) o Certificate of Township Highway Commissioner (If applicable) o Certificate of the Regional Superintendent of Schools o Certificate of the Health Officer (project on septic and or wells) o Certificate of Municipality o State of Illinois and Federal. (The approval or certificate of the Illinois Department of Natural Resources is required for any plat bordering bodies of water in which the State of Illinois has any property interests.) o Plat Submitted By Certificate. _____ The Final Plat is sealed and signed by Surveyor. _____ Has proposed grading been submitted or approved? _____ A Tile Survey has been submitted. _____ Twenty-foot wide easement for all storm sewers, drainage swales and overland flow routes outside the right-of-ways is shown. _____ All detention basins are contained in an easement and labeled . . . “Common open space and easement for stormwater detention purposes”. _____ Wetlands and wetland buffers area contained in a deed restriction. _____ Floodplains are contained in a deed restriction. _____ The layout and design of all proposed public and private road rights-of-way; right-of-way widths and cul-de-sac radii; proposed road names are shown. _____ All proposed public street rights-of-way are labeled as follows: “Hereby Dedicated for Public Road Purposes”. _____ Any existing public street rights-of-way include document number and labeled as follows: “Heretofore Dedicated for Public Road Purposed Per Document No. ________”. IV. COVENANTS AND RESTRICTIONS _____ Have all covenants and restrictions been submitted? _____ Do covenants and restrictions address maintenance and ownership of open space? _____ Are covenants & restriction notes placed on the plat? V. AGREEMENTS _____ Is a performance guarantee required? _____ Will maintenance guarantee be required? _____ Have the School Contribution Agreement been reviewed and approved? _____ Are the school agreements referenced on the plat? _____ Have the Park Contributions been reviewed and approved? MISSING ITEMS ___________________________________________________________________________ ___________________________________________________________________________ SUBMISSION CHECKLIST FOR SUBDIVISION FINAL ENGINEERING Lake County Department of Planning, Building and Development 500 W. Winchester Road, Unit 101 • Libertyville, Illinois 60045 Telephone (847) 377-2600 • Fax (847) 984-5744 Website: http://www.lakecountyil.gov Final Engineering Submittal Checklist For Subdivisions The Final Engineering Plans and Engineering Report are reviewed for the purpose of ensuring that the layout, design and engineering of a proposed subdivision complies with all applicable standards of the Lake County, Illinois Code of Ordinances (Lake County Code). One of the final products of Final Engineering Plans review is an approved set of construction documents for the proposed subdivision. The following information and documentation shall be required for submittal and staff review: I. Complete application II. Final Plat III. Covenants and Restrictions IV. Agreements V. Engineering Report VI. Final Engineering Improvement Plans I. APPLICATION _____ Completed application for Preliminary Plat (The application form may be obtained in the office of the Development Services Division). All review fees have been paid (Review fees are not refundable). II. FINAL PLAT _____ Completed checklist for Final (The application form may be obtained in the office of the Development Services Division). _____ No changes from the approved Preliminary Plat. III. COVENANTS AND RESTRICTIONS A Declaration of Covenants and Restrictions shall be required for all subdivisions, except for those that do not contain any stormwater management or other open space areas that must be commonly maintained by a property owner's association, as required by Sections 151.185 through 151.204 of the Lake County Code. The Declaration of Covenants and Restrictions are prepared on eight and one-half inch by eleven inch (8-1/2" X 11") paper and include. A table of contents is provided in the Covenants. Plat Reference - Identify the Final Plat by its name and document number assigned by the County Recorder. Are covenants & restriction notes placed on the plat? Legal Description is provided. Duration and Benefit - State that the covenants and restrictions shall run with the land and are for the benefit of all lot or unit owners in the subdivision, the Association and the county. Definitions - Define all applicable operative terms which may include, but are not limited to, Association, Board, Bufferyard, Common Area, Common Element, Common Open Space, County, Declaration, Declarant, Deed Restricted Open Space, Lot, Owner, Unit and Stormwater Management Facilities. Formation of Association - Provide for the formation of a mandatory property owner’s association. The Association shall be formed in perpetuity and membership in the Association by lot or unit owners shall be compulsory. Ownership - Assign ownership of all stormwater management facilities and other common open space areas to the Association. Ownership of all deed restricted open space, if any, shall be assigned to the owners of the lots on which the deed restricted open space is platted. Use Restrictions – State specific open space use restrictions, as specified by the Lake County Code for each type of open space in the subdivision, also to be stated in the declarations. Maintenance responsibilities stated as follows – - All stormwater management facilities, landscaping and other common open space areas in the subdivision shall be maintained in perpetuity by the Association. Each lot or unit owner shall bear proportionate responsibility for the maintenance of all stormwater management facilities, landscaping and other common open space areas. Each lot or unit owner's deed shall state that owner's liability for maintenance of the stormwater management facilities, landscaping and other common open space areas. State that all deed restricted open space shall be maintained by the owner of the lot on which the deed restricted open space is platted. The general maintenance provisions for stormwater management facilities, landscaping and open space areas as required by Lake County. The specific maintenance responsibilities as may be identified by the subdivision's design consultants, if any, also shall be stated in the declarations. Assessment Mechanism - provisions for the assessment and collection of all funds necessary for the repair and maintenance of all stormwater management facilities, also shall be made a personal obligation of the lot or unit owner of the property at the time the assessment falls due. Dedications and Agreements - Reference dedications of school and recreational land within the subdivision, if any, and/or all agreements for cash donations in lieu of dedication of school or recreational sites, if any. Transfer of Ownership - Make provisions for the transfer of ownership in the stormwater management facilities and other common open space areas from the Declarant to the Association. Transfer of Maintenance Responsibilities - State the Declarant shall be responsible for the maintenance of all stormwater management facilities and other common open space areas, regardless of ownership, until such time as 80 percent of the lots or units in the subdivision have been sold. Further state that the Declarant shall not transfer the maintenance responsibilities in stormwater management facilities and other common open space areas until all maintenance assurances held by the county for the required improvements have been released by the county; Enforcement - The declarations shall include provisions for the following enforcement mechanisms: 1. Enforcement of the declarations may be any proceeding at law or in equity, either to restrain violation or to cover damages by the Association, any lot or unit owner or the county, against any person violating or attempting to violate any covenant or restriction. 2. Duly designated officials and employees of the county shall be granted a perpetual easement to enter upon, on or over all stormwater management facilities and other open space areas in the subdivision to ensure that such facilities and areas are being used properly and maintained in accordance with this Declaration and all applicable county ordinances. 3. The failure of the Association to enforce the provisions of this Declaration with respect to the proper use and maintenance of any stormwater management facility or any other open space area in the subdivision, shall operate to empower the county to act for and on behalf of the Association, subject to reasonable inspection notice and demand requirements, and perform all maintenance or other operation necessary to ensure that all stormwater management facilities and other open space areas function and may be used as intended by this Ordinance; except that, in the event that the county finds that the failure to enforce the provisions of this Declaration has created an immediate threat to public health, safety and welfare, the county shall not be required to give notice before causing the correction of the problems arising from the failure of the Association to enforce the provisions of this Declaration. Furthermore, the county shall be entitled to reimbursement by the Association for all reasonable costs incurred by the county in acting for, and on behalf of, the Association. 4. The failure of the Association, any lot or unit owner or the county to enforce any covenant or restriction shall in no event be deemed a waiver of the right to do so thereafter. ____ Phased Subdivisions - If the subdivision is to be platted in phases, the Declaration shall contain provisions for such phased platting. ____ Amendments - The Declaration may contain provisions permitting the addition, amendment or termination of any covenant or restriction; shall contain provisions that the addition, amendment or termination of any covenant or restriction shall not be permitted if the result would in any manner diminish the function of the Declaration with respect to the use and maintenance of stormwater management facilities and other open space areas in the subdivision unless otherwise approved by the county. ____ Severability - The Declaration shall contain a severability clause; and ____ Execution - The Declaration shall include the notarized signature of the Declarant. The Declaration shall not be executed until it has been approved by the Staff Review Committee. IV. AGREEMENTS The developer shall obtain all school and recreational land agreements as required by the Lake County Code, if any. Each agreement shall include a legal description of the land to be subdivided and shall reference the Final Plat by name and document number as assigned by the County Recorder. _____ Have the School Contribution Agreements been reviewed and approved? _____ Are the school agreements referenced on the plat? _____ Are legal descriptions provided where necessary? _____ Have Park Contributions been reviewed and approved? _____ Is performance guarantee required? _____ Will maintenance guarantee be required? V. ENGINEERING REPORT _____ Final stormwater management report including, but not limited to, calculations of proposed conditions runoff volume and rate, detention volume, release rates and overland flow route capacities. _____ Storm sewer capacity calculations and tributary area drainage map. _____ Wetland delineation report and jurisdictional determination. _____ Construction Schedule. _____ Cost Estimate for construction of stormwater management system, erosion control and permanent stabilization of the common areas and individual lots. _____ Copy of application for Army Corps of Engineers approval, if applicable. _____ Copy of application for Stormwater Management Commission approval, if applicable _____ Base Flood Elevation determination for all previously unstudied floodplain areas and all floodplain areas to be altered by the development. VI. FINAL ENGINEERING IMPROVEMENT PLANS The Final Engineering Improvement Plans shall be prepared according to the following standards; The plans required by this Section shall be numbered consecutively and bound into a package that will include the following sheets: 1. Cover Page 2. Master Plan (if necessary) 3. Existing Conditions Plan 4. Grading and Drainage Plan 5. Erosion Control Plan 6. Field Tile Survey 7. Natural Resource Protection Plan / Soil Erosion and Sediment Control Plan 8. Landscape Plan 9. Road and Utility Plans 10. Highway Standard Plans 11. Construction Details and Standards 12. Photometric Plans 13. Additional sheets may be provided to portray information unique to the proposed subdivision. Each sheet shall have a title block that shall identify; - The name of the subdivision. - The title of the sheet. - The sheet number. - The name, address and telephone number of the developer. - The name, address, telephone number of the design engineer - The date of original design along with all subsequent revision dates. The following information shall be provided on each of the required sheets. 1. COVER SHEET - Sheet size of not greater than 34 inches by 36 inches. - Scale of 1 inch equals 50 feet except where otherwise noted herein. A north arrow and graphic scale shall be provided. Linear dimensions shall be given in feet and decimals of a foot. Area dimensions shall be given in acres or square feet. A vicinity map depicting the location of the subject property in relation to major roads, natural features and municipalities. An index or legend on all sheets. The Parcel Identification Number. A legend of all symbols and abbreviations used in the plans. The imprinted seal, signature and license expiration date of the engineer responsible for the preparation of the plans; Location and elevation of bench marks. LCDOT general notes, see Appendix C of Chapter 151 of the Lake County Code. 2. MASTER PLAN A master plan shall be submitted when the proposed subdivision cannot be portrayed on a single 24 inch by 36 inch sheet at a scale of one inch equals 50 feet. This sheet shall be labeled “Master Plan” and shall include the following information: The proposed layout of all lots and road rights-of-way Lot numbers. Road names. Water mains, sanitary sewers and storm sewers drawn to scale. Match lines showing the sheet segmentation of the subdivision when drawn at TO SCALE on 24 inch by 36 inch sheets. If the subdivision will be platted in phases, the limits of each phase. 3. EXISTING CONDITIONS PLAN A topographic survey labeled “Existing Conditions Plan” that shows the same existing conditions information required for the submission of the Preliminary Plat, with the soil conditions shown as mapped by a certified professional soil classifier. 4. GRADING AND DRAINAGE PLAN _____ Proposed grading plan for each lot with house footprint and T/F elevations. _____ If the subdivision will be platted in phases, the limits of each phase. _____ Existing and proposed contour lines at not greater than one foot (1') intervals. _____ Off-site drainage areas, points of discharge and entry, velocity of flow and flow quantities. _____ The location of all existing streams and floodplains to be maintained, and proposed channels to be constructed, including specifications and dimensions of proposed channel modifications, locations and orientation of cross-sections and profiles. _____ The location of all existing detention basins to be maintained, enlarged or otherwise altered, and all proposed basins and their design. _____ Provide cross-sections showing the elevation of the existing land surface and the proposed changes, together with the calculated high water elevations expected from stormwater overland flowpath and the relationship of structures, roads and other utilities. _____ The location, type, length, size and slope of proposed storm sewers and culverts, if any, together with all related structures, including rim and invert elevations. _____ Proposed culverts and bridges, their materials, elevations and waterway openings. _____ Cross-sections of all existing and proposed channels or other open drainage facilities showing the elevation of the existing land and the proposed changes, together with the calculated high water elevations expected from stormwater overland flowpath, and the relationship of structures, roads and other utilities. _____ The limits of grading and other construction activities. _____ Proposed elevations in USGS Datum for top of foundation, walkouts and lookouts; finished grade elevations around all proposed structures. _____ The pavement elevations at each 100-foot center line station point, at street intersections and at the center of cul-de-sacs, and indications of direction of stormwater flow. _____ Surface Water Drainage Statement (See Appendix D of the UDO). 5. EROSION CONTROL PLAN 6. FIELD TILE SURVEY Drain tile survey indicating the location, flow direction, size, material and condition of all subsurface drain tiles. 7. NATURAL RESOURCE PROTECTION / SOIL EROSION AND SEDIMENT CONTROL PLAN To be prepared as an overlay of the Grading and Drainage Plan described above. For the purpose of plan legibility, the Grading and Drainage Plan shall be screened before the addition of the Natural Resource Protection/Soil Erosion and Sediment Control information. Has been reviewed at the Preliminary Plat submittal. One or more sheets labeled 'Natural Resource Plan'. One or more sheets labeled 'Natural Resource Protection Plan'. The location and extent of all natural resource protection areas. The location, type and nature of all temporary protection measures to be utilized to protect natural resource protection areas from development activities. A table indicating (1) the gross area (pre-development area) of each identified natural resource, (2) the net area (post-development area) of each identified natural resource and (3) the percentage protection of each identified natural resource. Soil Erosion and Sediment Control Information in accordance with Sections 151.145 through 151.154 and Sections 151.185 through 151.204 of the Lake County Code. A Natural Resource Protection Report which includes the following information. A statement which names the party legally responsible for maintenance of natural resource protection measures during construction and through maintenance period. The statement shall include the responsible party's name, address and telephone number. 8. LANDSCAPE PLANS The existing conditions that will remain shall be screened with the proposed improvements overlaid. The location of proposed lots, road rights-of-way and easements, including lot numbers and street names. Engineered Improvements. The location of proposed structures, roads, sidewalks and other impervious surfaces. The limits of any phases. Notes, dimensions, details and specifications for all landscape related improvements. The type and size of required plant material per Section 151.167 of the Lake County Code. The use and zoning of all adjacent property. The location of proposed parking lot landscape areas as required by this Ordinance, if any, together with the location, species and size of required landscape plant materials. A plant schedule for all requirements is on the plan. The location and design of proposed recreational improvements, if any, as required by this Ordinance and this Ordinance. The location of significant trees to be protected and their protection measures. Reforestation plans, if required, together with the location, number, species and size of required landscape plant materials. 9. ROAD AND UTILITY PLANS Permits Received – copies of all applicable permits have been received from the appropriate roadway authorities. (County-LCDOT, State-IDOT) LCDOT General Notes – cover page includes LCDOT general notes; refer to General Notes, Appendix C of Chapter 151 of the Lake County Code. Typical Road Cross-Section – built to the specifications as shown on the appropriate typical cross section; refer to Typical Cross-Sections for Local Streets, Appendix O of Chapter 151 of the Lake County Code. Plan and Profile Road and Utility Improvement Plans – location of proposed structures roads, sidewalks within the road right-of-way, utilities, storm sewers, sanitary sewers, water mains and other impervious surfaces dimensioned showing widths and offsets from the centerline; refer to Road and Utility Improvements within Sections 151.185 through 151.204 of the Lake County Code. Road Cross-Sections – provided at each 100 foot road centerline station point, each crossroad culvert, and the center of proposed cul-de-sacs and T-turnarounds, if any; and shows existing ground elevation together with all engineering improvements within and under the road right-of-way; refer to Road Cross-Sections within Sections 151.185 through 151.204 of the Lake County Code. Construction Details and Standards – all notes, details, and specifications that are required by all applicable County Ordinances that are needed for the construction of the proposed subdivision. 10. HIGHWAY STANDARD PLANS Copies of current Illinois Department of Transportation Highway Standards from the Highway Standards Manual that apply to the project. 11. CONSTRUCTION DETAILS AND STANDARDS All notes, details and/or specifications that are required by this and other applicable county ordinances and/or that are needed for the construction of the proposed subdivision and are not provided elsewhere in the Final Engineering Improvement Plans. 12. PHOTOMETRIC PLANS Separate plan with all fixture locations. Pole and Fixture Details Summary of Quantities. Manufacturers Cutsheet General notes and specifications. Additional sheets may be provided to portray information unique to the proposed subdivision. Some sheets may be combined for smaller projects. Easement Provisions When the subdivision contains easements for public utilities, a statement shall be provided granting use of such easements to all applicable utility companies. MISSING ITEMS Application Filing Final Plat and Engineering applications shall be submitted to the Planning, Building and Development Department on forms available from the Planning, Building and Development Department. The application shall be submitted in-person. A check-in of all documents required in the Final Plat stage of the Subdivision process may occur at one time or separately. If submitted separately, a check-in of the Final Engineering Plan and Engineering Report shall occur first followed by a check-in of Final Plat, Covenants, Conditions and Restrictions and Agreements. Distribution of Application; Review of Application Upon receipt of a complete application, the Planning, Building and Development Director shall distribute copies of application to Staff Review Committee members and other affected Reviewing Agencies. Within 15 days of the receipt of a complete Final Plat application, Multi-Disciplinary Team members shall review the application and provide written comments to the Planning, Building and Development Director. The Planning, Building and Development Director shall compile all comments received by the end of the review period for presentation to the applicant at the Staff Review Committee meeting. Resubmittals When additional information is required to be submitted during the Final Plat stage, the information shall be distributed to Multi-Disciplinary Team (MDT) members and other affected agencies who shall have 15 days to review the information and provide written comments to the Planning, Building and Development Director. With each resubmittal, the applicant shall include a cover letter explaining how all outstanding Multi-Disciplinary Team or Planning, Building and Zoning Committee comments and concerns have been addressed. No resubmittal shall be accepted if it is not accompanied by such a letter. The applicant shall be invited to meet with the Multi-Disciplinary Team after each resubmittal, unless the Multi-Disciplinary Team finds that the nature of the outstanding comments and concerns does not warrant attendance by the applicant. Multi-Disciplinary Team Recommendation Following consideration by the MDT they shall all act in accordance with the following: Approval If the MDT finds that the Final Engineering Plans and Engineering Report demonstrate that the layout, design and engineering of the proposed subdivision are in full compliance with all applicable regulations of this Ordinance, the Staff Review Committee shall act to approve the Final Engineering Plans and Engineering Report of the proposed subdivision. Denial If the MDT finds that the Final Engineering Plans or Engineering Report do not demonstrate that the layout, design and engineering of the proposed subdivision are in full compliance with all applicable regulations of the Lake County Code, the MDT shall detail for the applicant the reasons for this determination and describe the type of additional information that may be necessary to demonstrate compliance. The MDT also shall direct the applicant on the procedure for continuing with the review, and shall decide, based on the nature of the outstanding comments and concerns, whether or not the applicant shall return for a meeting with the MDT. PERMITS REQUIRED Site Development Permit A Site Development Permit shall be obtained from the Planning, Building and Development Department before beginning any construction or earth moving activity in connection with the proposed subdivision. The applicant may apply for this permit after MDT approval of the Final Engineering Plan and Engineering Report. Before beginning construction, a Preconstruction Conference shall be held and Restoration Assurance shall be provided in accordance with the provisions of Sections 151.145 through 151.154, and 151.185 through 151.204, before issuance of a Site Development Permit. Access Permit If access to the proposed subdivision is obtained from a county highway, an Access Permit shall be obtained from the Lake County Division of Transportation, in accordance with the Lake County Highway Access Regulation Ordinance. The Final Engineering Plan and Engineering Report shall not be approved until an Access Permit, if required, has been obtained. If access to the proposed subdivision is obtained from a State or Township road, an access permit shall be obtained from the appropriate Township or State highway authority. Facility Permit If the proposed subdivision is adjacent to a county highway, with or without proposed access to this Highway, and work is required to be performed within the right-of-way of the county highway, a Facility Permit shall be obtained from the Lake County Division of Transportation, in accordance with the Lake County Highway Utility and Facility Placement Ordinance. The Final Engineering Plan and Engineering Report shall not be approved until the Facility Permit, if required, has been obtained. If access to the proposed subdivision is obtained from a State or Township road, a facility permit shall be obtained from the appropriate Township or State highway authority. Other Required Permits Applicants shall be responsible for ensuring that other local, county, state and federal permit requirements have been met. Illinois Environmental Protection Agency and Army Corps of Engineers Permits Before beginning any site development activity, permits shall be obtained from; - Illinois Environmental Protection Agency and US Army Corps of Engineers for sanitary sewer or water improvements, if applicable. - US Army Corps of Engineers permit shall be required for any work within a wetland. - PDES permit may be required from the Illinois Environmental Protection Agency. Lapse of Final Engineering Plan and Engineering Report If the Preliminary Plat of the proposed subdivision lapses, Staff Review Committee approval of the Final Engineering Plan and Engineering Report shall also lapse and be of no effect.
The Spirituality of Pain Daniel Borysewicz MDiv, CSR SPRS 2400 Fall 2009 The connection of spirituality and pain has a long history within some faith traditions and cultures. ‘Mortification of the flesh’ is a term used by Christians that pertains to ways of atonement and repentance. Self flagellation was very common in this practice. While the intended purpose was to cause pain to atone for pleasures of the flesh, within the bondage, domination, and sadomasochist (BDSM) world, this pain can be used for achieving a higher level of consciousness and even trance-like states. This does not only pertain to the utilization of pain but also the use of domination and submission in attempting to attain a more spiritual connection to the Divine. I will be exploring some of the history of BDSM-like practices within Christianity. Through this analysis, I will provide some correlation between the present day practitioners of BDSM and the practices of the past. Many today think that those who participate in BDSM practices are perverted deviants and are only interested in it for the sexual gratification. While this may be true for some, there are many others attempting to achieve their own connection to a spirituality that is no different than what many people of faith are attempting to connect to while in their places of worship. Before we get started, let us review some terminology surrounding BDSM. Bondage can have several meanings: to be a serf or slave; to be bound by compulsion to something, like drugs; or practices involving the physical restraint of one partner.$^1$ Domination has to do with control over another human. As Merriam-Webster puts it: “supremacy or preeminence over another” (Merriam-Webster 2009). The typical name for a dominant person is ‘Dom’ or ‘Top’. A person who would look to be dominated is typically called a submissive. A ‘submissive’ can be called a ‘slave’ or just ‘sub’ for short and they enjoy being dominated by others. A ‘slave’ is not bought but commits freely to this way of life. Sadomasochist can actually be broken into two parts: Sadist and Masochist. A sadist is someone who gets pleasure from inflicting physical or mental pain upon another. And a masochist is someone who gets pleasure from being abused or dominated. It should be noted $^1$ Merriam-Webster, Bondage Definition, 16 December 2009, available from http://m-w.com/dictionary/bondage, accessed on 16 December 2009. that according to Merriam-Webster, both of these characteristics are considered to be “a sexual perversion” (Merriam-Webster 2009). Why Pain? Let us first look at some of the details about pain. It is typically a good indicator that if something is wrong with part of our body. It could be a headache due to stress, lack of coffee or caused by a deeper lying health issue. Pain can also help determine if someone injured themselves and there are no visible signs of injury on the body. Minute amounts of pain can be annoying and easily dealt with by taking some ibuprofen or Advil. Certain levels of pain possess a certain analgesic quality, according to neurologists, and can even induce states of euphoria (Glucklich 2001, 30). Pain also has a quality that can be incorporated into the body and this depends on whether the pain is voluntary or involuntary. What this means is that if you cut your finger while chopping vegetables, the reaction is to wince away from the knife and the pain is typically considered negative. This is considered ‘involuntary pain.’ An example of ‘voluntary pain’ is when a young man or woman takes a razor blade and cuts the insides of their thighs. This is typically done to induce pain to relieve another pain – one that can be an emotion pain or stress related (Glucklich 2001, 79). In the book Sacred Pain: Hurting the Body for the Sake of the Soul by Ariel Glucklich, there is great detail about the various descriptions and models of pain. It is not my intention to outline those here but to note that the models of Magical, Shared and Ecstatic pain, that Glucklich mentions, contain the properties that pertain to this paper (16). Pain has a unique quality for humans on how it affects the body. Some believe that it can help to transform the person, while others look at it from a perspective of a shared experience. ‘I feel your pain.’ How many times have we heard or said this to empathize with someone who was suffering? To truly feel one’s pain is to have experienced a similar or exact pain or suffering beforehand. Others look to create temporary states of euphoria though the use of pain. Glucklich discusses practitioner of this model: A particularly revealing contemporary manifestation of this model can be seen in the rituals and discourse of a man who calls himself Fakir Musafar and publishes the journal Body Play. Fakir is a leading player in a subculture that centers on body modifications: piercings, tattooing, and a variety of so-called modern primitive rituals. He has subjected himself to an eclectic assortment of mutilations, modifications, and tortures gathered from several sources, including Indian Sadhus, American Plains Indians, Christian ascetics, Sufi mystics, and others. (Glucklich 2001, 31) It is important to understand that the effect of pain on the human body has to do with biochemistry. Our bodies will release certain chemicals to compensate or combat an injury or pain. When I sprained my hand once in a sporting accident, my hand swelled to almost three times its normal size. My body was creating a cast of sorts to protect the injury. As I mentioned above, certain levels of pain can initiate euphoric states for a person, like Fakir Musafar, who is voluntarily inflicting pain to themselves. Use of pain in this fashion is considered a tool by many. As a tool, pain has been used by many over the centuries. It was typically used for torture, to compel the ‘guilty’ to confess their sins or crimes. It was a familiar theme for medieval monastic treatises and vitae that I will discuss later (Mowbray 2009, 73). The discomfort to the human body caused by pain, at various levels of intensity, was utilized as a distraction from the pleasure of the body and as a means of penance to atone for sins committed. From this pain, the idea of suffering is what religious people grasp onto to move closer to God. In 1984, Pope John Paul II stated: [The] joy comes from the discovery of the meaning of suffering...what we express with the word ‘suffering’ seem particularly essential to the nature of man...suffering seems to belong to man’s transcendence. (Glucklich 2001, 4) It is this transcendence through pain and suffering that Christians can equate to the life of Jesus, in that He had to suffer before ascending to His Glory (Jones, Wainwright and Yarnold 1986, 14). Some tools have but one purpose. But in the case of pain, it has numerous purposes and uses. As I will describe below, pain can be used as a means towards atonement, as a means to emulate the suffering of Jesus, as a means to grow emotionally and spiritually and as a “restorative power” (Mowbray 2009, 61). All of these I have stated thus far specifically point towards religious praxis. These same notions of ‘tools’ are also being utilized by those living or engaging in a BDSM lifestyle. These are also used to teach and recondition the individual by inducing an altered state to affect a change in learned patterns. Some of the best ways of learning is through suffering. Exposure to acute pain can allow the person to pass through to the other side with lasting effects that cause permanent change to the self (Thompson 1991, 279) Early Practices of Mortification of the Flesh Why use pain to connect with God? Humans are made of flesh with a soul. Many believed that for the soul to truly connect with God, the pleasures and sins of the body must be overcome to ready to be received by God. In medieval monastic life, the enchiridions of the time were rather clear on the importance of the amount of pain monks were expected to self impose: Brother, it is necessary for thee to be punished in this life or in purgatory: but incomparably more severe will be the penalty of purgatory than any in this life. Behold, thy soul is in thy hands. Choose therefore for thyself whether to be sufficiently punished in this life according to canonical or authentic penance, or to await purgatory. (Glucklich 2001, 60) The message is quite clear; suffer in this life to ensure less suffering after death. There are documented cases regarding religious figures that regularly practiced self mortification of the flesh. Those who wished to live an ascetic life, were among those who submitted themselves to pain and suffering through “repeated genuflections, immersions in cold water, the wearing of hairshirts and flagellation” (Mowbray 2009, 73). They believed that these practices would help them to renounce the world of the flesh and all of its desires and yearnings. As Glucklich states, this is a form of ‘Sacred Pain.’ The need and desire of religiously motivated individuals and institutions to transmute pain into purposeful theological trials actually takes place not on a normal level of consciousness but on a unconscious level that is not necessarily intentional by the individual (Glucklich 2001, 78). The use of pain and suffering to connect with the Divine was gleaned from the emerging vocabulary surrounding the interactions of humans and Christ. The masters$^2$ synthesized this vocabulary into a theological framework for laypersons to understand and support the ideas around suffering and pain (Mowbray 2009, 41). To be ‘Christ-like’ you need to emulate the suffering and pain that Jesus went through near the end of His life. To achieve His Glory, as mentioned above, He was to suffer here on Earth, so should the Christian suffer to achieve their glory when they die. It is interesting to note that this does not appear to adhere to the notion of reparations for sinning. Jesus did not suffer due to sin. Perhaps, because humans are not the ‘Son of God’ they are sinful and must repent for the sins of the mind and flesh. It is important when examining the religious use of suffering to look to the source of Christian teaching, the Bible. When exploring the practices of a culture or institution, it is important to examine doctrine and the written word on said practices. As I am finding during my time at seminary, scripture can be used to examine current day situations and also to lift up reasons for acceptable practices. The masters that I mention above had the same scriptures to help define the vocabulary regarding the importance of suffering as a Christian. Here I will look at a few passages from the Bible (NRSV Bible 1989) and provide potential evidence to confirm my $^2$ “Masters of Theology at the University of Paris between c.1230 and c.1300.” Donald Mowbray, Pain and Suffering in Medieval Theology (Suffolk: The Boydell Press 2009), 2. speculation that the masters used the scriptures to encourage pain and suffering for their devotees. Proverbs 20: 30 Blows that wound cleanse away evil; beatings make clean the innermost parts. The literal interpretation of this passage is that being struck hard enough to inflict injury will wash away sins and purify one’s soul. This passage could be lifted up to justify the wounds created by the practices of mortification of the flesh, like flagellation and use of a cilice. Freud believed that the use of pain was to remove feelings of guilt: Voluntary pain is a form of self punishment that subdues guilty inner voices by suppressing the effects of instinctual drives, especially sex, which conflict with broader social constraints. (Glucklich 2001, 85) Religious leaders, especially Catholic priests and nuns were expected to live a life of celibacy. The instinctual sex drives of humans do vary from person to person. However, to be of pure mind, body, and soul to commune with God, these desires would sometimes need to be driven away by pain. We will look at some examples of this later. 1 Peter 4: 1 Since therefore Christ suffered in the flesh, arm yourselves also with the same intention (for whoever has suffered in the flesh has finished with sin). This passage provides a directive for the reader. To be ‘Christ-like’ you must suffer as Jesus did. By this the sufferer will have their sins removed. Freedom from sin was achieved through suffering of the flesh. As with Christ, the Christian’s soul suffers by means of the suffering of the flesh (Mowbray 2009, 18). It is the soul that needs to suffer to be free of sin. Colossians 1: 24 I am now rejoicing in my sufferings for your sake, and in my flesh I am completing what is lacking in Christ’s afflictions for the sake of his body, that is, the church. Here Paul is rejoicing in his suffering. This suffering is not specified to be either of the flesh or soul but is for the church none the less. His rejoicing could be equated to accepting his own suffering and that makes him a better Christian. He was imprisoned at the time of writing this letter and this would explain a dimension of his suffering (O’Brien 1982, 75). Acceptance of one’s suffering will make them a better Christian? This is another example of how the lifting up of pain and suffering has been utilized by the Christian churches over the centuries. The greatest example Christians regarding pain and suffering for their faith is Jesus. Since His crucifixion, there have been many saints and laypeople who have emulated Christ’s suffering to proclaim their devotion to God and their faith in Christianity. It is important to note that these acts of mortification were for a higher goal or telos and a sacrifice was required of the individual, as Jesus did (Glucklich 2001, 98). Jesus made the ultimate sacrifice by giving up his life for his beliefs. The pain and suffering that is desired by early Christians was not always to that extreme. To live and suffer as Christ is the message (Warrington 2009, 16). Maria Maddalena de’ Pazzi was one such person who embraced pain and suffering to emulate Jesus and to be closer to God. She was from Florence, Italy and lived in the late 1500s. Throughout her life, she submitted herself to various forms of torture. She added nails to a corset so they would pierce her skin when she wore it. Maria would wear a crown of thorns to bed at night to embody the torment that Jesus must have endured when his crown. When she was not emulating Jesus, she used self-inflicted pain to battle the desire of the flesh regarding gluttony or lust. Through Jesuit training that began when she was a child, she became a nun in 1583. Sister Maddalena’s practices were known by many when she entered into the monastery: Maria Maddelena’s self tortures are not only vivid illustrations of sanctioned “masochism.” They provide an unusually detailed map of the subjective experiences of the religious self-hurter. The details put to easy rest any notion that pain is a monolithic experience lacking subtlety, ambiguities, or inner contradictions. It is possible, based on information obtained from Maria’s confessors, superiors, and sisters, to distinguish at least three major types of pain in her monastic life: voluntary self-inflicted pain, pain she felt inflicted on her by devils and which may have be nonconscious forms of self-mutilation, and natural pain (disease). (Glucklich 2001, 82) It is through Saint Maria Maddalena de’ Pazzi’s mysticism that she is remembered. Through her letters to the Pope, bishops and priest towards the end of her life did many of her visions and visitations by God become documented to be eventually translated for the world to read (Maggi 2000, 7). As previously mentioned, the prescribed life of the monastery involved self-inflicted pain and suffering. The text Regula Magistri (Rule of the Master$^3$) is one example of proscriptions to those living a monastic life. The Rule of St. Benedict is believed to use Regula Magistri as its basis. It is through these ecclesiastic texts that religious leaders propagated their doctrine regarding corporeal punishment for children, minor clerics, and monks. These texts also included other practices directing subjugates to imitate Christ’s sufferings (Glucklich 2001, 73). The lived and written examples of the importance of pain and suffering as it pertains to the Christian seem very apparent. To be ‘Christ-like’ is to suffer of the flesh as Jesus did. This will ensure that your soul will suffer here during this life so you will not suffer in the next one. Some of the suffering is not as extreme as I have mentioned here. Fasting and giving up ‘guilty pleasures’ during Lent is an example of suffering and abstaining to be more ‘Christ-like’ without the use of pain. Rejoice in your suffering as Paul rejoiced in his. --- $^3$ Order of St. Benedict, The Rule of Saint Benedict Bibliography—Topics, 16 December 2009, available from [http://www.osb.org/rb/bibrm.html](http://www.osb.org/rb/bibrm.html); Internet; accessed 16 December 2009. Practices of BDSM in Modern Times Is the pain practiced in the past so different than the pain generated by the practices of BDSM today? Now we will explore the manifestation of spirituality through pain today and reflect back upon what has been previously discussed. Ask any Christian; Jesus was human and divine, wasn’t he? To attempt to be ‘Christ-like’ is to attempt to connect with or become one with Divinity. This is something that many practitioners of BDSM are attempting to do today. Those who move in spiritual circles, such as Native American Indians, and Buddhist monks, have been exploring the connections between pain and Divinity for a long time (Wappler 2005). As mentioned in my opening paragraphs, Fakir Musafar is one of many individuals who have been exploring the practices of a wide range of religious and cultural people in regards to pain and the spiritual self. Another member of the Leather community, Joseph W. Bean, has an interesting definition for spirit and spirituality: My own idea of the human spirit…Spirit is that impulse in a man which urges him to discover his nature, overcome his fate, and strive for what destiny offers but does not promise. Spirituality—indistinct from the finest sorts of psychology—is not a thing that comes naturally to a man as his whiskers or sexual orientation does, but it is a facet of human nature. By learning to act from human nature rather than fighting or abusing it, a man becomes a balanced creature. (Thompson 1991, 259) As part of my signature on emails, I have a quote from Walt Whitman, “Whatever satisfies the soul is truth.” The definition above by Bean resonates with this quote from Whitman, in regards to human nature and the impulses of the human spirit. It is this facet of human nature that causes humans like Musafar to become that balanced human by these practices, just as Saint Maria Maddalena’s attempted to find the grace of God through her self-inflicted torments. __________________________ 4 Walt Whitman, Leaves of Grass: The Original 1855 Edition (2007 Paperback) Are the modern practitioners of BDSM only in it for sexual gratification and nothing more? These are comments that have come from not only the heterosexual mainstream community but also from within the gay and lesbian community as well. For many years, and even today, BDSM has been condemned by a substantial number of people, including gays and lesbians. The visibility of men and women in leather may have pushed away many gays and lesbians who sought acceptance by a mainstream community (Thompson 1991, xii). Prior to the sexologist of the late 1800s and early 1900s, BDSM practices were not reviled as they would eventually become. Licensed psychotherapist Dorothy Hayden explains: It has only been in the last hundred years that masochism has been seen as a perversion. When the nineteenth-century psychiatrist Krafft-Ebing placed the term masochism under the rubric "General Pathology" in his famous book "Psychopathia Sexualis", masochism began to get bad press. A few decades later, Freud wrote about masochism as a function of infantile sexuality, incomplete development, stunted growth, and childish irresponsibility. Since then, masochism has been irrevocably allocated to the ghetto of "perversion" and the clinical community has viewed it as a pathological aberration that must be cured. (Dorothy C. Hayden 2009) Does this prognosis mean that the practices performed for centuries by those who sought a connection to the Divine were sick and needed to be cured? Krafft-Ebing would say yes but theologians like St. Francis of Assisi would say they were only attempting to connect to God through the suffering of Jesus Christ (Jones, Wainwright and Yarnold 1986, 303). Suffice it to say, there are some people who engage in BDSM for purely sexual reasons and even some of them have rejected the idea that BDSM is anything other than a sexually good time. I do not believe that their point of view negates the beliefs and practices of modern day practitioners or those in the past. Until this point, I have neglected to discuss the ritualistic aspect of BDSM practices. This I believe provides a unique aspect that can separate a spiritual practice from a sexual act. As seen in the movie The Da Vinci Code, the albino villain Silas ritualistically takes off his clothes, prays to the crucifix in his room, switches his cilice from his left thigh to his right thigh, and then begins self-flagellation. While this scene was dramatically sensationalized to create effect for the audience, there was significant emphasis on ritual involved. There is ritual within BDSM scenes and activities. Sensuous Sadie provides a description of a collaring ceremony she witnessed: Madame Saki’s collaring ceremony was only the second collaring ceremony I’ve ever attended. This one is more formal [than the first one I attended], just a training collar, but a commitment taken seriously. Madame Saki is dressed in red silk with a layer of black lace, a rose curved into her breast. Her submissive, Cole, showed off his body, tall and lithe in a leather harness...They exchanged roses and vows, and we stood in a circle, warmed by the light of leather-scented candles and a riot of flowers. We bless their union as they bless our community...So then what is this relationship? Madame Saki tells me it’s not about sex, not eros, not romantic love. She says it is more about the philos flavor of love, brotherly love. No, not about sex, but about a caretaking and teaching relationship. (Sadie 2003, 112-113) This collaring ceremony illustrates that there is much more to BDSM than just grabbing a whip and start to inflict pain upon someone. Madame Saki takes her role very serious as a teacher and caretaker for her new slave. I wanted to impress to the reader that this has been more of the norm regarding the personal interactions I have had with my own interactions with the BDSM community. The way a sadist lays out his or her implements is very ritualistic. There are special connections to certain individuals through a favorite flogger or specific paddle. There is a level of reverence for each of the nipple clamps that the sadist has that can be equal to the various implements of a religious practitioner. Some would believe that these statements are profaning the sacredness of holy relics. But I would submit that one form of ritual can be no greater than another if the intent behind both is genuine, respectful, and sacred for the individuals involved. In relation to human behavior, ritual is an “embodied knowing” that allows humans to create and normalize their world by developing patterns of meaning that the human body can absorb and digest (Sheldrake 2005, 546). There are even workshops about bringing ritual into BDSM play. Here is a description of one such example: Ritual, whether you are spiritual or not, can bring a new level to your experiences or play. Theoretically, ritual can be any series of actions you do habitually. However, the ritual we will discuss are any actions that are done with intention and belief to reach a higher energy level. Why bring ritual into it? BDSM play, on various levels, generally wants to evoke atmosphere to enhance the emotion during the play. Ritual works in creating the proper “space” or atmosphere and intent. This, in turn, intensifies the “mood” of the play by the heightened level of energy created. (SWLC 2009) How someone adds sugar and cream to their coffee or tea can be a ritual as well. Based on the Christian definition of ritual, the intricate knots used during a bondage scene can reflect a very sacred ritual for those who are performing it. Beyond the ritual part of BDSM, there is the aspect of administering and receiving pain. This is the crux of who the sadist is and who the masochist is. There needs to be a high level of trust and understanding between these two people before they engage in and BDSM play. For the novice masochist, they may be so desperate to find a sadist that they connect with the first one they meet. This can be a very dangerous situation for anyone, regardless of experience (Sadie 2003, 202). There are discussions that need to happen first. These are called ‘negotiations’ and they need to happen prior to anyone actually getting flogged or tied up. This connection between the Dom and sub is very important. Too much of anything can be harmful to you. Whipping a sub to the point of unconsciousness is not the point of proper BDSM. Part of the spiritual euphoria that is being sought after comes from going just far enough but not too far. A sub explains: With whipping you do a lot more fighting inside, pulling back, pushing yourself forward. When you start to peak, everything overwhelms and you crash into an incomparable state of peace. When I go through playing a role for a top, it forces me to take my life apart. I reconsider everything I’ve had to do. All the wonderful and lousy things I’ve thought. When I come out, I’m ready to rebuild and totally refreshed. (Mains 1984, 136) Does this not sound like the transcendence that Pope John Paul II alludes to regarding the nature of man earlier in this paper? The pain inflicted upon his body allows him to connect to his soul and examine his life, the rights, and the wrongs and in the end is cleans of his past, renewed as if purified of his sins. The similarities between the use of mortifications of the flesh in the past and examples like this provide strong evidence regarding the spirituality of pain. There are spiritual communities surrounding the use of BDSM. With the formation of the Metropolitan Community Church (MCC), there was a place for those who previously had no place to go to worship and not feel an outcast or be ridiculed. The people I am referring to are the Gay, Lesbian, Bisexual, and Transgender (GLBT) community. Within the BDSM community, sexual orientation or gender identity has typically not been an issue. Inclusiveness is something that many strive to achieve. One example of this kind of community is the Southwest Leather Conference, which is held in Phoenix, Arizona each year in January. The non-profit organization that manages this event has a very explicit mission statement: Butchmanns, Inc. is a 501 (c) (3) non-profit national educational organization dedicated to self-actualization and the ending of suffering. Butchmanns facilitates and fosters spiritual growth and transformation by providing grants and educational opportunities to those often wrongfully stigmatized for their sexual expression, non-traditional relationships and/or unconventional spiritual practices. Butchmanns promotes the use of physical practices and the conscious exchange of personal power for spiritual awareness. We recognize all life-affirming spiritual paths as valid, affirm all mutually beneficial relationships as inherently sacred, and embrace adults of every age, race, body type, physical ability, sexual orientation, and gender identity. (SWLC 2009) It is through events and organizations like these that provide a venue for community of likeminded people to come together to exchange ideas and connect on a spiritual level. Another example of the connection between BDSM, spirituality, and religion is a social and educational group sponsored by MCC Los Angeles called People of Leather Among You (P.L.A.Y.). The co-founder of this group is Pacific School of Religion alum Rev. Tim Hamilton. Here is an excerpt from his bio page on the MCCLA website: Co-founder of MCCLA’s P.L.A.Y. group, along with Skip Chasey. People of Leather Among You was formed to support and encourage people to increase their awareness of radical sexuality and Spirituality in the same breath. Founder of “Tribal Revival” a radically inclusive worship service at Southwest Leather Conference, where people from all walks of life are encouraged to bring their loving existence to worship – regardless of religious affiliation. (MCCLA 2009) These are people who are not only embracing a religious and spiritual connection to Divinity through worship in the traditional sense but also through the ‘radical sexuality’ of BDSM. Protestant and Catholic reformers understood spiritual growth as including “both active choice and receptive surrender” and a modern look as spiritual growth points to embracing new ideas about faith and doubt which also requires the inclusion of science, social structures and religions from all over the world (Sheldrake 2005, 331). From the earlier days when much of the BDSM community was deeper in the closet than the GLBT community to now where houses of worship are again recognizing the spiritual significant of individuals who wish to embrace various forms of pain to connect with Divinity, it is clear that the practices of BDSM are every bit as significant to spiritual growth today as they were during Saint Maria Maddalena’s time. Conclusion The spirituality of pain is a concept that many people would find difficult to comprehend. For many Christians, mention various saints that are well known to have practiced various sorts of ‘mortification of the flesh’ and they will be able to connect this pain and suffering with penance and atonement. But as I have outlined above, moving through this penance and atonement is part of the spiritual growth than modern practitioners of BDSM are attempting to achieve. When speaking with someone who is a weightlifter, one of their famous catch phrases is: “No Pain, No Gain!” The gain is obvious for them, its muscle mass. The gain from the pain discussed above has to do with spiritual and personal growth. The pain and suffering here has been presented as a method of catharsis for the individual. I have clearly detailed the restorative power of pain in both modern and historical contexts. Denying the spiritual growth potential from pain is denying oneself of healing: Sidestepping pain, by whatever method, never really succeeds. Though it may work for time in a man’s thinking, it fails to heal anything at the center of his life. (Lindell 1974, 22) Through the evidence presented, pain has been described as a tool used by religious and spiritual people to achieve the aforementioned growth. For some, this pain and suffering will bring closer to their Christian God and Jesus Christ. For others it is more about an inward spiritual journey to atone for past digressions and to move forward free of guilt. The vocabulary of early religious leaders has been outlined regarding doctrine about the importance of pain and suffering to be good Christian. These doctrines, like the Regula Magistri, encouraged followers to emulate Christ in His suffering so that they can be more like Him. Through the use of Biblical passages, I have lifted up specific examples of the importance of pain and suffering to connect with Divinity. The example of Saint Maria Maddalena and the discussion of Jesus I provided illustrate the very real connection that Christians in the past and today have with the utilization of pain to connect with Christ and God. Through my comparison of Fakir Musafar and Saint Maria Maddalena, I provided a clear connection between past and present practices in regards to connecting to the divine and achieving spiritual growth. Musafar is famous for performing the flesh pull ritual of the Native American Indians that Richard Harris made famous in the movie A Man Called Horse. In the movie, it was only simulated but Musafar has done it many times in private and public (Thompson 1991, 304). Not only do some of these ritualistic practices of pain come from the religious beliefs of the West but also indigenous people as well. I would have been negligent to not include specifics regarding the discussions of sexologists regarding human behavior and sadomasochism. Human nature needs spirituality as a facet of itself, as previously discussed. The notion that Krafft-Ebing would diagnose the many Christian saints to be sick and needing to be cured would be absurd to many religious leaders in the past and today. Recall the definitions provided in the beginning? ‘Sexual perversion’ is what we have to thank the sexologists of the late 1800s for. Saint Maria Maddalena was not using it for sexual purposes. The ritual aspect of BDSM has been presented and compared to religious practices in a way that should illuminate their similarities and not their differences. Ritual is essential to human behavior. When I was getting a latte this morning at a local coffee shop, I had to laugh at the way I make sure the crease on the cup is facing away from me before putting the lid on the cup. This is a ritual that I have been practicing for years. Included in the ritualistic practice is the need for trust and understanding between those who are engaging in BDSM play. This trust can allow the sub to be free of concerns and allow the pain to flow through them to achieve that ecstatic nexus with Divinity. The reemergence of a connection within the religious community and spiritual pain may be a surprise to some. The ministry work at MCC Los Angeles and the Southwest Leather Conference are just two examples of how a spiritual community has formed and grown around the practices of BDSM in a loving and caring way. I hope that through this discourse, I have eliminated the notion that people only practice BDSM for sexual gratification alone. As Madame Saki pointed out to Sensuous Sadie, the relationship with her new slave was not sexual at all – Philos, not Eros. These are words those in religious and spiritual circles understand very well. It is Divinity’s agape that many are seeking through BDSM. It is my hope that I have provided the reader with sufficient evidence and discourse to reevaluate their previous opinion of BDSM and perhaps think less negatively of it in the future. For those who are more like minded with the people who practice BDSM today, it is my sincere hope that I have provided some new insights regarding the connections of the acts in the past by religious people and those being practiced today. To think otherwise would be unfortunate. Through the works of others and my own insights, I hope you are able to witness the Spirituality of Pain. Bibliography Dorothy C. Hayden, LCSW. "Masochism as a Spiritual Path." Dorothy Hayden, LCSW, MBA, CAC. 2009. http://www.sex treatment.com/masochism.html (accessed 12 16, 2009). Glucklich, Ariel. Sacred Pain: Hurting the Body for the Sake of the Soul. New York, NY: Oxford University Press, 2001. Jones, Cheslyn, Geoffrey Wainwright, and SJ, Edward Yarnold,. The Study of Spirituality. New York, NY: Oxford University Press, 1986. Lindell, Paul J. The Mystery of Pain. Minneapolis, MN: Augsburg Publishing House, 1974. Maggi, Armando. Maria Maddalena de' Pazzi: Selected Revelations. New York, NY: Paulist Press, 2000. Mains, Geoff. Urban Aboriginals: A Celebration of Leathersex. San Francisco, CA: Gay Sunshine Press, 1984. MCCLA. 2009. http://www.mccla.org/tim_hamilton.html (accessed December 16, 2009). Merriam-Webster. 2009. http://m-w.com/ (accessed December 16, 2009). Mowbray, Donald. Pain and Suffering in Medieval Theology. Woodbridge, Suffolk, UK: The Boydell Press, 2009. NRSV Bible. 1989. O'Brien, Peter T. World Biblical Commentary: Colossians, Philemon. Edited by David A. Hubbard, Glenn W. Barker, John D. W. Watts and Ralph P. Martin. Vol. 44. Waco, TX: Word Books, 1982. Sadie, Sensuos. It's Not About the Whip: Love, Sex and Spirituality in the BDSM Scene. Victoria, B.C.: Bitch Kitty Books, 2003. Sheldrake, Philip, ed. The New Westminster Dictionary of Christian Spirituality. Louisville, KY: Westminster John Knox Press, 2005. SWLC, Southwest Leather Conference 2010. Southwest Leather Conference 2010. 2009. http://www.southwestleather.org/swlchome/index.php?categoryid=21 (accessed December 16, 2009). Thompson, Mark, ed. Leather-Folk: Radical Sex, People, Politics, and Practice. Boston, MA: Alyson Publications, Inc., 1991. Wappler, Margaret. "Hand in Glove – Inside the Christian Ministry People of Leather Among You." Nerve.com. April 22, 2005 . http://www.nerve.com/dispatches/wappler/handinglove/ (accessed December 10, 2009). Warrington, Keith. "Suffering and the Spirit in Luke-Acts." Journal of Biblical & Pneumatological Research 1 (Jan. 2009): p15-32, 18p.
Mass Intentions for the Week SATURDAY, JANUARY 13, 2018 8:30 AM + Cenacle Prayer Group 5:00 PM + Joanne Petrizzo (Petrizzo Family) + Paul Hurley (Ricchiuti Family) SUNDAY, JANUARY 14, 2018 7:30 AM + Florence Kulikowski (Daughter) 9:30 AM + Jeanine Benigno-Nye (Mr. & Mrs. Nick DeCaprio) + Lemuel Oquendo (Wife & Family) 11:00 AM + Sarina Gosset (Mr. & Mrs. DeGennaro) 5:00 PM + People of the Parish MONDAY, JANUARY 15, 2018 8:30 AM + Purgatorial Society TUESDAY, JANUARY 16, 2018 8:30 AM + Living Intention Maryann O’Neill (John & Mary Daley) WEDNESDAY, JANUARY 17, 2018 8:30 AM + Living Intention Mary Brown (Friend) THURSDAY, JANUARY 18, 2018 8:30 AM + Frances Slattery (Linda & Kurt Erlandson) + Brian B. Young (Wife and Family) FRIDAY, JANUARY 19, 2018 8:30 AM + Michael Aprigliano (Victoria & Matthew Cop) SATURDAY, JANUARY 20, 2018 8:30 AM + Rose Calabrese (Friend) 5:00 PM + Frank & Catherine Camardo (Family) + Living Intention JeanMarie Chudzik (Friend) SUNDAY, JANUARY 21, 2018 7:30 AM + Lottie Knapp (Bill & Marlene Kelly) + Margaret O’Neil (John & Suzanne Quinn) 9:30 AM + Jennifer Lyn Kiernan (Holy Family Staff) + Dora Gallipoli (Gladys & Neil Sandman) 11:00 AM + Peter Adinolfi (Mr. & Mrs. P. Barrella) + Naomi Upodegrove (Mr. & Mrs. P. Barrella) 5:00 PM + William Dickinson Jr. (Valania Family) Please Remember to Pray for the Sick Lucy Loverto, Ed Prince, Bernard Fahey Sr., Jack Evans, David Brett, Dennis Carraturo Sr., Mary Frankowich, Damian Breen, Dennis Halloran, Kathleen Sullivan, Maureen Wines, Jay Scott, Gale Byrne, Larry Thorpe, Michael Mazzaro. RECENTLY ILL: Kelly Neilson, Angelina Rotella, Carmella Aliperti, Vincent Hermans, Christopher D’Amodeo, Sue Hicks, Joseph Healey, Bob Rodell, Loraine Warnick, Jenny DelGoria, Ron Zollo, Thomas & Colleen Burke, Theresa Toth, Victor Lembo, & Ken Smolinski. SECOND SUNDAY IN ORDINARY TIME First Reading: 1 Samuel 3:3b-10, 19 This powerful story describes Samuel, who at the time was the servant of the high priest. The Lord called out to Samuel, who twice thought Eli had called him. They gradually realized that it was the Lord who called for him. So the third time Samuel answered and the Lord remained with Samuel as he grew. Second Reading: 1 Corinthians 6:13c-15a, 17-20 Paul explains to the Corinthians that their body is a temple of the Holy Spirit. He tells them to avoid lewd conduct, and glorify God by keeping their bodies pure. Gospel: John 1:35-42 John told two of his disciples that Jesus is the Lamb of God. They turned and followed him, immediately curious and attracted to him. Andrew told his brother Simon about Jesus. Simon also came to meet Jesus, who renamed him Cephas, or Peter. ©1999 Bon Venture Services, Inc. READINGS FOR THE WEEK Sunday 1 Sm 3:3b-10, 19; 1 Cor 6:13c-15a, 17-20; Jn 1:35-42 Monday 1 Sm 15:16-23; Mk 2:18-22 Tuesday 1 Sm 16:1-13; Mk 2:23-28 Wednesday 1 Sm 17:32-33, 37, 40-51; Mk 3:1-6 Thursday 1 Sm 18:6-9, 19:1-7; Mk 3:7-12 Friday 1 Sm 24:3-21; Mk 3:13-19 Saturday 2 Sm 1:1-4, 11-12, 19, 23-27; Mk 3:20-21 Holiday Closing The Parish Offices will be closed on Monday January 15th in honor of Martin Luther King Jr. Day. Please Pray for the Deceased Fantina Eccles Cruz Suarez Robert L. Pattison Join Us Holy Family Book Club March 5th Time: 7:00 P.M. Where: Memorial Hall Beginning: March 5th May 7th Part 1 of 2 Join fellow parishioners beginning on March 5th at 7:00 p.m. for a monthly Catholic book club. The meeting will take place in Memorial Hall and donuts and coffee will be served. During the first meeting, we will discuss The Gospel According to Mark, a commentary by Marie Noonan Sabin. Schedule - March 5th at 7 p.m. -- The Gospel According to Mark, a commentary by Marie Noonan Sabin - April 9th at 7 p.m. -- Reasons to Believe: How to Understand, Explain, and Defend the Catholic Faith, by Scott Hahn - May 7th at 7 p.m. -- A Pope and a President: John Paul II, Ronald Reagan, and the Extraordinary Untold Story of the 20th Century, by Paul Kengor Part 1 Chapters 1-19 - June 4th at 7 p.m. -- A Pope and a President, by Paul Kengor Part 2 Chapters 20-38 Books can be purchased through Amazon and Barnes & Noble bookstores. If you have any questions, please contact the Rectory Office. Rev. Matthew J. Pfleger FAITH FORMATION Welcome Back! - Grades 3 & 7 Registered students in grades 3 and 7 should have received their placement letter in the mail with class assignment and starting date. Tuesday, January 16, 2018 - 4:30 – 6:30 p.m. Grade 3 - 6:30 – 8:00 p.m. Grade 7 Parent Meeting Grades 3 & 7 – There will be a parent meeting for grades 3 & 7 in Memorial Hall on Tuesday January 16 at 4:30 p.m. for third grade parents and 6:30 p.m. for seventh grade parents. Liturgy of the Hours, Divine Office, The Breviary The Catechism of the Catholic Church states: 1175 The Liturgy of the Hours is intended to become the prayer of the whole People of God. In it Christ himself "continues his priestly work through his Church." His members participate according to their own place in the Church and the circumstances of their lives: priests devoted to the pastoral ministry, because they are called to remain diligent in prayer and the service of the word; religious, by the charism of their consecrated lives; all the faithful as much as possible: "Pastors of souls should see to it that the principal hours, especially Vespers, are celebrated in common in church on Sundays and on the more solemn feasts. The laity, too, are encouraged to recite the divine office, either with the priests, or among themselves, or even individually." Please join us as we pray the Hour of Morning Prayer (Lauds) Monday-Friday at 8:15 before daily Mass. -- Rev. Matthew J. Pfleger All women of the parish 18 and older are invited to come and join the Altar & Rosary Society. Our next meeting will be on Thursday, January 25, 2018, beginning at 7 p.m. with the Rosary and Benediction followed by our meeting. Ministry Schedule Weekend of January 20 and 21 Serving at the Altar \| 5:00 P.M. \| 7:30 A.M. \| 9:30 A.M. \| \|-----------\|-----------\|-----------\| \| Jeremy Ramos Cara Schellato \| Jillian Johnson Kayla Rose \| Alex Auletta Brian Mocarski Charlotte Mocarski \| \| 11:00 A.M. \| 5:00 P.M. \| \|-------------\|-----------\| \| Aiden Mulvey Jamie Reyes Ethan Reyes \| Angelina Christ Aiden Lorenzo \| Readers and Extraordinary Ministers of Holy Communion \| 5:00 P.M. \| T. Mathias \| R. Aagre, G. DeCaprio \| \|-----------\|-----------\|------------------------\| \| 7:30 A.M. \| M. Ottinger \| J. Quinn, S. Quinn \| \| 9:30 A.M. \| A. Mocarski \| M. Oquendo, V. Tucker \| \| 11:00 A.M.\| G. Rotella \| R. Janasz-Nagle, D. Neubauer, F. Rotella \| \| 5:00 P.M. \| G. Kiley \| F. Maysonet, J. Reash \| Parish Giving January 1 – Solemnity of Mary $1,621 Last Week – January 7 1st Collection – Weekly $5,609 2nd Collection – Programs & Facilities $1,473 This Week – January 14 1st Collection – Weekly 2nd Collection – Programs & Facilities Next Week – January 21 1st Collection – Weekly 2nd Collection – Programs & Facilities Diocese of Trenton – Our Promise to Protect The Diocese of Trenton is committed to the initiatives outlined in the U.S. Bishop’s Charter for the Protection of Children and Young People in regard to the reporting of and investigation of sexual abuse allegations involving minors. If you have been sexually abused as a minor by a member of the clergy or anyone representing the Catholic Church, or if you know of someone who was, you can report the abuse through the diocesan Abuse Hotline: 1-888-296-2965 or via email at firstname.lastname@example.org. The Diocese of Trenton reports any allegations of sexual abuse to the appropriate law enforcement agencies. Anyone with an allegation is also encouraged to provide that information to local law enforcement authorities. MASS FOR LIFE January 18, 2018, at 7:00 P.M. CO-CATHEDRAL OF ST. ROBERT BELLMARINE The Most Reverend David M. O’Connell, Bishop of Trenton, will celebrate Mass at the Co-Cathedral of St. Robert Bellarmine in Freehold and is open to all, especially, those who cannot make the March for Life on January 19th. Life is precious from conception to natural death. KNIGHTS OF COLUMBUS St Joseph Council #3402 54 Route 35 North, Keyport NJ 07735 Our Second Sunday Breakfast on January 14 8am–12pm – Adults $8, Seniors $7 & Kids 10 & under eat free. Old and Used Eyeglasses/Cell Phones - The Knights have now established 2 collection boxes at our Council; one for old and used eyeglasses (lenses and frames) & one for used and obsolete cell phones. For Ladies Auxiliary information, please call: 732-264-9729 or please email: email@example.com For Knights Membership Information: please email: firstname.lastname@example.org or call: 732-320-0950. Rachel’s Vineyard 2018 Weekend Retreats February 16-18, 2018 August 24-26, 2018 Healing the trauma of abortion – one weekend at a time. Healing the Wounds of Abortion The psychological and spiritual wounds of abortion can be sharp, deep and crippling. You may feel a deep numbness and may not be able to name the pain or recognize any of the symptoms. It can also have a devastating impact on the father or grandparents of the aborted child and friend/s of the mother. You do not have to continue to hide in shame and fear. Rachel’s Vineyard’s Retreat is a chance to focus on this painful time in your life through a supportive non-judgmental process, in an atmosphere of confidentiality, understanding, and compassion. It is designed to help both women and men experience the mercy and compassion of God. If you have suffered through an abortion and have isolated yourself from healing and forgiveness, you might consider attending one our retreat weekends. For more information, contact Judy Warenkiewicz at 732-536-6871. All inquiries are strictly confidential. Golden Age Ministry of Holy Family Trip to Woodlock Pines – Oct. 14-17 The Golden Age Ministry is sponsoring a trip to Woodlock Pines Resort in Hawley, Pa, from October 14-17, 2018. Price pp double occupancy including bus is $501 and single occupancy is $545. For more information and to reserve your space contact Marlene Kelly 732-730-0146. Mark your calendar and GET ON THE BUS!! Join hundreds of thousands of people from all over the country in peaceful protest against legalized abortion! This is an AMAZING, UPLIFTING experience for both the young and old! Since the Roe v. Wade Supreme Court decision in 1973, about 60 million babies have been killed by abortion and each day about 3,300 babies are aborted. Be a voice for the voiceless and GET ON THE BUS! Departures are the morning of Friday, January 19, 2018. Bus Transportation Information MONMOUTH COUNTY Below are the parishes that are chartering buses to the March for Life. Please call or email for more information and to reserve your seat. St. Catharine/St. Margaret, Spring Lake – Departs from St. Catharine Church. Contact Sheila Kenny (201) 637-7618 or email@example.com Holy Cross Parish, Rumson – Contact Lori (732) 842-0348 x1123 or firstname.lastname@example.org St. Jerome Parish, W. Long Branch – Contact Kathryn Perez (732) 581-9735 or email@example.com St. Mary’s, New Monmouth – Contact Bill Large (732) 778-0776 or firstname.lastname@example.org St. Rose of Lima, Freehold – Contact Anthony Musillo (732)536-1731 or email@example.com St. John the Baptist, Allentown – Contact Dorothy Conway (609) 259-3391 or firstname.lastname@example.org This year’s speakers will include NFL/MLB star Tim Tebow’s mother Pam Tebow, former NFL player Matt Birk and his wife Adrianna, U.S. Representatives Dan Lipinski (D-IL) and Chris Smith (R-NJ), and Sisters of Life’s Sr. Bethany Madonna. Additionally, best-selling Christian music artist Plumb is set to perform. Washington March for Life – Schedule - 11:30 a.m. Musical Opening featuring Plumb! - 12:00 p.m. Rally Program. - 1:00 p.m. March up Constitution Avenue to Supreme Court and Capitol Building. To download a map of the Washington march area or for more information on the March for Life log onto [marchforlife.org](http://marchforlife.org). --- December 2017 Dear Brothers and Sisters, In virtue of the authority granted by our Holy Father, Pope Francis, to Cardinal Mauro Piacenza, the Major Penitentiary of the Catholic Church, a plenary Indulgence can “be obtained under the usual conditions (sacramental Confession, Eucharistic Communion, and prayer for the intentions of the Supreme Pontiff) by the Christian faithful who are truly penitential and compelled by charity, which indeed they can apply to the souls of the faithful held in Purgatory, by way of suffrage, if they take part in the sacred celebrations, along with the great assembly of people throughout the whole course of the annual event that is called “March for Life,” which will be carried out on the eighteenth and nineteenth days of January 2018” in the entire “Diocese of Arlington” and “the Archdiocese of Washington.” The decree goes on to note that “the aged, sick and all those who due to grave reason are not able to leave home will be equally able to obtain a plenary Indulgence, having the disposition of detachment from any kind of sin with the intention of fulfilling, as soon as one is able, the three customary conditions if they spiritually join themselves to the holy ceremonies, while also have offered prayers and their sufferings or the ailments of their own life to the merciful God.” May the efforts of all across this great nation to lift up the value and dignity of each human life continue to bear fruit, and may we all experience God’s blessings in this noble undertaking. Fraternally Yours in Christ, Michael F. Burbidge Bishop of Arlington Donald W. Wuerl Archbishop of Washington --- Mass For Life Monday, January 22nd Time: 9:30 AM Location: St Mary’s Cathedral 151 North Warren Street Trenton, New Jersey Celebrant: Bishop David O’Connell, C.M. Then Process to the Statehouse Annex for the Rally for Life Sponsored by New Jersey Right to Life Gospel Today Second Sunday in Ordinary Time \| John 1:35-42 John saw the Holy Spirit when he baptized Jesus and told the others “this is the Lamb of God”. Interested people began to follow Jesus. BIBLE WORD SEARCH Find all the words... left, right, up, down or diagonally. Look Lamb God Jesus Holy Spirit Baptized John Disciples Heard Followed Andrew Peter Messiah Teacher People Spent Day Come See Draw a picture of the Holy Spirit in the form of a dove as John saw it appear above Jesus after His baptism.
San Marcos Water Rates and Politics June 13, 2020 Presented by Tom Scaglione Co-founder of Friendship of Vallecitos Customers Former AGM / CFO Vallecitos Water District Friendship of Vallecitos Customers We pay for water, not politics friendshipvallecitoswater.org ATS Financial Services The Bridge to Financial Stability (760) 684-1800 DARK MONEY Special interest-funded organizations with politically appeasing names. These names show up on campaign contribution disclosures – not the special interests providing the financial support. “North County Taxpayers for Responsible Government” $30,000 to Hal Martin “Deputy Sheriff’s Association of San Diego County PAC” $18,532 to Mike Sannella “California Taxpayers Coalition” $10,500 to Mike Sannella “BIA of San Diego County PAC” $20,000 to Mike Sannella Building Industry Thousands upon thousands to Martin and Sannella A developer-backed majority took control of the Vallecitos Water District Board in the 2012 elections The Political Shift At a Vallecitos Board meeting in 2013 Board Member Jim Poltl: “The District’s interest has to do with providing basic services, sewer and water, at the best price. That’s all it is. It has nothing to do with helping out developers.” Newly elected Board Member Hal Martin: “I look at the bigger picture. Economic stimulus. Smaller governmental agencies ... make that happen.” Public Utilities - 2 Sources of Controllable Revenue Controllable because the Board can raise and lower rates to adjust the respective reserve balances. Capital Facility Fees from Developers Water and Sewer Bills from Customers Construction cost for growth Debt service Cannot legally charge more than the developers’ impacts What’s left over is the developers’ money or Developer Reserves Operating expenses Asset replacements Cannot legally charge more than the cost to provide service What’s left over is the ratepayers’ money or Operating and Replacement Reserves Since 2013, developers have not been paying for their full impacts (additional infrastructure). Ratepayers have been making up the difference. Ratepayers have subsidized developer costs by at least $14.6 million. VWD is the only water agency in San Diego County (possibly all of California) with a deficit in its developer funds. No other water agency in San Diego County has accumulated more ratepayer money than VWD, money that is being used to continually subsidize development. - Rainbow: $28.1 million - Rincon: $35.0 million - Valley Center: $32.1 million - VWD: $96.3 million - VID: $39.5 million - Olivenhain: $71.0 million Since 2013, Vallecitos Water District customers paid ... $52.3 million for developer obligations $155.3 million for water $9.1 million for asset replacement $120.9 million for operating costs 46% 35.8% 2.7% 15.5% Projected before private negotiations with Builders $19,640 Sewer Cap Fee $10,165 Water Cap Fee Developer fees are too low to cover the costs Vallecitos will incur to accommodate urban growth. Ratepayers will continue to subsidize development. Adopted after private negotiations with Builders $12,986 Sewer Cap Fee $7,896 Water Cap Fee • “I hate the word deficit for many reasons. It gives credibility to detractors to start with. … There's no deficit. … Deficit is a bad word. For the nay sayers, it's very easy to say 'deficit!'. … We need to change that terminology somehow … You can't use the word 'deficit.' Change that terminology.” Hal Martin, Board President • “[How about] 'Capital Facility Revenue Shortfall’,” General Manager • “There you go!” Hal Martin, Board President “… the determined Cap Fees should have no fiscal impact to ratepayers.” October 2, 2019 Staff Report on Modification of Cap Fees http://www.vwd.org/home/showdocument?id=11092, page 33 From VWD Adopted 2019 Budget 5-Year Developer Deficit Projection A Subsidy Funded by Ratepayers in $Millions - Water Cap Fees were overstated by 29% - Sewer by 51% - Included $28 million in bond proceeds with no intention to issue “… the determined Cap Fees should have no fiscal impact to ratepayers.” October 2, 2019 Staff Report on Modification of Cap Fees http://www.vwd.org/home/showdocument?id=11092, page 33 5-Year Developer Deficit Projection With Actual Cap Fees and No Debt A Subsidy Funded by Ratepayers $49.4 Million in the Cost of Urban Development Paid for by Ratepayers “… General Manager Pruim stated rate payer funds do not help subsidize development in the Vallecitos service area. There is currently a deficit in the developer fund; however, the recently approved capital facility fees were increased which will erase that deficit.” February 27, 2020 minutes to the board meeting http://www.vwd.org/home/showdocument?id=11380, page 3 • 4 months later, bondholders were paid $3.1 million out of ratepayer funds. The bonds were issued to build growth infrastructure – development. • According to the study that set the Cap Fees, to “erase” the deficit: • San Marcos will need to add 8,800 homes, • All growth infrastructure needs to be debt financed, and • The new cap fees need to be effective in 2016 – they were effective January 2, 2020. The Board and the Public were warned in advance of the escalation of ratepayer reserves and the plummeting developer deficit. Since the Board started ignoring staff’s warnings and providing accommodations to developers, all but one manager resigned within five years. - Rating Agency Impact - Deferring fees would not be looked upon favorably by credit rating agencies. - The District’s debt levels are close to average, but high when attributing SDCWA’s and MWD’s debt to VWD ratepayers. - Current Capacity Fee Balances - Separate funds are maintained for debt service and capital expenditures related to growth. These separate capacity funds currently have net negative balances totaling $4.3 million ($4.3 million paid for growth by ratepayers, not development). - Capital expenditures and debt repayment for growth are currently being funded by ratepayers through transfers. - Reserves are being transferred to cover capital expenditures for growth, which is not the intended purpose of reserves. - Reserve policy states that replacement reserves are maintained for the payment of related debt service, asset acquisitions, and draws for unusual occurrences such as drought management. - Request for deferral of payment is essentially asking ratepayers to subsidize development even further. From VWD Adopted 2020 Budget 5-Year Developer Deficit Projection A Subsidy Funded by Ratepayers in $Millions - Includes $10 Million in Debt Proceeds in Year 2 - with no Capital Expenditures to Finance - Includes $50 million in Debt Proceeds in the 5-Year period - with only $35 million in Debt-Eligible Capital Expenditures - No Intention to Issue Bonds - Assumed Unachievable Growth 5-Year Developer Deficit Projection With No Debt A Subsidy Funded by Ratepayers in $Millions $15.0 $21.6 $22.0 $22.6 $43.2 $52.5 $52.5 Million in the Cost of Urban Development Paid for by Ratepayers Projected Reserve Projection for FY 2022 as Adopted RESERVE PROJECTION FOR THE YEAR ENDING JUNE 30, 2022 \| \| 110 Water Replacement \| 120 Capacity \| 210 Wastewater Replacement \| 220 Capacity \| Total \| \|--------------------------\|-----------------------\|--------------\|----------------------------\|--------------\|-------\| \| Projected July 1, 2021 Balance \| $33,656,140 \| ($9,645,000) \| $51,209,610 \| ($11,512,750)\| $63,708,000 \| \| Debt Proceeds \| - \| - \| - \| - \| 10,000,000 \| \| Operating Transfers \| 22,000 \| - \| 7,207,000 \| - \| 7,229,000 \| \| Capital Facility Fees \| - \| 1,539,000 \| - \| 5,822,000 \| 7,361,000 \| \| Project Reimbursements \| - \| - \| 836,000 \| - \| 836,000 \| \| Property Tax \| 1,321,000 \| - \| 1,051,000 \| - \| 2,372,000 \| \| RDA pass-through \| 1,103,000 \| - \| 1,060,000 \| - \| 2,163,000 \| \| Investment Earnings \| 603,000 \| (99,000) \| 997,000 \| (229,000) \| 1,272,000 \| Available Balance: 36,705,140 1,795,000 62,360,610 (5,919,750) 94,941,000 Less 21/22 Expenditures: - Encina Wastewater Authority Five Year Plan: 6,076,000 - City of San Marcos Creek District Phase 1: 2,737,500 912,500 3,650,000 - Montiel Lift Station and Forcemain Replacement: 1,767,150 1,697,850 3,465,000 - Tres-Amigos Water Line Replacement Phase 1: 2,000,000 - Sage Canyon Tank Refurbishment: 860,000 - Future Projects: 110,000 283,000 347,000 740,000 - 16-Inch Emergency Bypass Pipeline Rehabilitation: 500,000 - Land Outfall Gravity Sewer Sec D Phs 1: 320,000 80,000 400,000 - Las Posas Water Line Replacement: 300,000 - Meadowlark Faillsafe Rehabilitation: 300,000 - Coggan Pump Station - Generator: 275,000 - Steel Pipeline Condition Assessment: 250,000 - MRF: Conversion to Sodium Hypochlorite: 235,000 - Land Outfall Parallel Siphon Sewer Section A: 200,000 - Ductile Iron Pipe Condition Assessment: 200,000 - Richland Invert Replacement: 175,000 - MRF Direct Potable Reuse: 150,000 - Asset Management Replacement Schedule: 75,000 - Upgrades to Surveillance Video Management System: 76,500 - District-wide Valve Replacement Program: 70,380 67,620 138,000 - Building B Laminate Floor Replacement: 56,100 53,900 110,000 - Miscellaneous Projects: 316,040 79,960 396,000 - Vehicles and Equipment: 332,000 318,000 650,000 - Fund PERS UAL: 2,054,000 1,973,000 4,027,000 - Debt Service - 2012 Debt: - - Debt Service - 2008 Loan: - - Debt Service - 2015 Refunding: - Less Total Expenditures: 9,712,520 2,138,400 13,359,630 5,594,450 30,805,000 Projected June 30, 2022 Balance: 26,992,620 (343,400) 49,000,980 (11,514,200) $64,136,000 Cover-Up 2020 Excerpt from the VWD Budget Adopted May 20, 2020 Finance 101 – No one will loan you money so your projected $22 million deficit will only be a $12 million deficit. You can only issue tax-exempt debt to finance capital expenditures with a public benefit. Even if VWD realizes that they do need to issue bonds, when they have eligible capital expenditures to finance in 2024, it is not likely they will be able to borrow, or at least get a favorable credit rating. Considering recent and projected financial planning and decisions, at this rate of decline, Vallecitos could be bankrupt in 8 years, without significantly increasing water and sewer rates. This projected decline (VWD’s numbers) assumes a 3.5% to 4% increase in water and sewer rates each year. San Marcos Water Rates and Politics friendshipvallecitoswater.org facebook.com/tom.scaglione.520 email@example.com San Marcos businesses and residents – We pay for water, not politics ATS Financial Services The Bridge to Financial Stability (760) 684 -1800
“Jesus took the Twelve aside and told them, “We are going up to Jerusalem, and everything that is written by the prophets about the Son of Man will be fulfilled. He will be delivered over to the Gentiles. They will mock him, insult him and spit on him; they will flog him and kill him. On the third day he will rise again.” (St Luke 18:31-33) "He Rode The Donkey For Our Sake He Gave Himself As Bread And Wine For Our Sake He Was Mocked For Our Sake He Took The Cross For Our Sake He Crucified Death And Resurrected Life For Our Sake And Asked Only One Thing In Return ‘Can We Simply……..Live For His Sake?’" To come down from the glory that He received above, must not have been easy for Him. He is the one who heard the praises of the angels 24X7, but for the prophecy to come true and above all because of His love for the mankind, He gave up all His royalties only to be born in a family of a poor carpenter in a stable, lived a life humbling Himself and taught us the way of life, He entered Jerusalem knowing what its future would be, He chose donkey to travel along, again setting up an example of humility for us, He heard their praises shouting out, ‘Hosanna in the Highest…..Blessed is the One who comes in the name of Lord’, knowing at heart that these praises would turn into the most bitter words of, ‘Crucify Him’ in a few days. Lord knew everything, yet He gave up everything for sinners like us. Lord experienced the extreme mental and physical pressures which He never deserved…all for our sake. When they mocked Him, He patiently embraced the pole and took all their lashes one after the other which pierced His flesh and gave deep wounds, probably a look of His eye would have been enough to burn them all…but He was patient, teaching us the lesson of patience. It is believed that the cross that He carried weighed 300lbs (a normal weighed human weighs nearly around 180lbs), we can purely imagine what pain the Prince of the Universe must have gone through!!! Crucifixion is the worst of all punishments till date because the person lying in the cross doesn’t die all of a sudden, he dies gradually when one by one all the organs of His body give up as all the weight of his body is dependent only on the nails of his hand and feet. This kind of death was chosen by Him……why did He ever have to undergo such a pain….have we ever thought? To show us that death is not the answer but if we lead a life in Christ we have a new world where no death can defeat us and that is Eternity. CATHOLICATE DAY (Sabha Dinam) Catholicate day is observed as ‘Day of the Church’ (Sabha Dinam) to reaffirm our loyalty and dedication to the Church, to the Throne of St. Thomas, to the Catholicate of the East and to the Catholicose and all the members of Holy Episcopal Synod. It is also a day to commemorate the re-establishment of ancient Catholicate of Seleucia in Malankara. Catholicate day is a day for prayer and dedication for the Church, the Catholicose, Bishops, Priests and for all activities of the Church. It is the duty of each faithful to pray for the church and to serve the church the way God desires. The day of the Church means the day on which we will have to examine our own relation with our Lord God and His Church ultimately the body of our Savior. Our Lord compares the life in Church as that of a branch of a vine plant which remains in the main stem and brings out fruits. In St. John 15: 1-2 we read about this in our Lord’s words. 15:1- “I am the true vine, and my Father is the husbandman”. 15:2. “Every branch in me that bear not fruit he takes away: and every branch that bear fruit, he purges it, that it may bring forth more fruit.’ Let us make sure that we do bear fruits in our lives, the fruits of the Holy Spirit. (Galatians 5:22 . But the fruit of the Spirit is love, joy, peace, longsuffering, gentleness, goodness, faith, 5:23 Meekness, temperance: against such there is no law). Let us make sure that we bear all these rather than the by products of selfishness like enmity, hatred, etc. Our Lord has established the sacraments as a means for our abideness with Him. Are we particular to make use of those sacraments meaningfully? During the Lenten season we all are supposed to repent more and to obtain forgiveness for our sins through the Holy Confession. Let us earnestly pray for the Holy Church, her spiritual leaders, entire clergy and the entire faithful. 40TH FRIDAY (Jesus' Triumph Over Satan) Jesus fasted for forty days and at the end of the fast he was tempted by the devil. On the 40th day of the Great Lent which is always a Friday, the church commemorates the tempting of Jesus and his triumph over Satan. In the Gospel we see that after his baptism, Jesus was led up into the wilderness to be tempted by the devil (St. Matthew 4: 1). We who are baptized into the Lord should not be surprised if we are also tempted like him. We should not be defeated when temptations come, but triumph over Satan; like Jesus we are also aided by the Spirit. We also see that Jesus fasted to overcome temptation, giving us an example of our own power and limitations. There is also another important lesson for us from the Gospel reading for the 40th Friday. In Matthew 4: 6 we can see satan quoting the Holy Scripture (especially from Psalm 91: 11 - 12). You can also see that the satan is mis-interpreting the Scripture. This should be a fair warning to us, who have received the true faith and the correct interpretation of the Scripture, not to fall into the trap, of someone quoting the Scripture and challenging the true faith of Orthodoxy. After all even the Satan quotes from the Scripture. LAZARUS SATURDAY (Feast Day: April 8) St. Lazarus and his sisters Martha and Mary, the friends of the Lord Jesus, had given Him hospitality and served Him many times (Luke 10:38-42; John 12:2-3). They were from Bethany, a village of Judea. This village is situated in the eastern parts by the foothills of the Mount of Olives, about two Roman miles from Jerusalem. When Lazarus - whose name is a Hellenized form of "Eleazar," which means "God has helped," became ill some days before the saving Passion, his sisters had this report taken to our Savior, Who was then in Galilee. Nonetheless, He tarried yet two more days until Lazarus died; then He said to His disciples, "Let us go into Judea that I might awake My friend who sleepeth." By this, of course, He meant the deep sleep of death. On arriving at Bethany, He consoled the sisters of Lazarus, who was already four days dead. Jesus groaned in spirit and was troubled at the death of His beloved friend. He asked, "Where have ye laid his body?" and He wept over him. When He drew nigh to the tomb, He commanded that they remove the stone, and He lifted up His eyes, and giving thanks to God the Father, He cried out with a loud voice, "Lazarus, come forth." And he that had been dead four days came forth immediately, bound hand and foot with the grave clothes, and Jesus said to those standing there, "Loose him, and let him go." This is the supernatural wonder wrought by the Savior that we celebrate on this day. According to an ancient tradition, it is said that Lazarus was thirty years old when the Lord raised him; then he lived another thirty years on Cyprus and there reposed in the Lord. It is furthermore related that after he was raised from the dead, he never laughed till the end of his life, but that once only, when he saw someone stealing a clay vessel, he smiled and said, "Clay stealing clay." His grave is situated in the city of Kition, having the inscription: "Lazarus the four days dead and friend of Christ." In 890 his sacred relics were transferred to Constantinople by Emperor Leo the Wise. IMPORTANCE OF HOLY WEEK USHANE Palm Sunday (Feast Day: April 9) On Sunday, five days before the Passover of the Law, the Lord came from Bethany to Jerusalem. Sending two of His disciples to bring Him a foal of an ass, He sat thereon and entered into the city. When the multitude there heard that Jesus was coming, they straightway took up the branches of palm trees in their hands, and went forth to meet Him. Others spread their garments on the ground, and yet others cut branches from the trees and strewed them in the way that Jesus was to pass; and all of them together, especially the children, went before and after Him, crying out: "Hosanna: Blessed is He that cometh in the Name of the Lord, the King of Israel" (John 12:13). This is the radiant and glorious festival of our Lord's entry into Jerusalem that we celebrate today. The branches of the palm trees symbolize Christ's victory over the devil and death. The word Hosanna means "Save, I pray," or "Save, now." The foal of an ass, and Jesus' sitting thereon, and the fact that this animal was untamed and considered unclean according to the Law, signified the former uncleanness and wildness of the nations, and their subjection thereafter to the holy Law of the Gospel. HOLY THURSDAY (PESAHA) April 13 On the evening of this day, which was the eve of the feast of unleavened bread (that is, the Passover), our Redeemer supped with His twelve disciples in the city. He blessed the bread and the wine, and gave us the Mystery of the Divine Eucharist. He washed the feet of the disciples as an example of humility. He said openly that one of them was about to betray Him, and He pointed out the betrayer by revealing that it was he "that dippeth his hand with Me in the dish." And after Judas had straightway gone forth, Jesus gave the disciples His final and sublime instructions, which are contained in the first Gospel Reading of the Holy Passion (John 13:31-18:1 known as the Gospel of the Testament). After this the God-man went forth to the Mount of Olives, and there He began to be sorrowful and in anguish. He went off alone, and bending the knees He prayed fervently. From His great anguish, His sweat became as it were great drops of blood falling to the ground. As soon as He had completed that anguished prayer, lo, Judas came with a multitude of soldiers and a great crowd; on greeting the Teacher guilefully with a kiss, he betrayed Him. The Lord Jesus was then apprehended and taken prisoner to the high priests Annas and Caiaphas. The disciples were scattered, but Peter, who was more fervent than the others, followed Him even into the court of the high priest, but in the end denied thrice that he was His disciple. Then our divine Teacher was brought before the lawless Sanhedrin and was interrogated concerning His disciples and His teaching. The high priest adjured Him before God that He tell them whether He was truly the Christ. And having spoken the truth, He was judged guilty of death, supposedly as one who had blasphemed. Then they spat in His face, beat Him, smote Him with the palms of their hands, and mocked Him in every way, throughout the whole night until the morning. GOOD FRIDAY (April 14) When Friday dawned, Christ was sent bound from Caiaphas to Pontius Pilate, who was then Governor of Judea. Pilate interrogated Him in many ways, and once and again acknowledged that He was innocent, but to please the Jews, he later passed the sentence of death against Him. After scourging the Lord of all as though He were a runaway slave, he surrendered Him to be crucified. Thus the Lord Jesus was handed over to the soldiers, was stripped of His garments, was clothed in a purple robe, was crowned with a wreath of thorns, had a reed placed in His hand as though it were a scepter, was bowed before in mockery, was spat upon, and was buffeted in the face and on the head. Then they again clothed Him in His own garments, and bearing the cross, He came to Golgotha, a place of condemnation, and there, about the third hour, He was crucified between two thieves. Although both blasphemed Him at the first, the thief at His right hand repented, and said: "Remember me, O Lord, when Thou comest in Thy Kingdom," to which our Savior answered, "Today shalt thou be with Me in Paradise." As He hung upon the Cross, He was blasphemed by those who were passing by, was mocked by the high priests, and by the soldiers was given vinegar to drink mixed with gall. About the ninth hour, He cried out with a loud voice, saying, "It is finished." And the Lamb of God "Which taketh away the sin of the world" (John 1:29) expired on the day when the moon was full, and at the hour when, according to the Law, was slain the Passover lamb, which was established as a type of Him in the time of Moses. Even lifeless creation mourned the death of the Master, and it trembled and was altered out of fear. Yet, even though the Maker of creation was already dead, they pierced Him in His immaculate side, and forthwith came there out Blood and Water. Finally, at about the setting of the sun, Joseph of Arimathea came with Nicodemus (both of them had been secret disciples of Jesus), and they took down the all-holy Body of the Teacher from the Cross and anointed it with aromatic spices, and wrapped it in a clean linen cloth. When they had buried Him in a new tomb, they rolled a great stone over its entrance. QYOMTO (EASTER) Feast Day: April 14 Mary Magdalene, and the other women who were present at the burial of our Savior on Friday evening, returned from Golgotha to the city and prepared fragrant spices and myrrh, so that they might anoint the body of Jesus. On the morrow, because of the law which forbids work on the day of the Sabbath, they rested for the whole day. But at early dawn on the Sunday that followed, almost thirty-six hours since the death of the Life-giving Redeemer, they came to the sepulchre with the spices to anoint His body. While they were considering the difficulty of rolling away the stone from the door of the sepulchre, there was a fearful earthquake; and an Angel, whose countenance shone like lightning and whose garment was white as snow, rolled away the stone and sat upon it. The guards that were there became as dead from fear and took to flight. The women, however, went into the sepulchre, but did not find the Lord's body. Instead, they saw two other Angels in the form of youths clothed in white, who told them that the Savior was risen, and they sent forth the women, who ran to proclaim to the disciples these gladsome tidings. Then Peter and John arrived, having learned from Mary Magdalene what had come to pass, and when they entered the tomb, they found only the winding sheets. Therefore, they returned again to the city with joy, as heralds now of the supernatural Resurrection of Christ, Who in truth was seen alive by the disciples on this day on five occasions. Our Lord, then, was crucified, died, and was buried on Friday, before the setting of the sun, which was the first of His "three days" in the grave; observing the mystical Sabbath, that "seventh day" in which it is said that the Lord "rested from all His works" (Gen. 2:2-3), He passed all of Saturday in the grave; and He arose "while it was yet dark, very early in the morning" on Sunday, the third day, which, according to the Hebrew reckoning, began after sunset on Saturday. As we celebrate this joyous Resurrection, we greet and embrace one another in Christ, thereby demonstrating our Savior's victory over death and corruption, and the destruction of our ancient enmity with God, and His reconciliation toward us, and our inheritance of life everlasting. In addition, this day of this particular week, which is the first of all the rest, is dedicated to the honor of the Lord; in honor and remembrance of the Resurrection, the Apostles transferred to this day the rest from labor that was formerly assigned to the Sabbath of the ancient Law. ST. GEORGE THE MARTYR (Feast Day: April 23) George, this truly great and glorious Martyr of Christ, was born of a father from Cappadocia and a mother from Palestine. Being a military tribune, or chiliarch (that is, a commander of a thousand troops), he was illustrious in battle and highly honoured for his courage. When he learned that the Emperor Diocletian was preparing a persecution of the Christians, Saint George presented himself publicly before the Emperor and denounced him. When threats and promises could not move him from his steadfast confession, he was put to unheard-of tortures, which he endured with great bravery, overcoming them by his faith and love towards Christ. By the wondrous signs that took place in his contest, he guided many to the knowledge of the truth, including Queen Alexandra, wife of Diocletian, and was finally beheaded in 296 in Nicomedia. His sacred remains were taken by his servant from Nicomedia to Palestine, to a town called Lydda, the homeland of his mother, and then were finally transferred to the church which was raised up in his name. ST. THOMAS ORTHODOX CHRISTIAN YOUTH MOVEMENT Every Friday Regular Meeting: 10.45 am - 12.00 pm. Divyabodhanam Class: Every Wednesday 8.20pm - 9.30 pm. (To increase general awareness of the Bible, Church history). Contact : Mr.Vivek Biju, Mob. 050 3539789. OCYM Job Cell: Highly active job cell that matches job seekers with employers from a wide range of sectors. Contact : Mr.Manoj Thomas, Mob. 050 8829454, E-mail: firstname.lastname@example.org. Library: Library opens every Friday after the holy qurbana, more than 10,000 collections of books in various topics. Especially the books available for children. Library membership will be available for all the church members. Contact : Mr. Rajoy, M. Rajan, Mob. 052 7714024. Malayalam Class: Every Saturday 4.30 pm - 6.30 pm., Contact : Dr. Jobinse, Mob. 050 5153390. APRIL - 2017 07/04/2017 - Catholicadina Program 21/04/2017 - Regular Meeting 28/04/2017 - Regular Meeting Mr. P.G. Mathew (Wilson) CARDEX No. M-098 മലയാള വിദ്യാഭ്യാസത്തിന്റെ സുരക്ഷിത കേന്ദ്രങ്ങളിൽ അവശേഷിക്കുന്ന മേഖലകളുടെ കുറവ് എന്നാൽ അവശേഷിക്കുന്ന പ്രായം. ഉപയോഗിക്കുന്ന അവശേഷിക്കുന്ന പ്രായം. Mar Thoma I, also known as "Valiya Mar Thoma" (Mar Thoma the Great), is the first native democratically elected/selected Metropolitan bishop of the Malankara Church. He was the last Archdeacon of the undivided St. Thomas Christians of Malabar. After the death of Archdeacon George of the Cross (Kurisungal being his house name), on 25 July 1640, Parambil Thoma kathanar was elected and enthroned as new Archdeacon, when he was less than 30 years old. He led the Church to the Coonan Cross Oath on 3 January 1653 and to the subsequent schism in Saint Thomas Christians Church. After the Coonen Cross Oath, he was elected as a Bishop by Malankara (Yogam) Association and consecrated as a Bishop at St. Mary’s Church Alangad, by laying hands of 12 priests on 22 May 1653. Only two Southist churches of Kaduthuruthy and Udayamperoor and a very few people elsewhere refused to recognise him as Bishop. Any how, the archdeacon began to exercise powers of episcopal order, though he openly tried to regularize his episcopal consecration as a Bishop from the Church of Antioch. His episcopal consecration as a Bishop was regularized in the year 1665 by Mar Gregorios Abdul Jaleel the Patriarchal delegate of the Syriac Orthodox Patriarch of Antioch. (The exact date and place of this event is anonymous). Mar Thoma II (331st Year) was the second Metropolitan of the Malankara Church from 1670 to 1686. During his period a number of bishops from Syria came to Kerala due to persecutions and the dangerous routes none of them could return. The leaders of the Malankara Church selected a nephew (brothers son) of Mar Thoma I as his successor. He was consecrated by Mar Thoma I and the Antiochean patriarchal delegate Mar Gregorios Abdul Jaleel who was the archbishop of Jerusalem. He was the second Mar Thoma who ascended the throne of Malankara church. When Mar Thoma I Heavenly Abode on 25 April 1670 Mar Thoma II, took charge of the Malankara Church. Mar Thoma VI (209th Year) also known as Mar Dionysius VI (Heavenly Abode 8 April 1808), was the Metropolitan of the Malankara Church from 1765 until his death. A member of the Pakalomattom family, he was a shrewd administrator who appealed to outside authorities to assert his position as the sole leader of the Malankara Church and to attempt to reunite all the Saint Thomas Christians. Mar Thoma VI succeeded Mar Thoma V as Malankara Metropolitan in 1765, and unlike his predecessors, who were claimed by their opponents not to have been properly ordained as bishop, he received orders from Syriac Orthodox bishops in 1772, thus ending any controversy. Other events of his reign include the separation of the Thozhiyoor church (now the Malabar independent Syrian Church), the arrival of English Protestant missionaries, and the first translation of the Bible form Syriac to Malayalam. Mar Thoma VIII (201th year) was the Metropolitan of the Malankara Church in Kerala, India from 1809 to 1816. He was a man of vision. It was during the time Malankara church opened the first formal educational institution, in Kerala with the opening of Kottayam Suryani Seminary, modern education drawn in Kerala. While Mar Thoma VII was at kandanad (near Kochi) he fell seriously ill. He did not get time to call a meeting of the church leaders to select his successor. So he invited one of his relatives Thomas Kathanar, to his bed side, laid his hands on him, prayed and consecrated him as Mar Thoma VIII on July 1809. Two days later, on 4 July, Mar Thoma VII Heavenly Abode and Mar Thoma VIII too charge of the Malankara church. With the end of World War 1, around 1918 new horizons opened for some of the English educated Syrian Christians of Travancore and Cochin. Young men fired by the call of adventure to look for greener pastures beyond the borders of their villages ventured forth to other parts of India and some of them crossed the Indian Ocean to Malaya and Singapore. After the Second World War we see migrations to some of the African states and England. The sixties saw the first migrations to the United States and the Middle East Region. The migrations were to lands that were either under British colonial rule or to community that were mainly english speaking. By 1928, the community in Malaya was large enough to warrant a visit of the first Orthodox priest, Rev Fr Alexios OIC. Where ever the migrant communities went to, they organised prayer and worship. This eventually led to the setting up of Congregations and eventually Parishes with their own Church buildings. The Communities outside of India had a different historical journey which was very particular to their context and dependent on their time of origin. The diaspora Communities in Malaya and Singapore are the oldest. Those who settled down there before Second World War are now the fourth and fifth generation. The term diaspora can only be employed to the first generation of migrants who were settlers in a particular country or region. The subsequent generations if they have become citizens of a country and have their generations after them are still not a "diaspora" community. They have taken roots in a particular cultural matrix and milieu and have become legal and rightful settlers in a particular land. If we do not put this in perspective then the diaspora community will be thought of as "an appendage" to the Church in Kerala. Thus we do not have to be homogeneous in our expressions and life throughout the world. What is important is to have the same essence of Faith. Key Resource Person: Very Reverend Cor Episcopa Philip Thomas Born on 4th July 1955 in Malaysia, Very Reverend Cor Episcopa Philip Thomas was a second generation immigrant who grew up in an environment with minimal connection the cultures and traditions of Kerala. Being the eldest of 3 children, Achen was nurtured and brought up in a humble and God fearing environment. In the year 1977 during a visit by L.L. His Grace Dr. Paulos Mar Gregorios & L.L. His Grace Mathews Mar Coorilos to Malaysia, The Fathers of blessed memory saw the capacity and caliber in Achen and requested if he was willing to serve the church. Achen's life transformed completely from there and he has achieved to be an instrument of God today. Beloved Achen had the blessed opportunity to serve in the capacity of Secretary to the LL His Grace Dr. Paulos Mar Gregorios during his time as the President of the World Council of Churches. Achen has a special bond with young people and children. His leadership in nurturing them in the faith and motivating them to participate more actively in the life of the Church has extended beyond the Malaysian parish to the parishes of Singapore, Australia and New Zealand. Since his ordination, Achen has brought up a generation of youth who as adults now serve the Church not just in administrative capacities but in various other roles. Achen is a strong proponent of Orthodox Christian witness through serving the needs of the society, and advocates the involvement of members in the service of the local community, especially the marginalized and underprivileged. He is actively involved with various programmes of the Council of Churches at National and Regional levels. He has also participated in various inter-faith dialogues and consultations in Malaysia as well as internationally. In his capacity as Vicar of the first Malankara Orthodox parish outside India and the oldest Orthodox community in Malaysia, he has fostered fellowship with Orthodox communities that have been established more recently in the country, such as the Coptic and Byzantine Orthodox Churches. Very Reverend Cor Episcopa Philip Thomas was the keynote speaker at the International Sufi Conference of Peace held in Lahore Pakistan on 22nd November 2006. The following are the positions Achen holds currently: - Vice President of the Council of Churches of Malaysia (CCM) - Chairman of the Kuala Lumpur & Selangor Branch of the Council of Churches of Malaysia - Honorary Secretary of the Y.M.C.A Kuala Lumpur - Co-Chairman of the Friendship Group for Inter-religious Services (FGIS), Malaysia - Director of the Community Center for Interfaith and Peace Initiative, Orthodox Syrian Church in Malaysia - Vice-Chairman of Churches Initiative for Christian Communications (CisCom) Achen has been appointed by His Grace Dr Yuhanon Mar Diascoros to initiate and build the 2nd and 3rd generation congregation of the Orthodox Church in the Far East. Come & Be Part of This Life Altering Experience!!! PASSION WEEK PROGRAMME 2017 "He is not here; he has risen! Remember how he told you, while he was still with you in Galilee. The Son of Man must be delivered over to the hands of sinners, be crucified and on the third day be raised again." St. Luke 24: 6-7 \| Date \| Time \| Event \| \|--------------------\|-----------------------\|----------------------------------------------------------------------\| \| April 07 Friday \| 07:00 am - 10:30 am \| Morning Prayer & Holy Qurbana & 40th Day of Holy Lent Hoisting of Catholicate Flag \| \| \| 06:30 pm - 09:00 pm \| Evening Prayer & Holy Qurbana (Lazarus Day) \| \| April 08 Saturday \| 06:00 pm - 10:30 pm \| Evening Prayer & Holy Qurbana Palm Sunday Service \| \| April 09 Sunday \| 07:00 pm - 09:00 pm \| Evening Prayer & Devotional Address Vade’ Dal Mino Service \| \| April 10 Monday \| 07:00 pm - 09:00 pm \| Evening Prayer & Devotional Address \| \| April 11 Tuesday \| 07:00 pm - 09:00 pm \| Evening Prayer & Devotional Address \| \| April 12 Wednesday \| 06:00 pm - 10:30 pm \| Evening Prayer & Holy Qurbana PESAHA \| \| April 13 Thursday \| 07:00pm - 9:30 pm \| Evening Prayer & Kalukazhukal Shusrusha \| \| April 14 Friday \| 07:00 am - 04:00 pm \| Good Friday Service Evening Prayer followed by Recitation of Psalms \| \| \| 07:30 pm \| \| \| April 15 Easter \| 09:00 am - 11:00 am \| Noon Prayer & Holy Qurbana \| \| \| 06:30 pm - 10:30 pm \| Evening Prayer & Easter Service Holy Qurbana \| Palm Sunday Service Celebrated by - H.G. DR. GEEVARGHESE MAR YULIOS H.G. Abraham Mar Epiphanius will be the chief celebrant during Passion Week CHURCH OFFICE BEARERS - 2017 \| Name \| Position \| Contact Number \| Email Address \| \|-----------------------------\|---------------------------\|----------------------\|------------------------\| \| Rev. Fr. Shaji Mathews \| Vicar & President \| 052 8711031 \| email@example.com \| \| Rev. Fr. Saju Thomas \| Asst. Vicar \| 050 3134117 \| firstname.lastname@example.org \| \| Mathew K George (Aby) \| Hon. Trustee \| 050 5886230 \| email@example.com \| \| Bijumon Kunjachan \| Hon. Secretary \| 050 6567933 \| firstname.lastname@example.org \| \| Thomas George (Sajan) \| Hon. Jt. Trustee \| 050 5694095 \| email@example.com \| \| Biju C John \| Hon. Jt. Secretary \| 050 5595863 \| firstname.lastname@example.org \| P.O. Box : 2563, Dubai - UAE, Tel : 04 337 1122, Fax : 04 335 2252, Email : email@example.com www.stthomascathedraldubai.org
AMENDMENT TO THE REGIONAL WATER QUALITY MANAGEMENT PLAN VILLAGE OF GERMANTOWN AS ADOPTED BY THE SOUTHEASTERN WISCONSIN REGIONAL PLANNING COMMISSION SEPTEMBER 2018 SOUTHEASTERN WISCONSIN REGIONAL PLANNING COMMISSION KENOSHA COUNTY Steve Bostrom Aloysius Nelson Robert W. Pitts RACINE COUNTY Mike Dawson James A. Ladwig Peggy L. Shumway MILWAUKEE COUNTY Brian R. Dranzik William R. Drew, Treasurer Theodore Lipscomb, Sr. WALWORTH COUNTY Charles L. Colman, Chairman Nancy Russell Vacant OZAUKEE COUNTY Thomas H. Buestrin Jennifer K. Rothstein Gustav W. Wirth, Jr., Secretary WASHINGTON COUNTY Jeffrey D. Schleif Daniel S. Schmidt David L. Stroik WAUKESHA COUNTY Michael A. Crowley, Vice-Chairman José M. Delgado James T. Dwyer SOUTHEASTERN WISCONSIN REGIONAL PLANNING COMMISSION STAFF Michael G. Hahn, PE, PH.................................................................Executive Director Kevin J. Muhs, PE, AICP .................................................................Deputy Director Christopher T. Hiebert, PE.......................................................Chief Transportation Engineer Laura L. Herrick, PE, CFM.........................................................Chief Environmental Engineer Elizabeth A. Larsen, SPHR, SHRM-SCP ..................Assistant Director-Administration Eric D. Lynde..............................................................................Chief Special Projects Planner Benjamin R. McKay, AICP .....................................................Chief Community Assistance Planner Rob W. Merry, PLS ........................................................................Chief Surveyor Nakeisha N. Payne............................................................Public Involvement and Outreach Manager David A. Schilling ........................................................................Chief Land Use Planner Dr. Thomas M. Slawski.................................................................Chief Biologist SUBJECT: Certification of Amendment to the Adopted Regional Water Quality Management Plan (Germantown Sanitary Sewer Service Area) TO: The Legislative Bodies of Concerned Local Units of Government within the Southeastern Wisconsin Region, namely: the County of Washington, the Village of Germantown, and the Milwaukee Metropolitan Sewerage District This is to certify that at the meeting of the Southeastern Wisconsin Regional Planning Commission, held on the 12th day of September 2018, the Commission did by unanimous vote of all Commissioners present, being 15 ayes and 0 nays, and by appropriate Resolution, a copy of which is made a part hereof and incorporated by reference to the same force and effect as if it had been specifically set forth herein in detail, adopt an amendment to the regional water quality management plan, which plan was originally adopted by the Commission on the 12th day of July 1979, as part of the master plan for the physical development of the Region. Said amendment to the regional water quality management plan pertains to the revised Germantown sanitary sewer service area and consists of the documents attached hereto and made a part hereof. Such action taken by the Commission is recorded on, and is a part of, said plan, and the plan as amended is hereby transmitted to the constituent local units of government for consideration, adoption, and implementation. IN TESTIMONY WHEREOF, I have hereunto set my hand and seal and cause the Seal of the Southeastern Wisconsin Regional Planning Commission to be hereto affixed. Dated at the City of Pewaukee, Wisconsin, this 13th day of September 2018. Charles L. Colman, Chairman Southeastern Wisconsin Regional Planning Commission ATTEST: Michael G. Hahn, Deputy Secretary RESOLUTION OF THE SOUTHEASTERN WISCONSIN REGIONAL PLANNING COMMISSION AMENDING THE ADOPTED REGIONAL WATER QUALITY MANAGEMENT PLAN, THAT PLAN BEING A PART OF THE MASTER PLAN FOR THE PHYSICAL DEVELOPMENT OF THE REGION CONSISTING OF THE COUNTIES OF KENOSHA, MILWAUKEE, OZAUKEE, RACINE, WALWORTH, WASHINGTON, AND WAUKESHA IN THE STATE OF WISCONSIN (GERMANTOWN SANITARY SEWER SERVICE AREA) WHEREAS, pursuant to Section 66.0309(10) of the Wisconsin Statutes, the Southeastern Wisconsin Regional Planning Commission, at a meeting held on the 12th day of July 1979, duly adopted a regional water quality management plan as documented in the three-volume SEWRPC Planning Report No. 30, A Regional Water Quality Management Plan for Southeastern Wisconsin: 2000; and WHEREAS, the Commission duly adopted an amendment to the regional water quality management plan refining and detailing the Germantown sanitary sewer service area as documented in SEWRPC Community Assistance Planning Report No. 70, Sanitary Sewer Service Area for the Village of Germantown, Washington County, Wisconsin, July 1983, as amended; and WHEREAS by letters dated April 17 and July 25, 2018, the Village of Germantown requested that the Commission amend the Germantown sanitary sewer service area to include certain lands located outside of the currently adopted sewer service area; and WHEREAS, the proposed amendment to the regional water quality management plan is documented in a Commission staff memorandum entitled, “Response to Request by the Village of Germantown to Amend the Germantown Sanitary Sewer Service Area,” attached hereto and made a part hereof; and WHEREAS, the requested change to the regional water quality management plan, as documented in the aforementioned staff memorandum, was the subject of a public hearing held jointly by the Village of Germantown and the Regional Planning Commission on September 10, 2018; and WHEREAS, Section 66.0309(9) of the Wisconsin Statutes authorizes and empowers the Regional Planning Commission, as the work of making the whole master plan progresses, to amend, extend, or add to the master plan or carry any part or subject thereof into greater detail; NOW, THEREFORE, BE IT HEREBY RESOLVED: FIRST: That the regional water quality management plan for the Southeastern Wisconsin Region, being a part of the master plan for the physical development of the Region and comprised of SEWRPC Planning Report No. 30, Volumes One, Two, and Three, which was adopted by the Commission as a part of the master plan on the 12th day of July 1979, and which was subsequently amended to include the refined Germantown sewer service area, be and the same hereby is amended in the manner identified on Map 1 of the aforementioned SEWRPC staff memorandum. SECOND: That the Executive Director is authorized to submit findings to the Wisconsin Department of Natural Resources and the Wisconsin Department of Safety and Professional Services that public and private sanitary sewer extensions necessary to serve the anticipated development on the lands concerned are in conformance with, and would serve to implement, the adopted regional water quality management plan as herein amended. THIRD: That a true, correct, and exact copy of this resolution, together with the aforementioned SEWRPC staff memorandum, shall be forthwith distributed to each of the local legislative bodies of the local governmental units within the Region entitled thereto and to such other bodies, agencies, or individuals as the law may require or as the Commission, its Executive Committee, or its Executive Director, at their discretion, shall determine and direct. The foregoing resolution, upon motion duly made and seconded, was regularly adopted at the meeting of the Southeastern Wisconsin Regional Planning Commission held on the 12th day of September 2018, the vote being: Ayes 15; Nays 0. Charles L. Colman, Chairman Southeastern Wisconsin Regional Planning Commission ATTEST: Michael G. Hahn, Deputy Secretary INTRODUCTION By letters dated April 17 and July 25, 2018, the Village of Germantown requested that the Southeastern Wisconsin Regional Planning Commission (SEWRPC) amend the Village of Germantown sanitary sewer service area tributary to the Milwaukee Metropolitan Sewerage District (MMSD) sewerage system, as that area is currently documented in SEWRPC Community Assistance Planning Report No. 70, Sanitary Sewer Service Area for the Village of Germantown, Washington County, Wisconsin, dated July 1983, as amended. The basic purpose of the amendment would be to include within the planned sewer service area certain lands located immediately adjacent to, but outside, the currently adopted sewer service area. AREA DESCRIPTION The proposed additions to the Germantown sewer service area are identified on Map 1 and described below. - Area A The area proposed to be added to the sewer service area encompasses approximately 32 acres and is located within the southwest quarter of U.S. Public Land Survey Section 17, Township 9 North, Range 20 East. It includes a portion of tax key parcel GTNV 173992 (31 acres) in addition to a small portion (1 acre) of the eastern right-of-way of Goldendale Road. Under the Village comprehensive plan, the subject area is identified as industrial/office use to accommodate potential development in the area. The subject area does not contain any wetlands, environmental corridors, or isolated natural resource areas. - Area B The area proposed to be added to the sewer service area encompasses approximately 431 acres and includes multiple parcels located along Holy Hill Road, between Goldendale Road and US 41/45. The area includes about 61 acres of environmentally significant land, 30 acres of existing urban land, and 340 acres of agricultural and other open land. As shown on the Village comprehensive plan, the subject area would be developed in industrial/office, commercial, and mixed uses. - Area C The area proposed to be added to the sewer service area encompasses approximately 10 acres and is located within U.S. Public Land Survey Section 23, Township 9 North, Range 20 East, along the Canadian National Railroad right-of-way. The area includes about two acres of environmentally significant land and eight acres of agricultural and other open land. As shown on the Village comprehensive plan, the subject area would be developed in residential uses, accommodating 14 single-family lots in the Wrenwood Subdivision. In combination, the areas proposed to be added to the Germantown sewer service area encompass 473 acres, including 63 acres of environmentally significant lands, 31 acres of existing urban land, and 379 acres of agricultural and other open land. The residential development associated with Area C would accommodate a population of about 34 persons. A more-detailed delineation of the amended sewer service area is shown on the aerial photographs reproduced as Maps 2, 3, and 4. PROPOSED AMENDMENT TO THE VILLAGE OF GERMANTOWN SANITARY SEWER SERVICE AREA Source: SEWRPC. ENVIRONMENTALLY SIGNIFICANT LANDS AND PLANNED SANITARY SEWER SERVICE AREA FOR THE VILLAGE OF GERMANTOWN U.S. Public Land Survey Sections 5, 6, 7, and 8 Township 9 North, Range 20 East STUDY AREA BOUNDARY PRIMARY ENVIRONMENTAL CORRIDORS WITHIN THE PLANNED SANITARY SEWER SERVICE AREA. THE EXTENSION OF SEWERS TO SERVE NEW DEVELOPMENT IS CONFINED TO LIMITED RECREATIONAL AND INSTITUTIONAL USES AND RURAL-DENSITY RESIDENTIAL DEVELOPMENT IN AREAS OTHER THAN ENVIRONMENTAL CORRIDORS AND ISOLATED NATURAL RESOURCE AREAS. PORTIONS OF SECONDARY ENVIRONMENTAL CORRIDORS AND ISOLATED NATURAL RESOURCE AREAS WITHIN THE PLANNED SANITARY SEWER SERVICE AREA WHICH ARE COMPRISED OF WETLANDS, FLOODLANDS, SHORELANDS, AND STREAMS MAY HAVE EXTENSION OF SEWERS TO SERVE NEW DEVELOPMENT IN THESE AREAS IS NOT PERMITTED. NOTE: This map replaces Map 5-1, page 11, of SEWRPC Amendment to the Regional Water Quality Management Plan, Village of Germantown, March 1998. Source: SEWRPC. Map 3 ENVIRONMENTALLY SIGNIFICANT LANDS AND PLANNED SANITARY SEWER SERVICE AREA FOR THE VILLAGE OF GERMANTOWN U.S. Public Land Survey Sections 17, 18, 19, and 20 Township 9 North, Range 20 East Photography Date: April 2015 RESTRICTIONS ON SEWERED DEVELOPMENT PRIMARY ENVIRONMENTAL CORRIDORS WITHIN THE PLANNED SANITARY SEWER SERVICE AREA: THE EXTENSION OF SEWERS TO SERVE NEW DEVELOPMENT IS CONFINED TO LIMITED RECREATIONAL AND INSTITUTIONAL USES AND RURAL-DENSITY RESIDENTIAL DEVELOPMENT IN AREAS OTHER THAN THE PRIMARY ENVIRONMENTAL CORRIDORS. PORTIONS OF SECONDARY ENVIRONMENTAL CORRIDORS AND ISOLATED NATURAL RESOURCE AREAS WITHIN THE PLANNED SANITARY SEWER SERVICE AREA WHICH ARE COMPRISED OF WETLANDS, FLOODLANDS, SHORELANDS, OR STREAMS MAY HAVE EXTENSION OF SEWERS TO SERVE NEW DEVELOPMENT IN THESE AREAS IS NOT PERMITTED. NOTE: This map replaces a portion of Map 2, page 4, of SEWRPC Amendment to the Regional Water Quality Management Plan, Village of Germantown, December 2003. Source: SEWRPC. Map 4 ENVIRONMENTALLY SIGNIFICANT LANDS AND PLANNED SANITARY SEWER SERVICE AREA FOR THE VILLAGE OF GERMANTOWN U.S. Public Land Survey Sections 13, 14, 23, and 24 Township 9 North, Range 20 East Photography Date: April 2015 RESTRICTIONS ON SEWERED DEVELOPMENT PRIMARY ENVIRONMENTAL CORRIDORS WITHIN THE PLANNED SANITARY SEWER SERVICE AREA: THE EXTENSION OF SEWERS TO SERVE NEW DEVELOPMENT IS CONFINED TO LIMITED RECREATIONAL AND INSTITUTIONAL USES AND RURAL-DENSITY RESIDENTIAL DEVELOPMENT IN AREAS OTHER THAN WETLANDS, FLOODLANDS, SHORELANDS, AND ISOLATED NATURAL RESOURCE AREAS. PORTIONS OF SECONDARY ENVIRONMENTAL CORRIDORS AND ISOLATED NATURAL RESOURCE AREAS WITHIN THE PLANNED SANITARY SEWER SERVICE AREA WHICH ARE COMPRISED OF WETLANDS, FLOODLANDS, SHORELANDS, AND ISOLATED NATURAL RESOURCE AREAS: THE EXTENSION OF SEWERS TO SERVE NEW DEVELOPMENT IN THESE AREAS IS NOT PERMITTED. NOTE: This map replaces Map 5-6, page 16, of SEWRPC Amendment to the Regional Water Quality Management Plan, Village of Germantown, March 1998. Source: SEWRPC. RELATIONSHIP OF THE PROPOSED CHANGE TO THE EXISTING SANITARY SEWER SERVICE AREA The proposed addition of about 473 acres to the Germantown sanitary sewer service area tributary to the MMSD sewerage system represents an increase in the planned sewer service area of about 5 percent. WATER QUALITY IMPACTS Under the adopted regional water quality management plan and the Germantown sanitary sewer service area plan, it is envisioned that all new urban development within the planned sewer service area would receive sanitary sewer service. Assuming that all applicable Federal, State, and local permits are obtained and that proper site development and construction practices are employed, there should be no significant adverse water quality impacts attributable to the development of the planned sanitary sewer service area. WASTEWATER TREATMENT PLANT CAPACITY The size and capacity of the MMSD sewage conveyance and treatment facilities are set forth in the District’s facility plan completed in 2007.1 Areas A and B that are proposed to be added to the planned sewer service area would be tributary to Sewershed GE3007 and Area C would be tributary to Sewershed GE3008. The MMSD facility plan is based upon a planned Sewershed GE3007 peak hourly flow of 5.6 million gallons per day (mgd) and a planned peak hourly flow of 1.5 mgd for Sewershed GE3008. The proposed additions to the sewer service area would add net planned industrial/office, commercial, and mixed use development areas of about 270 acres and residential development that would accommodate a population of about 34 persons. The MMSD staff has verified that there is planned capacity available for the area proposed to be added to the sewer service area. PUBLIC REACTION TO THE PLAN AMENDMENT A public hearing was held on September 10, 2018, at the Germantown Village Hall to receive public comment on, and reaction to, the proposed sewer service area amendment. The hearing was sponsored by the Village of Germantown and the Regional Planning Commission. A summary of the amendment was presented prior to receiving public comment. No objections to the proposed amendment were expressed at the hearing. LOCAL ACTION ON THE PLAN AMENDMENT The Germantown Village Board approved the sewer service area amendment following the public hearing on September 10, 2018. REGIONAL HOUSING PLAN: JOB/HOUSING BALANCE Appendix A provides job/housing balance information for the Village of Germantown developed under the SEWRPC regional housing plan. The inclusion of information from the regional housing plan in sewer service area amendment reports is based upon a regional housing plan recommendation (one of 50 recommendations made under the plan) that 1) SEWRPC provide the findings of the approximate job/housing balance analysis conducted under the regional housing plan to communities requesting an amendment of their sanitary sewer service area and 2) for those communities with a job/housing imbalance, that recommendations be provided to the community for their future consideration in addressing that imbalance. However, it is important to note that job/housing balance is not intended to be a requirement to be met by any individual sewer service area amendment. CONCLUDING RECOMMENDATION The Regional Planning Commission’s evaluation of proposed sanitary sewer service area amendments includes a consideration of whether the amendment is consistent with the regional land use plan, the regional water quality management plan, and the provisions of the Wisconsin Administrative Code governing water quality management plans, and whether established procedures for amending sewer service areas have been followed. Consistency with the Regional Land Use Plan The regional land use plan recommends that, in addition to the infilling and redevelopment of existing urban centers, new urban development within the Region be accommodated through the orderly expansion of existing urban centers in locations which can be readily served by basic urban facilities, including sanitary sewer service, with the overall amount of new urban development consistent with projected growth in population and the economic base. The regional land use plan further recommends the preservation of primary environmental corridors and that consideration be given to the preservation of secondary environmental corridors and isolated natural resource areas. The proposed sewer service area amendment is consistent with these recommendations of the regional land use plan. Consistency with the Regional Water Quality Management Plan The regional water quality management plan recommends that new urban development within the Region be provided with centralized sanitary sewer service. The plan designates a wastewater treatment plant to serve each of the urban centers within the Region that are identified in the regional land use plan. In the case at hand, the regional plan recommends that wastewater from the Germantown urban service area be served through the MMSD sewerage system. The proposed sewer service area amendment is consistent with these recommendations of the regional water quality management plan. Consistency with Chapter NR 121 of the Wisconsin Administrative Code Chapter NR 121 of the Wisconsin Administrative Code governs the preparation of areawide water quality management plans, including the component sewer service area plans. The code requires that sewer service areas be determined in a way that promotes cost-effective and environmentally sound wastewater collection and treatment and that is consistent with 20-year population projections. Under the code, sewer service area plans must identify lands that are to be excluded from sewer service because of physical or environmental constraints or potential adverse water quality impacts. The proposed sewer service area amendment is consistent with these provisions of the Wisconsin Administrative Code. Consistency with Procedural Requirements As carried out by the Regional Planning Commission, the sewer service area amendment process must begin with a request to the Commission from the appropriate local unit of government or government agency to process the amendment. A public hearing must be held on the proposed amendment; the hearing is jointly sponsored by the Regional Planning Commission and the requesting agency or unit of government. Subsequent to the public hearing, the requesting agency or unit of government must act to approve the amendment as presented at the hearing, approve a modified amendment, or deny the amendment. Only after approval by the requesting agency or unit of government will the proposed amendment be considered for adoption by the Regional Planning Commission as an amendment to the areawide water quality management plan. All of the Commission’s procedural requirements have been met for this amendment. Given all of the foregoing, it is recommended that the Southeastern Wisconsin Regional Planning Commission formally amend the Village of Germantown sanitary sewer service area as documented in SEWRPC Community Assistance Planning Report No. 70, as amended, in the manner shown on Map 1. It is also recommended that the Wisconsin Department of Natural Resources approve this sewer service area plan amendment and transmit the plan amendment to the U.S. Environmental Protection Agency for certification. APPENDIX On March 13, 2013, the Regional Planning Commission adopted a regional housing plan for the seven-county Southeastern Wisconsin Region. That plan is documented in SEWRPC Planning Report No. 54, A Regional Housing Plan for Southeastern Wisconsin, dated March 2013. The plan addresses a range of housing issues and concerns, including the balance between jobs and housing throughout the Region. The plan includes a generalized analysis of the “job/housing balance” for subareas of the Region. The regional housing plan recommends that the findings of the job-housing analysis be provided to communities seeking to amend their sanitary sewer service areas, with the intent to inform communities of any job/housing imbalance, and to encourage them to consider addressing the imbalance when they review and update their community comprehensive plan and zoning ordinance. Accordingly, the findings of that analysis are summarized in this appendix. The job/housing analysis conducted under the regional housing study examined the relationship between jobs and housing that would exist in areas planned by local governments to be served by a public sanitary system, assuming implementation of adopted long-range comprehensive plans for those areas. For each sewered community, the analysis compared the projected relative shares of lower-cost, moderate-cost, and higher-cost housing$^1$ with the projected relative shares of lower-wage, moderate-wage, and higher-wage jobs,$^2$ respectively. Job/housing imbalances identified under this analysis are indicated on Map A-1. A “lower-cost” job/housing imbalance indicates a community projected to have a higher percentage of lower-wage jobs than lower-cost housing. A “moderate-cost” job/housing imbalance indicates a community projected to have a higher percentage of moderate-wage jobs than moderate-cost housing. Map A-1 shows the Village of Germantown is projected to have a shortage of moderate cost housing compared to job wages. The regional housing plan would encourage the Village to consider conducting a more detailed job/housing analysis specific to their community, with the community-level analysis considering community-specific wage data and housing price data. The community-specific analysis could also consider the effect of multiple workers in a household, which was not incorporated in the regional-level analysis. The regional housing plan further recommends that communities which are demonstrated to have a job/housing imbalance following a community-specific analysis consider making changes to their comprehensive plan and zoning ordinance, as appropriate, to enable the provision of housing suitable for the people holding jobs in their community. Actions to address a moderate-cost job/housing imbalance could include modifying the comprehensive plan to permit some single-family residences on smaller lots (1/4 acre or less) and of modest square footage (1,200 square feet). Actions to address a lower-cost job/housing imbalance could include modifying the comprehensive plan to permit some modest multi-family housing (density of about 10 housing units per acre and 800 to 850 square feet per two bedroom apartment). Additional information about the housing plan and the job/housing balance analysis is available on the SEWRPC website (www.sewrpc.org/sewrpc/housing.htm) or by contacting the SEWRPC staff. --- $^1$ For purposes of the analysis, lower-cost housing generally includes multi-family dwellings and single- and two-family dwellings at densities of 6,000 square feet or less per dwelling unit; moderate-cost housing includes single- and two-family dwellings at densities of one dwelling per 6,000 to 20,000 square feet for homes constructed prior to 2000 and at densities of one dwelling per 6,000 to 10,000 square feet for housing constructed after 2000; and higher-cost housing includes the balance of the housing stock. $^2$ For purposes of the analysis, lower-wage jobs include those with an average annual wage that is 80 percent or less than the average annual wage for all jobs in the county; moderate-wage jobs include those with an average annual wage between 80 percent and 135 percent of average annual wage for all jobs in the county; and higher-wage jobs include those with an average annual wage that is 135 percent or more of the annual average wage for all jobs in the county. Map A-1 PROJECTED JOB/HOUSING IMBALANCES IN SEWERED COMMUNITIES IN THE SOUTHEASTERN WISCONSIN REGION: 2035 - SHORTAGE OF LOWER-COST HOUSING COMPARED TO LOWER-WAGE JOBS - SHORTAGE OF MODERATE-COST HOUSING COMPARED TO MODERATE-WAGE JOBS - SHORTAGE OF BOTH - NO SHORTAGE OF AFFORDABLE HOUSING COMPARED TO JOB WAGES - MAJOR EMPLOYMENT CENTER: 2035 - CIVIL DIVISION BOUNDARY: 2010 Source: Local Government Comprehensive Plans and SEWRPC.
Services Input Intensity and US Manufacturing Employment Responses to the China Shock Omar Bamieh\textsuperscript{†} Matteo Fiorini\textsuperscript{‡} Bernard Hoekman\textsuperscript{§} Adam Jakubik\textsuperscript{¶} June 12, 2020 Abstract We present industry-level evidence that manufacturing sectors that make use of services as inputs more intensively are more robust to shocks from import competition. Specifically, the negative effect of the China shock on US manufacturing employment is lower for industries with high services input intensity (SII). Furthermore, our analysis reveals significant heterogeneity in the impact of different types of services, which points towards a fruitful research agenda on the role of services as a determinant of firm competitiveness. Keywords: Manufacturing employment, China shock, import competition, servicification, services inputs use JEL Classification: F16; L8 \textsuperscript{†}The authors are grateful to Lawrence White, Andrea Ariu, Paola Conconi, Caroline Freund, Lorenzo Caliendo, Jeff Frieden, Beata Javorcik, Doug Nelson, Marcelo Olarreaga, Marco Sanfilippo, Asha Sundaram, Thierry Verdier and members of the Galbino Project for helpful comments and suggestions on earlier versions of this paper. \textsuperscript{‡}Department of Economics, The University of Vienna, Oskar-Morgenstern-Platz 1, A-1090 Vienna. E-mail: email@example.com \textsuperscript{§}Global Governance Programme, Robert Schuman Centre for Advanced Studies, European University Institute, Villa Schifanoia, Via Boccaccio 121, I-50133 Florence. E-mail: firstname.lastname@example.org \textsuperscript{¶}Global Governance Programme, Robert Schuman Centre for Advanced Studies, European University Institute, Villa Schifanoia, Via Boccaccio 121, I-50133 Florence and Centre for Economic Policy Research, 33 Great Sutton Street, London EC1V 0DX, UK. E-mail: email@example.com \textsuperscript{¶}World Trade Organization, Rue de Lausanne 154, CH-1202 Geneva, Switzerland. Telephone: +41 (0)22739 51 45, E-mail: firstname.lastname@example.org 1 Introduction The rapid rise in China’s share of global trade since the early 1990s has generated significant adjustment pressures in countries around the world. Recent research on the impact of the steep rise in exports of manufactures from China to the United States on US manufacturing employment has documented the regionally differentiated effects of the “China shock” (Autor et al., 2013, 2020). Of particular note is the finding that the negative effects on manufacturing employment in local labor markets (commuting zones) are substantial and that during the time period that was investigated other economic sectors within commuting zones do not provide alternative employment opportunities to affected manufacturing workers (Acemoglu et al., 2016), which implies that much of the adjustment to the shock takes the form of exit from the labor market. Aggregate employment and productivity growth in the US and other high-income advanced economies is increasingly intertwined with the performance of the service sector. The share of manufacturing in total employment has been falling since the late 1970s, with a concomitant steady increase in the services content of production, consumption and employment. At the level of the economy as a whole, competition from China and other emerging economies is just one – albeit important – factor that has induced shifts in employment away from manufacturing and towards services sectors. These shifts in US comparative advantage are driven by technical change and investment responses to policies in both the US and in the rest of the world (China). Services account for an increasing share of US exports (34 percent in 2016, up from 27 percent in 2000); in 2016 the services trade balance registered a surplus of $248 billion, compared to a merchandise trade deficit of $752 billion.\footnote{Data are from US Bureau of the Census, at https://www.census.gov/foreign-trade/statistics/historical/index.html and reflect balance-of-payments figures. Thus they do not include services that are sold by foreign affiliates of US multinationals, which are an important additional channel for international provision of services by US-owned companies (Francois and Hoekman, 2010).} US comparative advantage in services reflects human capital endowments and the ability to take advantage of services agglomeration externalities (Gervais and Jensen, 2019). These broader features of structural transformation of the US economy are important in assessing the determinants of the impact of the China shock. In this paper we focus on one specific dimension of the ‘servicification’ of the US economy: the role of cross-sectoral variation in serservices input use (arms-length purchases of services) by manufacturing sectors as a factor that influences the resilience of the latter to greater import competition from China. Given that the US has a revealed comparative advantage in services, downstream industries that are relatively intensive users of services may be better able to withstand import competition from China. We show that industries where production is relatively services intensive have fared better in terms of employment because their competitiveness has either prevented significant Chinese import penetration in their sector or secured them a distinct market segment even in the face of import penetration. Given the worldwide trend of structural transformation, we propose a sector-level measure of services input intensity (SII), which is an internationally comparable statistic that broadly captures the variety of advantages that accrue to manufacturing industries that use services inputs. We know from previous literature that relative to intermediate parts and components, services are special inputs that enhance competitiveness through complex mechanisms: e.g., they coordinate increasingly fragmented global production processes; manage within-firm processes; coordinate between upstream suppliers and downstream customers in global value chains (GVCs) (Francois, 1990; Baldwin et al., 2015); and finally R&D, product development, innovation, and marketing help meet market demand and anticipate future preferences (Bloom et al., 2016). At our level of analysis we do not disentangle the relative importance of these services-dependent mechanisms, which are better studied using firm-level data. It is helpful to illustrate the role of services inputs using the case of Carhartt: an apparel manufacturer that operates in an industry where Chinese import competition has largely substituted for US manufacturing. The company has been able to continue to operate factories in the US that, employ around 2200 workers. Carhartt has used advertising services successfully to differentiate itself, emphasising the quality and durability of its products; it has used external consulting services to optimise business processes; it has promoted consumer engagement on e-commerce platforms to build its brand; and it has captured additional value-added by branching into retail. The latter elements of its strategy have been implemented through the use of cloud-based transportation management technology that has been sourced from specialized services consulting firms that led to efficiency gains through supply-chain optimization (GlobeNewswire, 2016). Use of such outsourced services inputs have helped Carhartt compete with imports by reducing costs, but more important is that these services inputs have allowed the company successfully to meet market demand and respond to changing consumer tastes in a way that many other import-competing products have not been able to replicate. The literature on services inputs into manufacturing highlights their special function in coordinating and logistics that support the process of production fragmentation and specialisation, which in turn improve industry-level efficiency and competitiveness. For instance, information and communications, transport, and logistics services are needed to connect labor and capital across space; and financial and insurance services allow firms to manage the risks of routine operations as well as the risks that are inherent in innovation and experimentation (Francois, 1990; Francois and Hoekman, 2010). In a world of global value chains (GVCs) where production involves the coordination across space and time of intermediate inputs that are produced by firms that are located in different regions or countries, this coordination function is particularly important. Baldwin et al. (2015) note that transport, telecommunications, logistics, and distribution services account for an increasing share of total value added in manufacturing because of the increasing fragmentation of the production process and the outsourcing of non-core activities. In the increasingly complex value chains that characterise modern manufacturing, parts have to be shipped and activities coordinated in ways that minimize the need for (cost of) storage.$^2$ Services outsourcing as a driver of firm performance has been the subject of numerous papers, with research identifying a positive effect of services outsourcing on productivity at both the firm level (see for instance Görg et al., 2008; Hijzen et al., 2010) and at the sector level (see Amiti and Wei, 2009; Winkler, 2010). For example, Görg and Hanley (2011) identify a positive impact of outsourcing of services on innovation practices in a sample of Irish manufacturing firms. The use of ICT services in a broad range of industries has been a driver of US output and productivity growth since the mid-1990s (van Ark et al., 2008). Our analysis extends the literature in several respects: The main contribution is to assess the role of services input intensity as a determinant of the local manufacturing employment response to greater import penetration. We complement Acemoglu et al. (2016) by showing that labor demand effects within a commuting zone are a function of the degree of sectoral exposure to Chinese imports, but that the services intensity of production is an additional factor that should $^2$Berlingieri (2015) finds that firms increase their services input intensity in order to manage coordination complexity (proxied by the number of contested export destination markets). be considered. More generally, our analysis contributes to the debate on the employment effect of services outsourcing. This literature has identified different theoretical channels with a net ambiguous effect on employment.$^3$ To the best of our knowledge the role of services outsourcing on the response of manufacturing employment to trade shocks has not been investigated. In doing so, we contribute to the broader debate on the role of services in aggregate economic performance and structural transformation (see Schettkat and Yocarini, 2006; Young, 2014; De Backer et al., 2015). We analyze the heterogeneity of local manufacturing employment effects of the China shock, focusing specifically on the question of whether differences in the intensity of use of externally purchased services inputs across US manufacturing industries are associated with greater resilience of employment to import competition from China. We use the empirical approach that was developed by Autor et al. (2013) to identify the employment response of manufacturing sectors at the commuting zone level in the US. We do not take a stance on whether it is appropriate to limit analysis of Chinese competition to a relatively short-run setting in which worker mobility is assumed to be very limited. Our goal is simply to deepen the understanding of the factors that determine the cross-sectoral variation in employment effects at the level of local labor markets. We find that more intensive use of producer services appears to be positively associated with resilience to import competition. The remainder of the paper is organized as follows: Section 2 presents the data on services input intensity. Section 3 lays out the empirical strategy. Results are reported and discussed in Section 4. Section 5 concludes with some implications for further work. \section{Data} The analysis distinguishes between the two time periods analysed by Autor et al. (2013): 1990-2000 and 2000-2007, with the latter adjusted to be 10-year equivalent. For our dependent variable $^3$On the one hand, offshoring reduces input prices and increases profits, which in turn potentially increases manufacturing production and labor demand. On the other hand, higher quality and cheaper service inputs may substitute for labor that is used in production, decreasing labor demand (Amiti and Wei, 2006; Milberg and Winkler, 2010b and Winkler, 2010). Consistent with the theoretical ambiguity, empirical findings are mixed (Amiti and Wei, 2005, 2006; Schöller, 2007; Winkler, 2010; Michel and Ryex, 2012; Milberg and Winkler, 2010a, 2015; Eppinger, 2019). However, services offshoring tends to be associated with a higher demand for skilled labor at the firm level (Crinò, 2010; Andersson et al., 2016). – changes in sectoral employment – we use County Business Patterns (CBP) data from the U.S. Census Bureau for the years 1990, 2000, and 2007. Data on working-age population are sourced from the Population Estimates Program (PEP) of the U.S. Census Bureau. We follow Autor et al. (2013) in controlling for unobserved demand shocks that affect – at the same time – changes in local employment levels and Chinese import competition. We also use their instrument: an exposure variable where bilateral trade flows from China to the US are replaced by trade flows from China to a basket of other advanced economies: Australia, Denmark, Finland, Germany, Japan, New Zealand, Spain, and Switzerland. These data were made available by David Dorn. For the services input intensity measure we use US Input Output tables from the OECD STAN database for the mid-1990s. We focus on the role of services input intensity in moderating the local labor market effects of exposure to imports of manufactured goods from China as assessed in the empirical framework that was developed by Autor et al. (2013). We do so by augmenting their empirical specification with a sectoral dimension in the spirit of Acemoglu et al. (2016). This allows us to introduce explicitly a measure of services input intensity that is used as a moderator of the effect of the treatment variable. Autor et al. (2013) find that a local labor market’s degree of exposure to imports of goods from China has a negative effect on the size of its manufacturing sector relative to geographic areas that are less exposed to imports. In what follows we hypothesize that the services input intensity of an industry will affect its response to changes in local trade exposure: For a given level of local labor market exposure to imports of manufactured goods, industries within that local labor market that are more intensive users of services are less affected. Figure 1 ranks US manufacturing sectors (denoted by their two-digit ISIC Rev. 3 codes) in terms of their services input intensity as defined by the sum of technical input-output coefficients for six services sectors that are particularly salient intermediate inputs into production (so called ‘producer services’).$^4$ The pattern of services input intensity is relatively heterogeneous across manufacturing sectors. Transport, business and financial services tend to be relatively significant for most manufacturing industries. Conversely, R&D services tend to be small or absent in the $^4$Technical coefficients in Figure 1 capture the technical relationship between US industries that prevailed in the early 1990s. The coefficients comprise the elements of the square matrix $A$ defined as $A = YM$, where $Y$ is a dimension $n$ square matrix of zeros, except along the main diagonal, that includes the inverse output of each industry and $M$ is the intermediate demand matrix. For each services-manufacturing sector pair $(s, j)$, the technical coefficient is the element $a_{sj}$ of $A$ and represents the cost of the intermediate inputs from services sector $s$ per dollar of total production of manufacturing sector $j$. input bundle of downstream sectors – with the notable exception of medical, precision, and optical instruments (ISIC sector 33). Figure 1: Services input intensity in manufacturing sectors Notes: Manufacturing sectors are denoted on the horizontal axis with their 2-digit ISIC Rev. 3 codes. The identification of the ISIC 2-digit sectors can be found in the Appendix table A.1. For each services sector the vertical axis reports its technical coefficient in the respective manufacturing sector. Technical coefficients are computed from the earliest observation of the US input-output table that was sourced from the OECD IO STAN that captures the technical relationship between industries prevailing at the beginning of the 1990s. 3 Empirical strategy To investigate the role of differences in services input intensity in moderating the impact of an increase in import competition on manufacturing employment, we interact the change in import exposure at the commuting zone (CZ) level with a measure of services input intensity across sectors:\footnote{We define local labor markets according to Autor et al. (2013) to be 722 non-overlapping commuting zones which represent areas with a high degree of labor mobility within and very little mobility across zones. Our empirical specification follows closely Section 6 of Acemoglu et al. (2016). We refer the reader to these papers for an in-depth discussion of identification and instrumentation strategies.} \begin{equation} \Delta E_{ist} = \delta_{st} + \beta \Delta IP_{it} + \mu (\Delta IP_{it} \times SII_s) + \kappa (\Delta IP_{it} \times Exposure_s) + \gamma' X_{ist-1} + \epsilon_{ist}, \end{equation} where: $\Delta E_{ist}$ is the change in employment of sector $s$ in CZ $i$ at time $t$, expressed in percentage points of working-age population. The index $t$ distinguishes the two time periods we cover: 1990-2000 and 2000-2007, where the latter period is adjusted to be 10-year equivalent. $\Delta IP_{it}$ is the change in import penetration (exposure) to Chinese competition at the local labor market level as defined in Autor et al. (2013). $SII_s$ is a measure of the services input intensity of sector $s$. More precisely, $SII_s$ is the manufacturing sector-specific sum over services sectors of their technical coefficients. We restrict the focus to the six categories of producer services in Figure 1: (1) transport and storage; (2) telecommunications; (3) finance; (4) computer and related services (IT); (5) R&D; and (6) business services.\footnote{The business services category includes professional services such as legal, accounting, management consulting, and engineering.} To rule out the possibility that the change in exposure to Chinese import competition affects the degree of service input intensity, we measure $SII_s$ using data that reflects the industrial linkages in the early 1990s. Controlling for the interaction between $\Delta IP_{it}$ and $Exposure_s$ (predicted exposure at the sectoral level) allows us to control for the possibility that the differential impact of $\Delta IP_{it}$ on $\Delta E_{ist}$ with respect to $SII_s$, may be driven by differences in other relevant characteristics: that service intensive industries are also less exposed to Chinese competition. To establish exogeneity, $Exposure_s$ is predicted from a regression of sectoral import penetration in the US on the sectoral import penetration in other countries. $\mathbf{X}_{ist-1}$ is a vector of other controls, which include lagged variables that vary at the CZ-time level and census geographic division dummy variables that are interacted with sector fixed effects.\footnote{The nine census divisions are identified by eight dummy variables that group together subsets of CZs.} $\delta_{st}$ are sector-time fixed effects, which flexibly capture any sector specific time effect. $\epsilon_{ist}$ is the error term. The marginal effect of changes in exposure to Chinese import competition on local employment is given by: $$ME_s = \beta + \mu \times SII_s + \kappa \times Exposure_s.$$ (2) Summary statistics for the main variables used in the estimation are reported in Table 1. Changes in both import penetration and sectoral employment are on average larger in the later period, and also exhibit greater variability. Table 1: Summary statistics for the main variables \| Variable \| Mean \| Median \| sd \| Min \| Max \| \|-------------------\|--------\|--------\|--------\|--------\|--------\| \| $\Delta E_{ist}$ \| -0.099 \| -0.001 \| 0.706 \| -18.570\| 14.035 \| \| $\Delta E_{is1990}$ \| -0.032 \| 0.000 \| 0.663 \| -16.467\| 13.005 \| \| $\Delta E_{is2000}$ \| -0.165 \| -0.017 \| 0.741 \| -18.570\| 14.035 \| \| $\Delta IP_{it}$ \| 1.906 \| 1.179 \| 2.582 \| -0.629 \| 43.085 \| \| $\Delta IP_{t1990}$ \| 1.176 \| 0.746 \| 1.781 \| -0.075 \| 25.405 \| \| $\Delta IP_{t2000}$ \| 2.636 \| 1.935 \| 3.016 \| -0.629 \| 43.085 \| \| $Exposure_s$ \| 0.661 \| 0.613 \| 0.261 \| 0.300 \| 1.226 \| \| $SII_s$ \| 0.069 \| 0.063 \| 0.017 \| 0.048 \| 0.111 \| Notes: The data span two time periods: 1990-2000 and 2000-2007, and each period is indexed by the year it begins. The latter period is adjusted to be 10-year equivalent. 4 Results 4.1 Benchmark case Table 2 reports the results of 2SLS estimation of versions of equation (1) where columns (3) to (5) progressively include treatment variables. The same instruments and controls as Autor et al. (2013) are used. Results in column (1) confirm at a sector-local labor market level previously established findings of a negative relative effect of import exposure on employment share. These results are invariant to progressively adding control variables that capture relevant features of the local labor markets.\footnote{Our controls are not shown; they are the standard ones in the literature: the lags of local manufacturing employment share; college-educated share of population; foreign-born share of population; female employment share; share of routine occupations; and share of outsourcable occupations.} Note that we observe effects in terms of percentage point changes, not levels, of employment share, and that the methodology permits analysis of relative effects: the performance of more exposed local sectors versus less exposed ones. This first result in column (1) is obtained from a stacked first differences specification used by Autor et al. (2013) that uses data from two time periods: 1990-2000 and 2000-2010. We test for a structural break between these two time periods using a Chow test and reject the null hypothesis of no structural break (Chow F-statistic: 15.07). Column (3) reveals that the pooled results are driven by the later (2000-2010) period. Column (2) shows that import exposure is not significant in the first period (1990-2000). For this reason, and given that the earliest data for our $SII_s$ variable is from the 1990s, in what follows we focus out analysis exclusively on the later period, but note that our findings are robust to pooling the time periods as in Autor et al. Table 2: Services input intensity and sectoral exposure mediate the effect of Chinese import competition \| \| (1) \| (2) \| (3) \| (4) \| (5) \| \|--------------------------------\|---------\|---------\|---------\|---------\|---------\| \| Change in Import Exposure \| -0.032* \| -0.005 \| -0.021 \| -0.073 \| 0.126 \| \| per worker \| (0.007) \| (0.013) \| (0.008) \| (0.029) \| (0.050) \| \| Change in Import Exposure \| \| \| 0.756 \| -0.305 \| \| \| per worker × SII \| \| \| (0.328) \| (0.411) \| \| \| Change in Import Exposure \| \| \| \| -0.189* \| \| \| per worker × Sectoral Exposure \| \| \| \| (0.038) \| \| \| Observations \| 25,992 \| 12,996 \| 12,996 \| 12,996 \| 12,996 \| \| Sanderson–Windmeijer F stat \| 48 \| 22 \| 30 \| 63 \| 110 \| \| Controls \| YES \| YES \| YES \| YES \| YES \| \| Sector × Decade FE \| YES \| YES \| YES \| YES \| YES \| Notes: Estimates from equation $\Delta E_{ist} = \delta_{st} + \beta \Delta IP_{it} + \mu (\Delta IP_{it} \times SII_s) + \kappa (\Delta IP_{it} \times Exposure_s) + \gamma' X_{ist-1} + \epsilon_{ist}$ Commuting zone $i$, sector $s$, time $t$. The dependent variable is the 10-year equivalent change in manufacturing employment/working-age population in percentage points. All models are estimated using 2SLS. SII is a measure of services input intensity in the downstream sector. The controls – $X_{ist-1}$ – are the shares of: lagged employment in manufacturing; college-educated; foreign-born; female employed; employment in routine occupations; and census division dummy variables that are interacted with sector fixed effects. Standard errors in parentheses are clustered by state. A novel finding from our analysis is the significant positive coefficient on the interaction between import exposure and services input intensity of the local manufacturing sector in column (4). This supports the hypothesis that greater use of services inputs may act to moderate adverse employment effects of an increase in import penetration.\footnote{Controlling for endogeneity due to potential unobserved demand shocks with the use of the instrumentation strategy is important as the OLS point estimates (not reported) of $\beta$ and $\mu$ are $-0.0378^{**}$ and $0.379^$, respectively, which significantly underestimate this impact.} Once we introduce a control for the interaction between local import exposure and sectoral exposure in column (5) we see that this interaction term becomes significant and the interaction of local exposure and SII becomes insignificant. This means that high SII is also associated with low sectoral exposure, which suggests that at this level of aggregation the mechanism through which SII functions is by reducing import competition. To illustrate this finding graphically, Figure 2 plots the marginal effect of the treatment on the dependent variable as a linear function of the moderator variable $SII$. The estimated marginal effect of exposure to manufactured imports is less negative when the sector makes greater use of service inputs. For the highest values of service input use observed in the sample the effect is not statistically different from zero. The point estimates show that, at the mean value of $SII$ of 0.069, a $1,000 exogenous decadal rise in CZ’s import exposure per worker reduces sectoral manufacturing employment per working-age population by approximately 0.021 percentage points ($= -0.0730 + 0.756 \times 0.069 = -0.021$). The same increase in import competition generates different effects depending on the sectoral $SII$. At the highest level of $SII$ (0.111) the same $1,000 increase in import exposure leads to a 0.011 percentage point increase in sectoral manufacturing employment share, although this increase is not significantly different from zero. At the lowest level of $SII$ (0.048) the same $1,000 increase in import exposure leads to a reduction in sectoral manufacturing employment share of 0.037 percentage points. ### 4.2 Services input intensity and sectoral import exposure The foregoing demonstrates that services input intensity is a moderator of the China shock. $SII$ is a “pre-treatment” sector-level characteristic of manufacturing sectors that potentially affects not only a sector’s employment response to import competition but also the extent to which it is subject to exposure. As discussed previously, the employment effect of a trade shock will be sector-specific, depending on the degree of exposure, which is determined in part by the services intensity of different manufacturing industries. $SII$ moderates the employment effect of the trade shock through its influence on the degree to which it attenuates the level of import competition with which it is confronted, which is reflected in the magnitude of the shift of the labor demand curve. Given the degree of sectoral exposure to import competition, services intensity may also affect a sector’s response to greater import competition. This effect can operate both through a further shift in sector-specific labor demand and/or through variations across sectors in the elasticity of labor supply. In cases where labor supply is more elastic the net result may be a further reduction in labor demand. Our empirical framework allows us to identify a sector’s response to the China shock as long as services input intensity and sectoral import exposure are uncorrelated. In the spirit of Acemoglu et al. (2016), to guarantee exogeneity, we use predicted sectoral exposure computed by regressing US sectoral exposure on the sectoral exposure of other high-income advanced economies. As Figure 3 shows, the estimated correlation between $SII$ and predicted sectoral exposure is negative and equal to -0.36 (see Table 3). This suggests that the moderating effect of $SII$ is at least partly driven by the lower values of sectoral exposure that are associated with higher $SII$. Figure 3: Correlation between exposure and service input intensity Notes: The line shows the fitted values of the univariate regression of $SII$ on our measure of predicted exposure. Both variables are measured at the sectoral level, and manufacturing sectors are denoted with their 2-digit ISIC Rev. 3 codes. The identification of the ISIC 2-digit sectors can be found in the Appendix table A.1. Table 3: Correlation between service input intensity and exposure \| Input intensity - all services \| Predicted Exposure \| \|-------------------------------\|--------------------\| \| \| -0.362 \| \| \| (0.140) \| \| Input intensity - transport \| -0.371 \| \| \| (0.129) \| \| Input intensity - telecom \| 0.115 \| \| \| (0.650) \| \| Input intensity - finance \| -0.017 \| \| \| (0.948) \| \| Input intensity - IT \| 0.284 \| \| \| (0.253) \| \| Input intensity - R&D \| 0.003 \| \| \| (0.990) \| \| Input intensity - business \| -0.076 \| \| \| (0.764) \| \| Observations \| 18 \| Notes: The table reports the Pearson correlation coefficient between sectoral service input intensity and sectoral exposure with the associated p-value in parenthesis. The first row refers to all service sectors, whereas each of the remaining rows refers to one of the 6 service sectors. In order to investigate this question further, we unpack $SII$ at the level of each individual producer service component, generating six different services-specific measures of input intensity, denoted as $SII^k$, where $k$ is the index for different categories of producer services inputs. Figure 4 plots the estimated correlation between manufacturing sector import exposure and the relevant $SII^k$ variable. There is substantial heterogeneity across individual services sectors. For Finance and R&D we find that the correlation is equal to 0. In these two cases all of the moderating effect of $SII^k$ can be attributed solely to the manufacturing sectors’ capacity to respond to import competition. When the correlation is different from 0, we cannot distinguish between the effect of services intensity on import exposure and the effect on the employment response. Thus in these cases controlling for sectoral exposure is important in order to isolate the component of services input intensity that is orthogonal to predicted sectoral exposure. As shown in Table 4, column (1) the moderating properties of $SII^{Transport}$ are completely absorbed by the portion of its variability that co-moves with sectoral exposure to imports. In this case we replicate the result obtained using the aggregate $SII$ variable: higher services intensity reduces the negative impact on labor demand, but we cannot disentangle the mechanism through which this works. In the case of telecommunications (column 2) and business services (column 6), higher values of $SII_{Telecom}$ and $SII_{Business}$ are associated with larger negative employment effects of the China shock. This is consistent with a situation where the supply-side (elasticity) effect augments the demand-side impact, which results in a greater decline in manufacturing employment. In the case of telecommunications, these properties are again completely absorbed by the portion of the variation that co-moves with sectoral exposure. In contrast, in the case of business services, this effect is at least partly driven by variation that is orthogonal to predicted sectoral import exposure. These results suggest that there are services sector-specific differences that are masked by the finding that at the aggregate level greater services intensity is associated with a smaller decline in manufacturing labor demand (employment) following the trade shock. This aggregate result is driven by transport, finance, and R&D, with the last two service categories representing cases where the effect is independent of variation across manufacturing industries in exposure to import competition. Our unpacking of $SII$ also reveals that for some types of services – business services in particular – higher levels of $SII_{Business}$ are associated with a greater decline in labor Table 4: Services input intensity and sectoral exposure mediate the effect of Chinese import competition - 2000 \| \| (1) Transport \| (2) Telecom \| (3) Finance \| (4) IT \| (5) R&D \| (6) Business \| \|--------------------------------\|---------------\|-------------\|-------------\|-------\|--------\|-------------\| \| Change in Import Exposure per worker \| 0.091* \| 0.125* \| -0.097 \| 0.080* \| 0.093* \| 0.137* \| \| \| (0.028) \| (0.033) \| (0.128) \| (0.024) \| (0.019) \| (0.037) \| \| Change in Import Exposure per worker × SII \| 0.217 \| -4.926 \| 19.958 \| 7.672 \| 8.604 \| -1.480* \| \| \| (0.478) \| (4.065) \| (13.331) \| (8.316) \| (3.870) \| (0.804) \| \| Change in Import Exposure per worker × Sectoral Exposure \| -0.177* \| -0.178* \| -0.181* \| -0.195* \| -0.182* \| -0.187* \| \| \| (0.032) \| (0.032) \| (0.033) \| (0.037) \| (0.033) \| (0.035) \| \| Observations \| 12,996 \| 12,996 \| 12,996 \| 12,996 \| 12,996 \| 12,996 \| \| Sanderson–Windmeijer F stat \| 105 \| 64 \| 74 \| 68 \| 66 \| 64 \| \| Controls \| YES \| YES \| YES \| YES \| YES \| YES \| \| Sector × Decade FE \| YES \| YES \| YES \| YES \| YES \| YES \| Notes: Estimates from equation $\Delta E_{i,s,t} = \delta_{i,s} + \beta \Delta IP_{i,s} + \mu (\Delta IP_{i,s} \times SII_{s}) + \kappa (\Delta IP_{i,s} \times Exposure_{s}) + \gamma' X_{i,s,t-1} + \epsilon_{i,s,t}$ Commuting zone $i$, sector $s$, time $t$. The dependent variable is the 10-year equivalent change in manufacturing employment/working-age population in percentage points. All models are estimated using 2SLS. SII is a measure of services input intensity in the downstream sector. The controls – $X_{i,s,t-1}$ – are the shares of: lagged employment in manufacturing; college-educated; foreign-born; female employed; employment in routine occupations; and census division dummy variables that are interacted with sector fixed effects. Standard errors in parenthesis are clustered by state. Demand. Higher services input intensity from services that increase firms’ flexibility in their use of labour inputs may increase the elasticity of supply of labor in the potential labour pool and thus exacerbate the employment effects of a given trade shock. The aggregate labor-supply elasticity in a sector is higher when there are fewer barriers and fixed costs to employment: e.g. training, educational attainment, certification, or firm- or sector-specific experience. This is also the case when a sector has a larger local pool of potential workers to draw from, or is able to benefit from geographic mobility of workers or technologies that permit workers to provide their services remotely. Companies that provide business services in particular facilitate the outsourcing of tasks by manufacturing firms that require relatively little firm- or industry-specific skills. Because there is a large market for such workers that spans many industries, these workers have relatively more employment opportunities than do workers who perform tasks that require a high level of firm-specific knowledge capital. An implication is that the business services input intensity of a sector is associated with a more wage-sensitive labor force. The upshot is a higher labor supply elasticity, so that a given downward shift in demand will result in a greater decrease in employment by manufacturing establishments in equilibrium. This second mechanism can account for the heterogeneity of the results that we obtain when we decompose different types of services. While the aggregate result strongly supports our main hypothesis of services input intensity being a technological feature capable of attenuating the negative employment response to import competition, the findings from a more disaggregated analysis add a layer of complexity that points at heterogeneity across services sectors. However, it should be noted that we cannot disentangle the supply and demand effects with the available data. 5 Conclusions The evidence presented in this paper suggests that services intensity is a factor that differentiates local US manufacturing employment responses to the China shock. We find that the manufacturing sectors that have borne the brunt of the adjustment costs that are associated with import competition from China are those that are less services-intensive, whereas those that use services inputs more intensively experienced less reductions in employment. The decline in US manufacturing employment has been ongoing for decades, which largely reflects continued technological change. The share of services has expanded as a result of a mix of: inter-industry productivity differences; inter-industry shifts in the division of labor (outsourcing); and increasing final demand for services as per capita incomes rise (Schettkat and Yocarini, 2006). For the future, manufacturing jobs will continue to become more skill-intensive and sophisticated and be associated with further servicification of production. The implications of servicification of the economy has long been a subject of research. Less well understood is how the rise in services input intensity affects the employment responses of manufacturing industries to trade shocks. We provide evidence that services input intensity is a factor that moderates the negative employment impacts of the China shock, but our evidence also shows that it is important to “unpack” this result. Different services play different roles and functions in making manufacturing employment more or less resilient to trade shocks. More generally, our findings point to a broader research agenda on the properties of different types of services inputs and the role that they play in the production functions of firms and their employment adjustment dynamics. Crucial to that end are rich labor statistics that allow assessment of heterogeneous effects across services tasks that differ in skill content (see Autor et al., 2003, for a taxonomy of skill types based on the dictionary of occupational titles) and to analyze the role of services in shaping the effect of trade shocks as a function of the skill content across industries or firms (Lu and Ng, 2012). While such an analysis is beyond the scope of the present paper, we hope our findings will stimulate analysis employing more detailed data of the role of services in structural transformation. References Acemoglu, Daron, David H. Autor, David Dorn, Gordon H. Hanson, and Brendan Price, “Import Competition and the Great US Employment Sag of the 2000s,” Journal of Labor Economics, 2016, 34 (S1), S141–S198. Amiti, Mary and Shang-Jin Wei, “Fear of service outsourcing: is it justified?,” Economic Policy, April 2005, 20 (42), 308–347. — and —, “Service Offshoring, Productivity and Employment: Evidence from the US,” CEPR Discussion Paper 5475, C.E.P.R. Discussion Papers January 2006. — and —, “Service Offshoring and Productivity: Evidence from the US,” World Economy, 2009, 32 (2), 203–220. Andersson, Linda, Patrik Karpaty, and Selen Savsin, “Firm-level effects of offshoring of materials and services on relative labor demand,” Review of World Economics, May 2016, 152 (2), 321–350. Autor, David H., David Dorn, and Gordon H. Hanson, “The China Syndrome: Local Labor Market Effects of Import Competition in the United States,” American Economic Review, October 2013, 103 (6), 2121–68. —, —, —, and Kaveh Majlesi, “Importing Political Polarization? The Electoral Consequences of Rising Trade Exposure,” American Economic Review, 2020, (forthcoming). —, Frank Levy, and Richard J. Murnane, “The Skill Content of Recent Technological Change: An Empirical Exploration,” The Quarterly Journal of Economics, 11 2003, 118 (4), 1279–1333. Baldwin, Richard, Rikard Forslid, and Tadashi Ito, “Unveiling the Evolving Sources of Value Added in Exports,” Joint Research Program Series No. 161 March 2015. Berlingieri, Giuseppe, “Managing Export Complexity: The Role of Service Outsourcing,” 2015. Retrieved July 20, 2018, from Author’s Web site: https://sites.google.com/site/giuseppeberlingieri/home/research. Bloom, Nicholas, Mirko Draca, and John Van Reenen, “Trade induced technical change? The impact of Chinese imports on innovation, IT and productivity,” The Review of Economic Studies, 2016, 83 (1), 87–117. Crinò, Rosario, “Service Offshoring and White-Collar Employment,” The Review of Economic Studies, 2010, 77 (2), 595–632. De Backer, Koen, Isabelle Desnoyers-James, and Laurent Moussiegt, “‘Manufacturing or Services - That is (not) the Question’: The Role of Manufacturing and Services in OECD Economies,” OECD Science, Technology and Industry Policy Papers, No. 19, OECD Publishing, Paris. 2015. Eppinger, Peter S., “Service offshoring and firm employment,” Journal of International Economics, 2019, 117 (C), 209–228. Francois, Joseph, “Producer Services, Scale, and the Division of Labor,” Oxford Economic Papers, 1990, 42 (4), 715–729. — and Bernard Hoekman, “Services Trade and Policy,” Journal of Economic Literature, 2010, 48 (3), 642–692. Gervais, Antoine and J. Bradford Jensen, “The tradability of services: Geographic concentration and trade costs,” Journal of International Economics, 2019, 118, 331 – 350. 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Evidence from a small open economy,” Applied Economics, 2012, 44 (2), 229–251. Milberg, William and Deborah Winkler, “Economic insecurity in the new wave of globalization: offshoring and the labor share under varieties of capitalism,” International Review of Applied Economics, 2010, 24 (3), 285–308. — and —, “Financialisation and the dynamics of offshoring in the USA,” Cambridge Journal of Economics, 2010, 34 (2), 275–293. — and —, “Offshoring and the Labour Share in Germany and the US: The Role of Different Policy Regimes,” World Economics, December 2015, 16 (4). Schettkat, Ronald and Lara Yocarini, “The shift to services employment: A review of the literature,” Structural Change and Economic Dynamics, 2006, 17 (2), 127 – 147. Schöller, Deborah, “Service Offshoring and the Demand for Less-Skilled Labor: Evidence from Germany,” Hohenheimer Diskussionsbeiträge No. 287/2007 2007. van Ark, Bart, Mary O’Mahoney, and Marcel P. Timmer, “The Productivity Gap between Europe and the United States: Trends and Causes,” Journal of Economic Perspectives, March 2008, 22 (1), 25–44. Winkler, Deborah, “Services Offshoring and its Impact on Productivity and Employment: Evidence from Germany, 1995–2006,” The World Economy, December 2010, 33 (12), 1672–1701. Young, Alwyn, “Structural Transformation, the Mismeasurement of Productivity Growth, and the Cost Disease of Services,” American Economic Review, November 2014, 104 (11), 3635–67. Table A.1: Mapping between sectors 2-digit ISIC Rev. 3 codes and labels \| Codes \| Labels \| \|-------\|------------------------------------------------------------------------\| \| 15-16 \| food products, beverages, and tobacco \| \| 17-19 \| textiles, textile products, leather, and footwear \| \| 20 \| wood and products of wood and cork \| \| 21-22 \| pulp, paper, paper products, printing, and publishing \| \| 23 \| coke, refined petroleum products, and nuclear fuel \| \| 24 \| chemicals and chemical products \| \| 25 \| rubber and plastics products \| \| 26 \| other non-metallic mineral products \| \| 27 \| basic metals \| \| 28 \| fabricated metal products except machinery and equipment \| \| 29 \| machinery and equipment n.e.c \| \| 30 \| office, accounting, and computing machinery \| \| 31 \| electrical machinery and apparatus n.e.c \| \| 32 \| radio, television, and communication equipment \| \| 33 \| medical, precision, and optical instruments \| \| 34 \| motor vehicles, trailers, and semi-trailers \| \| 35 \| other transport equipment \| \| 36-37 \| manufacturing n.e.c. and recycling \|
To Trust or Not to Trust Amjad Al-Jabri Jillian Bennett outwit complexity™ Agenda - Introduction and Logistics - Introduction to Vendor Risks - Common Cybersecurity Threats from Vendors - Considerations of Vendor Updates - Vendor Risk Management Strategies - Emerging Trends and Future Challenges - Key Takeaways and Recommendations Introduction to Vendor Risks Vendor Definition and Types What is a Vendor? An entity contracted by a Business Partner to provide a solution or service but does not engage in critical processes. Security Service Vendor Examples: - SIEM Tool Solution - System Maintenance - Cloud & SaaS - Endpoint Security - Network Security Interested to learn more? For more information refer to the Security Considerations when Subcontracting whitepaper Understanding Vendor Dependencies What is a Vendor Dependency? A Business Partner’s reliance on external vendors for essential products, services, or technologies. Variations: Single Source: Relies on one vendor for critical products or services - Pro: Simplifies management - Con: Increases risk if vendor is compromised Multi-Source: Relies on multiple vendors for critical products or services - Pro: Increase in management complexity - Con: Mitigates risk by providing alternative Why Trusted Vendors Pose Cybersecurity Risks Sensitive Data Vendors often have access to an organization's sensitive information and systems, making them a potential target for cyberattacks. Vulnerabilities Vendors can have their own security weaknesses that can be exploited and serve as entry points for attackers to infiltrate an organization's network. Supply Chain Complexity Managing multiple vendors can complicate security oversight, raising the potential for security lapses. Why Trusted Vendors Pose Cybersecurity Risks Sensitive Data Vendors often have access to an organization's sensitive information and systems, making them a potential target for cyberattacks. Sensitive Data That May Be Handled by Vendors - Protected Health Information (PHI) - Personally Identifiable Information (PII) - Medical records - Financial information Examples of Vendor Access to Sensitive Information - Electronic Health records - Medical billing process - Providing IT support services Data Handling - Vendors often process, store, and transmit sensitive data Why Trusted Vendors Pose Cybersecurity Risks Vulnerabilities Vendors can have their own security weaknesses that can be exploited and serve as entry points for attackers to infiltrate an organization’s network. Thorough Vendor Risk Assessments - Clients should conduct detailed risk assessments before onboarding vendors. This includes evaluating the vendor’s security controls, policies, and incident response plans. Clear Contractual Agreements - Establish clear contracts that outline security expectations, compliance requirements, and incident response protocols. Incident Response Plans - Develop comprehensive incident response plans (IRPs) that outline steps to detect, manage, and mitigate the immediate effects of a cybersecurity incident involving vendors. Why Trusted Vendors Pose Cybersecurity Risks Supply Chain Complexity Managing multiple vendors can complicate security oversight, raising the potential for security lapses. Complexity in The Supply Chain - Security vendor supply chains involve multiple layers of vendors and subcontractors, each with their own security practices. Juggling Multiple Vendors - Coordinating and managing multiple security vendors, each with different security protocols, can be challenging and increases the risk of security lapses. Maintaining Transparency and Visibility - Difficulty in obtaining timely and accurate information about security patches and vulnerabilities. Case Study: US Treasury Workstations Treasury Department says state-linked hacker gained access to unclassified data in major attack Source: https://www.cnn.com/2024/12/30/investing/china-hackers-treasury-workstations/index.html Common Cybersecurity Threats from Vendors Common Threats from Vendors - Supply Chain Attacks - Insider Threats - Ransomware - IoT and Hardware Vulnerabilities Supply Chain Attacks Types of Supply Chain Attacks Hardware Supply Chain Attack Physical components are compromised, or malicious firmware is embedded in hardware devices that are distributed to the vendor's customers. Software Supply Chain Attack Malicious code or vulnerabilities are introduced into applications or software updates to infect all users of a software or app. Supply Chain Attack Example Codecov Security Lapses - Inadequate security controls and credential protection - Lack of robust monitoring - Insufficient integrity checks during SDLC Impacts on Business Partners - Operational disruptions - Exposure of sensitive information - Incident response costs Insider Threats Via Vendors Insider: A person that an organization trusts, such as a vendor employee, organizational member, or anyone that an organization has given sensitive information and access. - Intentional/Malicious Insider - Vendor misusing access for personal gain or to harm the client - Negligent Insider - Vendor causing breaches through careless actions - Compromised Insider - Vendor credentials are stolen by outside threat actors and used to infiltrate client networks Insider Threats Via Vendors Example Capital One Security Lapses - Insufficient IAM controls - Inadequate monitoring and alerting controls - Lack of data encryption Impacts on Business Partners - Exposure of personal information of over 100 million customers - Potential identity theft and fraud Ransomware Via Vendors What: Malicious software that exploits vulnerabilities in a third-party vendor's systems to gain access to and encrypt a client's data, demanding a ransom for the decryption key. Common Vendor Related Causes: - Supply chain vulnerabilities - Compromised software updates - Inadequate patch management by vendor - Poor access controls for privileged accounts - Weak vendor security practices Ransomware Via Vendors Example Kaseya Security Lapses - Unpatched zero-day vulnerabilities - Insufficient security measures - Delayed patch implementation Impacts on Business Partners - 1,500 businesses experienced system encryptions - Financial loss from downtime and ransom payments - Data compromise IoT and Hardware Vulnerabilities - Lack of Industry Standards - IoT developers often create their own protocols and guidelines - Short Development Cycles - Lack of thorough testing of devices - Lack of Physical Hardening - Use of insecure or outdated components may leave devices vulnerable to physical attacks IoT and Hardware Vulnerabilities Example Kaseya Security Lapses - Insufficient IAM controls - Inadequate monitoring and alerting controls - Lack of data encryption Impacts on Business Partners - Significant risks of data breaches, including sensitive personal and business information - Infiltration into client network - Possibility for ransomware attacks Synology Zero-click Flaw Consequences of Vendor-Related Cyber Threats Ticketmaster warns customers to take action after hack Outages from cyberattack at UnitedHealth’s Change Healthcare extend to seventh day as pharmacies deploy workarounds Target Data Breach Spilled Info On As Many As 70 Million Customers Home Depot confirms data breach via third-party vendor Starbucks hit with disruptions following third-party ransomware attack Considerations of Vendor Updates Operational Risks from Vendor Updates Untested Patches Vendors may release patches without thorough testing, leading to system crashes or performance issues. Compatibility Issues Updates may not be compatible with all systems or applications, causing operational disruptions upon installation. Faulty Updates Updates that contain errors or bugs can cause widespread system outages. Recommendations for Business Partners Slow Release to Small Population: - Phased Rollout: - Release updates to a small population of systems first and observe their impact before wider deployment. Recovery Strategies: - Backup and Recovery Plans: - Ensure robust backup and recovery plans are in place to quickly restore systems if an update causes issues. Building Trust in Vendor Updates: - Defensible Position: - Document your update process and decisions to build a defensible position. Understanding Vendor Update Frequency: - Regular Communication: - Stay informed about the frequency and schedule of vendor updates to plan and prepare accordingly. Case Study: CrowdStrike Huge Microsoft Outage Caused by CrowdStrike Takes Down Computers Around the World A software update from cybersecurity company CrowdStrike inadvertently disrupted IT systems globally—taking Windows machines offline. Source: https://cloudworkmates.com/2024/07/24/the-crowdstrike-windows-outage-a-detailed-case-study/ Vendor Risk Management Strategies ## Regulatory Landscape ### ARS Controls And BPSSM Guidance \| Description: \| Related Controls: \| \|-------------\|-------------------\| \| Risk Assessment and Vendor Evaluation \| Managing vendor risks through policies, procedures, and assessments of their practices. \| \| \| RA-01, RA-03, RA-03(01) SA-04 SR-01, SR-02 SR-03, SR-05 SR-06 \| \| Monitoring and Audit Tools \| Ensure continuous and thorough security monitoring, change management, testing, and evaluation to manage and mitigate risks. \| \| \| CM-02(02), CM-03, CM-04(02), CM-06(01) RA-05 SA-11(01), SA-11(05), SA-11(08) \| \| Incident Response and Recovery Plans \| Ensure effective incident response and recovery through well-defined plans and coordination with supply chain entities. \| \| \| IR-04, IR-04(10), IR-06(03), IR-08 MA-03(01) \| \| Boundary and Data Flow Protection \| Employ mechanisms and devices to protect the network boundary and the flow of data from unauthorized access. \| \| \| AC-03(09), AC-04, AC-04(04) CA-03 CM-08(03) SA-08 SC-03, SC-07 \| Risk Assessment and Vendor Evaluation Managing Vendor Risks and Creating an SCRM Plan - Policy and Procedure Develop and maintain supply chain risk policies and procedures. - Acquisition Utilize acquisition processes, procurement methods, and contract tools. - Risk Assessment Assess supply chain risks associated with suppliers or contractors. - Risk Management Establish processes to monitor and manage supply chain risks. - Risk Remediation Develop and maintain plans for remediating supply chain risk. Monitoring and Audit Tools Managing Third Party Components 01 Monitor, scan, and remediate vulnerabilities - Monitoring/scanning tools, including automation support - Remediation and dissemination 02 Penetration testing to identify vulnerabilities - Different types employed - Use to identify third party component vulnerabilities 03 Software composition analysis and dynamic code analysis - Identify open-source components, license vulnerabilities - Software Bill of Materials generation 04 Change management and change control - Establish and maintain accurate baseline configurations - Verify any changes made to the system Incident Response and Recovery Developing Incident Response and Recovery Plans Develop Follow ARS Control and BPSSM requirements for creating and maintaining an Incident Response Plan. Coordinate Consider vendor and other third-party coordination and information sharing on a “need to know” basis. Review & Update Regularly review and update policies and procedures related to incident response as necessary. Boundary and Data Flow Protection Securing Systems and Information from Unauthorized Access Data Flow Diagrams Accurately document and map data and information flows throughout the network, especially where sensitive data is involved. Identify all flows of data to and from vendors or other third parties. Zero-Trust Architecture Assume that threats can originate both internally and externally. Require rigorous and continuous verification of any user, device, or application. Managed Interfaces Leverage boundary protection devices and other managed interfaces to ensure logical and physical separation within the network. Employ these devices for any connection to external networks. For more information, refer to the Authorization Boundary and Network Separation Considerations Whitepaper. NIST Special Publications Additional Guidance NIST SP 800-47 Rev. 1 Managing the Security of Information Exchanges Provides guidance on the sharing of information with third parties and how to protect it. Identifies agreements needed to manage information exchange risk. NIST SP 800-161 Rev. 1 Cybersecurity Supply Chain Risk Management Practices for Systems and Organizations Provides guidance on identifying, assessing, and mitigating cybersecurity risks throughout the supply chain. Provides guidance on developing a C-SCRM framework. Security of Information Exchanges NISTSP 800-47 Rev. 1: Guidelines and Framework Plan Coordinate the information exchange, define the purpose, identity requirements, document agreements needed. Establish Develop and execute the implementation plan and activate the information exchange. Document and remediate weaknesses. Maintain Ensure secure information exchange by maintaining communication lines and systems. Report and respond to events. Discontinue Discontinue the exchange and initiate proper notification and discontinuance procedure to avoid any system disruptions. Cybersecurity Supply Chain Risk Management NISTSP 800-161 Rev. 1: Guidelines and Framework C-SCRM Framework Frame Establish the context for cybersecurity supply chain risk management for the organization. Assumptions, constraints, tolerances, and priorities that shape C-SCRM. Assess Conduct a risk assessment with the gathered assumptions, methodologies, and collected data. Use and aggregate assessment results and create a risk profile. Respond Communicate the results, options for mitigation, and risk acceptance levels. Create Plans of Actions and Milestones. Monitor Verify compliance, determine response effectiveness, and identify changes to information systems and environments. Determine if coordination with third parties is necessary for supply chain continuity. Best Practices for Managing Trusted Vendors Mitigating Risks and Promoting Effective Responses Documentation - Maintain and update policies and procedures, contracts, and agreements pertaining to vendors and vendor risk. Monitoring - Monitor vendor performance, security practices, and any risks and vulnerabilities. Communication - Establish clear lines of communication with the appropriate stakeholders. - Determine what information can be shared. Emerging Trends and Future Challenges Artificial Intelligence and Machine Learning Uses and Challenges AI Automation Evaluation and monitoring of vendors Data collection, predictive analysis, and continuous monitoring Risk of Vendor AI Use Over-reliance, continuity concerns, and decreased human oversight Inaccuracy of AI and reputational damage Relationship Management AI use in vendor onboarding and evaluation standardization Optimize monitoring and analyses Challenges and Concerns AI and ML require frequent and large amounts of high-quality data Human oversight is needed to balance out automation Quantum Computing and the Supply Chain Quantum computing trends and potential future uses 1. Combinatorial optimization for the supply chain - Quantum approximate optimization algorithm (QAOA) approximates a solution. - Quantum annealing finds the optimal solution. 2. Risk management and prediction - QC can be used to identify risk and predict potential disruptions for proactive impact management and response planning. 3. Complementing machine learning - Interest in merging quantum information with machine learning, which could be applied to supply chain modeling and management. 4. Cryptography - Supply chain security can be enhanced with improved encryption, promoting data security and mitigating disruption risks. Mergers and Acquisitions Challenges and Risks 1. Inherited Vulnerabilities - Vulnerabilities, outdated systems or software, and insufficient cybersecurity practices are acquired during M&A. 2. Increased Attack Surface - M&A expose more vulnerabilities and entry points for attackers to exploit. - Transitional weakness attracts attackers. 3. Complex IT Infrastructure Integration - Merging systems and IT infrastructure can take a long time and expose the organization to risk. 2024 M&A - 1,373 health services deals - $69 billion deal value Key Takeaways and Recommendations Summary of Key Risks and Challenges 1. Key Risks - Vendor Dependency - Cybersecurity Threats - Supply Chain Attacks - Insider Threats - IoT and Hardware Vulnerabilities - Regulatory Compliance 2. Challenges - Evolving cyber landscape and increasing complexity of supply chains - Role of AI, quantum computing, and M&A processes Building a Strong Vendor Risk Management Program - Establish and Onboard Trusted Vendors Establish procurement and acquisition processes to promote proper classification of trusted vendor status. - Maintain and Update Documentation Regularly review and update policies, procedures, and processes relating to supply chain and vendor risk management. - Employ Necessary Controls Comply with all federal requirements and regulations and employ required security and privacy controls. - Monitor Risk and Performance Continuously monitor risk and performance to efficiently identify vulnerabilities and swiftly respond to incidents. - Build and Maintain Solutions for Reporting and Response Foster relationships with vendors that promote effective and efficient collaboration and communication. Q&A Thank You outwit complexity™
Rapid Non-Invasive Capacitive Assessment of Extra Virgin Olive Oil Authenticity Hari Krishna Salila Vijayalal Mohan , Pyei Phyo Aung, Chee Fong Ng, Zheng Zheng Wong and Andrew Alexander Malcolm Intelligent Product Verification (IPV), Advanced Remanufacturing and Technology Centre (ARTC), Agency for Science, Technology and Research (ASTAR), 3 Cleantech Loop, CleanTech Two, Singapore 637143, Singapore * Correspondence: email@example.com Abstract: Economically motivated adulteration (EMA) and/or cross-contamination are the two major factors resulting in the substandard quality of premium edible oil like extra virgin olive oil (EVOO) produced in food and beverage (F&B) fast-moving consumer goods (FMCG) industries. Current quality assurance methods (e.g., spectroscopy and chromatography) in FMCG involve intrusive sample extraction and ex situ analysis in a laboratory using expensive bulky instrumentation, which is neither integrable inline nor scalable to match the production throughput. Such techniques do not meet the industrial requirements of in situ testing, non-intrusive analysis, and high throughput inspection (100% product verification) leading to food loss and package waste from unwanted batch rejects. Herein, a low-cost electrical approach based on capacitance is proposed to show the proof of concept for screening EVOO-filled containers non-invasively for adulteration without any sample extraction by capturing the differences in the dielectric properties of mixed oils. The sensor system displayed a fast response (100 ms) and low detection limits for different adulterants (olive oil (32.8%), canola oil (19.4%), soy oil (10.3%) and castor oil (1.7%)), which is suitable for high-throughput (>60 sample/min) screening. Furthermore, a low-cost automated system prototype was realized to showcase the possibility of translating the proof of concept for possible scaling up and inline integration. Keywords: non-invasive; capacitance; adulteration; edible oil; FMCG 1. Introduction Quality assurance (QA) in the food and beverage (F&B) industries is of paramount importance to brandish brand integrity and product quality. QA is the foremost boundary between consumers and false foods. It ensures the delivery of high-quality products for consumers and forestalls producers from falsifying claims about product quality. A notable industry that thrives on high-speed mass production like no other is the F&B fast-moving consumer goods (FMCG) industry. Yet, amidst the industry’s battle to keep up with a rapidly evolving and expanding consumer base, quality is still at its core. Food adulteration involves lowering food quality by either replacing its major constituents with inferior alternatives or removing major ingredients from the food item. Adulterants are any materials that make the food sub-standard or misbranded or contain extraneous matter [1]. Besides intentional adulteration, storage, mixing and filling conditions in production affect the food quality and ingredient composition. Implementation of quality control tests at high speeds in FMCG supply chains is a major challenge. This has garnered monumental interest in cost-effective yet cutting-edge inspection technologies by both producers and food inspection agencies alike to check for the authenticity of food products at high speeds. Extra virgin olive oil (EVOO) is a prominent example of a high-value FMCG product. Having an impressively low free acidity of not more than 0.8% (m/m), EVOO is markedly the most nutritious and healthiest oil [2], thereby creating a remarkably huge demand and generating market revenue of 1410.2 million USD in 2020, which is projected to further rise to 1465.6 million USD by 2026 [3]. Such in-demand products incite the producers to adulterate EVOO, consequently making EVOO one of the leading types of food that experiences adulteration [4]. When intentional, it is usually done to illicit monetary gain and thus, is known as economically motivated adulteration (EMA) [5]. In the case of EVOO, common adulterants include olive oil (free acidity of less than 1% $(m/m)$), soy oil, castor oil, and canola oil. Adulteration cost the European Union about 4 million Euros per year [6]. Besides the economic loss, adulteration oils could lead to poor nutritional quality and have major health implications due to the presence of allergic, genotoxic and/or carcinogenic compounds. The other form of loss in edible oil authenticity arises from cross-contamination in processing lines. Oils of similar nature are subjected to processing in the same feedlines after cleaning to save on the cost of constructing new lines and maintain sustainability by adopting a smaller machinery footprint. Additionally, passage through multiple lines for storage, filling, treatment, and dispensing could affect the oil authenticity and introduce unwanted foreign matter. Therefore, the detection of edible oil adulteration is crucial for maintaining food quality and safety. In general, olive oil is mainly composed of oil fraction and non-oily fraction. The oil fraction is the major portion constituting 98–99% of the total oil. It consists of triglycerides containing monounsaturated fatty acids (MUFA, 55–85%) such as oleic acid [7]. It also contains palmitoleic acid; saturated fatty acids (12.7%), such as palmitic, stearic, and arachidic acids; and polyunsaturated fatty acids (10.1%), including linoleic and linolenic fatty acids. The non-oil fraction contains smaller amounts of minor compounds (1–2%) such as fatty alcohols [8], sterols [9,10], waxes [11], tocopherols [12,13], phenolic compounds [14,15], carotenes and chlorophylls [16,17], n-alkanes and n-alkenes [18] and volatiles [19], which also determines the organoleptic characteristics of olive oil. The antioxidant properties of olive oil are linked to the radical scavenging actions of phenolic compounds such as hydroxytryrosol and oleuropein, which reduce the formation of superoxide anions, neutrophil respiratory burst, and hypochlorous acid thereby lowering the risk of coronary heart disease and cancer associated with the Mediterranean diet [20]. The high levels of unsaturated fatty acids in olive oil improve the lipid profile by reducing the low-density lipid (LDL)/high-density lipid (HDL) ratio in humans. The resistance against the oxidation of LDL by phenolic compounds helps in preventing ischemic heart disease besides improving endothelial function needed for improving the hemostatic system in hypercholesterolemic individuals [21]. Monounsaturated fatty acids like oleic acid induce a positive effect on natural killing cell activity by boosting the immune system [22]. Olive oil increases the concentration of gastrointestinal hormones, which in turn act on the synthesis or secretion of enzymes and other constituents of the digestive juices, thereby promoting faster absorption and metabolism [23]. High oleic acid content has a beneficial effect in curing fatty liver diseases by reducing the accumulation of triacylglycerols in the liver, improving postprandial triacylglycerols glucose, and glucagon (like peptide-1) responses in insulin-resistant subjects, and upregulating glucose transporter-2 expression in the liver [24]. To avail of the maximum nutritional benefits of olive oil, the olive oil quality needs to be of the highest order. This is possible only by controlling both pre-harvest and post-harvest factors. Several pre-harvest factors such as cultivar, edaphoclimatic conditions, environmental conditions, pedologic conditions, tree age, treatment, fruit ripening and harvest time influence the olive oil quality. For example, the highest content of campesterol, cholesterol, β-sitosterol, and total sterol was detected in Picholine cultivar [9]. Picholine Marocaine cultivar done at 600–900 m altitude showed that the chlorophyll and carotenoids content gradually increases, which is nutritionally preferable [25]. In general, olive flowering requires spring temperatures, growth and development need high temperatures and olive fruit ripening needs heavy rain [26]. Pedologic (sandy, clay, stony, limestone, gypsum and brown soil) conditions influence the α-tocopherol, the sterols composition and the volatiles of the olive oils [27]. Total phenol content is influenced by the age of the tree, and 30–50 years-old olive trees showed the highest phenol content compared with 10–30 years old trees [25]. The phenols and o-diphenol contents of the oils decrease during fertilization treatments [28]. Boron alters the biochemical functions of phenylalanine ammonia-lyase, peroxidase and polyphenol oxidase activities [29]. Linoleic acid increases during ripening due to oleate desaturase that changes oleic acid to linoleic acid in the olive [30]. Some of the post-harvest factors including fruit storage, leaf removal and fruit washing, fruit crushing, oil extraction systems and oil storage also influence the olive oil quality. Storage of more than 24 h is not recommended between harvesting and processing of olive fruits because longer storage time may hydrolyze the triglycerides to free fatty acids with the action of lipases, in the presence of moisture [31]. Leaf discards used in olive fruit harvesting raise the degree of green color, which gives an organoleptic sensation (color, aroma and taste) [32]. The recommended olive crushing time is 20–30 min because crushing the fruit within this time window produces less peroxide and prolonged crushing could degrade the quality of the olive oil [33]. During storage in plastic containers, reactions occur between oxygen and the unsaturated fatty acids in olive oil occur thereby degrading its quality over time [34]. Pressure, centrifugation and percolation are used for olive oil extractions in olive oil mills from a paste form. Olive oil extraction using natural decanting is time-consuming, laborious and may cause contamination whereas centrifugation reduces time, labor and contamination [33]. Among the several grades of olive oil defined by the European Commission [35] and the International Olive Council (IOC) [36], EVOO is considered the best quality olive oil since is obtained directly from the olive fruit by mechanical or other physical processes without altering oil properties. EVOO has a free acidity, expressed as oleic acid, of not more than 0.80 g per 100 g and the other physico-chemical and organoleptic characteristics correspond to those fixed for this category in this standard [37]. Olive oil obtained by blending refined olive oil and virgin olive oil other than larapante olive oil, having a free acidity content, expressed as oleic acid, of not more than 1 g per 100 g, forms regular olive oil [37]. Due to the premium quality, the price of EVOO is the highest among different grades and is vulnerable to adulteration. Conventional methods such as Fourier transform-infrared (FTIR) spectroscopy [38], near-infrared (NIR) reflectance spectroscopy [39], Raman scattering spectroscopy [40], nuclear magnetic resonance (NMR) spectroscopy [41], high-performance liquid chromatography (HPLC) [42] and gas chromatography (GC) [43] are widely used for edible oil authenticity assessment. These techniques rely on sample extraction from packaged products and offline analysis in a laboratory to identify the chemical composition, fatty acid content, etc. Such offline methods are expensive because of the sophisticated instrumentation that requires a high level of expertise for data analysis and interpretation. This is further compounded by the high implementation cost for large-scale adoption and low inspection throughput due to random sampling, which is not attractive for inline monitoring. In addition, unsealing the packages/containers for sample extraction leads to food loss and package waste generation affecting environmental sustainability [44]. The absence of a reliable in situ oil quality/authenticity monitoring system in conjunction with the drawbacks of the current methods are the motivating factors to seek other rapid low-cost non-destructive evaluation systems to assess edible oil quality. The exponential progression in high-speed electronics and sensor technologies opens avenues to seek alternative non-destructive technologies in the spectrum of food quality checking. The desirable characteristics of such a system are as follows: (i) cost-effectiveness, (ii) high-speed sensing, (iii) in situ placement, (iv) non-intrusiveness, and (v) reduced equipment footprint for seamless inline integration. Recently, dielectric spectroscopy, a technique which provides dielectric information of a medium as a function of frequency, as a screening tool for authenticity check of edible oils has garnered interest because different fatty acid compositions manifest distinguishable behavior across the electromagnetic spectrum [45]. Dielectric spectroscopy is a closely related technique used to study the response of a sample via the interaction of an external field with its electric dipole moment within a broad frequency range. It is used to estimate the dielectric permittivity of a material as a function of frequency. Unlike the infrared spectrum used in Raman (0.3 THz–120 THz) [46], FTIR (12–120 THz) [47], and NIR spectroscopy (118–384 THz) [48], dielectric spectroscopic characterization covers a relatively lower frequency range (few MHz to GHz); which is economically viable for low-throughput offline inspection when compared with the other spectroscopic methods [49]. Despite its attractive features, dielectric spectroscopy faces several challenges for deployment in an inline high-throughput inspection environment. Being a wide-range frequency response method capable of measuring the dielectric permittivity directly, the operational frequency range should be high (MHz-GHz) to induce polarization. Such high-frequency analysis requires an expensive microwave probe station and/or bulky benchtop vector network analyzer (VNA) equipment, which limits in situ inspection and large-scale implementation in a high-throughput inspection setting such as FMCG. Moreover, to estimate the dielectric properties accurately, the electric field needs to be concentrated near the material under test. Consequently, the dielectric probe is in proximity or contact with the sample to reduce the influence of package/container dielectric effects. The current research on portable dielectric spectroscopy-based sensors is limited to intrusive offline testing using concentrated high-frequency waves for a small sample volume (few ul) and/or contact analysis from a dedicated ex situ inspection region [50,51] and no reports on in situ and non-intrusive testing of finished packaged goods are available. However, the promising aspects of dielectric spectroscopy give the incentive to pursue an electrical response method, which can overcome the current drawbacks of dielectric spectroscopy. Capacitance ($C = \varepsilon_r \varepsilon_0 A/d$), is one quantity, which is a function of the material property (dielectric constant or relative permittivity of the material, $\varepsilon_r$ and $\varepsilon_0$ is the permittivity of free space $= 8.85 \times 10^{-12}$ Fm$^{-1}$), the material dimensions ($A$, electrode area traversing the field), and the distance ($d$) from the material under test, that offers an electrical readout capable of overcoming the aforementioned drawbacks of traditional methods and dielectric spectroscopy [52–54]. Capacitive sensing distinguishes material types and physical changes to the material under test, allows contactless operation, provides adjustable sensing depth, is low-cost, fast and requires low power [55–57]. The close correlation between capacitance and dielectric property could be extrapolated to both quantitatively and qualitatively assess the deviation in the authenticity of edible oils via blending with low-grade alternatives. Such oil mixtures possess a different dielectric characteristic compared with authentic oils, which is readily distinguishable via indirect capacitance profiling at a single frequency without requiring expensive probes and wide-range frequency characterization to estimate the actual dielectric constant. Hitherto, both capacitive sensing and dielectric spectroscopy, have been explored for food/oil quality characterization [58,59]. Food spoilage detection [60], water content estimation in edible oils [61], moisture measurement in food [62] and adulteration in olive oil [63,64] are some of the applications reported using offline capacitive/dielectric analysis on extracted samples. Albeit in its infancy, capacitance-based non-destructive testing of food container/package quality has shown great potential for further exploration [65–68]. This provides the incentive to extrapolate the concept of capacitance for adulteration detection. To the best of our knowledge, the proposed capacitive approach herein is novel for direct through-container screening of EVOO for authenticity check without requiring oil extraction from a sealed container. In general, the proposed detection method offers an economical pathway for high-throughput non-invasive edible oil inspection warranting further research for adulteration detection. Furthermore, capacitive sensing offers bespoke electrode designs, sensing topologies and sensor placement configurations with controllable field penetration depth and strength to accommodate end-product aesthetics and overcome any mechanical constraints during customized inline integration. The through-container testing scheme does not require any oil sample to be extracted for offline analysis, which prevents unwanted waste generation (food and package) from the disposal of tampered containers, which is contrary to the existing offline industrial solutions. In this work, a portable low-cost capacitance measurement setup comprising two parallelly placed rectangular electrodes demonstrates the feasibility of non-invasive adulteration detection in packaged containers without any form of sample extraction. EVOO-filled containers adulterated to varying degrees with different adulterants served as the dielectric medium between the electrodes. The electrostatic field between the electrodes generates capacitance signals of varying strengths depending on the degree of adulteration and the type of adulterant. The proof of concept was further translated into a small-footprint automated preliminary prototype targeted towards the development of a standalone system with inline integration potential. 2. Materials and Methods 2.1. Preparation of Blended Oils Several commercially available edible oils were purchased from retail stores including extra virgin olive oil (EVOO, Naturel®, Andalusia, Spain), olive oil (OO, Naturel®, Andalusia, Spain), soybean oil (SOY, FairPrice, Singapore), sunflower oil (SF, FairPrice, Singapore), vegetable oil (VEG, blend of 50% palm oil and 50% soybean oil, FairPrice, Singapore), canola oil (CAN, FairPrice, Singapore) and castor oil (CAS, Ambika, India). EVOO and OO are products of Spain with an expiry date in 2025. All other oils were products of Singapore. No information on the harvest and/or geographical origin was provided unless specified otherwise. All oils were purchased and tested in 2022. Commercial vegetable oils are blended mixtures of palm oil with other edible oils for stability since palm oil is solid below 40 °C. EVOO was spiked using 4 common adulterants (OO, SOY, CAN and CAS) to make binary mixtures with 6 degrees of adulteration (2.5%, 5%, 10%, 20%, 40% and 60% (v/v)). Plastic containers made of polyethylene terephthalate (PET) with a wall thickness of ~1.2 mm were used for the sensing experiments. 15 mL oil volume was used throughout the study unless stated otherwise. 2.2. Sensing Setup Figure 1 shows the experimental setup, sensing configuration and sensor electrode design used in this study. Rectangular-shaped sensor electrodes were designed in-house using printed circuit board (PCB) design software (EasyEDA, JLPCPB, Shenzhen, China) and outsourced for fabrication on FR4 PCB substrates (JLPCPB, China). Two electrodes spaced 27 mm apart were connected to two excitation terminals (INA and INB) of a capacitance sensing module (FDC2214EVM, Texas Instruments, Dallas, TX, USA). The FDC214 capacitance board uses a sinusoidal excitation signal with a default frequency of 5 MHz and a peak-to-peak voltage (Vp-p) of 1.8 V and is operated in a differential sensor topology (refer to Section 3.4), where two terminals are excited by the same signal to produce a strong sensing field necessary to cover the entire diameter (sensing depth) of the container with a non-polar liquid like oil [69]. 2.3. Capacitance Measurements Real-time capacitance data was logged using Sensing Solutions EVM GUI (Texas Instruments, Dallas, TX, USA). All measurements were done in a laboratory ambience (room temperature (RT) ~25 °C and relative humidity (RH) ~60%) unless stated otherwise. Statistical analysis, data plotting, linear fitting and hypothesis testing were performed using OriginPro software (v2019b, Northampton, MA, USA). To demonstrate measurement reproducibility and repeatability, at least 6 containers were tested per container/oil sample with 3 repeats for a total of ~12 s (4 s per sample), thereby yielding ~300 data points (100 ms sampling rate) per oil type unless stated otherwise. For sensor characterization, capacitance responses to all oils were recorded before adulteration experiments. The responses were obtained using the relative capacitance $(\Delta C/C_0 = (C - C_0)/C_0)$, with air as the baseline (blank), where $C_0$ and $C$ are capacitances of the sensor in air and with container (filled and unfilled), respectively. To obtain the sensor calibration curve for adulteration tests, four commonly used adulterant oils, namely, OO, SOY, CAN, and CAS were mixed with EVOO in varying proportions and evaluated. The relative capacitance $(\Delta C_{EVOO}/C_{EVOO} = (C_{AO} - C_{EVOO})/C_{EVOO})$ of the calibration curve was calculated using EVOO as the reference (blank), where $C_{AO}$ and $C_{EVOO}$ are capacitances of EVOO oil (blank) and adulterated EVOO (blending with OO, SOY, CAN, or CAS), respectively. The slope of the sensor calibration curve $((\Delta C_{EVOO}/C_{EVOO})$ vs. the degree of adulteration (%) curve gives the sensor sensitivity (s). The limit of detection (LOD) is given by $3\sigma_b/s$, where $\sigma_b$ is the standard deviation of the blank EVOO measurements [65,66,70,71]. A linear fit ($y = a + bx$, where $b$ and $a$ represent the slope $s$ and the y-axis intercept, respectively) to the calibration curve gives the correlation coefficient of determination ($R^2$). 3. Results and Discussion 3.1. Sensor Characterization In general, the polarizable nature of the liquid under test dictates the signal strength. For example, liquids with high water content (dipoles) are expected to have very high capacitive signals due to high dielectric constant values ($\epsilon_r \approx 80$) (e.g., milk, water, juice, etc.) while insulating liquids (e.g., oil, honey, etc.) devoid of water molecules/dipoles are not easily polarizable and have very low dielectric constant values ($\epsilon_r < 5$) [72,73], which makes sensing mixed oils difficult, and more so when carried out non-intrusively because of the thick insulating package material acting as a barrier and reducing the denser electric field lines (near the electrode surface) from accessing the actual material under test (oil). Sensor characterization was performed to assess the sensor stability in air before actual adulteration testing to ensure that the unblended oil responses are separable, to begin with. The mean capacitance ($\mu$) ± standard deviation ($\sigma$) of the capacitive sensor in air obtained from a recording of 1.5 h was $-55.675 \pm 0.003$ pF (air). The relative standard error expressed in percentage ($\sigma_{rel} = \sigma/\mu \times 100$, $n = 5664$) was estimated to be $-0.006\%$. (Figure 2a). The low error percentage confirms the stability of the recordings at such a high data acquisition speed, which is promising for implementation in high-throughput quality check scenarios in FMCG lines. Figure 2b shows the real-time capacitance of a sensor in air, with an empty container and unblended oil-filled containers. The average capacitance ($\mu \pm \sigma$) of the sensor increased from $55.696 \pm 0.0004$ pF to $55.735 \pm 0.0004$ pF upon insertion of an empty container, and to $55.983 \pm 0.064$ for unblended oil-filled containers in the capacitive field. The relative standard error ($\sigma_{rel}$) estimated for air, unfilled, EVOO, OO, SOY, SF, VEG, CAN, and CAS, was $0.007\%, 0.007\%, 0.004\%, 0.004\%, 0.001\%, 0.001\%, 0.002\%, 0.001\%$ and $0.002\%$, respectively. Figure 2c shows the relative capacitance ($\Delta C/C_0$) expressed in % for unfilled and unblended oil-filled containers with air as the baseline. The sensor displayed a positive capacitance change upon placing both empty and filled containers in the inter-electrode gap in the following order air < unfilled < EVOO < OO < SOY < SF ≈ VEG ≈ CAN < CAS. $\Delta C/C_0$ of unblended oil-filled containers is at least a 6-fold (~0.52 ± 0.12%) greater compared to unfilled containers (~0.06%), which signifies the higher dielectric contribution of oil towards the overall capacitance compared to the container (refer to Section 3.4 and 3.5) since the container material has a very lower dielectric constant (~2–3 for PET [67,68]) and container wall thickness (~1.2 mm). $\Delta C/C_0$ for all unblended oils are substantially greater (ranging from 487 to 974-fold) compared to their relative standard errors (ranging from 0.001% to 0.007%), and 87 to 620-fold greater than the relative standard error of blank (air). Furthermore, $\Delta C/C_0$ of OO, SOY, SF, VEG, CAN, and CAS, with respect to EVOO, increased by ~0.012%, ~0.197%, ~0.212%, ~0.209%, ~0.215% and ~0.355%, respectively. Even after replacing the baseline reference as EVOO, the observed responses for all oils remained significantly greater (3 to 230-fold) than their above-stated individual relative standard errors, and at least 3 to 86-fold greater than the relative standard error of EVOO (blank). Hence, for actual adulteration calibration (Section 3.5), EVOO replaced air as the blank measurement (baseline reference). Additionally, statistical hypothesis testing performed using two t-test confirms that the results are statistically significant with $p < 0.01$ for oil identification and classification (refer to Figure S1 in Supporting Information (SI)). Overall, the sensor characterization underscores the ample capacitive signal strength and the good separability between EVOO and adulterant oils, which is crucial for oil-type classification and adulteration detection. Figure 2. Sensor characterization: (a) Real-time capacitance of the sensor (in air) recorded for ~1.5 h, (b) Capacitance vs time and (c) $\Delta C/C_0$ ($\pm \sigma$) of unfilled containers and unblended oil-filled containers, respectively, expressed in percentage. Extra virgin olive oil—EVOO, olive oil—OO, soybean oil—SOY, sunflower oil—SF, vegetable oil—VEG, canola oil—CAN and castor oil—CAS. 3.2. Sensor Validation The capacitance testing performed using FDC2214EVM was calibrated against a standard LCR system (Keysight, Impedance Analyzer, E4990A, 20 Hz to 30 MHz) to validate the obtained observed responses and trend. E4990A gives the absolute capacitance value of capacitive sensors whereas FDC2214 is intended for monitoring capacitance changes in applications. The absolute capacitance values of the sensor connected to FDC2214EVM and E4990A are expected to be different due to inherent system baseline differences from internal circuit configurations. A quick test showed that the change in capacitance obtained using FDC2214 evaluated using a standard 50 pF ceramic capacitor was found to be close to the absolute capacitance measured using E4990A (refer to Figure S2 in SI). Hence, the relative capacitance ($\Delta C_{EVOO}/C_{EVOO}$) was used for comparison and validation of the sensing methodology and system. The cumulative capacitance responses from E4990A for all unblended oils with EVOO as blank showed good response and separability as seen in Figure 3, which is consistent with the earlier observed trend. Unlike the E4990A, which can perform the cable length compensation correction during calibration to accommodate the 1 m probe cable length, the FDC2214EVM is affected by the stray parasitic capacitance of the wirings to the terminals leading to slightly lower response levels. Nevertheless, the closeness of the observed responses using both systems validate the sensing methodology. ![Graph showing sensor validation](image) Figure 3. Sensor validation using E4990A (excitation frequency of 5 MHz and $V_{\text{P-P}}$ of 1 V): Bar plot comparing $\Delta C_{EVOO}/C_{EVOO}$ ($\pm \sigma$) obtained using FDC2214EVM and E4990A for all unblended used in this study: Olive oil—OO, soybean oil—SOY, sunflower oil—SF, vegetable oil—VEG, canola oil—CAN and castor oil—CAS. ### 3.3. Sensing Methodology Optimization The optimization of the capacitive sensing protocol is important to achieve good capacitive signal strength with observable separability between EVOO and adulterant oils before its extension to authenticity checking using binary solution blends. Such optimization is attained through experimental testing to find the right concoction of sensor configuration, sensing area and operational frequency. FDC2214 allows multi-channel measurements (up to four) with each channel having two terminals (INA and INB) for excitation, thereby allowing two modes of operation for any given channel: (i) single-ended mode, where INA/INB is connected to one electrode and another electrode is connected to FDC2214 ground terminal; and (ii) differential configuration, where each sensor electrode is connected to one excitation terminal (INA and INB) of the corresponding channel. The single-ended configuration offers a greater sensing range but with reduced sensitivity compared to the differential configuration for a given total sensor plate area, thereby making it useful for displacement-based sensing applications [69]. On the other hand, the differential configuration produces a stronger sensing field but with a reduced sensing range, which is attractive for material property analysis (e.g., liquid level sensing) [69]. This was verified experimentally in Figure 4a, which shows that $\Delta C_{EVOO}/C_{EVOO}$ of adulterant oils are much higher and separable from EVOO for the differential mode vis-à-vis single-ended mode, which affirms that a stronger field encompassing the oil is responsible for the observed behaviour. Hence, a differential configuration capable of generating a strong electrostatic field was adopted in this work to detect low dielectric changes from oil mixing. The electrode area determines the strength of the electric field, coverage of the material under test and the penetration depth of the sensing field. Experiments were conducted to study the influence of electrode area and downselect the optimal electrode area to elicit the maximum response as shown in Figure 4b using four different electrode areas (A) A1—100 mm$^2$, A2—168 mm$^2$, A3—468 mm$^2$. and A4—900 mm$^2$). Reducing the electrode area decreases the electric field strength and penetration depth rendering it difficult to distinguish the oils. On the other hand, increasing the electrode area beyond a threshold lowers the overall response since most of the electric field dissipates onto the container’s empty overhead space and ambience (air has a very low dielectric constant), resulting in poor coverage of the actual contents. To develop low-cost yet high-speed detection systems for screening non-polar liquids, the selection of the correct excitation frequency range is critical. Most of the commercially available capacitance development boards offer an excitation frequency in the range of 10–100 kHz [65,66]. However, such low frequencies are insufficient to generate a strong electric field for assessing non-polar liquids. To demonstrate that a higher frequency is desirable for testing non-polar liquids, a comparison of the raw capacitances of the two FDC boards is shown in Figure 4c. FDC2214EVM with higher noise immunity and a higher frequency of operation (5 MHz) showed clear separability between the unblended oils while FDC1004EVM operating at a lower frequency (25 kHz) failed to show any distinction between the oils, which is consistent with the literature [64]. Figure 4. Sensing methodology optimization: (a) $\Delta C_{EVOO}/C_{EVOO}$ ($\pm \sigma$) for single-ended vs. differential FDC2214 sensor configuration (schematic of sensing configuration in inset); (b) $\Delta C_{EVOO}/C_{EVOO}$ ($\pm \sigma$) (Normalized by sensor area) vs. electrode area; (c) Absolute capacitance ($\pm \sigma$) comparison plot for FDC1004 and FDC2214 (photographs of FDC2214 and FDC1004EVM in inset Extra virgin olive oil—EVOO, olive oil—OO, soybean oil—SOY, sunflower oil—SF, vegetable oil—VEG, canola oil—CAN and castor oil—CAS. 3.4. Sensing Mechanism As mentioned earlier, capacitance (C) is related to the relative permittivity or dielectric constant $(\varepsilon_r = \varepsilon/\varepsilon_0)$ of the material under test, where $\varepsilon_0$ is the permittivity of the free space and $\varepsilon$ is the permittivity of the material. Figure 5 shows the schematic of the capacitive sensing working principle for oil adulteration detection. $\varepsilon_{rB}, \varepsilon_{rO}, \varepsilon_{rA}$ and $\varepsilon_{rAO}$ denote the permittivity of air, good oil plus container, adulterant oil plus container, and blended oil plus container, respectively, and $C_B, C_O, C_A$ and $C_{AO}$ represent their corresponding capacitances. Since $C \propto \varepsilon_r$, the presence of oil plus container as dielectric $(\varepsilon_{rO}, \varepsilon_{rA}, \varepsilon_{rAO} > \varepsilon_{rB})$ in the sensing area elevates the output capacitance $(C_O, C_A, C_{AO} > C_B)$, where $\varepsilon_{rB} \sim 1$ (air has the lowest dielectric constant). The permittivity of the adulterant oil $(\varepsilon_{rA})$ dictates the sign of capacitance change $(C_{AO})$. Adulteration using higher dielectric oil $(\varepsilon_{rA} > \varepsilon_{rO})$ produces a positive change in capacitance $(C_{AO} > C_O)$ and vice versa $(C_{AO} < C_O)$ for a lower dielectric oil $(\varepsilon_{rA} < \varepsilon_{rO})$. ![Figure 5](image) Figure 5. Schematic showing the working principle of capacitive detection of oil adulteration. 3.5. Sensor Response Calibration and Performance There exists a close correlation between the density and fatty acid unsaturation with the dielectric constant. Table 1 summarizes the dielectric constant, density and dominant fatty acid composition present in the oils used in this study. The density of fatty acids increases in the following order: oleic acid < linoleic acid < ricinoleic acid (Figure 6). In common fatty acids found in oils (oleic acid and linoleic acid), the density increases with the degree of unsaturated bonds, i.e., cis-alkene functional groups (C=C bonds). The density of a substance in the liquid state is largely dependent on the geometry of the constituent molecules and its subsequent effect on the intermolecular forces. The relationship between the asymmetrical structure of the substituent groups across the bond and the overall dipole moment of the fatty acid dictates the degree of polarizability and density. As the number of cis-alkene bonds increases, so does the polarity of the molecule, allowing stronger dipole-dipole, resulting in the molecules packing closer together. Ricinoleic acid has extensive hydrogen bonding between its molecules lending it its high density. In general, the more mass per unit volume of oil, the more molecules there are to be polarized within the sensing field, leading to a higher dielectric constant. It is to be noted that CAN, VEG, SF and SOY shown in Figure 2c have very close capacitance values even though SOY and SF have higher dielectric constants and densities compared to VEG and CAN. This is due to the presence of both oleic and linoleic acid in significant amounts as opposed to the other oils with a clear dominant fatty acid. In general, the observed capacitance of oils is still in agreement with the density/dielectric property trend shown in Table 1. Since SF and VEG have similar fatty acid composition, dielectric constant, and capacitance response as SOY and CAN, respectively, they were omitted from the adulteration experiments. Table 1. Dielectric constant, fatty acid content and density of all oils used in this study. Extra virgin olive oil—EVOO, olive oil—OO, soybean oil—SOY, sunflower oil—SF, vegetable oil—VEG, canola oil—CAN and castor oil—CAS. \| Property \| EVOO \| OO \| SOY \| SF \| VEG \| CAN \| CAS \| \|---------------------------\|-------------------------------------------\|-------------------------------------------\|------------------------------------------\|-------------------------------------------\|-------------------------------------------\|-------------------------------------------\|-------------------------------------------\| \| Dominant unsaturated fatty acids (% m/m) \| Oleic acid (55–83%) Linoleic acid (3–21%) [35–37,74,75] \| Oleic acid (55–83%) and Linoleic acid (3–21%) [35–37,74,75] \| Linoleic (48–59%) and Oleic acid (17–308%) [37,76,77] \| Linoleic acid (52–65%) and oleic acid (26–36%) [37,76,77] \| Oleic acid (20–29%) Linoleic (27–31%) [37,78,79] \| Oleic acid (57–62%) and linoleic (15–22%) [37,76,77] \| Ricinoleic (87–90) [80] \| \| Density (kg/L at 20 °C) \| 0.909 [81] \| 0.909 [75] \| 0.931 [82] \| 0.932 [82] \| 0.925 [82] \| 0.917 [82] \| 0.959 [80] \| \| Dielectric constant ($\varepsilon_r$) \| 2.81 [83,84] \| 3.005 [83] \| 3.020 [85] \| 3.020 [84] \| 3.01 [85] \| 3.015 [85] \| 4.5 [86] \| ![Figure 6. Chemical structure of different fatty acids.](image) Figure 7a–c shows the sensor calibration plots of binary mixtures generated by spiking EVOO with OO, CAN, SOY and CAS oils to various degrees (2.5–60%). The sensor response (AC/C) showed a positive relationship with the degree of adulteration. This is attributable to a combination of increased oil density and dielectric contribution from the adulterant towards the overall capacitance. Table 2 summarizes the sensor performance parameters ($s$, LOD and $R^2$) extracted from the linear fitting of the sensor calibration plots in Figure 7 for the different adulterants. The increased composition of denser fatty acids like ricinoleic acid (in CAS) and linolenic acid (in SY) compared to oleic acid (in CL) contributes to the greater oil densification from mixing, which is responsible for the differences in the sensor sensitivity for the same degree of adulteration. Olive oil with its closeness to EVOO in chemical composition showed the lowest sensitivity and the poorest detection limit making it the hardest adulterant to detect using capacitance. ![Graphs showing sensor calibration curves](image) Figure 7. Sensor calibration curves with linear fitting: $\Delta C_{EVOO}/C_{EVOO}$ vs. degree of adulteration (%) in EVOO mixed with (a) OO, (b) CAN, (c) SOY and (d) CAS, respectively. Extra virgin olive oil—EVOO, Olive oil—OO, soybean oil—SOY, canola oil—CAN and castor oil—CAS. Table 2. Summary of sensor performance parameters for EVOO adulteration detection. Extra virgin olive oil—EVOO, Olive oil—OO, soybean oil—SOY, canola oil—CAN and castor oil—CAS. \| Sample \| Sensitivity (s) \| Limit of Detection (LOD) (%) \| Correlation Coefficient ($R^2$) \| \|--------------\|-----------------\|------------------------------\|-------------------------------\| \| EVOO + OO \| $9.14 \times 10^{-5}$ \| 32.8 \| 0.918 \| \| EVOO + CAN \| $1.56 \times 10^{-4}$ \| 19.4 \| 0.837 \| \| EVOO + SOY \| $2.91 \times 10^{-4}$ \| 10.3 \| 0.926 \| \| EVOO + CAS \| $1.80 \times 10^{-3}$ \| 1.7 \| 0.911 \| In general, to minimize variability during batch production in F&B FMCG and ensure the reliability of offline product quality tests, the ambient conditions are kept relatively constant. The testing ambience boundaries were set as air-conditioned (A/C, 25 °C and RH~60%) and non-air-conditioned (non-A/C, 31 °C, RH~90%) ambience, respectively, to closely resemble the offline laboratory and F&B production environment for tropical countries (such as Singapore). The effect of humidity and temperature on the sensor response was assessed separately. From Figure 8a, at constant humidity (RH−60%), the bare sensor capacitance drift constitutes only a 0.01% change for every 1 °C rise in temperature. Moreover, this change in response occurs in 1.5 h, thereby constituting an almost insignificant change of $1.85 \times 10^{-3}$ pF s$^{-1}$. A rise in humidity at a constant temperature (25 °C) produces a steeper positive slope in the response from the additional moisture content (dielectric contribution) as shown in Figure 8b. The humidity-induced response albeit higher compared to the temperature-induce response during the same time frame of 1.5 h, is still insignificant since the baseline capacitance drift causes a 0.006% change for every 1% change in RH ($3.27 \times 10^{-3}$ pF s$^{-1}$). The change in total bare sensor capacitance caused by the drift between the two boundary conditions is $-6.48 \times 10^{-3}$ pF s$^{-1}$. Overall, both humidity and temperature effects on the sensor are slow and have a very small magnitude, which is insignificant compared to oil-induced responses occurring in less than a second from the calibration curves in Figure 7. Hence, the sensor is expected to function without much loss in sensitivity for RH in the range of 60–90% and temperature between 25–30 °C. To further validate the above claims, 60% adulterated oils were tested at different humidity levels. Figure 8c shows the closeness of the $\Delta C_{EVOO}/C_{EVOO}$ values for different RH, which affirms the low impact of external ambience on the sensor response. soybean oil (SOY, FairPrice, Singapore). ![Figure 8](image) Figure 8. Effect of ambient conditions: (a) Real-time capacitance of the bare sensor with increasing ambient temperature and constant RH−60%. (b) Real-time capacitance of the bare sensor with increasing ambient RH and constant temperature (25 °C). (c) Comparison of $\Delta C_{EVOO}/C_{EVOO}$ ($\pm \sigma$) for 60% adulteration at different temperatures and RH conditions. Olive oil—OO, soybean oil—SOY, canola oil—CAN and castor oil—CAS. The type of container (material and size) could affect the sensitivity of the sensor. Hence, trials were conducted directly on commercial EVOO containers available in the market to check the efficacy of the method for industrial implementation and further validate the sensing methodology. The commercial EVOO comes in two types of packaged containers, glass (1 L) and PET (2 L) with a container wall thickness of 5 mm and 0.6 mm, respectively. To account for the bigger size of glass (70 mm width), and PET bottle (110 mm width) compared to the small containers (15 mL, 27 mm width) used earlier, two rectangular electrodes with an area of 416 mm² area were used in a differential configuration. EVOO and 20%–SOY blended EVOO samples were tested on both containers and compared against the earlier results. Since the sensor area used was different, normalized (by area) relative capacitance (Air/EVOO as blank) was used for comparing the sensor response to container material/blending. Figure 9a shows the two types of commercial EVOO (Naturel®, Andalusia, Spain), sensor electrode placement configuration and sensor electrode design used for these trials. Figure 9b shows the normalized (by area) relative capacitance comparison (air as blank) of the three types of containers tested in this study. Clearly, the response of the glass bottle increased by 10 to 20-fold compared to the two PET bottles, which is attributable to the combination of greater wall thickness (5 mm) and higher dielectric constant (3–4) of glass compared to PET bottles (0.6 mm and 1.2 mm) with a dielectric constant of 2–3. Furthermore, the 2 L bottle response was 50% lower compared to the 15 mL vials due to the reduction in container wall thickness by half. The thicker glass container and higher dielectric constant of glass is expected to lower the sensor response to adulteration detection since the electric field strength is decaying with distance and the effective electric field reaching the contents inside is diminished. Similarly, the reduced thickness of the 2 L PET bottle is expected to increase the response to blending as more field is penetrating the oil contents. Figure 9c,d show the increase in sensor response upon blending as discussed under Sections 3.4 and 3.5. Figure 9d confirms the above-mentioned postulations, wherein the sensor response to 20%–SOY blending was lowest in glass bottles and highest in the 2 L-PET bottles when compared to the 15 mL PET containers. This reduction in sensor response for glass bottles could be easily circumvented by increasing the electrode length (vertically) to enhance the penetration depth of the sensing field. ![Image](image-url) Figure 9. Cont. Figure 9. Effect of container type: (a) Photograph of the commercially purchased EVOO containers (left), photographs of the parallel plate sensor configuration (top-right) and PCB fabricated rectangular-shaped sensor electrodes (bottom-right). (b) $\Delta C/C_O$ ($\pm \sigma$) (normalized by sensor area) vs. container type. Capacitance vs time plot of (c) 2 L commercial PET EVOO bottle and (d) 1 L commercial glass bottle, respectively, before and after blending with 20% SOY. (e) $\Delta C_{EVOO}/C_{EVOO}$ ($\pm \sigma$) (normalized by sensor area) vs. container type for EVOO blended with 20% SOY. Extra virgin olive oil—EVOO and soybean oil—SOY. 3.6. Automated EVOO Adulteration Detection System The graphical user interface (GUI) of FDC2214EVM is limited by its re-programming capability, which prevents its implementation for developing fully automated systems for inline implementation and remote monitoring. Hence, for further development, the USB to I2C serial communication for data acquisition was performed using Arduino instead of the FDC2214 Sensing solutions GUI and the FDC2214 sensing module was re-designed in-house and fabricated in a foundry (JLPCB, Shenzhen, China). Figure 10a shows the Arduino-based sensing setup for automated detection of adulteration in EVOO. The in-house designed FDC2214 was interfaced with Arduino IDE via Arduino Pro Mini (3.3 V, 8 MHz, Sparkfun, Niwot, CO, USA). The Arduino Pro Mini was connected to a laptop via an FTDI basic (3.3 V, 8 MHz, Sparkfun, Niwot, CO, USA) breakout chip for USB to serial IC data transmission. The baud rate was set to 51,200 and the data acquisition rate was 100 ms. RealTerm serial terminal open-source software was used for the data logging process. A relative capacitance ($\Delta C_{EVOO}/C_{EVOO}$) threshold (>0.015%) was set in the Arduino code with a LED output showing two states for EVOO (OFF) and adulterated EVOO (ON), respectively. Kst real-time open-source dataset plotting tool was used for live data visualization. The response of the in-house developed Arduino-based system is comparable to the FDC2214EVM as shown in Figure 10b, which confirms the consistency of the earlier observed trend and demonstrates the successful translation of the feasibility study to a preliminary prototype. This Arduino-based system offers several advantages in terms of cost, footprint and multiplexing summarized in Table 3. Figure 10c shows the photographs of the FDC2214EVM and the components of the in-house designed FDC2214 system. The newly developed system is 89% lower in cost and 32% smaller in footprint, compared to the FDC2214EVM-based system, respectively. Although the FDC2214 used in both systems have four channels, the Arduino-based system offers greater flexibility in terms of multiplexing for multi-channel monitoring, which could significantly boost the inspection throughput. Such an Arduino-based system further allows multi-channel cum multi-product monitoring as shown in Figure 10d. Four FDCs (FDC1, FDC2, FDC3 and FDC4) were multiplexed using one in-house designed TCA9548A, 1-to-8 I²C multiplexer (Adafruit, New York, NY, USA) to generate 16 active channels. Channel 1 (CH1) of FDC1 and FDC2 were connected to two different (sensor area and inter-electrode gap) in-house designed sensor electrodes to monitor two separate non-polar liquids (honey and oil) packaged in different containers (size, shape and wall thickness) simultaneously. The different baselines and capacitance changes seen in the live plotting tool (Figure 10e) for the two liquids affirm the detection of different packaged liquid dielectrics. It is possible to operate up to 8 FDCs yielding 32 active channels using a single multiplexer, which is not possible in FDC2214EVM due to the limitations of the dedicated GUI. Herein, the components are designed separately and connected via wires to evaluate the proof of concept. Hence, further shrinking of the footprint and reduction in system cost is possible by integrating all individual components on a single PCB board for batch fabrication. Figure 10. Cont. Figure 10. Cont. Figure 10. Automated low-cost capacitive EVOO adulteration detection system: (a) Arduino-based FDC2214 sensing set up with LED output showing EVOO (OFF) and adulterated EVOO (ON) detection through threshold setting. (b) Comparison of $\Delta C_{EVOO}/C_{EVOO}$ ($\pm \sigma$) of FDC2214EVM and Arduino-based EVOO adulteration testing system for adulterant oils and EVOO with 60%. adulteration. (c) Photographs of the footprint comparison of FDC2214EVM vs Arduino-based FDC2214 with corresponding in-house PCB design schematics. (d) General schematic of a multi-channel capacitive adulteration monitoring setup (top) and the photographs of the 16-channel operation with four FDC2214 breakout chips with enlarged views showing the sensor connections and liquids under test (bottom). (e) Real-time capacitance visualization of 16 live channels with two active channels (electrodes connected) for monitoring two different liquids (honey and oil) contained in different containers. Extra virgin olive oil—EVOO, olive oil—OO, soybean oil—SOY, sunflower oil—SF, vegetable oil—VEG, canola oil—CAN and castor oil—CAS. Table 3. Comparison of FDC2214EVM and in-house designed FDC2214 with Arduino. \| Criteria \| FDC2214EVM \| Arduino + FDC2214 \| \|---------------------------------\|------------\|-------------------\| \| Cost (USD) \| 510 \| 54 \| \| Footprint (cm$^2$) \| 25 \| 17 \| \| Multiplexing FDC (channels) \| Not possible \| Yes \| \| \| (4) \| (32) \| \| Automated threshold detection \| No \| Yes \| 3.7. Comparison with Other Industrial Adulteration Detection Methods Spectroscopy and chromatographic techniques are widely used industry standards for the authenticity check of edible oils [87]. Table 4 shows a comparison of the proposed capacitive system against the current industrial standards employed for oil adulteration detection. As expected, the detection limits of our proposed method are lower compared to traditional methods due to the presence of the container/packager barrier between the oil and the sensing surface. On the other hand, the existing industrial techniques, despite showing low detection limits, require sample extraction, specific sample volume, sample treatment/preparation, dedicated cuvettes and skilled operators to perform offline analysis ex situ, which significantly increases the screening time. Consequently, the number of samples inspected is reduced, which results in unnecessary batch rejection of samples based on the output of random sampling. The proposed system outperforms existing industrial methods in terms of cost, footprint and detection throughput while offering a novel non-destructive tool to aid quick screening for packaged products. Table 4. A benchmark table of the proposed capacitive detection against the standard industrial edible oil authenticity testing methods. \| Criteria \| Spectroscopy \| Chromatography \| This Work \| \|---------------------------------\|--------------\|----------------\|-----------\| \| Response time \| 5 s–1.5 h \| 15 min–40 min \| <1 s \| \| Sample extraction \| Yes \| Yes \| No \| \| Throughput (samples/min) \| <10 \| 0 \| >60 \| \| Cost/system (USD) \| 1200–150,000 \| 3000–15,000 \| 50–500 \| \| Detection limit (%) \| <1% [88–90] \| <1% [91–93] \| >10% (except for castor oil > 1%) \| \| Footprint \| Large \| Very Large \| Small \| \| Deployability \| Offline \| Offline \| Inline \| \| Waste generation \| Yes \| Yes \| No \| 4. Conclusions and Future Work In summary, the proposed non-destructive capacitive detection scheme successfully classified good and adulterated oils non-invasively without requiring any sample extraction via through-package/container testing. The proposed method indirectly relies on the differences in dielectric properties of the oil from blending to make qualitative and quantitative assessment of oil capacitance deviations due to blending without complex requiring complex dielectric calculations and sophisticated instrumentation. The adulteration detection limit and sensitivity of the capacitance sensing system depend on the nature (density, fatty acid content and dielectric constant) of the adulterant. The fast detection time and sensitivity achieved were achieved using simple electronic circuitry making it cheap and scalable for large-volume and high-speed production in FMCG lines. The non-invasive screening allows 100% inline package/container inspection for oil quality check, without the need to tamper with the container/package sealing for sample extraction thereby reducing wastage from batch re-jects. The major advantage of this quick screening method would be in situ quality control check, without overwhelming the few available laboratories with unnecessary requests. In other words, if the capacitive-based analysis gives a ‘positive’ result (i.e., adulterant might be present), then further specific analyses could be requested from dedicated laboratories for finding chemical composition; on the other hand, if the result is negative, then there is no need to carry out additional expensive and time-consuming analyses. This tool is not aimed at quantitative estimation of the chemical composition of EVOO fatty acids due to adulteration, or dielectric permittivity evaluation, instead, it focuses on providing a platform for rapid in situ qualitative screening, which is absent in current food industries. Some of the limitations of the proposed system include its inability to perform authenticity checks through metallic containers (very few edible oils are packaged in metal jars) as the metallic body acts as the ground and drains the capacitive field. A possible solution to overcome this is to couple the capacitance electrodes with inductance to measure the impedance of the container with oil under test. Additionally, the applicability of the proposed method to edible oils in general needs evaluation on a case-by-case basis considering the vast range of adulterants and variations in oils due to pre- and post-harvest factors. The current work involves in-house PCB design of a fully integrated capacitance board with all the components (electrodes, Arduino, FDC2214 and multiplexer) assembled on board to further reduce the cost and footprint. The future work would involve the software and hardware design for automation of a standalone capacitance-based adulteration testing prototype system with a pass/fail criterion suitable for analysing moving packaged containers with different edible liquids (e.g., honey, milk, etc.). Supplementary Materials: The following supporting information can be downloaded at: [https://www.mdpi.com/article/10.3390/electronics12020359/s1](https://www.mdpi.com/article/10.3390/electronics12020359/s1), Supplementary data associated with this article can be found in supporting information. Author Contributions: Conceptualization, H.K.S.V.M.; methodology, H.K.S.V.M.; software, C.F.N. and P.P.A.; data curation, H.K.S.V.M. and C.F.N.; formal analysis, H.K.S.V.M. and C.F.N.; investigation, H.K.S.V.M.; P.P.A. and C.F.N.; funding acquisition, A.A.M. and Z.Z.W.; project administration, Z.Z.W. and A.A.M.; resources, Z.Z.W. and A.A.M.; supervision, Z.Z.W. and A.A.M.; validation, H.K.S.V.M. and Z.Z.W.; visualization, H.K.S.V.M.; writing—original draft, H.K.S.V.M.; writing—review and editing, Z.Z.W. and A.A.M. All authors have read and agreed to the published version of the manuscript. Funding: This research/project is supported by financial assistance from the Advanced Remanufacturing and Technology Centre (ARTC)—a research institute under the Agency for Science, Technology and Research (ASTAR), Singapore. 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Health Care Reform How to participate in coordinated care organizations James J. Lehman, DC, MBA, FACO Director Health Sciences Postgraduate Education University of Bridgeport Learning Objectives • Realize the value of chiropractic services • Comprehend “Health Care Reform” • Realize the value of “Section 2706” • Understand types of coordinated care organizations • Understand the process of integrating into coordinated care organizations Discussions Are Encouraged Regarding Health Care Reform - History - Purpose - Implementation - Coordinated care organizations - Integration - Participation - Reimbursements - Salaries Please do not • Bash anyone • State why ACA is not a law or will not last • Express angry opinions regarding health care reform Please do ask • How does the ACA enable patients to receive access to chiropractic care? • How do I learn more about health care reform and accountable care organizations? • What do I need to do to become a valuable member of the medical team? • How can chiropractors integrate into coordinated care organizations? Are you able to change? An apple with a bite taken out of it. Health Care and the Value of Chiropractic Services • What is the value of chiropractic services? Examples of Compensation - Accountable Care Organization - Community Health Center - Patient-Centered Medical Home Accountable Care Organization Agreement • Private practice contracted to provide rehabilitation and spinal manipulation services under the umbrella of an ACO. • $200-300 per visit • ACO refers patients to your facility • ACO provides electronic health record system • ACO bills for services rendered • Costs include 8% for billing and 20% for ACO services Community Health Center • Provides facility, employees, EHR, billing services, liability insurance, equipment and benefits • Primary care providers refer patients for chiropractic services • Salary of $100,000 to $200,000 per annum Patient-Centered Medical Home • Provides facility, employees, EHR, billing services, liability insurance, equipment and benefits • Primary care providers refer patients for chiropractic services • Independent contractor with payment of $50-100 per patient visit What does Health Care Reform mean to you? Health care reform is a general rubric used for discussing major health policy creation or changes—for the most part, governmental policy that affects health care delivery in a given place. Health care reform typically attempts to: - Broaden the population that receives health care coverage through either public sector insurance programs or private sector insurance companies. - Expand the array of health care providers consumers may choose among. - Improve the access to health care specialists. - Improve the quality of health care. - Give more care to citizens. - Decrease the cost of health care. History • Health care reform in the United States has a long history. • Reforms have often been proposed but have rarely been accomplished. History of Health Care Reforms • 1965 Medicare • 1985 Consolidated Omnibus Budget Reconciliation Act (COBRA) • 1996 Health Insurance Portability and Accountability Act (HIPPA) • 1997 Children's Health Insurance Program (CHIP) • 2010 Patient Protection and Affordable Care Act (PPACA) Why Reform Our Health Care System? Our Health Care System Is Neither Healthy Nor a Caring System OUR HEALTHCARE REFERRAL SYSTEM IS BROKEN There are an estimated: - 811,552 physicians - 191,168 dentists - 5,008 hospitals - 5,211 imaging centers - 15,622 Nursing homes - 209,499 laboratories In the United States Most of which are still exchanging referrals with paper triplicate forms and faxes which result in patient information being misplaced, lost or misfiled. It’s fairly well accepted that the U.S. is the most expensive healthcare system in the world, but many continue to falsely assume that we pay more for healthcare because we get better health (or better health outcomes). The evidence, however, clearly doesn’t support that view. Munroe D. Pharma and Health Care http://www.forbes.com/sites/danmunro/2014/06/16/u-s-healthcare-ranked-dead-last-compared-to-10-other-countries/ A recent international study compared 11 nations on health care quality, access, efficiency, and equity, as well as indicators of healthy lives such as infant mortality. Overall Health Care Ranking Low U.K. SWITZERLAND SWEDEN AUSTRALIA GERMANY THE NETHERLANDS NEW ZEALAND NORWAY FRANCE CANADA U.S. High Source: K. Davis, K. Stremikis, D. Squires, and C. Schoen, Mirror, Mirror on the Wall: How the Performance of the U.S. Health Care System Compares Internationally, 2014 Update, The Commonwealth Fund, June 2014. ## EXHIBIT ES-1. OVERALL RANKING ### COUNTRY RANKINGS \| Country \| AUS \| CAN \| FRA \| GER \| NETH \| NZ \| NOR \| SWE \| SWIZ \| UK \| US \| \|---------\|-----\|-----\|-----\|-----\|------\|-----\|-----\|-----\|------\|-----\|-----\| \| Top 2 \| \| \| \| \| \| \| \| \| \| \| \| \| Middle \| \| \| \| \| \| \| \| \| \| \| \| \| Bottom 2 \| \| \| \| \| \| \| \| \| \| \| \| ### OVERALL RANKING (2013) \| Category \| AUS \| CAN \| FRA \| GER \| NETH \| NZ \| NOR \| SWE \| SWIZ \| UK \| US \| \|---------------------------\|-----\|-----\|-----\|-----\|------\|-----\|-----\|-----\|------\|-----\|-----\| \| Quality Care \| 2 \| 9 \| 8 \| 7 \| 5 \| 4 \| 11 \| 10 \| 3 \| 1 \| 5 \| \| Effective Care \| 4 \| 7 \| 9 \| 6 \| 5 \| 2 \| 11 \| 10 \| 8 \| 1 \| 3 \| \| Safe Care \| 3 \| 10 \| 2 \| 6 \| 7 \| 9 \| 11 \| 5 \| 4 \| 1 \| 7 \| \| Coordinated Care \| 4 \| 8 \| 9 \| 10 \| 5 \| 2 \| 7 \| 11 \| 3 \| 1 \| 6 \| \| Patient-Centered Care \| 5 \| 8 \| 10 \| 7 \| 3 \| 6 \| 11 \| 9 \| 2 \| 1 \| 4 \| \| Access \| 8 \| 9 \| 11 \| 2 \| 4 \| 7 \| 6 \| 4 \| 2 \| 1 \| 9 \| \| Cost-Related Problem \| 9 \| 5 \| 10 \| 4 \| 8 \| 6 \| 3 \| 1 \| 7 \| 1 \| 11 \| \| Timeliness of Care \| 6 \| 11 \| 10 \| 4 \| 2 \| 7 \| 8 \| 9 \| 1 \| 3 \| 5 \| \| Efficiency \| 4 \| 10 \| 8 \| 9 \| 7 \| 3 \| 4 \| 2 \| 6 \| 1 \| 11 \| \| Equity \| 5 \| 9 \| 7 \| 4 \| 8 \| 10 \| 6 \| 1 \| 2 \| 2 \| 11 \| \| Healthy Lives \| 4 \| 8 \| 1 \| 7 \| 5 \| 9 \| 6 \| 2 \| 3 \| 10 \| 11 \| ### Health Expenditures/Capita, 2011** \| Country \| AUS \| CAN \| FRA \| GER \| NETH \| NZ \| NOR \| SWE \| SWIZ \| UK \| US \| \|---------\|-----\|-----\|-----\|-----\|------\|-----\|-----\|-----\|------\|-----\|-----\| \| \| $3,800 \| $4,522 \| $4,118 \| $4,495 \| $5,099 \| $3,182 \| $5,669 \| $3,925 \| $5,643 \| $3,405 \| $8,508 \| Notes: * Includes ties. ** Expenditures shown in $US PPP (purchasing power parity); Australian $ data are from 2010. Source: Calculated by The Commonwealth Fund based on 2011 International Health Policy Survey of Sicker Adults; 2012 International Health Policy Survey of Primary Care Physicians; 2013 International Health Policy Survey; Commonwealth Fund National Scorecard 2011; World Health Organization; and Organization for Economic Cooperation and Development, OECD Health Data, 2013 (Paris: OECD, Nov. 2013). The Commonwealth Fund “Mirror, Mirror On The Wall — 2014 Update” • The most notable way the U.S. differs from other industrialized countries is the absence of universal health insurance coverage. • Other nations ensure the accessibility of care through universal health systems and through better ties between patients and the physician practices that serve as their medical homes. What is Universal Health Care? Universal Health Care Coverage Is Not “Single Payer” Healthcare World Health Organization Definition • Universal coverage (UC), or universal health coverage (UHC), is defined as ensuring that all people can use the promotive, preventive, curative, rehabilitative and palliative health services they need, of sufficient quality to be effective, while also ensuring that the use of these services does not expose the user to financial hardship. Profound Effects Caused by Lack of Universal Health Care Coverage 1. The U.S. is the only country where medical expenses are a contributing (if not leading) cause of personal bankruptcies 2. The U.S. is the only country where employer provided healthcare coverage often plays into employment decisions 3. The U.S. is the only country where (according to The Commonwealth Fund this last April) there are now 84 million non-elderly Americans that are either uninsured – or underinsured For decades, the American Nurses Association has been advocating for health care reforms that would guarantee access to high-quality health care for all. With the passage of the Patient Protection and Affordable Care Act (PPACA), millions of people have greater protection against losing or being denied health insurance coverage, and better access to primary and preventive services. ANA recognizes the debate of health care is not over, and remains committed to educating the nursing public about how the changing system impacts our lives and our profession. Physician Associations Position • Recognizing that many newly elected Members of Congress campaigned on fixing the health care system, ten of the nation’s leading physician associations established principles to serve as a guide for Congress to improve both individual health and the collective health care system in the U.S. Physician Associations American Academy of Family Physicians American Academy of Orthopaedic Surgeons American College of Cardiology American College of Emergency Physicians American College of Obstetricians and Gynecologists American College of Osteopathic Family Physicians American College of Physicians American College of Surgeons American Medical Association American Osteopathic Association Principles for the Reform of the U.S. Health Care System • Health care coverage for all is needed to ensure quality of care and to improve the health status of Americans. • The health care system in the U.S. must provide appropriate health care to all people within the U.S. borders, without unreasonable financial barriers to care. • Individuals and families must have catastrophic health coverage to provide protection from financial ruin. Principles for the Reform of the U.S. Health Care System • Improvement of health care quality and safety must be the goal of all health interventions, so that we can assure optimal outcomes for the resources expended. • In reforming the health care system, we as a society must respect the ethical imperative of providing health care to individuals, responsible stewardship of community resources, and the importance of personal health responsibility. Principles for the Reform of the U.S. Health Care System • Access to and financing for appropriate health services must be a shared public/private cooperative effort, and a system which will allow individuals/employers to purchase additional services or insurance. • Cost management by all stakeholders, consistent with achieving quality health care, is critical to attaining a workable, affordable and sustainable health care system. Principles for the Reform of the U.S. Health Care System • Less complicated administrative systems are essential to reduce costs, create a more efficient health care system, and maximize funding for health care services. • Sufficient funds must be available for research (basic, clinical, translational and health services), medical education, and comprehensive health information technology infrastructure and implementation. Principles for the Reform of the U.S. Health Care System • Sufficient funds must be available for public health and other essential medical services to include, but not be limited to, preventive services, trauma care and mental health services. • Comprehensive medical liability reform is essential to ensure access to quality health care. • American Academy of Family Practice • http://www.aafp.org/about/initiatives/principles-for-reform.html Patient Choice Essential to Real Health Care Reform - Patients’ Right to Choose Treatment and Provider Will Cut Costs, Improve Quality of Care - American Chiropractic Association - http://www.acatoday.org/press_css.cfm?CID=4892 Patient Choice Essential to Real Health Care Reform • The American Chiropractic Association (ACA) remains committed to advocating for the rights of patients to choose the provider and treatments they feel are best suited for them... Patient Choice Essential to Real Health Care Reform • Allowing patients to choose providers who offer less expensive, conservative treatments is one important way to both reduce health care costs and address the growing primary care shortage in this country. Patient Choice Essential to Real Health Care Reform “As our nation continues in its quest to improve the health care system, it will need to look at options outside the status quo,” said ACA President Keith Overland, DC. Patient Choice Essential to Real Health Care Reform • “Doctors of chiropractic can provide conservative primary care that saves money. • ACA will continue to work with legislators to ensure that health reform is implemented in a responsible way that removes artificial barriers to patients’ choices.” Centers for Medicare and Medicaid Innovation • A branch of the United States government under the Centers for Medicare and Medicaid Services. • It was created by the Patient Protection and Affordable Care Act, the 2010 U.S. health care reform legislation. • Guterman S, Davis K, Stremikis K, Drake H (June 2010). "Innovation in Medicare and Medicaid will be central to health reform's success". Health Aff (Millwood) 29 (6): 1188–93. Centers for Medicare and Medicaid Innovation • "The center is to test innovative payment and delivery system models that show important promise for maintaining or improving the quality of care in Medicare, Medicaid, and the Children's Health Insurance Program (CHIP), while slowing the rate of growth in program costs". • Guterman S, Davis K, Stremikis K, Drake H (June 2010). "Innovation in Medicare and Medicaid will be central to health reform's success". Health Aff (Millwood) 29 (6): 1188–93. Centers for Medicare and Medicaid Innovation - The center "is to give priority to twenty models specified in the law, including medical homes, all-payer payment reform, and arrangements that transition from fee-for-service reimbursement to global fees and salary-based payment". - Guterman S, Davis K, Stremikis K, Drake H (June 2010). "Innovation in Medicare and Medicaid will be central to health reform's success". Health Aff (Millwood) 29 (6): 1188–93. Centers for Medicare and Medicaid Innovation - It is "intended to overcome antireform inertia by creating a mechanism for the diffusion of successful pilot programs" without requiring Congressional approval. - Meredith B. Rosenthal (May 2011). "Hard choices — Alternatives for reining in Medicare and Medicaid spending". The New England Journal of Medicine 364 (20): 1887–1890. Questions and Answers Does Health Care Reform affect access to chiropractic services? An apple with a bite taken out of it. The passing of the Affordable Care Act has created an entirely new health care system with coordinated care organizations that focuses on integrated, holistic, patient-centered and evidence-based primary care. Affordable Care Act • Patient Protection and Affordable Care Act” — approved by Congress and signed into U.S. law includes several provisions of earlier legislation, titled the “National Pain Care Policy Act of 2009.” Health Care Reform - ACA highlights the need for more effective evaluation and management of acute and chronic pain. Health Care Reform • Chronic pain treatment needs major reforms to enhance assessment, increase access to the right care, improve quality and equitable care, and cut costs. Initiatives to address the huge public health problem of unrelieved chronic pain should be part of any discussion on reforming the health care system to enhance access and reduce costs. • A Call To Revolutionize Chronic Pain Care in America: An Opportunity in Health Care Reform. An apple with a bite taken out of it. The Affordable Care Act permits chiropractors to function as members of the primary care team. The language in the bill ensures that doctors of chiropractic can be included on these patient-centered and holistic teams. The non-discrimination provision (Section 2706) lifts some of the burden imposed by unfair limitations of certain insurance companies. The ACA nondiscrimination provision (Section 2706) states: “A group health plan and a health insurance issuer offering group or individual health insurance coverage shall not discriminate with respect to participation under the plan or coverage against any health care provider who is acting within the scope of that provider’s license or certification under applicable State law.” Section 2706 • This section shall not require that a group health plan or health insurance issuer contract with any health care provider willing to abide by the terms and conditions for participation established by the plan or issuer. Nothing in this section shall be construed as preventing a group health plan, a health insurance issuer, or the Secretary from establishing varying reimbursement rates based on quality or performance measures.” Will you integrate chiropractic services into a coordinated care organization? What is a Coordinated Care Organization? Coordinated Care Organizations • A coordinated care organization, or CCO, is a network of all types of health care providers (physical health care, addictions and mental health care and sometimes dental care providers) who have agreed to work together in their local communities to serve people who receive health care coverage under the Oregon Health Plan (Medicaid). Coordinated Care Organizations Chronic Disease Management Prevention Outcomes Health Equity Mental Health Provider A&D treatment Doctor Labs Pharmacist Hospital Dentist Drugs Xray Coordinated Care Organizations • CCOs have the flexibility to support new models of care that are patient-centered and team-focused, and reduce health disparities. Community Coordinated Care for Children, Inc. (4C) has been a trusted resource for Central Florida families for over four decades, providing solutions to the challenges of affordability, accessibility, and quality of child care in our community. Accountable Care Organization (ACO) • An ACO is a collaboration of doctors and hospitals that share the responsibility for providing coordinated care to patients in order to limit unnecessary spending. ACO Operating Model ACO Leadership Population Health Data Management Health Home People Pharmacy Home Care Ancillary Providers Long Term Care Public Health Agencies Hospice Hospitals Post Acute Care Specialists The Patient Protection and Accountable Care Act of 2010 (ACA) opened up new opportunities for Medicare and Medicaid beneficiaries to take advantage of care in an Accountable Care Organization and gave ACOs new opportunities to serve this important population. National Assn of ACOs (NAACOS) • Accountable Care Organizations (ACOs) offer enormous opportunity for patients and providers to work together to increase quality of care, lower costs and improve the health of the community. NAACOS Mission • Foster growth of ACO models of care; • Participate with Federal Agencies in development & implementation of public policy; • Provide industry-wide uniformity on quality and performance measures; • Educate members in clinical and operational best practices; • Collectively engage the vendor community, and • Educate the public about the value of accountable care. Florida Association of Accountable Care Organizations (FLAACO) - FLAACOs is the premier professional organization for Accountable Care Organizations (ACOs) throughout Florida. Florida Association of Accountable Care Organizations (FLAACO) • ACOs are designed to incent providers to work together to increase quality of care delivered to patients while significantly lowering medical costs overall. Florida Association of Accountable Care Organizations (FLAACO) • New shared savings payment arrangements are being developed by both government and private sector payers that are encouraging the fast growth of these Accountable Care models. FLAACOs 16 members are organized in a vibrant network of state affiliate groups that share FLAACOs goals in working on behalf of ACO professionals. Florida Association of Accountable Care Organizations (FLAACO) - FLAACOs encourages the exchange of diverse opinions and to further discussion, dialogue, and reflection of particular topics relevant to FLAACOs. Florida Association of Accountable Care Organizations (FLAACO) - Participate in discussions throughout the year, join one of the FLAACOs committees and attend the FLAACOs Annual Conference. Educate yourself with member only meetings. Accountable Care Coalition of Northwest Florida LLC City: Pensacola Info: Comprised of networks of individual ACO practices, with 60 physicians. It will serve Medicare beneficiaries in Alabama and Florida. Source: U.S. Centers for Medicare Accountable Care Organizations • ACOs are intended to foster greater accountability in traditional fee-for-service programs by rewarding participating healthcare provider groups that realize the two hallmarks of healthcare reform: slower spending growth and higher-quality care. Accountable Care Organizations • Under the Affordable Care Act, groups that save Medicare money while also meeting certain quality targets are entitled to "share" a portion of the savings. Accountable Care Partners (ACP) - Accountable Care Partners (ACP) is a Medicare Shared Savings Accountable Care Organization focused on better patient care through coordination and accountability. Accountable Care Partners (ACP) • Each provider in the Accountable Care Partners network has voluntarily come together to work as a team to improve the quality and coordination of healthcare for the Medicare Beneficiaries they serve. Palm Beach Accountable Care Organization, LLC (PBACO) was accepted by the Centers for Medicare & Medicaid Services on July 1, 2012. Palm Beach Accountable Care Organization • PBACO is a rapidly growing network of physicians and healthcare professionals dedicated to working in a consistent and cohesive manner to improve the care of Medicare Beneficiaries and lower the growth in health care expenditures. Palm Beach Accountable Care Organization • PBACO is composed of physicians who voluntarily agreed to work together to provide high standards of healthcare through a philosophy of continuous quality improvements aimed at achieving the best outcomes in a consistent manner. What is a Patient-Centered Medical Home? Patient-Centered Medical Home • The Agency for Healthcare Research and Quality (AHRQ) defines a medical home not simply as a place but as a model of the organization of primary care that delivers the core functions of primary health care. The medical home encompasses five functions and attributes 1. Comprehensive Care 2. Patient-Centered 3. Coordinated Care 4. Accessible Services 5. Quality and Safety Patient-Centered Medical Home Park Avenue Medical 202 N. Park Avenue Apopka, FL 32703 Central Florida wellness for the entire family Patient-Centered Medical Home Park Avenue Medical • We are a private Family Medicine group practice established in 1986. We are dedicated to serving our patients with the highest quality care in a professional and compassionate manner. • Treating patients from newborns to the elderly and providing state of the art care for acute illness, chronic medical problems as well as minor outpatient surgical procedures. Patient-Centered Medical Home Park Avenue Medical • Park Avenue Medical is a leader among Florida health-care providers, respected for its expertise, innovation in health-care delivery and quality of care. • While discussions of health frequently focus on competition and managed costs, Park Avenue Medical has not lost sight of the people behind the numbers or its mission to serve patients with the latest procedures and treatments. Patient-Centered Medical Home Park Avenue Medical • The medical staff is comprised of more than five Board Certified Physicians, a Physician-Assistant and a Registered Nurse. • With advanced technologies available right at our fingertips, we are able to provide the most comprehensive approach to both diagnosis and treatment. Park Avenue Medical is currently seeking both accreditation and NCQA PCMH recognition. We have our own registered nurse who works with comprehensive programs such as heart failure, COPD, and other chronic medical problems. She is here to assist patients with everything from questions and medications, hospital discharge planning and health education. Community Health Centers NATIONAL ASSOCIATION OF Community Health Centers HRSA-supported health centers have provided comprehensive, culturally competent, quality primary health care services to medically underserved communities and vulnerable populations. Health Center Program Fundamentals • Located in or serve a high need community • Governed by a community board • Provide comprehensive primary health care services as well as supportive services (education, translation and transportation, etc.) that promote access to health care. • Provide services available to all with fees adjusted based on ability to pay. • Meet other performance and accountability requirements Community Health Centers • HHS Secretary Sylvia Mathews Burwell announced today the availability of $100 million from the Affordable Care Act to support estimated 150 new health center sites across the country in 2015. • New health center sites will increase access to comprehensive, affordable, high quality primary health care services in the communities that need it most. Community Health Centers • Health and Human Services (HHS) Secretary Sylvia Mathews Burwell today announced $83.4 million in Affordable Care Act funding to support primary care residency programs in 60 Teaching Health Centers across the nation. • The funding will help train more than 550 residents during the 2014-2015 academic year, increasing the number of residents trained in the previous academic year by more than 200 and helping to increase access to health care in communities across the country. Community Health Centers of Florida • Since 1981, the Florida Association of Community Health Centers, Inc. (FACHC) has been the leading state advocate for community-based health care programs. • Focusing on Florida's Federally Qualified Community Health Centers, the Association plays a vital role in educating federal, state and local policymakers about issues relating to health care and the role of the health centers. • The primary mission of FACHC is to improve access to quality health services by bringing together agencies, legislators and key persons able to affect health care services. Community Health Centers Community Health of South Florida, Inc. “Patient Care Comes First” Community Health of South Florida, Inc. • Community Health of South Florida Inc. started out as a beacon of hope for the uninsured more than 40 years ago. • Today it has grown into a comprehensive nonprofit healthcare company that cares for nearly 300,000 insured and uninsured patients every year. • It has 10 health centers spanning from the Keys to South Dade and into Coconut Grove. It also has 42 school-based health centers. How does a chiropractor become a valuable member of the health care team? Market Needs • What services are missing in primary care that can be provided by a chiropractic specialist? Most chiropractic physicians function as neuromusculoskeletal specialists and not primary care providers. Chiropractic Services • Chiropractic clinicians should be positioned on primary care teams as the neuromusculoskeletal medicine specialists, evaluating and treating patients with acute and chronic pain. Salary Comparison • Primary care physician = $150,000 plus... • Physician Assistant (mid-level) = $80,000 to start • Chiropractic associate = $40,000 - $50,000 Marketing of Health Care Services • You should market your chiropractic services to allopathic and/or osteopathic physicians, and coordinated care organizations. Marketing of Health Care Services - All healthcare providers, most notably specialists compete for market share because of shrinking third-party reimbursements and health care reform. Marketing Chiropractic Services • If you market your services to primary care providers and coordinated care organizations, you may improve patient access to your chiropractic services... Marketing of Health Care Services - All healthcare providers, most notably specialists compete for market share. - Chiropractors are considered to be specialists... Needs-Based Marketing Process - Research the market - Research PCP needs, expertise and resistance to refer to you - Express your interests in collaboration, evidence-based practice and patient-centered care - Explain the value of your services - Communicate applicable research - Provide proper referral request and clinical information Research • Read – The National Prevention Strategy – A Call to Revolutionize Chronic Pain Care in America: An Opportunity in Health Care Reform. – Healthcare Reform: Implications for Chiropractic – Health Care Reform: Primary Care Teams in ACOs – The Value of Evidence-Based Practice Research • Investigate the names, locations, and leadership of the coordinated care organizations in your area – Community Health Centers – Accountable Care Organizations • Seek out the names of individuals capable and willing to make referrals or introductions, such as primary care providers. Action Steps • Introduce yourself to the physicians and leaders • Provide a professional package of marketing materials • Do not belittle the medical profession or discuss subluxation Customer Demand - Over 80% of patients ask PCP about a chiropractic referral - Intra-professional and inter-professional referral patterns of chiropractors - http://www.chiroandosteo.com/content/14/1/12 PCP Resistance to Refer to Chiropractor • Primary care providers prefer that a patient contact the chiropractor. Greene BR, Smith M, Allareddy V, Haas M: Referral Patterns and Attitudes of Primary Care Physicians Towards Chiropractors. BMC Complement Altern Med 2006, 6(1):5. Medical Doctor Referral to a Chiropractor - Only 30% of primary care providers will consider making a referral to a chiropractor... PCP Referral Patterns - 99% of PCP’s initiate referral to another allopath - Only 11% of PCP’s initiate referral to a chiropractor. Greene BR, Smith M, Allareddy V, Haas M: Referral Patterns and Attitudes of Primary Care Physicians Towards Chiropractors. BMC Complement Altern Med 2006, 6(1):5. Medical Referral to a Chiropractor • Why would a medical doctor be concerned with making a referral of a patient to a chiropractor? Rejection of Chiropractic Referral • The common reasons for not accepting a referral from chiropractors were the absence of a formal referral and health problems outside the PCP's area of expertise. • Greene BR, Smith M, Allareddy V, Haas M: Referral Patterns and Attitudes of Primary Care Physicians Towards Chiropractors. • BMC Complement Altern Med 2006, 6(1):5. Remove the Barriers and Improve Interpersonal Referral Relationships Between Primary Care Physicians and Chiropractors - Both MDs and DCs suggested that good communication, openness to discussion by providers, and patient interest are key factors for developing positive interprofessional referral relationships and implementing interprofessional practice-based research networks. - Facilitators and barriers to improving interprofessional referral relationships between primary care physicians and chiropractors. J Ambul Care Manage. 2007 Oct-Dec;30(4):347-54. Remove the Barriers and Improve Interpersonal Referral Relationships Between Primary Care Physicians and Chiropractors • Barriers to interprofessional relationships include lack of good communication between the 2 provider types, bias toward alternative medicine, lack of knowledge or understanding of chiropractic care, geographic constraints, and economic considerations. Successful Interprofessional Relationships Require... • Understanding of both professions’ strengths and weaknesses • Research infrastructure • Evidence-based practice • Patient-centered model Marketing Strategy • Provide example of medical record and referral document. • Referral letter/document should be brief but concise and accompanied by SOAP note. Research and Education • Provide research that demonstrates the safety of chiropractic care and outcomes with spinal manipulation for back and neck pain. Chiropractic Education Basic Science/Pre-Clinical Comparison \| Chiropractic Hours* \| Subjects \| Medical Hours \| \|---------------------\|---------------------------\|-----------------\| \| 366.4 \| Anatomy/Embryology \| 184.6 \| \| 120.0 \| Biochemistry \| 108.4 \| \| 197.0 \| Microbiology/Public health/Biostatics \| 155.3 \| \| 105.9 \| Cell Biology/Histology \| 130.7 \| \| 312.8 \| Physical Diagnosis/Clinical Medicine \| 200.5 \| \| 141.4 \| Neuroscience \| 114.0 \| \| 561.2 \| Physiology/Pathology \| 542.3 \| \| 66.7 \| Nutrition \| 21.5 \| \| 29.4 \| Pharmacology \| 99.0 \| \| Total Hours \| \| 1,556.3** \| • You should inform the doctors of your undergraduate education and your chiropractic training, including board certification. Affordable Care Act Mandates • The Patient Protection and Affordable Care Act of 2010 mandates a national comparative outcomes research project agenda for pragmatic and clinical trials that provide optimal evidence-based medicine. • Otolaryngol Head Neck Surg October 2011 vol. 145 no. 4 526-529 • Do you have the health care reform window of opportunity wide open? What will you do with your opportunity to integrate chiropractic services into the coordinated care organizations? Thank You
Supporting the health and well-being of seniors and caregivers at home and in the community live well, age well be well PROGRAM AND SERVICE HIGHLIGHTS CAREGIVER RELIEF (RESPITE CARE) 47,795 Hours 406 Clients Served HOME ADAPTATION & MAINTENANCE 438 Arrangements 191 Clients Served ADULT DAY PROGRAM 23,396 Attendances 587 Clients Served ASSISTED LIVING 131,153 Attendance Days 478 Clients Served LUNCH OUT/SENIORS WELLNESS PROGRAMS 35,010 Attendances 2,218 Clients Served HOMEMAKING 24,129 Hours 754 Clients Served TELEPHONE REASSURANCE 12,021 Visits 2,100 Clients Served TRANSPORTATION 106,943 Drives 4,153 Clients Served In our more than thirty-five years’ history, it is undeniable that CHATS has come a long way in becoming one of the largest community support service agencies in York Region and South Simcoe. It began with a mere 12 community members who came together in 1980 with a shared belief that local elderly people could be better supported to stay in their homes, with the provision of a few basic services. They started out providing practical support services to 419 seniors including housework, grass cutting and transportation services. From those humble beginnings, CHATS now boasts over 330 staff and more than 500 volunteers who serve our more than 8,100 seniors and their family caregivers in York Region and South Simcoe. CHATS is now a recognized leader and integral part of the health system in our catchment area. Increasingly, research institutions and organizations are engaging with CHATS, to study current system and accessibility gaps, in order to identify ways in which services to seniors can be improved and enhanced. We’ve also become a pilot site for testing innovative products designed to better support independent living and healthier outcomes for older adults. Each year this report serves as a reminder of our accomplishments over the past year. Having reached the 35 years of service milestone, we felt we should reflect on how far CHATS has come and the impact it’s had on our community. This report features the journey and milestones we’ve achieved as we’ve adapted and grown over more than three and a half decades. One thing that stays constant is our deepest appreciation to our volunteers, Board of Directors and committee members, staff, and donors for their invaluable support, dedication and commitment to the CHATS’ vision. Our funders and partners continue to add their support to the mix, and for this we are thankful. While we’ve grown by leaps and bounds over our 35+ year history, we know that there is room to grow, continuous quality improvements to make and service enhancements that will all contribute to our mandate to provide our clients and their caregivers with the services that allow them to age safely, independently and with dignity at home and in the community. Yash Kapur, Board Chair Christina Bisanz, CEO OUR MISSION To support the health and well-being of seniors and caregivers at home and in the community. OUR VISION We will be recognized for leadership in delivering a quality experience for our clients driven by our focus on innovation, partnership and service excellence. OUR VALUES • Collaboration • Creativity • Caring • Quality Partnership with Arirang Age-Friendly Community Centre & the Milal Church to Launch New Culturally Specific Adult Day Program CHATS’ partnership with Arirang Age-Friendly Community Centre & Milal Church brought life to the CHATS at Arirang Adult Day Program (ADP) for Korean seniors. This culturally and linguistically specific program supports Korean seniors with physical and cognitive impairments. Supported entirely by the Korean community, the CHATS at Arirang ADP provides a culturally, emotionally, and socially safe environment for Korean seniors, not available elsewhere. Storytelling York Region Project Started in 2015, the Storytelling York Region initiative wrapped up with cadre of seniors’ digital stories being archived on civicyork.ca/storytelling. A two-year partnership between CHATS, York Region Community Information and Volunteer Centre (YRCIVC) and the York Region District School Board (YRDSB), the project brought together over 190 youth, mid-adult and senior participants who each received training on how to use technology and storytelling instruction to bring their own stories to life. Funded by the Ontario Trillium Foundation, the project enhanced the social participation, and community inclusion of seniors and youth living in Aurora, Newmarket, and Richmond Hill. Vulnerable Person’s Registry CHATS and the South Simcoe Police teamed up to bring the Vulnerable Persons Registry (VPR) to residents of Bradford West Gwillimbury and Innisfil. The VPR is a free and voluntary community based initiative that provides caregivers and individuals an opportunity to submit vital information on vulnerable persons to a database that will assist officers in communicating with, and/or attending a residence of a vulnerable person in a way that best protects the registrant. Submission can be made at www.vulnerablepersonsregistry.ca Connecting Ontario CHATS was enlisted as one of the first community organizations to partner with Connecting Ontario, a new online Electronic Health Record (EHR) system that will enable faster, better client care & support. Connecting Ontario will help CHATS to gather secure background information on clients by providing a more accurate picture of patient’s journey through the health care system. It offers increased access to patient information not previously available, expedites client follow-up and support to be better able to anticipate client’s future requirements. Individualized Care Plans In an effort to create a more client-centered approach to programming, CHATS’ Adult Day Programs have moved away from generalized care planning to implement Individualized care plans for all ADP clients. This new form of care planning relies largely on client and caregiver participation to create a plan that is completely unique to each client’s needs. Planning starts at the initial assessment by encouraging client and caregiver to identify what areas they would like to focus on while at the day program. Once the plan is in place, staff are able to routinely discuss results, and areas of improvement that they see. This form of planning creates a more client centered approach with the clients and caregivers feeling that they have more stake in their care and success. Relationship Based Care Providing a caring environment for our clients, staff and volunteers has always been a priority for CHATS. The Relationship Based Care (RBC) philosophy is now being integrated into our daily practices. RBC leverages relationships (self/team/client) across the organization to create a caring and healing environment with clients and families at the centre of the caring practice. While still early in our journey, the initial implementation of RBC has already had a positive impact on our relationships with each other, our clients and caregivers, and the quality of programs we provide. CHATS Named as Central LHIN Approved Agency to Provide Personal Support Services/One Sector to Low Needs Clients CHATS has been named the lead agency north of Steeles to provide Personal Support Services (PSS) to low needs clients in York Region and South Simcoe. This change, which is the result of new guidelines developed by the Ministry of Health and Long Term Care, creates a patient-centred system of care by seamlessly connecting clients to the correct provider. Utilizing a centralized intake and a common assessment tool ensures patients only have to tell their story once. The goal of PSS is to enhance overall client experience, by making home and community care one integrated sector with ‘no wrong door’ for the personal support service needs of older adults. Board of Directors Yash Kapur, Chair Ian Hilley, Vice Chair Cristine Prattas, Treasurer Graham Constantine, Past Chair David Wright Ken Ng Laila Kanji Michael Klejman Michael Wosnick Sam Assadpour Sam Dash-Addi Scott Baker Terri Hay Finance & Audit Committee Cristine Prattas, Chair Avijeet Parmar Carole Cowper Perry Chen-See Sam Dash-Addi Sunil Chandna Governance Committee Ian Hilley, Chair David Wright Howard Sniderman Ken Ng Michael Klejman Scott Baker Quality Committee Laila Kanji, Chair Gary Sangha Lisa Gragtmans Michael Wosnick Nicole Niedra-Biordi Sam Assadpour Terri Hay COMMUNITY PARTNERS Activate Aurora Alzheimer Society of Greater Simcoe Alzheimer Society of York Region apetito Arirang Milal Church Aurora Historical Society Aurora Horticultural Society Aurora Presbyterian Church Aurora Rotary Aurora Winter Blues Festival Better Living Health & Community Services Bradford Legion – Royal Canadian Legion Branch 521 (Bradford) Canadian Red Cross Carefirst Seniors and Community Services Association Catholic Community Services of York Region Central Community Care Access Centre Central Local Health Integration Network Circle of Care City of Markham City of Vaughan Community Support Services Network COSTI Crescent Village – Ja’Fari Islamic Housing Danube Seniors Leisure Centre East Gwillimbury Health and Active Living Plaza Friuli Benevolent Corporation Good Neighbours Human Endeavour Human Services Planning Board of York Region Jones Packaging Krasman Centre Lake Simcoe Region Conservation Authority LOFT Community Services Lumacare Mackenzie Health Magna International March of Dimes Markham Stouffville Hospital Matthews House Hospice Metroland Media Neighbourhood Network Network North Nin Os Kom Tin North York Seniors Centre Ontario Community Support Association Ontario Trillium Foundation PACE Credit Union Philips Lifeline Region of York Rexall Health Centre Richmond Hill Hospice Richmond Hill United Church Routes Connecting Communities Inc. Ryerson University Seneca College Silver Lakes Golf and Conference Centre SNAPd Aurora Social Services Network Southlake Regional Health Centre St. Justin Martyr Church Stevenson Memorial Hospital Tim Horton’s Bradford Toronto and Region Conservation Authority Town of Aurora Town of Bradford West Gwillimbury Town of East Gwillimbury Town of Georgina Town of New Tecumseth Town of Newmarket Town of Richmond Hill Town of Whitchurch Stouffville United Way Toronto & York Region Vaughan Community Health Centre VHA Home Health Care VON Welcome Centre York Region Catholic School Board York Region Community Information and Volunteer Centre York Region Conservation Authority. York Region District School Board York Region Housing York Region Transit Mobility York Support Services Network York University Management Team Christina Bisanz, Chief Executive Officer Irena Fedchun, Director of Finance and Administration Janet Williams, Director of Human Resources Nancy Kula, Director of Client Care and Services Tim Jones, Director of Development Carol Page, Assisted Living Manager Cindy Dryfhout, Finance Manager Elizabeth Anthony, Community Services Manager – Friuli Terrace Gaynor McCredie - Home Adaptation and Maintenance Program Manager Hillary Richardson, Community Programs Manager Julie Casaert, Day Program Manager Kalsang Phuntsok, Client Services and Operations Manager Kelley McCluskey, Marketing & Communications Coordinator Marie Empringham, Executive Office Administrator Suzanne Whitehurst, Transportation Manager Thank you, CHATS Team! Many thanks to the dedicated staff who put so much care and compassion into their work. 5 Years of Service Elena Savransky Jagdish Bhatia Joseph Baldwin Linda Hickey Linda Ind Najmul Chowdhury Sajida Mirza Tim Jones 10 Years of Service Brenda Duquette Christine Mcgregor Evelyn Chavez Lawrence Warbeck Shawna Lee Cooper Yasuhiko Asai 20 Years of Service Christina Lee 25 Years of Service Suzanne Wilson Opening of the CHATS at Arirang Adult Day Program We Appreciate our Volunteers! Many thanks to all those who selflessly give their time and effort to enhance the lives of York Region and South Simcoe seniors. 5 Years of Service Beverly Davis Bill Wheeler Brandon Sanders Cristine Prattas David Griffith David Wright Deborah Sanford Delio Canlas Dena Karellas Diane Gregoire Dirce Baldo Eric Lau Gary Kelk George Semler Ian Francisco Jane Duerr John Jennings John Liska Katrina Pattison Kimberly Balouchi Kristy Irving Leo Hekim Liberata Marinucci Linda Morris Michel Allard Nelda Agard-Fiorotto Paula Clarke Paula Headley-Clarence Peter Coates Rita Nowakowski Ron Field Sharon Hampton Sibel Hekimoglu Stan Simons Steven Bellchambers Tahera Noormohamed William Stevens Yeeyan Dee 10 Years of Service Anna Fornasier Azizeh Vahdat-Panah Caterina Caponi Fatema Ahmari-Hesari Immacolata Gasparini Ken Smith Luciano Gallardo Maria-Eva Cristante Vasdev Sawhney 15 Years of Service Sandra Howson 20 Years of Service Ann Murphy Mervin Enders Seik Wassenaar Tina Wassenaar 25 Years of Service Joy Rodrigues Steve Pitman Vicky Rotondi Cheque presentation from the Commonwealth Mutual Insurance Group Launch of the Vulnerable Persons Registry THANK YOU TO OUR GENEROUS DONORS FAMILY ($500 - $999.99) A. Lamba Almac Industrial Systems B. Benjamin BDO Canada Bell World C. Bisanz D. & P Browning D. Sukhraj F. Meghji F. Notarfonzo F.D.V. Inc G. Smith G. Wiseman Gallaugher Contracting Good Year - Mars Tire Grace Church ACW Highland Chevrolet Buick GMC Cadillac Ltd. I. Hillel IBM Canada Ltd. J. Lamb J. Thomson J. Whitwell Jones Packaging Inc Laurion Law Office M. Gignac M. Tremblay Order of Eastern Star, Newmarket Chapter 282 Priestly Demolition Inc. R. & L. Hewett R. Kinch R. Phillips Richmond Hill Seniors Citizens’ Club 35 S. Whitehurst Sherrard Kuzz Lip St Matthews United Church of Women Steve Tabrizi Suncor Energy Foundation T. Jones The Royal Canadian Legion 414 Timberlane Athletic Club Toronto Diocesan Anglican Church Women Town of Richmond Hill Township of King W. Young WeirFoulds LLP Y. Lai Su MEMBERS ($1,000 - $4,999.99) Ancon Properties Inc Astellas Pharma Canada Ltd. Bazil Developments Inc. B. Shugg-Barbeito C. Cowper Country Wide Homes at Newmarket Fairgate Homes Forest Bay Homes Gervais Associates Ltd. Greater Toronto Sewer & Water Contractor’s Ass. Hunter Engineering Company I. Cartwright Imperial Oil Foundation J. & S. Waters Kate and Tom Taylor Fund Kori Japanese Restaurant L. Conley Marianneville Developments Mattamy Homes Limited - GTA Mississauga News Newmarket - Tay Power Distribution Newmarket Mayor’s Charity Golf Classic O. Barr RBC Foundation - Royal Bank of Canada Rotary Club of Aurora Roy Russell Memorial Fund @ Toronto Community Fndn Royal Canadian Legion Bradford 521 Royal Canadian Legion Branch 375 S. Morrison Schickedanz Bros. Limited Sheraton Parkway Hotel TACC Developments Inc The Tenaquip Foundation: Thermor Ltd The Town of Bradford West Gwillimbury The Very Useful Theatre Company Times Group Corporation BUILDERS ($5,000 - $9,999.99) Argo Development Corporation Aurora Winter Blues Festival Green Lane Village GP Inc Ironton Holdings Ltd Kylemore Communities (west Village) Molise Kleinburg Estate South Inc Scargall Owen-king Lip Silver Lakes Golf and Conference Centre The Regional Municipality of York Town of Bradford West Gwillimbury Yonge Green Lane GP Inc PATRONS ($10,000 - $49,999.99) The Dunin Foundation The Joseph Lebovic Charitable Foundation The Wolf Lebovic Charitable Foundation PARTNERS ($50,000+) Chairman’s Inaugural Charity Golf Tournament RBC Estate and Trust Services CONTACT CHATS 905-713-6596 or 1-877-453-4287 HEAD OFFICE 240 Edward Street, Suite 1, Aurora, Ontario L4G 3S9 WEBSITE chats.on.ca EMAIL firstname.lastname@example.org Charitable Business Number: 13209 0978 RR0001
The present study aims to investigate the management of Subject Teacher Working Group (STWG) in improving the quality of instructional teaching and learning in Senior Secondary School (SSS) in order the teachers be able to improve their teaching quality in their class. Research found out that the STWG which is managed well and establish better cooperation with universities, for the provision of resource persons shows the result of the national examination of the students and teacher's competency test are high while the poor/underdeveloped STWG with the lack of management and has not established yet cooperation with universities shows lower. It needs to strengthen the management of STWG in implementing the 2013 curriculum through better learning in the classroom. Keywords: STWG, management, curriculum 2013, learning, national exam, teacher competency test. INTRODUCTION The teacher’s role is increasingly important in the excellence of human resources. Regulation of the Minister of Education and Culture No. 16 year 2007 on academic qualifications and standards of teacher competence put a teacher as a key element in implementing the 2013 curriculum at school and Government regulation No 19 year 2005 education standards. The Law of the Republic of Indonesia No 14 year 2005 about teachers and lecturers, article 20 clause (b) mandated that in order to carry out its professional duties, a teacher is obliged to improve and develop the academic qualifications and competence in a sustainable manner in line with the development of science, technology, and art. The teacher must have: (i) a minimum academic qualification of strata 1 (S1) or Diploma (D-IV); (ii) competence as a learning agent, namely pedagogic competence, personal competence, social competence, and professional competence; and (iii) the Certificate of Educators certificate of educator (the Law of teachers No. 14 year 2005) and must continually improve their competence (Government regulations No. 19 year 2005 about national education standards). Furthermore, the Government regulation of the Republic of Indonesia No. 74 year 2008 about teacher, chapter 1, Article 1 paragraph (6) says that the teacher profession organization is a legal association established and administered by teachers to develop professional teacher. One of the ways to develop the teachers’ professionalism is to conduct activities under a forum called Subject Teacher Working Group (STWG) or Musyawarah Guru Mata Pelajaran (MGMP). STWG is a non structural organization established in accordance with Guidelines issued by Directorate General of Primary and Secondary Education, published in 1991 and reprinted in 1993 (USAID Indonesia, 2004). The main role of STWG/MGMP is to facilitate teachers of the same subject study implementing the exchange (sharing) opinions and experiences. However, there are still many teachers who are not active so they do not develop their own competence and seems static even though they have participated in STWG activities. In addition, due to the many roles that STWG can do, the teaching skills of teachers is demonstrated by low student success as indicated in PISA ranking and national examination (NE) results. Students' understanding of the program's transferred teacher's material is only 50 percent (Research Centre, MOEC, 2018). This is due to the ability of teachers in the implementation of the 2013 Curriculum (Competency Standards Graduates-CSG-Core Competencies-CC-Basic Competencies-BC analysis and a formulation of Competency Achievement Indicator) is still low. Meanwhile, the current implementation of Sustainable Professional Development-SPD- is more likely to make smart teachers than to make smart pupils (Directorate General of Teachers and Education (DGTE, 2019). Other related data shows that from 2000 to 2015, Indonesia's student score ranges from 370-400, while the average score of PISA was 500. Therefore, the percentage of reasoning on NE/National Standard School Exam –NSSE, 2019 will be enhanced especially in improving the ability of students to work on HOTS problems in NE/NSSE, PISA, TIMSS that require students to think, process information, and read long texts. In relation to this issues, it is important that STWG as an association of teachers created a strategy to strengthen the teachers' competence through discussion and training. The most important thing to strengthen the teacher's competence is to strengthen the STWG performance by empowering the STWG to meet the needs of teachers. Therefore, STWG develop a program: 1. Work Program Preparation a. The STWG work program is compiled at least once in one management period. b. The principles of work program preparation is set in the household budget (ART). 2. Implementing the activities: a. Discussion of learning issues. b. Preparation and development of syllabus, semester program, and learning program plan. c. Analysis of curriculum. d. Preparation and development of learning evaluation instruments. e. Material and preparedness discussion facing the national exam and school exam. Development activities: a. Research, including class action research. b. Scientific writing. c. seminars, workshops, koloqium (exposure to research results), and panel discussions. d. Education and level training (guided trainings). e. Preparation and development of the website STWG. f. STWG forum at district/municipality/province level. g. Teacher performance competition. h. Peer coaching (Training fellow teachers using ICT media). i. Lesson study (a learning practice study that has three components that plan, do, see in the implementation must be a collaboration between experts, executive teachers, and partner teachers). j. Professional learning community (Community-learning professionals). k. Teachers International Professional Development)/STWG international cooperation. l. Global gateway (cross-country partnerships). In the same time a teacher should also engage and actively participate in STWG activities decided by member of the STWG) (Noor and Santosa, 2018). This is important because it is thought that the teacher's mind set is more focused on sumative implementation than formative one. The main function of STWG is to 1) share the teachers' experiences and ideas about teaching and learning in their own classes, including designing lesson plan, syllabus design, instructional media, teaching methodology, material development, and evaluation of the students' achievement, 2) design programs (annual programs, semester programs, mid-term, and long-term), 3) arrange schedules and activities, 4) motivate teachers to regularly participate in MGMP activities, either at school level or at the regional level, 5) improve teacher's professionalism in teaching, learning evaluation, and the results of learning activities in the classroom, 6) develop the clinical academic supervision service program related to effective learning, and develop syllabus and conduct analysis of subjects. To enhance their knowledge and their competence to be professional teachers, they should also conduct self study to improve their teaching strategies. Self study is also to enhance knowledge about learning and teaching perspective, better understand the relationship between teaching and learning in substantive ways about their own practice (Loughran, 2014) who refers to Bullough and Pinnegar (2001), Loughran (2010). Besides self study, attending regular meeting at STWG activities and training, the role of school principals and supervisors to help teachers improving their teaching by conducting academic supervision contributes much improvement to the teachers skill and competence (Rakhmah, et al, 2019), principals' supervisory and motivation strategies influence the productivity of teachers in government secondary schools and have a direct relationship with teachers' productivity (USAID Indonesia, 2004). The study also analyses number of Senior Secondary School (SSS) teachers at research sample area is 6245 people. While the number of teachers in each district/city research samples are: Padang Panjang are 200 people, Bandung city is 3,423, Yogyakarta city is 1,148, Bima City is 465 and Potianak city is 1,009 people (Centre for Data and Statistic Education and Culture, 2018). Strengthening the competence of SSS teachers about their subject study through STWG needs to be done, among others, due to students NE and NSSE-National Computer-Based Exams-NCBE and Teacher Competency Test-TCT is under the average results of SSS teacher TCT year 2015 (59.16) (DGTE, 2015) which is still under the minimum of national standard (6.0) on a scale of 10-100. By strengthening teachers' competence to comprehend their subject study, teaching practice, developing learning material (Innovation Centre, 2016), it will hopefully influence them to conduct better teaching which will increase students’ learning outcomes. The question is “How does the management of STWG help teachers improve their teaching quality in Senior Secondary School so that teachers, especially members of STWG, can improve the quality of learning in their respective classrooms?”. This study aims to investigate the STWG management in improving the teachers’ teaching quality in Senior Secondary School so that they are able to improve the quality of learning in their respective classrooms. Literature Review The Implementation of Curriculum 2013 The implementation of the 2013 curriculum cannot be separated from the role of teachers as key persons in conducting teaching and learning instruction in the class. The success of the 2013 curriculum implementation depends on the teacher’s competence stated in Indonesia Regulation No.14 2005, article 10 that there are pedagogic, individual, social, and professional competencies. For teachers, the four competencies (pedagogic, social, professional, and social competencies), pedagogic and professional competencies play a very important role to make teachers succeed in teaching and learning instruction for 2013 curriculum implementation. In the implementation of curriculum, most teachers find difficult to implement integrated science and social science, describing learning achievement, understanding the content of student’s book, analyzing questions in students’ book, doing authentic assessment, conducting scientific instruction, and designing a plan of instructional teaching and learning implementation. Therefore, to strengthen the teacher’s competencies in implementing 2013 curriculum, one of the strategies developed by Indonesian government is to empower STWG, where one of its functions is as a media and deliverable to be used by teachers. The role of teachers in implementing K 13 varies, among others as a resource, parents, instructors, advisers, friends, doctors, evaluators, and others (Wright, 1997). In designing learning materials, for example, a teacher as a designer should be able to design and choose the right teaching materials and match the level and meet the needs of their students with varieties of teaching methods. Therefore, it is important for a teacher to be a professional teacher because learning professionally has a strong effect on skills and knowledge. It is important to support the improvement of students’ skills to prepare themselves for higher education and increased interest in student learning especially in preparing students for 21st century learning (Hammond et al., 2017). In addition, teachers also need to understand their students’ characters, understand classroom management such as individual work, pairing, grouping, and classifying. All these capabilities are professional work in implementing the necessary learning strategies in implementing 2013 curriculum so that professional careers are created for teachers. The Subject Teacher Working Group (STWG) The organization of STWG STWG is an organization of subject teacher’s working group at Junior Secondary school, Senior Secondary School, and Vocational School. The board of STWG is very simple consisting of the head, secretary, and chamberlain as the main board and head of planning division, head of development organization, administration and facilities, head of human resources, and the members from public and private schools (Figure 1). However, there is a clear task to manage the needs of teachers from different schools who bring different problems of implementing 2013 curriculum. The leadership team drawn from different school worked collaboratively and seemed to be enthusiastic and working hard to meet the needs of the members by coordinating intellectual work together, stepping outside the boundaries of their own social and level of knowledge and experience between the experienced and novice teachers. To develop a teacher’s profession, there are at least six STWG that should be exist in every school (Civic, Indonesian Language, Mathematics, Science, Social Science, and English). Rights and Obligations of Management 1. The chairman on behalf of the management has the right to legally represent outside the organization to represent something for better organization. If the chairperson is unable to attend for any reason, then secretary can represent the chair with the same rights and obligation. 2. The management is obliged to carry out daily work within the organization and carry out the decisions of the MGMP Member Meeting. 3. The secretary is obliged to organize correspondence in the organization. 4. The treasurer handles the wealth / finance of the organization and reports to the management which is then accounted for at the Members’ Meeting. 5. Rights and obligations of members 6. Assisting the implementation of organizational objectives. 7. Comply with the organization’s rules and decisions. 8. Maintain dignity and honor professions. 9. Members are entitled to follow the education and training undertaken by the organization. 10. Members are entitled to guidance to improve their professionalism. 11. Members have the right to select and choose admins to run the organization. The management is obliged to carry out daily work within the organization and carry out the decisions of the KKG / MGMP Member Meeting. The main activities of STWG is to share ideas and opinions about 2013 curriculum, teaching and learning material for the activities in their classes, the development of instructional teaching and learning, class management, design teaching and learning methodology and instructional media, learning evaluation, and peer teaching. STWG also conducts some trainings to enhance and improve the teachers teaching skill in the class. This kind of training can be tutorial by the internal instructor and external instructors from universities. All these activities are managed by the board (Chairman, secretary, and treasurer, planning division, organizational development, public relations and cooperation divisions) that have a high dedication and good ability. However, in some underdeveloped STWG, the activities of the STWG are managed only by chairman, secretary and treasurer. In carrying out activities there are several main components that are focused attention STWG to solve the problem faced by teachers in implementing 2013 curriculum namely: a) improving teachers’ knowledge particularly developing syllabus design, designing and preparing learning materials, learning strategies, learning methods, using learning facilities/infrastructure, and providing mutual assistance and feedback, b) improve knowledge and skills, and adopt an innovation approach in more professional learning for the participants of the teacher deliberations, c) empower and assist STWG members in the implementation of innovative teaching and learning in school, d) change the working culture of STWG members to improve the knowledge, competence and performance of the organization, e) develop and improve the competence of teachers for professional teachers through professional development activities at the STWG, and f) improve the quality of the learning process that influence learners' learning outcomes (Figure 2). In STWG, teachers discuss to share their ideas, opinions, and experience as well as to have a training which are all of them is to help teachers improve their competence and skill of teaching in their class. The concept and the aim of establishing STWG is principally based on the concept and the purpose of the development of teachers' profession (MOEC, 2010). The Standard of operational implementation procedure of STWG comprises need assessment, planning, implementation, and the activities after conducting a training. Each step of the procedure should be based on the intended curriculum implementation, how to achieve the successful implementation of the curriculum in which one of the strategies is the training teachers both in service and on service training. Teachers are also suggested to engage in STWG activities for their continuing professional development (CPD) due to the nature of teaching demands that teachers engage in continuing career-long professional development (Day, 1999) and it is important to consider the differences in teachers' experiences with and interpretations of working with learning objectives (Misfeldt et al., 2019). In particular, the teachers' professional development in STWG is to help teachers implement the 2013 curriculum especially for their subject studies. Quality of Learning Rapidly changing in the technologies have wide reaching implication for children education. The learning expected for future students is to refer to the 21st century skill enhancement, which emphasizes on 4 skills (abbreviated to 4 C's), namely communication, collaboration, critical thinking, and creativity. In communication, learners should be able to understand, manage, and create effective communication in a variety of forms of both oral, written, and multimedia content. They should also be able to use and express his ideas in both discussions and when solving problems. The competence of collaboration, learners should be to work collaboratively, good management, be able to adapt in various roles, be responsible and actively working cooperatively. They should be able to empathize and respect to other people’s different opinions, be responsible personally and having social relationship within and outside school environment, and be able to achieve high standards for oneself and others. The concepts of critical thinking and self-directed learning provide the theoretical mechanism for designing and implementing meaningful (Garrison and Anderson, 2003). To achieve critical thinking, learners should be able to provide sensible reasoning in understanding and deciding intricate choices, understand the interconnection between systems. Students also use their skills to try to solve problems they face by themselves, be able to compile, express, analyse, and resolve problems, and be able to use problem analysis tools. Then, the learners should be creative. At this competence, learners should have the ability to develop, implement, and deliver new ideas to others, be open and responsive to new and different perspectives, and give a unique idea out of habit (lateral thinking). In order to achieve those competencies, teachers play an important role in learning, so enhancing teacher skills is indispensable, one of them through self-study to improve knowledge and to improve the teaching strategy. Self-study can also improve knowledge about learning and teaching learning, more about the relationship between teaching and learning (Loughran, 2014) and improving skills in 21st century learning preparation (Hammond et al., 2017). The current education process is faced with the challenges and hopes of producing students with 21st century skills such as critical thinking skills, creativity skills, communication skills, and collaboration skills. Furthermore, in the learning activities a teacher requires special knowledge and skills in utilizing technology such as computer or laptop use in presenting teaching materials in explaining the teaching materials students in the classroom. Technology directly affects the display, the interaction, the cost, and the design of the educational outcome (Garrison and Anderson, 2003) and the core programme includes ICT, multimedia and communication studies, and printing and publishing (Longworth, 2005). There are three major reasons of a teacher need to use technology in learning activities, namely: adapt to diverse learning style, boots students motivation, enhance the material being taught. METHODOLOGY This study employs a mixed method design (Cresswell, 2009; Arikunto, 2000) using a combined secondary data and comprehensive Focus Group Discussion (FGD). Data collection used were documentation (secondary data), key information interviews with the resource persons in five sample research location: Padang Panjang (West Sumatera), Bandung (West Java), Yogyakarta (Yogyakarta Special Region), Pontianak (West Kalimantan), and Bima (West Nusa Tenggara). In analyzing the data, the researcher described the sequence of the empirical data gathered from documents about the number of subject study teachers at sample area, the management of STWG of the subject study which are evaluated for national examination both natural science and social science subjects (Indonesian Language, English, Mathematics, Biology, Physics, Chemistry, Economy, Sociology, and Geography), comparison of the average of students’ achievement of national examination, Teacher Competency Test (TCT) 2015 at research sample area. Focus Group Discussion (FGD) and interviews discussed about the management of STWG such as annual programs, the number of schools that participated in one type of STWG, the number of active and inactive teachers, training conducted by STWG as well as resources and management of each STWG, functions, task of each STWG, planning and programs they did. The process of analyzing data follows these procedures: examining, categorizing, tabulating the frequency of events, recombining evidence, using arrays to display the data, creating displays, ordering the information, using various interpretations, triangulation, and making a conclusion. FINDINGS Secondary Data The number of subject study teachers which are discussed in the study is the subject study teachers of the subject study examined in national examination subject of Senior Secondary School. The subject study teachers consist of the Indonesian Language 25.739 (16%), English 21.039 (13%), Mathematics 25.603 (16%), Biology 16.331 (10%), Physics 14.539 (9%), Chemistry 14.965 (10%), Economy 15.633 (10%, Sociology 12.158 (8%), Geography 11.633 (8%) (Figure 3). The majority of subject teachers of the NE subjects are Indonesia Language and Mathematics respectively 16% of the subject teachers of national examination subject. The least number of teachers is the Sociology and Physics teachers, respectively, 8% and 9%. The subjects analyzed is only the subject which is examined for national examination, namely Indonesian Language, English, Mathematics, Biology, Physics, Chemistry, Economics, Sociology, and Geography. Figure 4 shows the achievements of NE and TCT in 5 districts/cities. From the research samples, it is observed that the city of Yogyakarta got the highest score in NE in year 2018/2019 for Natural Science subject (71.4) and Social Science Subject (62.53), followed by the city of Padang Panjang, Natural Science subject (66.99) and Social Science subject (60.08), then the city of Bandung, Natural Science subject (63.82) and Social Science subject (56.14), then the city of Pontianak, Natural Science subject (42.97), and Social Science subject (51.63) and the last the Bima city, Natural Science subject (42.97) and Social Science subject (39.37). Furthermore, the value of TCT, the highest is the city of Yogyakarta (73.78), followed by the city of Padang Panjang (70.95), then the city of Bandung (69.37), the City of Pontianak (65.78) and the Bima municipality (55.49). The discussion in FGD revealed that STWG in the city of Yogyakarta and Bandung actively cooperate with universities, especially in the provision of resources on the training conducted by STWG, so that teachers gain knowledge and experience in conducting learning in the classroom. After all, STWG in the city of Bima and Pontianak have not done cooperation yet with the universities especially in obtaining the resource of the training or STWG meeting. The problem often faced by STWG is the lack of expert or resource person for training required by STWG. From the results of FGD and secondary data, it is indicated that the management of STWG especially for the collaborative working with universities is able to improve the competency of teachers so that teachers can well-teach their classes. In addition, the motivation and commitment of teachers as STWG members contributed to the success of STWG in running their programs to help teachers improve their skills and competence of teaching. The cost assistance from Directorate General of Teachers and Education for STWG has no significant effect to improve the management of STWG and the increase of teachers’ competence for the teaching and learning in the class. It is seen that the cost assistance to STWG in the city of Bima and Pontianak, both NE students and TCT still remain low. On the other hand, the students’ NE and TCT in the city of Padang Panjang who are not given assistance by Directorate General of Teachers and Education is higher. The FGD with STWG in Sample Research Area Number of schools, number of STWG members and active members The following is briefly described about the number of schools, STWG members, and the active members in each research sample area. The study revealed that the number of SSS who participated in STWG of the Indonesian language subject is 25 schools, English is 25 schools, Mathematics is 32 school, Biology is 26 schools, Physics is 20 schools, Chemistry is 12 School, Economy is 20 schools, Sociology is 9 School, and Geography is 22 schools (Figure 5). The STWG which is the highest percentage of the attendance of its members in attending STWG activities is STWG English subject is 43 percent followed by STWG Mathematics 41 percent, whereas STWG the least percentage of attendance member in STWG meeting is STWG of Sociology, Biology, Physics with a percentage of 10 percent each. The STWG which is the most of the members is STWG of Mathematics is 104 people, English is 63 people, Economy is 60 people, while the least member is STWG of Sociology is 13 people. Each STWG has its own features such as the number of schools, number of members, and active members in each STWG which varies from one STGW to others. Of the 5 areas of research samples and STWG in subject study, the activity of the member influences the improvement of the teacher’s competency, as seen in the results of the TCT in each region above. However, the percentage of member’s attendance is also influenced by the frequency of STWG activities. There is an STWG conducting only 2 times meeting in a year so that the percentage of members attendance shows higher while STWG that often conduct meeting shows lower. attendance and the percentage of the STWG which is the teacher's attendance is often less than the percentage of the STWG which conduct the meeting twice a year. There are some disadvantages in the management of STWG, as follows: - The presence of STWG members in activities such as meetings and training are less and not followed regularly by members - Motivation of the teachers to attend STWG activities in some district and schools are still low - STWG find difficult to get enough money for its activities, in which it should be supported by the members of the STWG itself or District Educational Office, and the school principal to contribute financial support to STWG. The way that District Educational Office can do is to make an agreement that all teachers as member of STWG should contribute the financial to STWG which is taken from their monthly certificate allowance Teachers are not interested to attend STWG activities if the instructors or resource persons are from internal of STWG (member of STWG itself) because they already know their capacity. The following Tables 1 shows the comparison of developed and under developed STWG DISCUSSION NE and TCT achievements in 5 municipalities research samples showed that the Yogyakarta municipality got the highest score in NE in year 2018/2019, followed by Padang Panjang municipality, then Bandung municipality. On the other hand, NE and TCT in Bima and Pontianak municipalities are lower. From the results of FGD and secondary data, it indicates that the management of STWG especially for the collaborative working with universities is able to improve the competency of teachers so that teachers can well-teach their classes (MOEC, 2014, Wahyuni, 2018). In addition, the motivation and commitment of teachers as STWG members contribute to the success of STWG in running their programs to help teachers improve their skills and competence of teaching. The result of the NE and TCT indicate that the STWG which is managed well shows the result of the national examination of the students and teacher’s competency test are high while the STWG with the lack of management shows lower. Good/developed STWG establish better cooperation with universities, especially for the provision of resource persons while the poor/underdeveloped STWG has not established yet cooperation with other institutions. The management of the STWG which is most useful for the improvement of the STWG is to make good cooperation with universities and other institutions such as Indonesian Teachers Association (ITA), the Association of Teacher Subjects (ATS), and Association of Indonesian Teachers (AIT), and the school principals organization (Anastasiou and Garametsi, 2020). By establishing a close cooperation with universities, it is easy for STWG to get high quality instructors or resource persons to help teachers improve their knowledge and Table 1. Comparison between Developed and Underdeveloped Management of STWG \| Developed STWG \| Underdeveloped STWG \| \|-------------------------------------------------------------------------------\|------------------------------------------------------------------------------------\| \| 1. Management \| 1. Management \| \| • Most STWG is managed by the board (Chairman, Secretary, and treasurer, planning division, organizational development, public relations and cooperation divisions) that have a high dedication and good capability. \| • Most STWG is only managed by Chairman, Secretary, and Treasurer \| \| • Cooperation with other institutions outside the STWG such as universities, the Business World of Work (BWW), the Indonesian Teachers Association (ITA), the Associations of Teachers of Subjects (ATS), and Teacher Association of Indonesia (TAI), especially in providing instructors and resources persons for teacher training activities as well as budgeting. \| • No cooperation with other institutions outside the STWG such as universities, BWW, Indonesian Teachers Association (ITA), Association of Teacher Subjects (ATS), and TAI especially in providing instructors and resource person for teacher training activities or workshop as well as budgeting \| \| • Head of STWG are very creative and innovative. \| • The resources persons in STWG activities are generally taken from members who are already instructors (core instructor, province, district/municipality) while instructors from universities or from industry is rarely involved. \| \| • The schedule of STWG activity is well arranged so as not to clash with teacher’s teaching schedule. \| • Head of STWG are not creative. \| \| • The role of public school principal in encouraging teachers to participate in STWG activities is greater. \| • The schedule of STWG activities does not match with teacher’s teaching schedule. The arrangement of STWG activities often clashed with the teaching schedule of teachers. \| \| • Teachers or members of STWG have a high motivation to improve their competence through STWG activities. \| • Private schools rarely give permission to teachers to attend STWG activities. However, in most public schools, the school principals encourage teachers to participate in STWG activities. \| \| 2. Planning \| 2. Planning \| \| • In planning STWG activities, the chairman and members discuss activities that can be implemented by STWG in the ongoing year, and the chairman consistently strives to implement them. \| • In planning STWG activities, the chairman and members discuss activities that can be done by STWG in the ongoing year, however these programs cannot be implemented due to the unspecific step of activities. \| \| • Strong STWG is able to plan STWG activities in detail to be implemented, such as STWG in Yogyakarta, Bandung, and Padang Panjang municipality. \| • The weak STWG such as STWG in Bima and Pontianak Municipalities are not able to plan the STWG activities as needed by the members of STWG. \| \| 3. Implementation \| 3. Implementation \| \| • STWG members regularly follow the STWG activities. \| • STWG members do not regularly follow the STWG activities. \| \| • Motivation of teachers to follow STWG activities is high. \| • Teachers’ motivation to follow STWG activities is low. \| \| • The public school principal always assists the implementation of STWG activities by encouraging teachers to always attend the STWG activities. \| • Private schools do not allow their teachers to join STWG activities. Only teachers from public schools are active in STWG. \| \| • Many good schools are not interested in attending STWG activities conducted by public schools because they have their own STWG managed by the foundation in one district/municipalities. \| • In many under developed STWG, the in-house training in schools are rarely done because many teachers or members of the STWG do not actively attend the STWG activities such as training, sharing opinions, and discussion. \| competence in both training, workshop, or sharing ideas and opinions within STWG. It means that the leader organizes the management of organization proportionally and brings the organization runs well. The model management contributes best to the understanding of processes occurring in the organization, and allows designing the system complexes in the organization. Similarly, the satisfaction and performance levels of employees also depend upon the leadership styles adopted by corporate leaders. However, if an inappropriate style is adopted by the leader, it may pose several challenges for the workers, managers, and human resources departments in the planning and execution of work in an organization (Gerasimov and Gerasimov, 2015; Tewari et al., 2019). To help teachers improve their competence and knowledge, it is also important that the STWG absorbs the Table 1. Continue \| 4. Budget \| 4. Budget \| \|-----------\|-----------\| \| - The developed STWG conduct independent activities without any budget assistance from the Directorate of Teachers and Educational Resources (DTER) but it is more successful to increase the results of the students’ NE and the teachers’ TCT. On the contrary, the result of students’ NE and TCT of the under developed STWG that received assistance budget from DTER is lower. \| - Most members of STWG do not contribute financially towards the implementation of STWG activities and rely more on the School Operational Assistance (SOA), so that the school feels a bit burdened to finance all teachers who join the training as well as activities in STWG. \| \| - The cost for instructors or resource persons from universities is born by the universities using the budget of university penitentiary activities such as in Yogyakarta and Bandung municipalities, the supporting budget from DTER serves only as an assistance where the main cost is from the members of STWG itself. \| - There is no cost for instructors outside the STWG, so that STWG rarely invites resource persons or instructors from universities. \| \| - The indicator of the successful of the STWG activities is based on TCT and NE result \| - STWG relies only on the help from DTER or from other institutions. The chairman of STWG is not creative to look for other sources so that the planned activities can rarely be implemented. The results of the students’ NE and TCT is low. \| \| - The financial help from DTER to increase the capacity of STWG does not have a positive impact on the development of STWG governance and no poitive impact on the improvement of the teacher as a STWG member as shown in students’ NE and TCT, such as in Bima and Pontianak Municipalities. \| \| \| 5. Constraints/Problems \| 5. Constraints/Problems \| \|-------------------------\|-------------------------\| \| - The geographical location of STWG in the municipality and in the district affects the implementation of STWG activities. \| - Most STWG officers are less creative especially in motivating members to join STWG activities and only conduct the activities from the Educational District Office or from MOEC. \| \| - Many activities have been planned but sometimes clash with activities from the centre or from the Education office. Therefore, STWG officers are creative to carry out the prioritized activities. \| - Some STWG arrange the schedule of activities to conform with the teaching schedule at the school on a particular day or in the afternoon even though the activity is still heavily felt by some members. \| \| - Many STWG activities together with the teaching hours, but managers and members as well as the school principal also arrange the schedule of STWG activities so as not to conflict with the teaching activities in schools. \| - Facilities and infrastructures do not support the STWG activities \| \| - STWG members compete for regular training \| - Managers rarely invite outside resource persons from universities or from business organization to avoid the boredom of the member to join STWG activities. \| \| - The complete facilities and infrastructure of the school support STWG in implementing STWG activities \| - Teachers from rural areas find it difficult to join the STWG activities due to the geographical location of STWG activities in the city and school which is far \| \| - Most teachers are not interested to participate in STWG activities because most of the resource persons are from within. They already know the capacity of the resource persons. Therefore, STWG chairman should invite the instructors or resource persons from universities to motivate STWG members to attend activities. \| - STWG is still in less collaboration with universities, especially for resources persons or instructors of the training activities. \| \| \| - The trainees do not regularly follow the trainings and take turns by other participants. \| \| \| - STWG lack facilities and infrastructure. \| needs of teachers so that sharing their opinions and experience through the STWG activities may improve the quality of learning in Senior Secondary School, so that teachers especially STWG members are able to improve the quality of learning in their respective classrooms. The training through STWG both in and on-service education programmes for school teachers, not only the teachers must have the competencies (pedagogic, social, professional, and social competencies) but the teachers should be given a chance to enhance their professional ability, continuous engagement with evolving pedagogical theories and methods and ways to correlate them with one’s practice in critical and reflective framework, and as their expectation for an in-service teacher education programme and to put their learning in teaching practices and in related context (Tyagi and Misra, 2017; Geer and Sweeney, 2012) and the flexibility of STWG is to allow the teachers to set the days that they teach and the days they receive training (ACDP, 119). The training activities conducted by STWG also helps teachers improve their understanding of the 2013 curriculum. However, the implementation of the result of the training 2013 curriculum at their real teaching activities in the class are rarely evaluated by supervisors (Sisdiana et al., 2018) so that the report of the STWG activities does not include training materials and is only administrative. The research also reveals that there are limitations and constraints in implementing STWG such as some internal instructors are not capable to train teachers, lack of facilities, lack of budgeting and the District Educational Office are not active in helping Subject Teacher Working Group (STWG). Besides, the support of institutional and the teacher initiative and motivation bring the teacher achieve a professional carrier particularly to successful implementation of the 2013 curriculum as needed for the 21st century teacher. Goodwina and Kosnik (2003) quoted Cochran-Smith argumentation that there needs to be ‘more attention to what teachers themselves need to know, and institutional supports need to be in place in order to meet the complex demands of preparing teachers for the 21st century. Hammond, Maria, and Madelyn (2017, p. 12) argued that teacher professional learning is of increasing interest as one way to support the increasingly complex skills students need to learn in preparation for further education and work in the 21st century. They suggest that sophisticated forms of teaching are needed to develop student competencies such as deep mastery of challenging content, critical thinking, complex problem-solving, effective communication and collaboration, and self-direction. Conclusion And Recommendation Conclusion Based on the research findings and discussion of secondary data analysis about the number of subject study teachers at sample area in provinces and in districts/municipalities research samples, the results of Teacher’s Competency Test (TCT), the result of students national examination, and the results of data verification on the number of schools, the number of STWG members, and the activity of members, STWG Management and STWG program, it can be concluded that: STWG management in the district/municipalities varies based on the competence, skill, and activities of the chairman of the STWG in designing and execute STWG activities as well as coordination and the availability of human resources in the district. Most under developed STWG is mainly managed by the caretaker (chairman, secretary, and treasurer), while the planning division and development division of the management do not perform their duties. In contrast, they already developed STWG managed by a complete management (chairman, secretary, treasurer, the planning division, and development division of the management and others depending on the needs of the STWG concerned) work well. Furthermore, based on the results of the analysis of secondary data from the results of TCT teachers and NE students at developed STWG is high which means that the management of STWG in the district/municipalities is quite good. In contrast, the results of TCT and the value of NE students in the districts/municipalities whose under developed STWG tend to be low which means the management of the STWG is less good. STWG management in the district/municipalities beside affected by the competence of STWG management is also supported by the coordination and availability of human resources in the region. The availability of human resource affects the implementation of STWG, such as the availability of local resources from various institutions such as universities and the business world of work. The districts/municipalities that have better universities such as Yogyakarta and Bandung may give better contribution to the development of STWG activities especially the availability of the resource persons as instructors in a variety of teacher training activities and the improvement of teacher’s professionalism. Some STWG are able to utilize the availability of supporting human resources through cooperation with universities. The model of cooperation is the provision of resources and even funds from the allocation of public service activities in universities. There is an STWG that conducts independent activities without any assistance from Directorate of General of Teachers and Education (DGTE), but more successful to increase the outcome of students. On the contrary, there is STWG that received assistance from DGTE but the result of NE student is lower. The interesting thing is the financial help from Directorate of DGTE to increase the capacity of STWG does not have a positive impact to improve the STWG governance and does not give a positive impact to the improvement of teachers’ ability as a member of STWG. It is seen from STWG at the districts/municipalities that receive financial assistance, the result of NE students and TCT teachers are low as it is in Bima and Pontianak municipalities. On the other hand, the STWG at the municipality which does not get funding assistance from DGTE, the result of students NE and TCT is high such as in Padang Panjang. In addition to such a conclusion, there are several aspects that cause the effectiveness of STWG, among others: a) STWG still lacks cooperation with universities, especially in the provision of resources and/or other activities. Most of the STWG officers are less creative and only wait the activities conducted by Educational Provincial and District Office. Some obstacles faced by STWG in managing STWG is: a) STWG activities are often clashed with the teaching schedule of teachers, b) teachers lack of interest to participate in STWG activities because they feel less interested in internal resources, c) STWG has not intensively collaborated with universitas and other institutions, d) teachers are less interested in participating STWG activities because they already know the capacity of the resource person/internal instructors. The management of STWG which has program to support the improvement of teacher's teaching ability also shows that there is a correlation between STWG programs of improvement of teacher's skills in learning and the intensity of participation of STWG member in attending training and meeting. The correlation between the number of programmes and activities of STWG contributes greatly to the improvement of the teacher's ability. This can be seen in the results of the students of the teachers of TCT at the district of developed STWG and under developed STWG. The improvement of teachers' ability to improve the quality of learning in Senior Secondary School shows the correlation between programs and activities conducted by STWG such as training, workshop on curriculum, NE, HOTS learning methods, organization of school national examination, learning materials (HOTS and learning 21st century), training mathematics, strengthening the learning statistical material and senior secondary school Mathematics Olympiad, workshop of teacher Science STWG, scientific gathering of problems, training of digital learning media making, arrangement of lattice, drafting of HOTS, development of school national examination problem, strengthening of teacher character, development of IT-based learning materials, analysis of main and basic competence, curriculum 2013, study about NE 2019, surgical graduate standar 2020, preparation and assembly of NE try out, and the arrangement of school national examination 2020 and others. All programs are created by the teachers as member of STWG to improve their competency to be able to perform well at the learning activities in his class. Recommendations Based on the above conclusion, the following recommendations are addressed to stakeholders and policy makers regarding to the STWG both in the central and at the provincial level. Directorate of General of Teachers and Education: - DGTE and Directorate of Secondary School (DSS) should formally make cooperation with universities to strengthen professional and pedagogic competence. Educational Provincial Office - Teachers whose percentage attendance in STWG activities less than 50 percent are excluded from the Information Systems Management of Professional Development and Sustainable Teacher. - Educational Provincial Office may give reward and sanctions (punishment) administratively to STWG whose member is inactive in STWG activity by the principal and education office. School Supervisor at Provincial Education Office - School supervisor and office should monitor the implementation of STWG activities such as training or discussion/sharing of opinions at the STWG. - School Principal Group Work Discussion (SPGWD) - SPGWD and school principals should actively be participating in assisting STWG with a nasty teacher to continue actively in any STWG activities. For example, STWG determines the schedule of a joint activity on a particular day or in the afternoon even though the activity is still heavily felt by some members. Subject Teacher Working Group(STWG) - STWG has to choose a capable and creative chairman both academic background and the organizational competence such as a negotiation skill with the college or industry and other organizations. - STWG should plan the activities based on the priority of teachers' needs in overcoming learning difficulties in class and they have invite the resource person from universities. Acknowledgement The author is grateful to the Office of Educational Research and Development for funding the study, the District Educational Office of in five sample areas for their recommendation to allow their schools to participate in this study. The deeply thankful is also address to STWG members who have participated in this study. Author contributions Noor HM, Idris designed research, performed research, analyzed data, and wrote the article. He gives more contribution than others and acts as the main contributor to the paper than other authors. All authors wrote the paper, proofread it, and approved the final manuscript. Conflict of interests The authors declare that they have no conflict of interests. REFERENCES Analytical and Capacity Development Partnership (ACDP) (2017). What is going on with teacher working Groups. Book of Kopi Darat. Jakarta. Anastasiou S, Garametsi V (2020). Teachers’ Views on the Priorities of Effective School Management. J. Educ. Soc. Res. 10(1):1-10. 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Directorate General of Quality Improvement Educators and Educational Professionals Directorate General of Higher Education of the Ministry of National Education Ministry of Education and Culture (2003). Law number 20 year 2003 on National Education System Ministry of Education and Culture (2014). Minister of Education and Culture Regulation of The Republic of Indonesia Number 14 Years 2014 about College Cooperation Misfeldt M, Tamborg AL, Dreyøe J, Allsopp BB (2019). Tools, Rules and Teachers: the Relationship between Curriculum Standards and Resource Systems When Teaching Mathematics. Int. J. Educ. Res. 94(20) 122–133 Noor IHM, Santosa A (2018). Strengthening Teacher’s Competence in Implementing 2013 Curriculum Through Empowering The Management of Junior Secondary School (JSS) Subject Teacher Working Group (STWG). Ame. J. Educ. Res. 6(6):858-868. Rakhmah DN, Noor IHM, Hermawan IKD, Zamjani I (2019). 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NOTICES: 1. On January 22, 2014, the Board of Estimates approved the Resolution on the Regulation of Board of Estimates Meetings and Protests, effective February 05, 2014. Pursuant to the Resolution: a. Anyone wishing to speak before the Board, whether individually or as the spokesperson of an entity must notify the Clerk of the Board in writing no later than by noon on the Tuesday preceding any Board meeting, or by an alternative date and time specified in the agenda for the next scheduled meeting. The written protest must state (1) whom you represent and the entity that authorized the representation (2) what the issues are and the facts supporting your position and (3) how the protestant will be harmed by the proposed Board action. b. Matters may be protested by a person or any entity directly and specifically affected by a pending matter or decision of the Board. In order for a protest to be considered, the protestant must be present at the Board of Estimates meeting at 9:00 A.M., Room 215 City Hall. c. A Procurement Lobbyist, as defined by Part II, Sec. 8-8 (c) of The City Ethics Code must register with the Board of Ethics as a Procurement Lobbyist in accordance with Section 8-12 of The City Ethics Code. The full text of the Resolution is posted in the Department of Legislative Reference, the President of the Board’s web site, (http://www.baltimorecitycouncil.com/boe_agenda.htm) and the Secretary to the Board’s web site (http://www.comptroller.baltimorecity.gov/BOE.html). Submit Protests to: Attn: Clerk, Board of Estimates Room 204, City Hall 100 N. Holliday Street Baltimore, Maryland 21202 2. THE BOARD OF ESTIMATES IS SCHEDULED TO BE IN RECESS AT 9:00 A.M. AND 12:00 NOON ON JULY 3, 2019. BOARD OF ESTIMATES’ RECESS JULY 03, 2019 THE BOARD OF ESTIMATES WILL NOT RECEIVE OR OPEN BIDS ON JULY 3, 2019. THE BOARD OF ESTIMATES WILL RECONVENE ON JULY 10, 2019. BOARD OF ESTIMATES’ AGENDA – JUNE 19, 2019 Space Utilization Committee/Mayor’s – Second Amendment Office of Human Services to Sublease Agreement ACTION REQUESTED OF B/E: The Board is requested to approve and authorize execution of the Second Amendment to Sublease Agreement with The United Way of Central Maryland, Inc. for the rental of 1800 Washington Boulevard consisting of approximately 600 sq. ft. The Second Amendment to Sublease Agreement will extend the lease term through June 30, 2020. AMOUNT OF MONEY AND SOURCE: Annual Month $10,818.24 $901.52 Account: 4000-486320-1772-452200-603013 BACKGROUND/EXPLANATION: The subleased premises will be used as offices by Baltimore City’s Head Start Program under the Mayor’s Office of Human Services. On February 15, 2017, the Board approved the Sublease Agreement between the City, Subtenant and The United Way of Central Maryland, Inc., Sublandlord. The First Amendment approved by the Board on May 30, 2018 extended the sublease for an additional year from June 30, 2018 through June 30, 2019. Space Utilization Committee/Mayor’s – cont’d Office of Human Services The Second Amendment will extend the lease through June 2020. The Space Utilization Committee approved the Second Amendment to Sublease Agreement on May 21, 2019. (The Second Amendment to Sublease Agreement has been approved by the Law Department as to form and legal sufficiency.) The Board is requested to approve and authorize the execution of a Lease Agreement by and between the City, acting through the Department of Recreation and Parks (Landlord) and the Cylburn Arboretum Association (Tenant) for the rental of the property known as the Carriage House located on the grounds of the Cylburn Arboretum at 4915 Greenspring Avenue. The period of the Lease Agreement is effective upon Board approval for 25 years. AMOUNT OF MONEY AND SOURCE: $1.00 - Annual fixed rent of $1.00 per annum, payable in advance. BACKGROUND/EXPLANATION: The term of the Lease Agreement is for 25 years, commencing upon the date of the Board’s approval, and terminating on such date that is 25 years from the approval date so long as the lease has not been terminated by the City as a result of an event of default by the Cylburn Arboretum Association. The Lease Agreement will be automatically renewed at the expiration date for an additional 25 year period, unless terminated sooner by either party. The Cylburn Arboretum Association will be the occupant and tenant of the Carriage House on the Arboretum property. The Cylburn Arboretum Association is a nonprofit organization whose mission is to provide support and stewardship of Baltimore City’s Cylburn Arboretum as a place of beauty, tranquility, culture, and learning open to all persons. The Cylburn Arboretum Association will provide educational programs, including environmental, ecological, and nature-based learning experiences, for all persons of all ages and backgrounds. The Cylburn Arboretum Association will bear all costs relating to the renovation, improvement, use, operation, repair, and maintenance of the Carriage House during the term of the Lease Agreement. The Space Utilization Committee approved the Lease Agreement on May 21, 2019. (The Lease Agreement has been approved by the Law Department as to form and legal sufficiency.) The Board is requested to ratify the continued use of space and approve and authorize an expenditure of funds to allow the Health Department to continue to pay rent and equipment costs by Expenditure Authorization, for the property located at 26 N. Fulton Avenue. The expenditure of funds is for the period January 1, 2019 through June 30, 2019. AMOUNT OF MONEY AND SOURCE: \| Six Months Rental \| Monthly Installments \| \|-------------------\|----------------------\| \| $2,770.44 \| $461.74 (lease) \| \| 1,200.00 \| 200.00 (use of two phone lines) \| \| 177.78 \| 29.63 (shared copier and paper) \| \| $4,148.22 \| $691.37 \| Account: 4000-423219-3080-294100-603013 BACKGROUND/EXPLANATION: The Lease Agreement by and between Unity Properties, Inc. Landlord, and the Mayor and City Council of Baltimore/Department of Health’s Women, Infant and Children’s Program (WIC), Tenant, for the property located at 26 N. Fulton Avenue expired December 31, 2018. The Landlord and Tenant had negotiated a First Amendment to Lease Agreement to remain at the site. During the process of obtaining approval from the Health Department, the document was misplaced. The Health Department has not been able to make rental payments without Board approval. Therefore, until a new Lease Agreement can be prepared and processed, the Health Department needs to make payments to the Landlord. It is expected that the negotiations will be concluded on or before June 30, 2019. Department of Real Estate – cont’d It is requested that the Board approve payments for the above site and related equipment from January 1, 2019 through June 30, 2019. This request is late because the proposed First Amendment to the Lease Agreement was misplaced. APPROVED FOR FUNDS BY FINANCE OPTIONS/CONDEMNATION/QUICK-TAKES: \| Owner(s) \| Property \| Interest \| Amount \| \|---------------------------------\|------------------------\|----------\|---------\| \| Dept. of Housing and Community Development - Option \| \| \| \| \| 1. Lee N. Barnstein and Joyce Barnstein \| 3329 Woodland Ave. \| G/R \| $550.00 \| \| \| \| \| $60.00 \| Funds are available in account no. 9910-903183-9588-900000-704040, Park Heights Major Redevelopment Area Complete Project. In the event that the option agreement fails and settlement cannot be achieved, the Department requests the Board’s approval to purchase the interest in the above property by condemnation proceedings for an amount equal to or lesser than the option amount. Department of Law - Payment of Settlements 2. Bryan Panter (Previous Owner) 712 Mura Street L/H $18,033.00 On August 15, 2018, the Board approved the acquisition of the leasehold interest in 712 Mura Street for the amount of $15,667.00 by condemnation. The City filed the condemnation action on October 24, 2018 to acquire the leasehold interest in the real property located at 712 Mura Street, Baltimore, Maryland. The Board approved $15,667.00 to acquire the subject property’s leasehold interest based upon the higher of two independent appraisal reports. However, Mr. Panter provided a report appraising the property at $55,000.00. The parties participated in mediation and agreed to a settlement for the amount of $33,700.00. Therefore, the Board is requested to approve an additional $18,033.00 ($33,700.00 less the previous approval amount of $15,667.00) in settlement of this case. Funds are available in account no. 9910-908636-9588-900000-704040, FY17 CORE Demolition Project Area. 3. MidStar 23 Investments LLC (Previous Owner) On February 07, 2018, the Board approved the acquisition of the leasehold interest in 1336 Mosher Street for the amount of $28,000.00 by condemnation. The City filed a condemnation action on June 13, 2018 to acquire the leasehold interest in the real property located at 1336 Mosher Street, Baltimore, Maryland. The Board previously approved $28,000.00 to acquire the subject property’s leasehold interest based upon the higher of two independent appraisal reports. MidStar 23 Investments, LLC provided a report appraising the property at $81,000.00. The parties participated in mediation and agreed to a settlement amount of $47,000.00. Therefore, the Board is requested to approve an additional $19,000.00 ($47,000.00 less the previous approval amount of $28,000.00) in settlement of the case. Funds are available in account no. 9910-906126-9588-900000-704040, FY17 CORE Demolition Project Area. 4. Druid Hill Associates Limited Partnership (Previous Owner) On September 13, 2017, the Board approved the acquisition of the fee simple interest in 1303 Myrtle Avenue for the amount of $27,000.00 by condemnation. The City filed a condemnation action on May 15, 2018 to acquire the Fee Simple interest in the real property located at 1303 Myrtle Avenue, Baltimore, Department of Law – Payment of Settlements – cont’d Maryland. The Board previously approved $27,000.00 to acquire the subject property’s Fee Simple interest based upon the higher of two independent appraisal reports. The City then reappraised the property (including the interior--the first was exterior only) at $80,000.00. The Defendant provided a report appraising the property at $105,000.00. The parties participated in a Pre-Trial Conference and agreed to a settlement amount of $92,000.00. Therefore, the Board is requested to approve an additional $65,000.00 ($92,000.00 less the previous approval amount of $27,000.00) in settlement of the case. Funds are available in account no. 9910-905142-9588-900000-704040, Upton Ball Fields Project Area. The Board is requested to approve and authorize execution of Amendment No. 3 to Agreement for Project No. 1183, Traffic Signals and I.T.S. and Traffic Engineering On-Call Consulting Services with McCormick Taylor, Inc. Amendment No. 3 to Agreement extends the period of the agreement for one year through July 1, 2020. AMOUNT OF MONEY AND SOURCE: $1,000,000.00 – Increase in upset limit BACKGROUND/EXPLANATION: On July 2, 2014 the Board approved the original agreement in the amount of $1,000,000.00, for a period of three years. McCormick Taylor, Inc. assisted the Traffic Division with various activities such as Intelligence Transportation Systems, traffic signals, detector engineering services, field surveys, design for traffic signals, detectors closed circuit television traffic monitoring, variable message signs, and field condition inspection. On July 19, 2017 the Board approved Amendment No. 1 to allow for a one-year time extension and an increase to the upset limit by $100,000.00, to complete assigned tasks. On March 14, 2018 the Board approved Amendment No. 2 to allow for a one-year time extension and an increase of $500,000.00 to complete assigned tasks. The Department is now requesting an additional one-year time extension and an increase to the upset limit to maintain uninterrupted workflow, progress of contracts, support services, and meet deadlines. Department of Transportation – cont’d This approval will result in an expiration date of July 1, 2020 and the increase in the upset limit will make the upset limit $2,600,000.00. AUDITS NOTED THE TIME EXTENSION AND INCREASE TO THE UPSET LIMIT AND WILL REVIEW TASK ASSIGNMENTS. (The Amendment No. 3 to Agreement has been approved by the Law Department as to form and legal sufficiency.) The Board is requested to approve and authorize execution of Amendment No. 3 to Agreement (Amendment No. 3) for Project No. 1183, Traffic Signals and I.T.S. and Traffic Engineering On-Call Consulting Services with STV, Inc. Amendment No. 3 will extend the period of the agreement through June 10, 2020. AMOUNT OF MONEY AND SOURCE: $1,000,000.00 - Increase in upset limit BACKGROUND/EXPLANATION: On June 11, 2014, the Board approved the original agreement in the amount of $1,000,000.00 for the period of three years. STV, Inc. assisted the Traffic Division with various activities such as Intelligence Transportation Systems, traffic signals, detector engineering services, field surveys, design for traffic signals, detectors closed circuit television traffic monitoring, variable message signs, and field condition inspection. On July 19, 2017, the Board approved Amendment No. 1 to allow a one-year time extension to complete assigned tasks. On March 14, 2018 the Board approved Amendment No. 2 to allow for a one-year time extension and an increase in the upset limit of $500,000.00 to continue the ongoing various phases of design work to maintain the scheduled assigned tasks are fully completed. This Amendment No. 3 will extend the period and increase the upset limit to maintain uninterrupted workflow, progress of contracts, support services and to meet deadlines. Department of Transportation – cont’d This approval will result in an expiration date of June 10, 2020 and make the upset limit $2,500,000.00. AUDITS NOTED THE TIME EXTENSION AND INCREASE TO THE UPSET LIMIT AND WILL REVIEW TASK ASSIGNMENTS. (The Amendment No. 3 to Agreement has been approved by the Law Department as to form and legal sufficiency.) The Board is requested to approve the assignment of Task No. 002 to STV, Inc. under Project 1257, On-Call Conduit Infrastructure Design Services. The Task Assignment is approximately 10 months. AMOUNT OF MONEY AND SOURCE: $269,718.18 - 2024-000000-5480-395700-603026 BACKGROUND/EXPLANATION: This task provides technical staff support for the engineering staff within the Department’s Conduit Division. The scope includes, but is not limited to right-of-way permitting review, recording plans, cataloging conduit records, preparing JOC documents, field representation, and inspection for routine and emergency projects. Deliverables will include the completion of right-of-way permit review with an estimate of over 150 permits reviewed within an average month. MBE/WBE PARTICIPATION: The Consultant will comply with Article 5, Subtitle 28 of the Baltimore City Code and the MBE and WBE goals assigned to the original agreement MBE: 27% and WBE: 10%. MWBOO APPROVED THE EAR ON APRIL 23, 2019. APPROVED FOR FUNDS BY FINANCE AUDITS REVIEWED AND FOUND THE BASIS FOR COMPENSATION CONSISTENT WITH CITY POLICY. The Board is requested to approve the assignment of Task No. 008 to Wallace, Montgomery & Associates under Project No. 1225, On-Call Design Consultant Services for Resurfacing and Reconstruction Projects. The Task Assignment is approximately nine months. AMOUNT OF MONEY AND SOURCE: $199,998.72 - 6000-617219-2303-596000-603026 BACKGROUND/EXPLANATION: This task will provide for engineering and design services in connection with an analysis to establish a framework for the Department. The analysis will measure transportation equity while developing strategies for providing access for all users, particularly the disadvantaged population who need transportation options to high growth job centers. MBE/WBE PARTICIPATION: The Consultant will comply with Article 5, Subtitle 28 of the Baltimore City Code and the MBE and WBE goals assigned to the original agreement MBE: 27% and WBE: 10%. The Consultant has exceeded the MBE goal at 40% and the WBE goal at 15%. MWBOO APPROVED THE EAR ON APRIL 18, 2019. APPROVED FOR FUNDS BY FINANCE AUDITS REVIEWED AND FOUND THE BASIS FOR COMPENSATION CONSISTENT WITH CITY POLICY. The Board is requested to approve and authorize execution of a Memorandum of Understanding (MOU) with AREP Candler, LLC. The period of the MOU is effective upon Board approval for ten years, renewable at the request of either the organization or the City for an additional ten years, unless terminated earlier in accordance with the MOU. AMOUNT OF MONEY AND SOURCE: N/A BACKGROUND/EXPLANATION: The purpose of this MOU establishes the framework for the organization to install three way finding signs at the locations in the sidewalk on Market Place and E. Pratt Street as shown on the submitted Exhibit A, at its sole cost and subsequently for the organization to perform ongoing maintenance of all aspects of the Project during the term of the agreement. MBE/WBE/DBE PARTICIPATION: N/A (The Memorandum of Understanding has been approved by the Law Department as to form and legal sufficiency.) The Board is requested to approve and authorize execution of the Traffic Mitigation Agreement with Bell Foundry, LLC. (Developer). The agreement will be effective upon Board approval and termination will be deemed in writing by the Department of Transportation. AMOUNT OF MONEY AND SOURCE: $10,651.83 – 9950-907074-9512-000000-490375 BACKGROUND/EXPLANATION: Baltimore City Ordinance 11-529, approved on May 9, 2012, determined that a Traffic Mitigation Fee was required for the Development. The Developer proposes to perform the Scope of Work for The Bell Foundry Apartments at 215 East Federal Street, (Ward 12, Section 10, Block 0446, Lot: 004), constructing an apartment building with fifty-four (54) units. The Developer agrees to make a one-time contribution in the amount of $10,651.83 to fund the City’s multimodal improvements in the Development’s vicinity to the extent practicable. In the event that the Developer does not apply for building permits for the Development with two years of Board approval, this Traffic Mitigation Agreement will terminate and will no longer be in force or effect and no longer binding on either party. MBE/WBE PARTICIPATION: N/A (The Traffic Mitigation Agreement has been approved by the Law Department as to form and legal sufficiency.) The Board is requested to approve an Employee Expense Statement to reimburse Mr. Jonnie McFadden for expenses incurred during the month of January 2019. AMOUNT OF MONEY AND SOURCE: $80.04 - 1001-000000-5011-382800-603002 - mileage BACKGROUND/EXPLANATION: Mr. McFadden failed to submit his statements in a timely manner. The Administrative Manual, Section 240-11, states the Employee Expense Reports that are submitted more than 40 work days after the calendar day of the month in which the expenses were incurred require the Board’s approval. The Department apologizes for the lateness. APPROVED FOR FUNDS BY FINANCE AUDITS REVIEWED AND HAD NO OBJECTION. The Board is requested to approve the assignment of Task No. 010 to Rummel, Klepper & Kahl, LLP, under Project No. 1191, On-Call Construction Project Management Services. The period of this task is approximately two years. AMOUNT OF MONEY AND SOURCE: $498,375.00 - 9950-915055-9512-900010-705032 BACKGROUND/EXPLANATION: This authorization provides for engineering design services to prepare contract documents for safety and geometric improvements to the following intersections: W. Saratoga Street at Eutaw Street, York Road at Woodbourne Avenue, Walther Avenue at Moravia Road and Reisterstown Road at Cold Spring Lane. Improvements are anticipated to include, roadway geometric enhancements, pedestrian safety upgrades (possible bumpouts), lighting, traffic signal replacement, minor drainage improvements, permitting and public outreach. DBE PARTICIPATION: The Consultant will comply with Title 49 of the Federal Regulations, Parts 26 (49CFR26) and the 25.00% DBE goal established in the original agreement. The Consultant has achieved 33.00% of the DBE goal at this time and there remains enough capacity to meet the goal. AUDITS REVIEWED AND FOUND THE BASIS FOR COMPENSATION CONSISTENT WITH CITY POLICY. TRANSFER OF FUNDS \| AMOUNT \| FROM ACCOUNT/S \| TO ACCOUNT/S \| \|-----------------\|----------------------------------------------------\|--------------------------------------------------\| \| $398,700.00 \| 9950-911077-9513 \| Constr. Reserve \| \| \| FED \| Traffic Signal \| \| \| \| Reconstruction \| \| 99,675.00 \| " \| " \| \| State Rev. \| \| 9950-915055-9512-3 \| \| \| \| Design \| \| \| \| Geometric Safety & \| \| \| \| Signal Improvement \| $498,375.00 This transfer will fund the costs associated with Task No. 10 on Project No. 1191, On-Call Construction Project Management Services. (In accordance with Charter requirements, a report has been requested from the Planning Commission, the Director of Finance having reported favorably thereon.) The Board is requested to approve the assignment of Task No. 020 to Rummel, Klepper & Kahl, LLP, under Project No. 1217, On-Call Construction Project Management Services. The period of this task is approximately 48 months. AMOUNT OF MONEY AND SOURCE: $1,141,326.76 - 9950-901882-9508-900010-705032 BACKGROUND/EXPLANATION: This authorization provides for Construction Phase Services related to the Replacement of the Three Bridges over MD 295, Waterview Avenue Bridge, Annapolis Road Bridge, and Maisel Street Pedestrian Bridge, Corridor-Wide Guide Sign Replacement – Bush Street to City County Line, TR 12311R. The scope of services includes, but is not limited to re-advertisement and re-bid, meetings, submittals, preparation of Redline revisions, design during construction, and construction phase maintenance of traffic support and oversight. MBE/WBE PARTICIPATION: The Consultant will comply with Article 5, Subtitle 28 of the Baltimore City Code and the 29% MBE and 10% WBE goals established in the original agreement. The Consultant has achieved 24.00% of the MBE goals and 14% of the WBE goals. However, the Consultant has the capacity to meet the remaining MBE goal. THE EAR WAS APPROVED BY MWBOO ON APRIL 11, 2019. APPROVED FOR FUNDS BY FINANCE AUDITS REVIEWED AND FOUND THE BASIS FOR COMPENSATION CONSISTENT WITH CITY POLICY. The Board is requested to approve the assignment of Task No. 024 to A. Morton Thomas and Associates, Inc., under Project No. 1217, On-Call Construction Project Management Services. The period of this task is approximately 12 months. AMOUNT OF MONEY AND SOURCE: $59,560.00 - 9950-905023-9508-900010-705032 $59,560.00 - 9960-904597-9557-900000-705032 $59,554.75 - 9956-918616-9551-900000-705032 $178,674.75 BACKGROUND/EXPLANATION: This authorization provides for a Construction Inspector position for inspection services on the Central Avenue Streetscape to comply with the Federal State Highway Administration and Local Highway Administration standards and any other projects, as needed and requested. MBE/WBE PARTICIPATION: The Consultant will comply with Article 5, Subtitle 28 of the Baltimore City Code and the 27% MBE and 10% WBE goals established in the original agreement. The Consultant has achieved 21.00% of the MBE goals and 11% of the WBE goals at this time and has enough capacity to meet the remaining MBE goals. Department of Transportation/DOT - cont’d Engineering & Construction THE EAR WAS APPROVED BY MWBOO ON MARCH 26, 2019. APPROVED FOR FUNDS BY FINANCE AUDITS REVIEWED AND FOUND THE BASIS FOR COMPENSATION CONSISTENT WITH CITY POLICY. The Board is requested to approve and authorize the execution of the First Amendment to Land Disposition Agreement (LDA) with ReBuild Metro-Baltimore, LLC (formerly TRF Development Partners-Baltimore, LLC). The Board is further requested to authorize the Commissioner of the Department of Housing and Community Development to execute additional documents subject to approval for form and legal sufficiency, as may be necessary, provided such documents do not materially alter the relationship of the parties or the principal elements of the project. AMOUNT OF MONEY AND SOURCE: $300,000.00 – Purchase Money Mortgage The City will convey all of its right, title, and interest in 1101 through 1125 Proctor Street; 1108 through 1128 Proctor Street; 700 E. Chase Street; 704 through 718 E. Chase Street; and 1107 through 1111 Greenmount Avenue to Greenmount LIHTC, LLC for $300,000.00, which will be paid by a purchase money mortgage at the time of settlement. BACKGROUND/EXPLANATION: The City entered into a Land Disposition Agreement dated August 19, 2015 with TRF Development Partners-Baltimore, LLC (the precursor to ReBuild Metro - Baltimore, LLC), for the sale of 711 and 713 E. Biddle Street; 1101 through 1125 Proctor Street; 1108 through 1128 Proctor Street; 700 E. Chase Street; 704 through 718 E. Chase Street; and 1107 through 1111 Greenmount Avenue. The authority to sell these properties is within Article 28, §8 of the Baltimore City Code and the Johnston Square Urban Renewal Plan. It was the Developer’s original plan to use 9% Low Income Housing Tax Credits, but was not awarded such after multiple competitive attempts. The solution to move forward is to use 4% credits with a purchase money mortgage from the City to cover the gap in funding. The properties 711 and 713 E. Biddle Street are being removed from the LDA because they will be dedicated to the widening of Proctor Street and will therefore remain in title to the Mayor and City Council. They are still part of the project. The Developer will still be required to reimburse the City $25,000.00 for street and alley closing costs. The First Amendment to Land Disposition Agreement authorizes the following modifications: 1. assignment of the LDA to the ReBuild Metro - Baltimore, LLC subsidiary Greenmount LIHTC, LLC, which was specifically formed for this project; 2. acceptance of the terms and conditions of the LDA on behalf of Greenmount LIHTC, LLC; 3. demonstration of the City’s approval of the assignment of the LDA to Greenmount LIHTC, LLC; 4. removal of the properties known as 711 and 713 E. Biddle Street from the properties to be conveyed to the Developer; 5. provision for a purchase money mortgage for the entire purchase price of $300,000.00; 6. supplying an address where notice will be sent to Greenmount LIHTC, LLC; and 7. authorize the Commissioner of the Department of Housing and Community Development to execute additional documents as may be necessary, provided such documents do not materially alter the relationship of the parties or the principal elements of the project. MBE/WBE PARTICIPATION: The Developer has agreed to continue to comply, with all MBE/WBE requirements. (The First Amendment to Land Disposition Agreement has been approved by the Law Department as to form and legal sufficiency.) The Board is requested to approve the Home Investment Partnership Loan (HOME Loan) in an amount not to exceed $2,000,000.00 to Greenmount LIHTC, LLC, a joint venture consisting of affiliates of Rebuild Metro, Inc. and MBID of Delaware, LLC. The Board is also requested to authorize the Commissioner of the Department of Housing and Community Development to approve any loan amount variations associated with the CDA financing because the transaction pricing will not be fixed subsequent to Board approval. The Board is further requested to authorize the Commissioner of the Department of Housing and Community Development to execute any and all legal documents to effectuate this transaction subject to approval for form and legal sufficiency by the Department of Law. AMOUNT OF MONEY AND SOURCE: \| Sources \| Uses \| \|----------------------------------------------\|-----------------------\| \| CDA Project Loan (defined herein) \| Construction Costs \| \| \| $1,614,000.00 \| $10,227,165.00 \| \| CDA Rental Housing Works \| Construction Fees \| \| \| 2,500,000.00 \| 1,746,889.00 \| \| CDA National Trust Fund \| Financing Fees \| \| \| 1,441,416.00 \| 1,458,435.00 \| \| HOME Loan \| Acquisition Costs \| \| \| 2,000,000.00 \| 450,000.00 \| \| Project C.O.R.E.* \| Syndication Costs \| \| \| 1,200,000.00 \| 56,968.00 \| \| Weinberg Grant \| Developer’s Fees \| \| \| 1,500,000.00 \| 1,832,546.00 \| \| Syndication Proceeds \| Guarantees/Reserves \| \| \| 5,598,412.00 \| 478,681.00 \| \| City Take Back Note \| \| \| \| 300,000.00 \| \| \| Deferred Fee \| \| \| \| 96,856.00 \| \| $16,250,684.00 Account: 9910-912335-9610 Creating Opportunities for Renewal and Enterprises Founded in 2007 by The Reinvestment Fund, ReBuild Metro, Inc. (formally known as TRF Development Partners, LLC) ("ReBuild Metro") is a non-profit, real estate development company which focus is on the creation of affordable housing and urban development in Baltimore City. ReBuild Metro brings together individual investors, banks, government officials, private foundations, and faith-based and community organizations to invest in properties that transform communities. The Greenmount/Chase Multifamily Apartments is a proposed 60-unit family residential development (the "Development") in the Johnston Square neighborhood of Baltimore City and will be owned by Greenmount LIHTC, LLC (the "Borrower"), whose members consist of Rebuild Metro and MBID of Delaware, LLC (or affiliates thereof) ("MBID"). A substantial portion of the site will be conveyed to the Borrower by the City pursuant to a Land Disposition Agreement with the Department of Housing and Community Development that was executed in 2015, and is being amended concurrently with the making of the HOME Loan (together with any amendments or modifications, the "Land Disposition Agreement"). The Development will be built on an approximately 0.80 acre site that is currently four parcels: 700, 702, and 704 E. Chase Street and 1107 Greenmount Avenue. After closing on the financing, 700, 702, and 704 E. Chase Street will be cleared and consolidated into one parcel, on which will be constructed a four-story, elevator-serviced building with 56 units that will front Chase Street. A smaller four-unit, town-over flat building will be constructed at 1107 Greenmount Avenue. All 60 units in the Development are expected to be affordable units with an approximate mix as follows: 24 one-bedroom units, 27 two-bedroom units, and 9 three-bedroom units. Sixteen units in the Development are expected to be affordable to households earning 60% or less of the Area Median Income, adjusted for family size ("AMI"); 29 units in the Development are expected to be affordable to households earning 50% or less AMI; and the remaining 15 units will be targeted to extremely low-income households earning 30% or less AMI. Of the units, 9 one-bedroom units will be supported by Section 811 Project Rental Assistance from the State of Maryland’s Department of Housing and Community Development and 19 units will be supported by Project Based Vouchers from the Housing Authority of Baltimore City. The Development will include a host of amenities, including a community room, management and social services offices, mail and package rooms, common laundry, and a fitness room. The building will also incorporate a series of energy efficient components, specifically: - Units will be equipped with energy star HVAC systems, - Energy Star Windows, - Energy Efficient lighting and plumbing fixtures, and - Compliance with National Green Building Standards 2015 The HOME Loan will be used solely to finance a portion of the hard construction costs of the Development. An appraisal was prepared on November 2, 2018, by Chaney and Associates. The appraisal found the “as is” market value to be $780,000.00 and the as is complete insurable value at restricted rents assuming stabilized occupancy, as of the current date, to be $7,400,000.00. The appraised value is below the total cost of the project. This is common in transactions involving Low-Income Housing Tax Credits (LIHTC) and affordable housing. The LIHTC provides equity, which provides a source of funds through the syndication of a federal tax credit rather than through the value of the property itself. Without the benefits of the LIHTC financing, projects with restricted rents could not be financed. The Department is comfortable recommending the HOME Loan under these circumstances. PARTICIPATING PARTIES: A. DEVELOPER The Borrower (Greenmount LIHTC, LLC), which consists of a joint venture between ReBuild Metro, Inc. and MBID of Delaware, LLC or their affiliates, will own the property. Ingerman Construction Management, LLC and ReBuild Metro will jointly guarantee construction completion. B. GENERAL CONTRACTOR/ARCHITECT Ingerman Construction Management, LLC, will act as the general contractor and post a 100% payment and performance bond. Haley Donovan, LLC, will provide architectural services. C. PARTICIPATING LENDERS The primary source of funding will be tax-exempt financing by the Community Development Administration ("CDA"), a unit of the Division of Development Finance of the Department of Housing and Community Development, a principal department of the State of Maryland, as described below. The terms and conditions of these funding sources are based on preliminary loan commitments and negotiations. Due to timing constraints imposed by the transaction, the transaction pricing will be fixed subsequent to Board approval. For example, the projected interest rate or loan amounts may change. All terms described herein are based on the best information at this stage in financing negotiations. As such, it is requested the Board grant delegated authority to authorize the Commissioner of the Department of Housing and Community Development to approve any loan amount variations associated with the CDA financing. CDA PROJECT LOAN – 1st Lien position CDA expects to make a loan to the Borrower in an approximate amount of $8,300,000.00 (the “CDA Project Loan”) pursuant to the Freddie Mac “TEL” program. The CDA Project Loan will be secured by a first lien on the real estate. The CDA Project Loan is expected to have an interest rate of approximately 234 basis points over the interest rate on 10-year United States Treasury securities, which is currently estimated at 5.00%, during a 24-month construction period. Upon completion of construction, the CDA Project Loan will convert to a first-lien permanent loan (the “CDA Permanent Loan”) in an approximate principal amount of $1,614,000.00. The CDA Permanent Loan will have a term of 15 years and an interest rate of approximately 6.49%. The CDA Project Loan will be financing by the proceeds of a loan in an amount of $8,300,000.00 (the “Funding Loan”) from Citibank, NA. (in its capacity as the Funding Lender, the “Funding Lender”). The Funding Loan will be secured by an assignment of the documents securing the LDA Project Loan, also referred to as the “City Take Back Loan” referenced below, as additional security. CDA LOANS – shared 2nd lien position* The CDA will make two loans that will have a shared second-lien position. One loan will be from its Rental Housing Works Program in an amount up to $2,500,000.00 (the “RHW Loan”) to fund permitted development costs and the second loan will be from its National Housing Trust Fund Program in the principal amount of up to $1,441,416.00 (the “HTF Loan”). The RHW Loan and the HTF Loan each will have a permanent loan period of 40 years following a construction period of up to 24 months, which shall include up to three months for cost certification. No regular interest will be charged on either of the RHW Loan or the HTF Loan but upon conversion to the permanent loan period, principal and contingent interest will be due and payable on both loans in accordance with the CDA program requirements and applicable loan documents. Baltimore City Home Loan – 3rd lien position The HOME Loan will be in the approximate amount of $2,000,000.00 and will have the same construction loan period as the RHW Loan. Following construction completion, the HOME Loan will have a permanent loan period (the “HOME Permanent Loan Period”) of forty years. No regular interest will be charged on the HOME Loan, but during the HOME Permanent Loan Period, the City will receive a portion of the funds available to pay principal and contingent interest calculated in accordance with the CDA program requirements and applicable loan documents. The outstanding principal balance and any deferred and accrued interest is due and payable on the last day of the HOME Permanent Loan Period. The HOME Loan will be long-term, subordinate debt. Baltimore City Seller Take-Back Loan – 4th lien position The City will receive a “take back” note from the Borrower in the amount of $300,000.00 (the “City Take-Back Loan”) under the Land Disposition Agreement. The City Take-Back Loan will be secured by a fourth-lien mortgage on the property and will not mature prior to the HOME Loan. No regular interest will be charged on the City Take-Back Loan, but after construction completion, the City will receive a portion of the funds available to pay principal and contingent interest calculated in accordance with the CDA program requirements and applicable loan documents. Other Financing The project will benefit from two additional subordinate loans: (i) A loan made by ReBuild Metro from Project C.O.R.E. funds in the approximate amount of $1,200,000.00; and (ii) a loan made by ReBuild Metro in the approximate amount of $1,500,000.00. These subordinate loans will be secured by liens on the property subordinate to the HOME Loan and the City Take-Back Loan and will be repaid from available cash flow separate from the funds to be used to repay the HOME Loan and the City Take-Back Loan. Article 5, Subtitle 28 of the Baltimore City Code for Minority and Women’s Business Opportunity is fully applicable and no request for a waiver has been made. TRANSFER OF FUNDS \| AMOUNT \| FROM ACCOUNT/S \| TO ACCOUNT/S \| \|-----------------\|---------------------------------\|-------------------------------------\| \| $2,000,000.00 \| 9910-923006-9609 \| 9910-912335-9610 \| \| Federal Home \| Home (Reserve) \| Metro Greenmount \| \| \| \| Chase Apartments \| This transfer will provide Federal HOME funds to Greenmount LIHTC, LLC to support a portion of the hard construction and new construction costs of Rebuild Metro Greenmount Chase Apartments. (In accordance with Charter requirements, a report has been requested from the Planning Commission, the Director of Finance having reported favorably thereon.) The Board is requested to approve the Transfer of Building Jurisdiction for the property known as 1000 N. Montford Ave., a/k/a 2333 E. Chase St. (Block 1572, Lot 036) from the inventory of the Baltimore City Public Schools to the inventory of the Department of Housing and Community Development. BACKGROUND/EXPLANATION: The Baltimore City Public Schools (BCPS) no longer has an educational use for the site of the former Raynor Brown Elementary School. The BCPS previously surplused the property to the City and wishes to transfer the building jurisdiction to the Department of Housing and Community Development. The Space Utilization Committee approved this transfer of jurisdiction on May 22, 2019. The Board is requested to approve and authorize execution of the Community Development Block Grant-44 Agreement (Agreement) with Park Heights Renaissance, Inc. (PHR). The period of the Agreement is July 1, 2018 through June 30, 2019. AMOUNT OF MONEY AND SOURCE: $35,200.00 - 2089-208919-5930-682162-603051 $55,450.00 - 2089-208919-5930-682191-603051 $90,650.00 BACKGROUND/EXPLANATION: This Agreement will provide funds to subsidize the PHR’s operating expenses. The PHR will administer the final set of rehabilitation deferred loans to low-and moderate income owner-occupied households and provide individual housing counseling services and various housing workshops. MBE/WBE PARTICIPATION: FOR FY 2019, MBE AND WBE PARTICIPATION GOALS FOR THE ORGANIZATION WERE SET ON THE AMOUNT OF $32,890.36. MBE GOAL: $8,880.39 WBE GOAL: $3,289.03 On August 8, 2018, the Board approved the Resolution authorizing the Commissioner of the Department of Housing and Community Development (DHCD), on behalf of the Mayor and City Council, to file a Federal FY 2018 Annual Action Plan for the following formula programs: 1. Community Development Block Grant (CDBG) 2. HOME 3. Emergency Solutions Grant (ESG) 4. Housing Opportunities for Persons with AIDS (HOPWA) Upon approval of the resolution, the DHCD’s Contracts Section began negotiating and processing the CDBG Agreements as outlined in the plan effective July 1, 2018 and beyond. Consequently, this agreement was delayed due to final negotiations and processing. APPROVED FOR FUNDS BY FINANCE AUDITS REVIEWED AND HAD NO OBJECTION. (The Community Development Block Grant-44 Agreement has been approved by the Law Department as to form and legal sufficiency.) TRANSFERS OF FUNDS * * * * * * * The Board is requested to approve the Transfers of Funds listed on the following pages: 38 - 39 In accordance with Charter provisions reports have been requested from the Planning Commission, the Director of Finance having reported favorably thereon. ## TRANSFERS OF FUNDS \| AMOUNT \| FROM ACCOUNT/S \| TO ACCOUNT/S \| \|-----------------\|---------------------------------\|---------------------------------------\| \| $200,000.00 \| 9910-926002-9608 \| 9910-914015-9607 \| \| 2nd Community & Economic Dev. Bonds (Reserve) \| Downtown Streetscape Improvements Phase II \| Pratt Street \| This transfer will provide funds for the Pratt Street Phase II including streetscape and right-of-way improvements. In conjunction with the Department of Transportation and the City Planning Department, the improvements include streetscape and right-of-way improvements for Baltimore Street, Redwood Street, Pratt Street, Light Street, and Grant Street. \| $59,213.25 \| 9998-910985-9587 \| 9998-907414-9593 \| \| CDBG 43 Economic Dev. \| Housing Development (Reserve) \| East Baltimore Development Initiative 108 \| This transfer will provide appropriation authority for issuance costs and interest costs for the refinancing of the East Baltimore Development Initiative HUD 108 Loan. \| $50,000.00 \| 9910-926013-9587 \| 9910-907653-9588 \| \| 2nd Community & Economic Dev. Bonds \| Acquisition - Tax Sale (Reserve) \| Acquisition - Tax Sale \| This transfer will provide appropriations approved in the FY 2019 Ordinance of Estimates to support the projects and programs of the Department of Housing and Community Development and in particular to acquire vacant property on blocks and in neighborhoods through the tax sale process. \| AMOUNT \| FROM ACCOUNT/S \| TO ACCOUNT/S \| \|-------------\|-------------------------\|-----------------------\| \| $50,000.00 \| 9910-912014-9587 \| 9910-907079-9588 \| 2nd Community & Economic Dev. Bonds Ground Rent Acquisition Ground Rent Acquisition This transfer will provide appropriations approved in the FY 2019 Ordinance of Estimates to support the Ground Rent Acquisition projects and programs of the Department Housing and Community Development. The Board is requested to approve and authorize execution of the Donation Agreement between the Department of Recreation and Parks (Department), with Telesis Baltimore Corporation, Donor, and C.L. McCoy Framing Company, Contractor. The Board is further requested to approve and authorize execution of the Performance Bond with the Contractor. The period of the Donation Agreement is effective upon Board approval until the Contractor has completed all work. AMOUNT OF MONEY AND SOURCE: N/A - The estimated value of the construction is $199,056.00. BACKGROUND/EXPLANATION: The Donor would like to record its donation of funding the construction of a new park space at Greenmount Recreation Center. The new Greenmount Recreation Center Park will incorporate property of the Department known as Block 3824/Lots 017-026, 052, 052A and property of the Department of Housing and Community Development known as Block 3284/Lot 027. The Donor has agreed to fundraise and donate the entire cost of the construction project, whether it be more or less than the total estimated cost stated. The Donor has agreed to pay the full cost of the project to the Contractor, who was selected and hired by the Donor and accepted by the City. No City funds will be expended. APPROVED FOR FUNDS BY FINANCE (The Donation Agreement and Performance Bond have been approved by the Law Department as to form and legal sufficiency.) The Board is requested to approve the assignment of Task No. 013 to Mahan Rykiel Associates, Inc. under Project 1233, On-Call Design Services. The period of the Task Assignment is approximately 18 months. AMOUNT OF MONEY AND SOURCE: $282,839.16 - 9938-911114-9474-900000-703032 BACKGROUND/EXPLANATION: This task will include design services for the Chick Webb and Madison Square Recreation Centers and City Springs Park. MBE/WBE PARTICIPATION: Including this task, the Contractor has achieved the following percentages: MBE: 7.92% WBE: 13.13% THE EAR WAS APPROVED BY MWBOO ON MARCH 11, 2019. AUDITS REVIEWED AND FOUND THE BASIS FOR COMPENSATION CONSISTENT WITH CITY POLICY. TRANSFER OF FUNDS \| AMOUNT \| FROM ACCOUNT \| TO ACCOUNT \| \|-----------------\|-------------------------------\|-------------------------------------------------\| \| $185,000.00 \| 9938-904119-9475 \| 2nd Parks & Public Facilities Park Building Renovations (Reserve) \| \| $100,000.00 \| 9938-910114-9475 \| 2nd Parks & Public Facilities Chick Webb/Madison Square Recreation Center (Reserve) \| \| $285,000.00 \| ----------------------------- \| 9938-911114-9474 Chick Webb/Madison Square Recreation Center (Active) \| This transfer will fund the costs associated with Task No. 013 on Project 1233, On-Call Design Services. (In accordance with Charter requirements, a report has been requested from the Planning Commission, the Director of Finance having reported favorably thereon.) EXTRA WORK ORDERS The Board is requested to approve the Extra Work Orders as listed on the following pages: 44 - 46 The EWOs have been reviewed and approved by the Department of Audits, CORC, and MWBOO unless otherwise indicated. EXTRA WORK ORDERS \| Contract Awd. Amt. \| Prev. Apprvd. Extra Work \| Contractor \| Time % Ext. Compl. \| \|-------------------\|--------------------------\|------------\|------------------\| \| \| \| \| \| Department of Public Works 1. EWO #003, $28,997.50 - WC 1286, Guilford Avenue and Vicinity Water Main Replacements $8,779,238.95 $1,538,516.50 Monumental Paving - & Excavating, Inc. The Office of Engineering & Construction would like to make this request due to unforeseen field conditions not anticipated in the plans and specifications for the above referenced project. This change order covers the replacement of the water main on the 100 block of E. 26 Street that was removed for the rebuilding of the retaining wall adjacent to the CSX Railroad Tracks. The scope of the construction project includes abandonment and/or removal of existing water mains and installation of various size new ductile iron pipe, valves, fittings, and appurtenances, replacement of existing water services, replacement of small (residential) meter settings and meter vaults, temporary by-pass, sidewalk restoration, curb & gutter, and roadway paving, as required. The Certificate of Completion will not be completed until a scheduled time after final payment and final completion has been given by the Department. MBE/WBE PARTICIPATION: The Consultant will comply with Article 5, Subtitle 28 of the Baltimore City Code and the 10% MBE and 2% WBE assigned to the original agreement. THE EAR WAS APPROVED BY MWBOO ON APRIL 29, 2019. EXTRA WORK ORDERS \| Contract Awd. Amt. \| Prev. Approv'd. Extra Work \| Contractor \| Time Ext. Compl. \| \|-------------------\|----------------------------\|------------\|-----------------\| \| \| \| \| \| Department of Public Works - cont’d 2. EWO #001, $0.00 – WC 1305, Ashburton Filtration Plant Standby Generator $2,482,560.00 – JLN Construction Services, LLC The Office of Engineering & Construction requests a time extension of 93 calendar days for delays related to the investigative field outage. The switchgear modification and electrical equipment for this project had to be custom made and were long lead items. Prior to procurement of this equipment, the Contractor needed to do a field investigation to determine exact dimensions. These were needed for Submittal 30 (Low Voltage Switchgear Modifications), as the engineer could not review the basic information in Submittal 30 without exact dimensions. This field investigation required half the bus outages, and therefore had to be coordinated with the Plant. Coordination to schedule these outages took longer than expected and had an impact on the project schedule. Submittal 30 started impacting the longest path in Schedule Update 4.1 (Data Date December 1, 2017). At this point, the project is one-day behind schedule due to this field investigation delay. Submittal 30 continues to be the driving factor on the longest path through Schedule (Data Date June 1, 2018). The total delay due to the field investigation outage can be calculated by comparing the project completion dates before and after the delay Update 4.1 versus Update 10.1. As per the Project Controls Review EXTRA WORK ORDERS \| Contract Awd. Amt. \| Prev. Approvd. Extra Work \| Contractor \| Time Ext. Compl. \| \|-------------------\|---------------------------\|------------\|-----------------\| Department of Public Works - cont’d Report dated July 25, 2018, the total delay due to the field investigation outage was 93 calendar days. The Certificate of Completion form will not be completed until a scheduled time after final payment and final completion has been given by the Department. MBE/WBE PARTICIPATION: The Consultant will comply with Article 5, Subtitle 28 of the Baltimore City Code and the 27% MBE and 9% WBE assigned to the original agreement. THE EAR WAS APPROVED BY MWBOO ON SEPTEMBER 11, 2018. The Board is requested to approve the new metered water and fire service rates for Baltimore County, as proposed by Baltimore County by letter dated May 29, 2019 to the Director of the Department of Public Works. The rates will be effective to all Baltimore County water bills issued on or after July 1, 2019. AMOUNT OF MONEY AND SOURCE: 4% increase over current rates for Baltimore County residents that became effective on July 1, 2018. BACKGROUND/EXPLANATION: The rates are submitted in accordance with the terms of the Metropolitan District Act of 1972. Under this Act, the City is obligated to provide water to Baltimore County at cost. Revenues from these proposed rates will be used to fund Baltimore County’s share of expenditures in the Baltimore City Water Utility Operation. If revenues from billings to County customers exceed the cost, the City remits the excess to the County. If there is a shortfall, the County must pay the difference. Department of Public Work/Office - Amendment No. 2 to Agreement of Engineering & Constructions ACTION REQUESTED OF B/E: The Board is requested to approve and authorize execution of Amendment No. 2 to Agreement (Amendment No. 2) with Hazen & Sawyer PC under SC 941, Wastewater Engineering Services for Sewer Collection System Improvements in the Jones Falls Sewershed (SC 941). The Amendment No. 2 will extend the period of the agreement through November 27, 2019. AMOUNT OF MONEY AND SOURCE: N/A BACKGROUND/EXPLANATION: The Department and Hazen & Sawyer, PC will continue to negotiate post award services for SC 941. Bids on SC 941 were received on September 13, 2018. This time extension will provide time for Hazen & Sawyer, PC to complete the bid evaluation, including a recommendation for award. It will also allow for completion of negotiation and award associated with the new post award services contract that Hazen & Sawyer, PC and the Department will enter into to provide services during the construction period. Through the end of January 2019 slightly over $80,000.00 remains in the budget of $977,818.20. This remaining amount will be adequate to provide remaining engineering services associated with this important project as it transitions into construction. MBE/WBE PARTICIPATION: Hazen & Sawyer, PC will comply with Article 5, Subtitle 28 Department of Public Work/Office – cont’d of Engineering & Constructions of the Baltimore City Code and the MBE and WBE goals established in the original agreement. MBE: 27% WBE: 9% THE EAR WAS APPROVED BY MWBOO ON MARCH 07, 2019. APPROVED FOR FUNDS BY FINANCE AUDITS NOTED THE TIME EXTENSION. (The Amendment No. 2 to Agreement has been approved by the Law Department as to form and legal sufficiency.) The Board is requested to approve and authorize execution of Amendment No. 1 to Agreement with Alpha Corporation under Project No. 1501, On-Call Project and Construction Management Assistance Services. Amendment No. 1 will extend the period through November 18, 2020. AMOUNT OF MONEY AND SOURCE: N/A BACKGROUND/EXPLANATION: Services provided may include, but are not limited to, assisting the Construction Management Division with construction monitoring and inspection, preparation of daily reports, maintenance of project records and documentation, review and processing of contractor’s application for payment. They will also be in attendance at process meetings, prepare record drawings, review contract claims and supports, estimating, scheduling, project engineering, constructability reviews, submittal reviews and responses, Request for Information (RFI) reviews and responses, and construction contract administrative support. AUDITS NOTED THE TIME EXTENSION AND WILL REVIEW THE TASK ASSIGNMENTS. (The Amendment No. 1 to Agreement has been approved by the Law Department as to form and legal sufficiency.) The Board is requested to approve the assignment of Task No. 010, to Alpha Corporation, under Project No. 1501 (SC 877, SC 882, WC 1311R, WC 1261, WC 1276) On-Call Project and Construction Management Assistance. The period of this task is 0 months. AMOUNT OF MONEY AND SOURCE: ($13,657.56) - 9956-904564-9551-900010-706063 (13,657.56) - 9956-905565-9551-900020-703032 (13,657.55) - 9960-909614-9557-900020-706063 (13,657.55) - 9960-905136-9557-900020-706063 (166,105.99) - 9960-905668-9557-900020-705032 ($220,736.21) BACKGROUND/EXPLANATION: The Office of Engineering and Construction was in need of construction management assistance for SC 877, Enhanced Nutrient Removal Process at Back River Waste Water Treatment Plant, SC 882, Enhanced Nutrient Removal Project 2 Activated Plant No. 4, WC 1311R-AMI/R, Urgent Need Pavement and Sidewalk Restoration, Various Locations, and WC 1262, East Baltimore Midway Neighborhood Vicinity Water Main Replacement under Task No. 001 of this contract. In addition, the Office of Engineering and Construction was also in need of inspection services for WC 1276, Water Main Replacement Georgetown Road/Winans Way/Wells Street Vicinity, under Task No. 003 of this contract. The funds were not utilized entirely and the Department is requesting a credit for the unused portion. Under the terms of the scope of the original agreement, the Consultant would assist the Construction Management Section with monitoring and inspection, prepare daily reports, maintain project records and documentation, review contractor’s applications for payment, attend progress meetings, prepare record drawings, review contract claims and supports, estimate and schedule project engineering and constructability reviews, submittal reviews and responses, Request for Information reviews and responses, and construction contract administrative support. The original contract will expire on November 18, 2019. MBE/WBE PARTICIPATION: The Consultant will continue to comply with Articled 5, Subtitle 28 of the Baltimore City Code and the 27% MBE and 10% WBE goals assigned to the original agreement. Currently, this On-Call Consultant has ongoing Task Nos. 4, 5, and 7 which includes MBE/WBE participation. However, the work is not yet complete and has not been completely invoiced. The Consultant anticipates meeting the goals upon completion. The current goals are 23.71% MBE and 2.57% for WBE. THE EAR WAS APPROVED BY MWBOO ON FEBRUARY 26, 2019. APPROVED FOR FUNDS BY FINANCE AUDITS REVIEWED AND FOUND THE BASIS FOR COMPENSATION CONSISTENT WITH CITY POLICY. The Board is requested to approve the assignment of Task No. 003, to Straughan Environmental, Inc., under Project No. 12375, On-Call Stormwater Management Study and Engineering Design Services. The period of this task is 0 months. AMOUNT OF MONEY AND SOURCE: ($177,141.75) - 9958-907451-9525-900020-703032 BACKGROUND/EXPLANATION: The Office of Engineering and Construction is requesting a credit on Task No. 001, which has expired, in favor of a new task to continue the work on ER 4107. On December 27, 2012, the Maryland Department of the Environment (MDE) reissued a National Pollutant Discharge Elimination System (NPDES) Municipal Separate Storm Sewer (MS4) permit to the City of Baltimore (City). The City prepared and submitted the Baltimore City MS4 and Total Maximum Daily Load (TMDL) Watershed Implementation Plan (WIP) as required by the MS4 Permit. The WIP is a plan for achieving the 20% restoration requirement set out in the permit, in addition to attaining applicable Waste Load Allocations (WLAs) for each established or approved TMDL for each receiving water body. Straughan Environmental, Inc. provides pond/retention basin and wetland design, biddable documents and inspection services of three storm water ponds for ER 4107-Environmental Restoration Project. The project is listed in the WIP, and has a deadline and stipulated penalties associated with this project. Under the terms of the scope of the original agreement, the Consultant would conduct watershed assessment for urban Best Management Practice (BMP) and Ecologically Sustainable Development (ESD), provide cost/benefit analysis of potential alternative technologies and facility construction, operation and maintenance, conduct hydrologic and hydraulic studies utilizing computer models including, but not limited to XP-SWMM (Visual Hydro), HEC-RAS, HSPF, TR-20. The Consultant would also prepare reports, detailed cost estimates and contractual documents as required by the City, including processing all permits required for the construction and operation of the facility, rights-of-way, easements, and related items necessary for procurement of construction. In addition, the Consultant will provide project management, post award services and contract administration services, review shop drawings and evaluate potential change orders during construction, provide geotechnical services for utility investigations, soil study, unsuitable material removal and disposal, provide structural design for culvert rehabilitation, retaining wall, slope stabilization, outfall stabilization, urban BMP, and ESD. The Consultant will provide construction management services including, but not limited to construction inspection, review and response to Requests for Information, review and tracking of shop drawings, submittals and change orders, review of substitutions and technical consultations project. The scope of the construction project includes providing stormwater management Study and engineering design services. The original contract will expire on July 13, 2021. MBE/WBE PARTICIPATION: The Consultant will continue to comply with Articled 5, Subtitle 28 of the Baltimore City Code and the 27% MBE and 10% WBE goals assigned to the original agreement. Currently, this On-Call Agreement is in compliance with the current goals of 36% MBE and 10% WBE. Department of Public Works/Office - cont’d of Engineering & Construction THE EAR WAS APPROVED BY MWBOO ON FEBRUARY 5, 2019. APPROVED FOR FUNDS BY FINANCE AUDITS REVIEWED AND FOUND THE BASIS FOR COMPENSATION CONSISTENT WITH CITY POLICY. 1. Prequalification of Contractors In accordance with the Rules for Prequalification of Contractors, as amended by the Board on November 21, 2016, the following contractors are recommended for prequalification: \| Contractor \| Amount \| \|-------------------------------------------------\|--------------\| \| Access Rigging, LLC \| $1,500,000.00\| \| Asplundh Tree Expert, LLC \| $6,688,080,000.00\| \| E. Pikounis Construction Co., Inc. \| $28,210,000.00\| \| Malstrom Electric, Inc. \| $1,500,000.00\| \| Marine Technologies, Inc. \| $8,000,000.00\| \| SAK Construction, LLC \| $488,380,000.00\| \| Strum Contracting Co., Inc. \| $1,500,000.00\| \| T & D Plumbing and Heating Company, Inc. \| $8,000,000.00\| 2. Prequalification of Architects and Engineers In accordance with the Resolution Relating to Architectural and Engineering Services, as amended by the Board on June 29, 1994, the Office of Boards and Commissions recommends the approval of the prequalification for the following firms: \| Firm \| Role \| \|-------------------------------------------\|---------------\| \| Fehr & Peers-DC LLC \| Engineer \| \| Min Engineering, Inc. \| Engineer \| \| Schrader Group Architecture, LLC \| Architect \| \| \| Engineer \| \| System Preservation Services, LLC \| Construction Management \| The Board is requested to approve and authorize execution of a Consultant Agreement with Ms. Deborah Sharpe. The period of the Consultant Agreement is July 1, 2019 through June 30, 2020. AMOUNT OF MONEY AND SOURCE: $60,000.00 - 1001-000000-1772-512700-603051 BACKGROUND/EXPLANATION: Ms. Sharpe will act as a Consultant for the City Head Start Program. Ms. Sharpe will perform classroom observations, provide technical assistance, make evaluations and develop performance assessments, and develop training modules according to Head Start Program needs. MBE/WBE PARTICIPATION: N/A APPROVED FOR FUNDS BY FINANCE AUDITS REVIEWED AND HAD NO OBJECTION. (The Consultant Agreement has been approved by the Law Department as to form and legal sufficiency.) The Board is requested to approve and authorize execution of a Grant Agreement with the Pew Charitable Trusts. The period of the Grant Agreement is effective upon Board approval through February 15, 2020. AMOUNT OF MONEY AND SOURCE: $48,253.00 - 6000-609819-1875-187400-404001 BACKGROUND/EXPLANATION: The Health Impact Project grant is granted through the Pew Charitable Trusts and is intended to support cities doing groundbreaking, community-facing work at the intersection of climate change and public health. This grant will support the implementation of the Baltimore City Disaster Preparedness and Planning Project and will help improve and expand the existing Baltimore Resiliency Hub Initiative, laying the groundwork for the future of the program. APPROVED FOR FUNDS BY FINANCE AUDITS REVIEWED THE DOCUMENTATION AND FOUND THAT IT CONFIRMED THE GRANT AWARD. (The Grant Agreement has been approved by the Law Department as to form and legal sufficiency.) The Board is requested to approve and authorize execution of the Agreement with The University of Maryland Foundation, Inc. (Foundation). The Agreement is effective upon Board approval through June 30, 2021. AMOUNT OF MONEY AND SOURCE: $32,000.00 Annually - 1001-000000-1981-194700-603026 BACKGROUND/EXPLANATION: The Foundation runs a fellowship program to provide graduate education and training to Returned Peace Corps Volunteers who are committed to careers in public service. The Department’s Business Process Improvement Office is managing a multi-year project to take the agency paperless, assess, prioritizes and build workflows to automate previously paper-based or repetitive tasks. The Department will engage one of the Foundation’s Shriver Peaceworker Fellows to assist on this project. The Department will continue the City’s relationship with the Foundation in order to both accelerate the work on this project and to support pathways into public service for Returned Peace Corps Volunteers committed to careers in this sector. Under this Agreement the Fellow will work 20 hours per week, Monday through Friday for two years during a period coinciding with their graduate school matriculation. APPROVED FOR FUNDS BY FINANCE AUDITS REVIEWED AND HAD NO OBJECTION. (The Agreement has been approved by the Law Department as to form and legal sufficiency.) The Board is requested to approve and authorize execution of a Declaration and Confirmation of Approval Authority, which confirms that the Director of Finance is the City Official with authority to grant all consents and approvals on behalf of the City as may be required under the Baltimore Public Markets Corporation (BPMC) lease, as amended, for the various public markets. BACKGROUND/EXPLANATION: The Mayor and City Council and the BPMC are parities to a Lease Agreement dated March 1, 1995, as amended October 20, 1999, April 25, 2001, and November 9, 2016 (collectively the “BPMC Lease”). The BPMC Lease provides a number of instances as to which a City official or agency has the authority to grant such consents or approvals on behalf of the City. The BPMC Lease does not specify in many instances as to which City official or agency has the authority to grant such consents. In order to provide for the efficient management of the public markets, the parties wish by this instrument to confirm that the Director of Finance has the authority on behalf of the City to grant such consents or approvals. (The Declaration and Confirmation of Approval Authority has been approved by the Law Department as to form and legal sufficiency.) Health Department - Agreement and Ratification of Third Amendment to Agreement ACTION REQUESTED OF B/E: The Board is requested to approve and authorize execution of an Agreement and to ratify a Third Amendment to Agreement. AGREEMENT 1. THE BAR ASSOCIATION OF BALTIMORE CITY Account: 4000-433519-3024-761412-603051 The Bar Association of Baltimore City will provide free legal assistance in general civil matters to Baltimore City residents 60 years of age and older. In addition to legal representation services, the program will also provide outreach and education services regarding matters typically of concern and interest to seniors. The period of the agreement is October 1, 2018 through September 30, 2019. The agreement is late because of administrative delays. MWBOO GRANTED A WAIVER. RATIFICATION OF THIRD AMENDMENT TO AGREEMENT 2. INTERNEER, INC. Account: 1001-000000-3001-262200-605008 On June 15, 2016, the Board approved the original agreement in the amount of $61,250.00 for the period June 1, 2016 through May 31, 2019. On May 3, 2017, the Board approved the First Amendment to Agreement which increased the original agreement by $13,125.00 to provide additional services, making the total amount $74,375.00. Health Department - cont’d On December 20, 2017, the Board approved the Second Amendment to Agreement in the amount of $43,750.00, increasing the total contract amount to $118,125.00. This Third Amendment to Agreement increased the agreement by $39,410.00 which allowed Interneer, Inc. to provide additional services, making the total contract amount $157,535.00. This Third Amendment to Agreement will allow the Department to reimburse Interneer, Inc. for additional services it has provided. APPROVED FOR FUNDS BY FINANCE AUDITS REVIEWED AND HAD NO OBJECTION. (The Agreement and the Third Amendment to Agreement have been approved by the Law Department as to form and legal sufficiency.) The Board is requested to approve the Revised Managerial and Professional Society (MAPS) Performance Management Program Policy (Policy). The policy becomes effective July 1, 2019. The Performance Management Policy for Managerial and Professional Society of Baltimore Covered Employees was initially approved by the Board on April 15, 2015. Following receipt of extensive feedback from Agency Heads and HR Practitioners, the Department formed a project team, comprised of human resources representatives from 8 operational City agencies to review all aspects of the current policy and make recommendations for improvement. The features of the new policy include: - Streamlined AM-228-1 Policy - New! MAPS Employee Performance Management Form - Branded Communications Strategy - Updated Performance Management Lifecycle - Enhanced Managerial and staff resources The Performance Management Program Policy modifications are recommended to improve the MAPS employee performance across Baltimore City. The project team is working on a robust program, which will provide Citywide access to coaching and evaluation tools, managerial guides, in-person and webinar training sessions, as well as, forms, resources and FAQ documents. The current policy, performance management forms, and resources will sunset on June 30, 2019. With the Board’s approval, the program enhancements will be implemented on July 1, 2019 (FY ‘20). The project team will begin a soft rollout with Agency Leaders and HR Practitioners in June 2019 and formal training sessions with MAPS employees in August 2019. The City of Baltimore (the City) is committed to building and maintaining a high performing and an accountable workforce by providing a continuous, year-round process where your managers and employees work together to plan, track, and review the employee’s career goals, work objectives, and contributions. I. PURPOSE The purpose of the Performance Management Program (PMP) policy is to improve organizational effectiveness through individual, division, and agency accountability. PMP documents establish individual performance goals that are aligned to each employee’s job responsibilities. The PMP also supports the City’s goals by requiring ongoing, supervisory coaching, counseling, and feedback to each employee, encouraging professional development and the recognition of each employee’s contributions toward achieving organizational goals. When properly executed, the PMP process meets the following City objectives: 1. Aligns the individual employee’s responsibilities and performance objectives to division and agency strategic goals; 2. Ensures the use of an objective and quantifiable system for evaluating employee performance and recognizing employee accomplishments; 3. Provides an objective basis for supervisors to address an employee’s performance deficiencies; 4. Improves the City’s overall performance through assessment, coaching, counseling, and training; 5. Recognizes different levels of performance; and 6. Serves as a workforce and succession planning tool for all job actions. II. SCOPE This policy applies to all eligible Managerial and Professional Society of Baltimore (MAPS) employees, both Civil Services and Non-Civil Service employees. All Performance Management (PM) reviews are confidential, unless they are required for production during grievances; appeals to the Civil Service Commission or Labor Commissioner; or for external litigation. III. DEFINITIONS Job Competencies – Competencies are a set of defined knowledge, skills, abilities, and other requirements that are needed for an employee to perform successfully. Performance Management Policy for Managerial and Professional Society of Baltimore Covered Employees Eligible Employee – All regular employees of the City of Baltimore in both Civil Service and Non Civil Service MAPS represented and non-represented covered classifications. Performance Objectives – Measurable and evidence-based outcomes that the employee is expected to achieve (e.g., SMART goals - Specific, Measurable, Attainable, Realistic, and Timed). Professional Development – Training that builds skills, expands knowledge, or enhances competencies. IV. RESPONSIBILITIES The PMP is a collaborative effort involving multiple stakeholders with specific responsibilities at critical stages of the process including, but not limited to, the following: A. Employee Responsibilities Employees must develop their own PM performance objectives and professional development plan, in collaboration with their managers. Employee also must complete a self-evaluation for use during the mid-year and year-end review. B. Manager Responsibilities Managers are required to approve final performance objectives based on the employee’s position description and Agency goals and in consultation with employees. Managers are required to meet periodically throughout the year to provide continuous feedback, along with the completion of mid-year and year-end reviews of their employees. C. Agency Human Resources (HR) Practitioner Responsibilities The Agency HR office is responsible for retaining a completed evaluation in the employee’s personnel file and must input all information into the City’s system of record. D. Agency Responsibilities Agencies are responsible for ensuring compliance with this policy. Agencies must keep the annual performance review and any supporting documentation as a permanent part of the employee’s official personnel record. V. PERFORMANCE MANAGEMENT PROGRAM MEASUREMENT PERIOD The PMP measurement period runs concurrent with the City’s fiscal year and must be completed timely to ensure an effective administration. Eligible employees must receive a formal evaluation and ratings from their managers in the PM review. This PM review must occur once every year according to the schedule attached as communicated by the Department of Human Resources (DHR) Office of Shared Services. VI. PERFORMANCE MANAGEMENT PROGRAM ELIGIBILITY Each eligible employee must receive performance objectives annually, except for employees who fall into one of the categories below: A. Newly Hired Employees: Newly hired employees must receive the manager’s performance objectives within 45 days of their initial date of service and receive a PM review at least 15 days before the end of the employee’s probationary period. After successfully completing the probationary period, the employee will receive new performance objectives for the performance management period. B. Material Change in Job Duties: An employee who is reclassified, promoted, demoted, or transferred during the performance management cycle must receive updated performance objectives within 45 days of a permanent material change in performance objectives. C. Recently Appointed Supervision: Whenever an employee changes supervisors, the employee’s former supervisor should evaluate the employee’s performance in relation to the employee’s goals. Each goal should be rated individually, and no overall rating is required. If the change in supervisors is the result of the employee’s former supervisor terminating employment with the City, the next level manager is responsible for evaluating the employee’s performance within 7 days. These ratings shall cover the period from the beginning of the year until the effective date of the change in supervisors. D. Reinstated employees: An employee reinstated to the same position, in the same agency, will use the previous performance objectives. An employee reinstated to a different position must create new goals and objectives utilizing their new position description. VII. PERFORMANCE PLANNING Annual performance guidance is set forth by using an employee’s position description, performance objectives, job competencies, and professional development goals for the specific performance management period. Performance objectives must be created by the employee in collaboration with their direct manager. Performance measures are documented on the City’s official PM forms. Employees may not initiate a grievance or appeal at any stage of the employee performance planning process. A. Administration Performance PM reviews for all employees are due according to the schedule that is communicated by DHR’s Office of Shared Services. Performance PM reviews must be signed by the employee, the direct manager, and by the next level manager. A copy should be sent to the Agency Human Resources office and retained in the employee’s official personnel file. B. Development and Training Training is an essential part of the performance management process. Managers are also required to ensure employees complete at least one professional development goal or training activity within the performance year. This may include courses offered in the Department of Human Resources Learning and Development Catalog. VIII. PERFORMANCE MONITORING Performance monitoring is an ongoing process that assists managers and employees in achieving performance objectives by identifying and addressing performance deficiencies when they occur. Performance monitoring consists of continuous coaching and counseling, a mid-year PM review and may include performance improvement plans. A. Performance Objectives An employee’s manager must work with the employee to identify the performance objectives against which the employee’s performance is evaluated every year. This must be done annually for current employees, as well as upon appointment to a new position, or the assignment of substantially different duties to an employee. These goals must be provided to the employee in writing. Performance Management Policy for Managerial and Professional Society of Baltimore Covered Employees B. Coaching and Counseling In addition to the mid-year and year-end reviews, managers must initiate coaching and counseling throughout the year as needed to assist employees with meeting performance objectives. C. Performance Management Program Ratings PM ratings are assigned using a DHR-approved scale (e.g., a 5-point scale). These ratings serve as the primary basis for determining employee PM review in the current position, promotability, employee development, employee improvement, and employee separation. IX. PERFORMANCE MANAGEMENT REVIEWS PM reviews must encompass the employee’s overall performance during the performance management period. PM reviews are not grievable, but may be appealed as set forth below. Appealing PM review An employee may appeal a final performance PM review rating, and the appeal may only be filed for the most recent performance PM review. Any appeal not filed timely will not be considered. The employee is limited to one appeal for any performance cycle, regardless of the number of issues involved. Employees should contact their agency Human Resources Practitioner to discuss concerns or to file an appeal. Appeal Procedure 1. An employee who disagrees with an annual PM review and cannot resolve the disagreement with the manager may take their written appeal to the Human Resources Practitioner of their agency. Such an appeal must be made within 10 days of the initial performance PM review. 2. Upon receiving the written appeal, the HR Practitioner must provide the appeal to the Agency Head. The Agency Head/Director (or executive-level designee) must provide the employee and the manager a written response within 10 days of the HR Practitioner’s receipt of the appeal. The written response shall indicate one of the following outcomes: Performance Management Policy for Managerial and Professional Society of Baltimore Covered Employees a. The Agency Head/Director agrees with the original performance PM review; b. The Agency Head/Director disagrees with parts of the performance PM review and instructs the managers/Supervisor to revise the original performance PM review; and c. The Agency Head/Director disagrees with entire performance PM review and instructs the managers/Supervisor to complete a new performance PM review. The decision by the Agency Head/Director or designee shall be final. X. PROHIBITED CONDUCT The City strictly prohibits retaliation or discrimination against an employee for conforming to the Performance Management and Development policy. Violation of this policy may result in disciplinary action, including termination of employment. All employees are required to promptly report concerns of retaliation under this policy to the agency human resources practitioner. XI. AUTHORITY The Department of Human Resources issues this policy pursuant to the authority provided in the City Charter, Articles VI and VII, and the approval of the City’s Board of Estimates. XII. INTERPRETATION The Department of Human Resources reserves the right to revise or eliminate this policy at any time, with the approval of the City’s Board of Estimates. RELATED POLICIES AM-200-05 Hiring, Transfers, and Promotions AM-204-32 Employee Recognition Program AM-231-01 Hiring and Transfers AM-235-01 Promotions PM-370 Performance Management Reviews INFORMAL AWARDS, RENEWALS, INCREASES TO CONTRACTS AND EXTENSIONS \| VENDOR \| AMOUNT OF AWARD \| AWARD BASIS \| \|----------------------\|-----------------\|------------------------------\| \| Bureau of Procurement \| \| \| \| 1. TIBURON, INC. \| $1,927,728.25 \| First Amendment to Agreement \| \| \| \| Contract No. 08000 – Computer Aided Dispatch (CAD) Master Support Agreement - BCIT, BCFD, BCPD - P.O. No. P540726 \| On August 9, 2017, the Board approved the original award in the amount of $2,577,540.86. The Board is requested to approve and authorize execution of the First Amendment to Agreement (First Amendment). The First Amendment will provide necessary CAD system upgrades to stabilize the frequent downtime, which jeopardizes public safety. The contract expires September 30, 2021, with one, one-year renewal option remaining. The above amount is the City’s estimated requirement. However, the Vendor will supply the City’s entire requirement, be it more or less. MBE/WBE PARTICIPATION: Not applicable. This meets the requirements for certification as a sole source procurement as the CAD system applications and technical support are only available from the Vendor, and are not available from subcontractors. (The First Amendment to Agreement has been approved by the Law Department as to form and legal sufficiency.) 2. C&W CONSTRUCTION COMPANY $120,000.00 Increase Contract No. B50004826 – Snow Removal Services for Police Districts – Department of General Services – P.O. No. P538145 On January 11, 2017, the Board approved the original award in the amount of $221,700.00. The increase in the amount of $120,000.00 is necessary to continue the snow removal services at various locations for the Police Districts during the next snow season, making the total award amount $479,700.00. The contract expires April 30, 2020 with one, one-year renewal option remaining. The above amount is the City’s estimated requirement; however, the vendor will supply the City’s entire requirement, be it more or less. MBE/WBE PARTICIPATION: On November 4, 2016, MWBOO approved a waiver of MBE and WBE goals. MWBOO GRANTED A WAIVER. 3. ATLANTIC TACTICAL, INC. $150,000.00 Renewal Contract No. B50003559 – Police Duty Gear – Police Department – P.O. No. P528036 On July 16, 2014, the Board approved the original award in the amount of $111,366.00. This is the final renewal option for the period of July 16, 2019 through July 15, 2021. The above amount is the City’s estimated requirement. However, the vendor will supply the City’s entire requirement, be it more or less. Bureau of Procurement - cont’d MBE/WBE PARTICIPATION: On May 27, 2014, MWBOO determined that no goals would be set because of no opportunity to segment the contract. This is a procurement of commodities only. MWBOO GRANTED A WAIVER. 4. AMERICAN TEST CENTER, INC. $10,000.00 Renewal Contract No. B50005047 – Ground Ladder Testing – Fire Department – P.O. No. P540160 On July 13, 2017, the City Purchasing Agent approved the original award in the amount of $10,850.00. Subsequent actions were approved. This renewal in the amount of $10,000.00 is the second of three, one-year renewals options for the period of July 20, 2019 through July 19, 2020. The above amount is the City’s estimated requirement; however, the vendor will supply the City’s entire requirement, be it more or less. MBE/WBE PARTICIPATION: Not applicable. Award is below the MBE/WBE subcontracting threshold of $50,000.00. 5. INQUIRIES, INC. $80,000.00 Renewal Contract No. B50004504 – Background Investigation Services – Department of Human Resources – P.O. No. P543300 On July 13, 2016, the Board approved the original award in the amount of $35,000.00 for the period of July 13, 2016 Bureau of Procurement - cont’d through July 12, 2017. Subsequent actions have been approved. This third renewal in the amount of $80,000.00 is for the period of July 13, 2019 through July 12, 2020 with two renewal option remaining. The above amount is the City’s estimated requirement; however, the Vendor will supply the City’s entire requirement, be it more or less. MBE/WBE PARTICIPATION: Not applicable. The initial award was below the MBE/WBE subcontracting threshold of $50,000.00. 6. ALL HANDS FIRE EQUIPMENT LLC $ 0.00 Renewal Contract No. B50003612 – Firefighter Hoods – Fire Department – P.O. No. P528046 On July 23, 2014, the Board approved the original award in the amount of $40,000.00. Subsequent actions were followed. This final renewal in the amount of $0.00 is for the period of July 23, 2019 through July 23, 2020. The above amount is the City’s estimated requirement; however, the Vendor will supply the City’s entire requirement, be it more or less. MBE/WBE PARTICIPATION: Not applicable. The initial award was below the MBE/WBE subcontracting threshold of $50,000.00. Additionally, there were no M/WBEs certified to provide these commodities. 7. AMERICAN DIVING SUPPLY, LLC $0.00 Extension Contract No. B50004599 - Maintenance & Inspection for Dive Rescue Equipment - Fire Department - P.O. No. 535863 On June 15, 2016, the City Procurement Agent approved the original award in the amount of $11,150.00. Subsequent options were approved. The contract expires on June 20, 2019, and an extension is necessary to provide maintenance for the diving equipment during the solicitation process. The period of the extension is June 21, 2019 through December 31, 2019. The above amount is the City’s estimated requirement; however, the Vendor will supply the City’s entire requirement, be it more or less. MBE/WBE PARTICIPATION: Not applicable. The initial award was below the MBE/WBE subcontracting threshold of $50,000.00. Additionally, there were no M/WBEs certified to provide these commodities. 8. DUNBAR ARMORED, INC. $60,000.00 Extension Contract No. B50003386 - Armored Transport Services - Department of Finance/BBMR- P.O. No. P528141 On July 23, 2014, the Board approved the original award in the amount of $41,255.59. Subsequent actions were approved. The contract expires on July 31, 2019. The period of the extension is August 01, 2019 through July 31, 2020 and in the amount of $60,000.00. An extension is necessary to allow time to prepare and advertise a new solicitation. The above amount is the City’s estimated requirement; however, the vendor will supply the City’s entire requirement, be it more or less. MBE/WBE PARTICIPATION: On April 17, 2014, it was determined that no goals would be set because there is no opportunity to segment the contract. MWBOO SET MBE AND WBE GOALS AT 0% ON APRIL 17, 2014. 9. THE DAVEY TREE EXPERT COMPANY $100,000.00 Renewal Contract No. B50004010 - Ash Borer Treatment - Department of Recreation and Parks - P.O. No. P531664 On June 17, 2015, the Board approved the original award in the amount of $150,000.00, with two renewal options. Subsequent actions have been approved. The period of this second and final renewal is June 16, 2019 through July 15, 2020. The above amount is the City’s estimated requirement; however, the Vendor will supply the City’s entire requirement, be it more or less. MBE/WBE PARTICIPATION: On April 2, 2015, MWBOO determined that no goals would be set because of no opportunity to segment the contract. MWBOO GRANTED A WAIVER ON APRIL 2, 2015. 10. S & S WORLDWIDE, INC. $30,000.00 Renewal Contract No. B50004661 - Arts and Craft Supplies for Recreation Centers - Department of Recreation and Parks - P.O. No.: P536102 On July 11, 2016, the City Purchasing Agent approved the initial award in the amount of $9,172.00 with four renewal options. On November 18, 2016 the City Purchasing Agent approved an increase in the amount of $4,586.00. On September 13, 2017, the Board approved the first renewal in the amount of $11,000.00. On June 6, 2018, the Board approved second renewal in the amount of $30,000.00. The third renewal in the amount of $30,000.00 is pending upon Board approval. This is the third of four renewal options. The above amount is the City’s estimated requirement; however, the Vendor will supply the City’s requirement, be it more or less. MBE/WBE PARTICIPATION: Not applicable. The initial award was below the MBE/WBE subcontracting threshold of $50,000.00 11. S & S WORLDWIDE, INC. $30,000.00 Renewal Contract No. B50004608 - Various Games for Recreation Centers - Department of Recreation and Parks - P.O. No.: P535873 On July 21, 2016, the City Purchasing agent approved the initial award in the amount of $17,435.21, with four renewal options. On October, 5, 2016 the City Purchasing agent approved an increase in the amount of $8,500.00. On June 7, 2017, the Board approved the first renewal in the amount of $30,000.00. On June 6, 2018, the Board approved the second renewal in the amount of $30,000.00. This third renewal in the amount of $30,000.00 is pending upon Board approval. The period of the renewal is July 8, 2019 through July 7, 2020. The above amount is the City’s estimated requirement; however, the Vendor will supply the City’s requirement, be it more or less. MBE/WBE PARTICIPATION: Not applicable. The initial award was below the MBE/WBE subcontracting threshold of $50,000.00 12. OLD TOWN HOTEL GROUP, LLC D/B/A HOLIDAY INN EXPRESS BALTIMORE DOWNTOWN Baltimore Hotel Investment, LLC D/B/A Sleep Inn & Suites Downtown Inner Harbor OHIB Hotel, LLC D/B/A Holiday Inn Baltimore Inner Harbor $75,000.00 Extension Contract No. 06000 – Lodging for Housing Renovations – Department of Housing and Community Development – P.O. Nos.: P535563, P535572, P535574 On May 18, 2016, the Board approved the initial award in the amount of $150,000.00. On March 29, 2017, the Board approved the first renewal in the amount of $150,000.00. On April 4, 2018, the Board approved the second renewal in the amount of $150,000.00. On January 16, 2019, the Board approved an assignment of $0.00. The contract expired on May 10, 2019. The extension is pending upon Board approval in the amount of $75,000.00. The above amount is the City’s estimated requirement; however, the Vendor/s will supply the City’s requirement, be it more or less. It is hereby certified that the above procurement is of such a nature that no advantage will result in seeking nor would it be practicable to obtain competitive bids. Therefore, pursuant to Article VI, Section 11(e)(i) of the City Charter, the procurement of the equipment and/or service is recommended. MBE/WBE PARTICIPATION: On July 8, 2015, it was determined that no goals would be set because of no opportunity to segment the contract. The services being provided consist solely of hotel accommodations. MWBOO GRANTED A WAIVER ON JULY 8, 2015. 13. LORENZ LAWN & LANDSCAPE, INC. D/B/A LORENZ INC. \| VENDOR \| AMOUNT OF AWARD \| AWARD BASIS \| \|-------------------------\|-----------------\|-------------\| \| LORENZ INC. \| $186,660.00 \| Renewal \| Contract No. B50004553 – Mowing, Maintenance & Landscaping for Cluster Six – Department of Recreation and Parks – P.O. No.: P535711 On June 1, 2016, the Board approved the initial award in the amount of $186,660.00, with four renewal options. On May 31, 2017, the Board approved the first renewal in the amount of $186,660.00. On June 6, 2018, the Board approved the second renewal in the amount of $186,660.00. The third renewal in the amount of $186,660.00 is for the period May 31, 2019 through May 30, 2020. The above amount is the City’s estimated requirement; however, the Vendor will supply the City’s requirement, be it more or less. MBE/WBE PARTICIPATION: On October 20, 2016, MWBOO set goals of 27% MBE and 9% WBE. Lorenz, Inc. was found compliant on May 29, 2019. \| Commitment \| Performed \| \|------------\|-----------\| \| MBE: \| \| \| 4Evergreen Lawn Care LLC \| 27% \| $49,536.00 \| (27.94%) \| \| WBE: \| \| \| Fouts Lawn Care Corp \| 10% \| $17,728.00 \| (10.00%) \| MWBOO FOUND VENDOR IN COMPLIANCE. 14. SANTOS CONSTRUCTION COMPANY, INC. $50,000.00 Renewal Contract No. B50004491 – Concrete Sidewalk and other Structural Repairs at Various Locations – Department of Recreation & Parks, etc. P.O. No.: P535391 On May 4, 2016, the City Purchasing agent approved the initial award in the amount of $539,000.00 with two one-year renewal options. This first renewal in the amount of $50,000.00 is for the period of May 4, 2019 through May 3, 2020. The above amount is the City’s estimated requirement; however, the Vendor will supply the City’s requirement, be it more or less. On January 11, 2016, MWBOO set goals of 27% MBE and 10% WBE. Santos Construction Company, Inc. was found compliant on May 29, 2019. \| Commitment \| Performed \| \|------------\|-----------\| \| MBE: Santos Construction Company, Inc. \| 13.5% $72,886.50 (21.59%) \| \| Machado Construction Company, Inc. \| 13.5% $43,752.50 (13.56%) \| \| WBE: S&L Trucking, LLC \| 10% $41,793.68 (12.95%) \| MWBOO FOUND VENDOR IN COMPLIANCE. 15. PITNEY BOWES, INC. $ 0.00 Renewal Contract No. 07000 - Mailing System for State’s Attorney’s Office – P.O. No.: P536955 On September 14, 2016, the City purchasing agent approved the initial award in the amount of $39,840.60 with four one-year renewal options. On August 9, 2017 the Board approved the first renewal in the amount of $39,840.60. On July 25, 2018, the Board approved the second renewal in the amount of $0.00. This third renewal in the amount of $0.00 is for the period May 4, 2019 through May 3, 2019. The above amount is the City’s estimated requirement; however, the Vendor will supply the City’s requirement, be it more or less. MBE/WBE PARTICIPATION: Not applicable. The initial award was below the MBE/WBE subcontracting threshold of $50,000.00. 16. SCHNEIDER LABORATORIES, INC. $50,000.00 Ratification and Renewal Contract No. B50003873 - Laboratory Services-Lead Testing - Baltimore City Health Department - P.O. No.: P531603 On May 27, 2015, the Board approved the initial award in the amount of $52,170.00 with two renewal options. On August 22, 2018, the Board approved the first renewal in the amount of $50,000.00. The ratification period is May 27, 2019 through June 19, 2019. This second and final renewal in the amount of $50,000.00 for the period June 20, 2019 through May 3, 2020. The above amount is the City’s estimated requirement; however, the vendor will supply the City’s requirement, be it more or less. MBE/WBE PARTICIPATION: On March 10, 2015, MWBOO determined that no goals would be set because of no opportunity to segment the contract. MWBOO GRANTED A WAIVER ON MARCH 10, 2015. 17. HEALTHNET AEROMEDICAL SERVICES, INC. $100,000.00 Ratification and Renewal Contract No. 06000 - Air Transportation Services - Baltimore City Health Department P.O. No.: P542658 The Emergency Medical Air Transportation services for critical care patients are provided by the Maryland Department of Health (MDH) through the Transportation Grants Program. The MDH protocol states, “All air ambulance transport costs for Maryland Medicaid recipients will be paid by the Baltimore City Health Department, through the Transportation Grants Program.” Service Provider may submit Bureau of Procurement - cont’d invoices as late as two years after services have been rendered prior to the review and verification process which takes approximately one year. The requested amount is required for payment of outstanding invoices and new invoices from the ratification period of February 01, 2019 through June 19, 2019, and the renewal period of June 20, 2019 through January 31, 2021, respectively. This is the final renewal option. The State of Maryland must license all air ambulance service companies. The company named above is licensed by the State of Maryland. The MDH protocol further states, “This unit (City Health Department), will screen all calls as to eligibility and medical necessity, and the appropriate transportation will be arranged when approved.” It is hereby certified that the above procurement is of such nature than no advantage will result in seeking, nor would it be practicable to obtain competitive bids. Therefore, pursuant to Article VI, Section II (e)(i) of the City Charter, the procurement of good, equipment and/or services is recommended. The above amount is the City’s estimated requirement; however, the Vendor will supply the City’s requirement, be it more or less. The initial award in the amount of goods, equipment, and/or services is recommended. 18. CHESAPEAKE FIRE & RESCUE EQUIPMENT, INC. $ 0.00 Renewal Contract No. 08000 – Maintenance & Repair of Holmatro Tools – Fire Department – P.O. No.: P540278 On July 19, 2017, the Board approved the initial award in the amount of $118,500.00. The first renewal in the amount of $0.00 was approved by the Board on August 15, 2018. This second renewal in the amount of $0.00 is for the period July 24, 2019 through July 23, 2020 with two, one 1-year renewal options remaining. The above amount is the City’s estimated requirement. MBE/WBE PARTICIPATION: On May 26, 2017, it was determined that no goals would be set because of no opportunity to segment the contract. MWBOO GRANTED A WAIVER. \| VENDOR \| AMOUNT OF AWARD \| AWARD BASIS \| \|--------\|-----------------\|-------------\| \| SERVIT, INC. \| $40,178.00 \| Renewal \| Contract No. 08000 – IBM Managed Offsite High Availability & Disaster Recovery Services – Circuit Court of Baltimore City – P.O. No.: P546632 On July 23, 2019, the Board approved the initial award in the amount of $40,178.00. This first renewal in the amount of $40,178.00 is for the period July 1, 2019 through June 30, 2020 with one, one 1-year renewal option remaining. The above amount is the City’s estimated requirement. MBE/WBE PARTICIPATION: Not applicable. The initial award was below the MBE/WBE subcontracting threshold of $50,000.00. \| VENDOR \| AMOUNT OF AWARD \| AWARD BASIS \| \|--------\|-----------------\|-------------\| \| CENTER FOR EMERGENCY MEDICINE OF WESTERN PENNSYLVANIA, INC. D/B/A STAT MEDEVAC \| $2,000,000.00 \| Ratification and Renewal \| Contract No. 06000 – Non-Emergent Air Transportation Services – Baltimore City Health Department – P.O. No.: P531118 On May 6, 2015, the Board approved the initial award in the amount of $1,238,405.00. On April 13, 2016, the Board approved the first renewal in the amount of $1,200,000.00. On March 22, 2017, the Board approved the 2nd renewal in the amount of $1,200,000.00. On March 14, 2018, the Board approved the 3rd renewal in the amount of $1,200,000.00. Non-Emergent Medical Air Transportation Services for critical care patients are provided by the Maryland Department of Health (MDH) through the Transportation Grants Program. MDH protocol states, “All Air Ambulance transport cost for Maryland Medical Recipients will be paid by the Baltimore City Health Department” through the Transportation Grants Program. MDH protocol further states, “The unit [City Health Department] will screen all calls as to eligibility and medical necessity, and the appropriate transportation will be arranged when approved. The ratification period is May 5, 2019 through June 19, 2019. This fourth renewal in the amount of $2,000,000.00 is for the period June 20, 2019 through May 4, 2020, with no renewal options remaining. MBE/WBE PARTICIPATION: On February 4, 2015, it was determined that no goals would be set because of no opportunity to segment the contract. MWBOO GRANTED A WAIVER ON FEBRUARY 4, 2015. 21. AIR AMBULANCE SPECIALIST, INC. $195,360.00 Renewal Contract No. 06000 - Non-Emergent Medical Air Transportation Services - Baltimore City Health Department - P.O. No.: P535702 On June 1, 2016, the Board approved the initial award in the amount of $195,360.00. On June 14, 2017, the Board approved the first renewal in the amount of $195,360.00. On March 28, 2018, the Board approved the second renewal in the amount of $195,360.00. This third renewal in the amount of $195,360.00 is for the period June 1, 2019 through May 30, 2020, with no renewal options remaining. Non-Emergent Medical Air Transportation Services for critical care patients are provided by the Maryland Department of Health (MDH) through the Transportation Grants Program. The MDH protocol states, “All Air Ambulance transport cost for Maryland Medical Recipients will be paid by the Baltimore City Health Department” through the Transportation Grants Program. The State of Maryland must license all air ambulance services companies. The company named above is licensed by the State of Maryland. The MDH protocol further states, “The unit [City Health Department] will screen all calls as to eligibility and medical necessity and the appropriate transportation will be arranged when approved.” It is hereby certified that the above procurement is of such a nature that no advantage will result in seeking nor would it be practicable to obtain competitive bids. Therefore, pursuant to Article VI, Section 11(e)(i) of the City Charter, the procurement of the equipment and/or service is recommended. MBE/WBE PARTICIPATION: On June 6, 2017, it was determined that no goals would be set because of no opportunity to segment the contract. MWBOO GRANTED A WAIVER ON JUNE 6, 2017. 22. PATUXENT MATERIALS, INC. \| Amount of Award \| Award Basis \| \|-----------------\|-------------\| \| $50,000.00 \| Increase \| \| $100,000.00 \| Renewal \| Contract No. B50004682 - Furnish and Deliver Various Soil and Sand Products - Department of Public Works - P.O. No.: P536976 On September 21, 2016, the Board approved the initial award in the amount of $206,679.00. On September 20, 2017, the Board approved the first renewal in the amount of $100,000.00. On October 17, 2018, the Board approved the second renewal in the amount of $100,000.00. On May 8, 2019, the City Purchasing Agent approved an increase in the amount of $50,000.00. This increase and renewal is for the amount of $150,000.00. The period of the renewal is September 21, 2019 through September 20, 2020, with one, one-year renewal option remaining. MBE/WBE PARTICIPATION: On July 6, 2016, it was determined that no goals would be set because of no opportunity to segment the contract. MWBOO GRANTED A WAIVER ON JULY 6, 2016. 23. INTEGRIFY, INC. \| Amount of Award \| Award Basis \| \|-----------------\|-------------\| \| $147,000.00 \| Selected Source \| Contract No. 08000 - Workflow Management System - Department of General Services - Req. No. R825052 The Board is requested to approve and authorize execution of an Agreement with Integrify, Inc. The period of the agreement is effective upon Board approval for three years. The Vendor is the current proprietor and distributor of the required Integrify software and workflows currently in use by the Department of General Services. The above amount is the City’s estimated requirement. It is hereby certified that the above procurement is of such a nature that no advantage will result in seeking nor would it be practicable to obtain competitive bids. Therefore, pursuant to Article VI, Section 11(e)(i) of the City Charter, the procurement of the equipment and/or service is recommended. MBE/WBE PARTICIPATION: Not applicable. This meets the requirement for certification as a sole source procurement as this software is only available from software is only available from the software manufacturer, and unavailable from MBE/WBE contractors. The Agreement has been approved by the Law Department as to form and legal sufficiency.) 24. J. FISCHER, INC. $744,137.21 Ratification and Extension Contract No. B50003241 – Maintenance & Repair Services for H.V.A.C.R. (Heating, Ventilation, Air Conditioning and Refrigeration) Systems – Department of General Services – P.O. No. P526022 On January 8, 2014, the Board approved the initial award in the amount of $6,000,000.00. On January 14, 2015, the Board approved the first renewal in the amount of $2,000,000.00. On December 21, 2016, the Board approved the second renewal in the amount of $4,000,000.00. The contract expired on January 24, 2019. The ratification is requested for the period January 25, 2019 through April 17, 2019 to allow for payments to be made to J.F Fischer for repairs that occurred after the expiration of the contract, but prior to the award of the new HVACR Contract No. B50005617, awarded by the Board on April 17, 2019. It is hereby certified that the above procurement is of such a nature that no advantage will result in seeking nor would it be practicable to obtain competitive bids. Therefore, pursuant to Article VI, Section 11(e)(i) of the City Charter, the procurement of the equipment and/or service is recommended. MBE/WBE PARTICIPATION: On November 4, 2016, MWBOO set goals of 27% MBE and 0% WBE. \| Commitment \| Performed \| \|------------\|-----------\| \| MBE: Horton Mechanical Contractors, Inc. \| 27% $1,211,702.31 (31.4%) \| \| WBE: N/A \| MWBOO FOUND VENDOR IN COMPLIANCE. The Board is requested to approve award of the formally advertised contracts listed on the following page: 91 to the low bidder meeting specifications, or reject bids on those as indicated for the reasons stated. RECOMMENDATIONS FOR CONTRACT AWARDS/REJECTIONS Bureau of Procurement 1. B50005655, Book Binding Services for Enoch Pratt Free Library Wert Bookbinding Inc. $81,952.50 (Enoch Pratt Free Library) MBE/WBE PARTICIPATION: On January 3, 2019 it was determined that no goals would be set because of no opportunity to segment. MWBOO GRANTED A WAIVER. 2. B50005690, Wheel Loaders Jesco, Inc. $1,132,285.00 (Department of General Services, Fleet Management) MBE/WBE PARTICIPATION: On April 12, 2018, MWBOO determined no goals would be set because of no opportunity to segment the contract. This is for purchase of commodities from an authorized heavy equipment dealer who is required to provide associated pre-delivery inspection and warranty repairs. MWBOO GRANTED A WAIVER. TRAVEL REQUESTS \| Name \| To Attend \| Fund Source \| Amount \| \|-----------------------\|------------------------------------------------\|-------------------\|------------\| \| Baltimore Police Department \| Forensic Interviewing of Children Training \| VOCA Funds \| $5,228.46 \| 1. Lauren Benjamin Terry Schurman Huntsville, AL Jul. 21 – 26, 2019 (Reg. Fee. $1,334.00)ea. The subsistence rate for this location is $149.00 per day for each attendee. The hotel cost is $94.00 per night, plus hotel taxes in the amount of $14.10 per night, and an occupancy tax of $2.00 per night for each attendee. The airfare in the amount of $394.73 for each attendee and the registration fee in the amount of $1,334.00 for each attendee were prepaid on a City-issued credit card assigned to Mr. Tribhuvan Thacker. Therefore, each attendee will be disbursed $855.50. Pursuant to AM 240-3, the Board of Estimates must take action on a Travel Request if the City representative's absence will exceed five work days or involves one or both weekend days. The source or type of funds used to pay for the travel has no bearing upon the requirement of approval. Department of Transportation 2. Njukang Asong Society for Human Resource Management Annual Conference & Exposition Las Vegas, NV June 23 – 26, 2019 (Reg. Fee $1,869.00) The registration cost of $1,869.00 was prepaid using a City-issued credit card assigned to Dhirendra Sinha. Therefore, the disbursement to Mr. Asong is $1,282.72. State’s Attorney’s Office for Baltimore City (SAO) 3. Maryam Zhuravitsky Forensic Evidence Training Phoenix, AZ Dec. 10 – 14, 2017 (Reg. Fee $625.00) Ms. Zhuravitsky traveled to Phoenix, Arizona on December 10 – 14, 2017 for Forensic Evidence Training. The subsistence rate for this location was $183.00 per day. The hotel rate was $124.00 per night plus hotel taxes of $15.58 per night. The airfare in the amount of $425.96, hotel costs in the amount of $496.00, and the hotel taxes in the amount of $62.35 were prepaid on a City-issued credit card assigned to Ms. Robin Haskins. The registration fee in the amount of $625.00 was prepaid on a City-issued credit card assigned to Ms. Timi Roberts. Ms. Zhuravitsky personally incurred the costs of meals and incidentals. Therefore, Ms. Zhuravitsky will be reimbursed $145.71. REIMBURSEMENT: $145.71 – Meals The retroactive travel approval and reimbursement is late because of delays in the administrative process. APPROVED FOR FUNDS BY FINANCE AUDITS REVIEWED AND HAD NO OBJECTION. The Board is requested to approve and authorize execution of the Non-retiree Employment Agreement with Ms. Sylvia Bikos. The period of the agreement is effective upon Board approval through October 15, 2019. AMOUNT OF MONEY AND SOURCE: $15,000.00 - 1001-000000-1602-172500-601009 Hourly rate - $25.00 BACKGROUND/EXPLANATION: Ms. Bikos will work as an Employee Assistance Counselor in a temporary capacity under the supervision of the Chief Employee Assistance Program, Ms. Margo Bruner Settles. Her duties will include but are not limited to: providing initial intake assessment(s) in order to provide appropriate interventions, resources referrals and/or connect client(s) to treatment; providing direct 1:1 Short term counseling and support to client(s) case management and maintenance of client record(s) to include: case note input; confidentiality rights and privileges; statements of understanding; contracts; release of information documents(s); and a variety of assessments related to mental health and/or substance abuse. APPROVED FOR FUNDS BY FINANCE The ECC approved this Employment Agreement. (The Non-retiree Employment Agreement has been approved by the Law Department as to form and legal sufficiency.) The Board is requested to approve and authorize execution of the Provider Agreement with St. Vincent de Paul of Baltimore, Inc. The period of the Provider Agreement is July 1, 2019 through June 30, 2020. AMOUNT OF MONEY AND SOURCE: $2,480,500.41 - 1000-000000-5940-781900-603051 BACKGROUND/EXPLANATION: St. Vincent de Paul of Baltimore, Inc. will use funds under this Agreement to provide/operate an emergency shelter and support services to 124 homeless men. The Provider will also provide supportive services to include: management of day-to-day operations at the site (including basic maintenance), food services, case management, shelter monitoring services, janitorial services, linkage and connection to other community supports, data collection and entry, and complaint response/monitoring. The current operator of the shelter provided notice that it will no longer operate the shelter effective June 30, 2019. Pursuant to Article VI, Section 11(e)(i) of the Baltimore City Charter it is hereby certified that these services are of such a nature that it is not practicable to obtain competitive bids, and the need for these services is an emergency of such a nature that the public welfare would be adversely affected by awaiting the competitive bidding process. THE DIRECTOR OF FINANCE APPROVED THE EMERGENCY PROCUREMENT OF THESE SERVICES. MWBOO GRANTED A WAIVER. APPROVED FOR FUNDS BY FINANCE AUDITS REVIEWED AND HAD NO OBJECTION. (The Provider Agreement has been approved by the Law Department as to form and legal sufficiency.) 12:00 NOON ANNOUNCEMENT OF BIDS RECEIVED AND OPENING OF BIDS, AS SCHEDULED
Functional changes in early child language: the appearance of references to the past and of explanations* EDY VENEZIANO Université de Genève and Université de Nancy II AND HERMINA SINCLAIR Université de Genève (Received: 20 January 1993. Revised: 12 June 1994) ABSTRACT Spontaneous speech samples from children during the period of transition from one word to multi-word utterances in interaction with their French-speaking mothers were explored in order to study the appearance and development of functional changes in their use of language. Two types of such change were noted in the longitudinal records of four children when they were still essentially one-word speakers: the beginnings of references to the past, and the appearance of explanations and justifications, especially in communicative situations of request and refusal. The co-appearance of these behaviours is discussed in relation to two more general developmental changes: a detachment from the immediately perceptible situation linked to a further elaboration of the signifier–signified relation, and a socio-cognitive development leading to a view of the interlocutor as an alter ego, as a person whose psychological states may be different from the child’s own. INTRODUCTION An essential characteristic of the use competent speakers make of their language, as many authors have underlined, is that speech can refer to absent [] The research reported in this paper was supported in part by the Fonds national suisse de la recherche scientifique (grants no. 11-30927.91 and no. 11-37304.93 to E. Veneziano and H. Sinclair). Address for correspondence: Edy Veneziano, F.P.S.E., Université de Genève – 11, Route de Drize, 1227 Carouge, Switzerland. objects and persons, to past or future events as well as to aspects of the actual communicative situation that are not directly perceptible to the interlocutor. This characteristic was called ‘displaced speech’ by Bloomfield (1935: 141; see also Hockett, 1958). As shown in many observations of early child language, children’s utterances are at first essentially linked to the here and now (e.g. Brown & Bellugi, 1964; Bloom, 1970: 9–10). In a way, the relation between signifier and signified may be considered to follow the direction from signified to signifier: the elements of the situation present elicit their verbalization. Mature speakers, by contrast, use the relation mainly in the other direction, i.e. from signifier to signified: their utterances evoke and interpret entities and events that are not accessible to present observation, and contain grammatical and lexical elements to signal past and future, hypotheses, conclusions, etc. Talking about entities and events removed from the time and place of enunciation or talking about present objects, persons or events underscoring their non-perceptible properties is linked to providing information in the broad sense of making the interlocutor ‘aware of something of which he was not previously aware’ (Lyons, 1977: 33). When do children start to show changes towards the displaced, informative uses of language? To answer this question we will concentrate in this paper on the appearance and early development of displaced uses of language such as references to past events and early story telling, as well as explanatory acts. References to the past are clear instances of displaced speech and have often been studied as such. Explanations and justifications, though not usually studied in this perspective, are also examples of displaced speech in our opinion. When explaining or justifying, speakers clarify for their interlocutor the kinds of links they have constructed in their mind between events, actions and/or utterances, links that are not directly accessible to another person even if s/he is present in the situation at the same time as the speaker; moreover, one of the terms of the relation is usually not co-present with the other and is thus temporally displaced relative to the enunciation. Piaget, in his study of older children’s explanations, remarks that explanations and justifications imply a distinction between ‘the real as it appears immediately to the senses, and something which precedes events and underlies all phenomena’ (Piaget, 1923/1959: 232). From a socio-cognitive point of view (Barbieri, Colavita & Scheuer, 1990), justifications and explanations have yet another important aspect that characterizes them as displaced speech: an explanation does not merely imply that the speaker can make causal links between one event and another; an explanation is viewed as a two-step communicative act in which the first step is to consider that an action or an utterance might constitute a problem for one’s interlocutor (that is, might constitute an EXPLANANDUM) and the second consists in providing supplementary information by going back towards the cause, reason or motive. that precedes it temporally or logically (providing the explanans). Even if the explanation concerns a present or ongoing event, the speaker mentally needs to effect a displacement relative to that event in order to provide the cause or reason that temporally and/or logically precedes it. According to this approach, explananda can be implicit in the situation (Barbieri et al.* 1990: 248) making the explanans and thus explanatory acts possible occurrences even in the very early period of language development. References to the past by children in the very early period of language acquisition are sometimes found in the literature. Lewis (1936) reports one-word examples of references to the past produced in a dialogic context, e.g. dada uttered as a reply to the question ‘Who gave you that box?’ Cohen (1952/1969) notes that ‘isolated’ words may be used to refer to the past and provides examples such as the child saying maman, meaning that mummy had given her the object she held in her hands (1969: 244). Greenfield & Smith (1976: 172) provide an example of Matthew who at 1;3.10 says down when his mother enters the room to report that he came down from somewhere. Conversation and shared experience are often necessary for understanding these early references to the past and for getting the child to elaborate on them. Snow (1978) reports a child aged 1;6 saying bandaid several times without her understanding what exactly the child meant. The mother, who shared the experience with the child, was able to make the child elaborate her intended meaning by asking the appropriate questions ‘Who gave you the bandaid?’ to which the child replied nurse and ‘Where did she put it?’ to which the child replied arm. Other such examples can be found in Bloom (1970, e.g. p. 57) and in Scollon (1979: 220). There are few, however, documented studies addressing specifically the question of the beginnings of the capacity to talk about the past since most studies of narratives and references to the past concern children above three years (e.g. Peterson & McCabe, 1983; Nelson, 1986). A central study is Sachs’s analysis (1983) of the emergence of displaced references in her daughter’s utterances. Sachs kept diary notes from the time her daughter was 11 months old and made tape recordings of parent–child interactions between the ages of 1;5 and 3;0. The first references to the past, produced between 1;5 and 2;1, concerned events that had just occurred; all the examples reported were multi-word utterances and frequently contained -ed verbal endings for the past (I threwed it). References to events occurring in a more distant time started to appear at 2;2 and were expressed in multi-word utterances containing verbal morphology and lexical items marking temporal relationships. Miller & Sperry (1988) studied the production of narratives in five children between the ages of 1;7 and 2;8. At the beginning of the study all the children were already producing two-word utterances and the first reported example of past reference, produced at 1;7, consisted of a four-word utterance (me big fall down). Other studies (e.g. Eisenberg, 1985; Lucariello & Nelson, 1987; Peterson, 1990) of young children’s references to the past also concern children who produced multi-word utterances from the very beginning of the study and looked only for references to events that had taken place at a somewhat distant past (prior to the observational session). These studies suggest that references to earlier past just emerge in the first half of the third year, with children making at first few contributions to mostly adult-initiated past talk. Studies of children’s expression of causality and explanations mostly concern an even later developmental period as they bear on children well beyond the early two-word period. Studies of children between two and three-and-a-half years mainly concerned the appearance and use of various connectives and showed, for example, that the connective because appears between 2;6 and 3;0, later than the more general connective and (Limber, 1973; Clancy, Jacobsen & Silva, 1976; Bloom, Lahey, Hood, Lifter & Fiess, 1980). Other studies (e.g. Hood & Bloom, 1979; Bloom & Capatides, 1987) focused on children’s expressions of causal relations independently of their linguistic form and showed that children in their third year can indeed express these relations before they have the specific linguistic means to do so. However, all the subjects in Hood & Bloom’s study were already far advanced in combinatorial speech, for at the beginning of the study their least advanced subject (Peter at 2;1) had an MLU of 2.0. Dunn (1988) reported that very young children may provide justifications and excuses in situations of a conflict with their mother or with their siblings. She reported that some justifications were produced by the age of 1;6 but no examples were provided nor was any information given concerning the level of language development of these children. Most of the examples were produced by children in their third year who were already well advanced in combinatorial speech. In this paper, the appearance and development of references to the past and of explanatory acts are analysed at an early period of language development – from the time children start producing a few one-word utterances to when the use of several multi-word utterances becomes frequent – and are analysed in the same children in order to get a better understanding of single- and successive single-word speakers’ ability to make displaced, informative-type references, despite their limited means of expression. Furthermore, the pattern of appearance of two such functional changes – early references to the past and early justifications – may provide an interesting source of evidence concerning the child’s gradual apprehension of other persons as being in need of information. In other words, the child’s increasing use of language for talking about objects, persons and events not in the immediate situation or about non-perceptible, past or future aspects of a present situation might constitute indirect evidence of children’s changing attitudes towards their interlocutors: children may start to apprehend their interlocutor as not having their mind on what they themselves are thinking or paying attention to, and language may thus gradually become a means of sharing states of mind. METHOD Subjects The data reported here concern four normally developing children, growing up in a French-speaking environment. The families were middle-class and all lived in Geneva, Switzerland; they were contacted either through friends or in the Genevan public parks. Three of the children are girls (Camille, Chantal and Amandine) and one is a boy (Gael) and they were all followed from the time they started to produce a few (no more than 10) conventional words until they produced several two-word utterances. Camille was followed between the ages of 1;3.2 and 1;10.12; Chantal, between the ages of 1;4.12 and 1;7.19; Amandine, between the ages of 1;5.14 and 1;11.22; and Gael, between the ages of 1;4.3 and 2;3.4. Both Camille and Chantal have one older sibling, while Amandine and Gael are single children. Data collection and transcription The families were visited in their homes approximately every two weeks by the same two observers. Audio and video recordings lasting about an hour were made of the children during spontaneous interaction with one family member (usually the mother), in a variety of naturally occurring situations. Sometimes, particularly during the second half hour of the session, one of the observers also took part in the interaction. All sessions included free play and book-reading situations, and in most sessions the children also engaged in spontaneous pretend play. Often, eating situations were also part of the recordings. The analyses reported here concern a total of 50 hours of interaction. Transcriptions of the children’s speech and of other persons interacting with them were made primarily from the videotapes, complemented, when necessary, by the audiorecordings. Transcription of children’s speech remained close to actual pronunciation (transcribed mainly in IPA); adult speech was transcribed in conventional French orthography. Transcripts include detailed information about non-verbal activities that contribute to understanding what was said. All transcriptions were first made by one of the observers and checked at least once by a second person. Many tapes were then viewed again; disagreements were generally resolved during this phase through joint repeated listening/viewing. The analyses References to the past. First we identified children’s utterances that referred or might refer to past events. Adults’ utterances discussing past events which were not followed or preceded by a child’s utterance on that topic were not analysed in this study. Interpretation of the children’s utterances was based on contextual as well as on discursive information preceding and following the utterance, and took into account the various utterances that the children produced to talk about a particular past event. (i) Initiation of the theme. Children’s references to the past were first classified according to whether it was the adult or the child who INITIATED THE THEME of the past reference and the classification thus distinguished child-initiated (see example 1 below) from adult-initiated themes (see example 2 below): (1) Camille at 1;9.3 (Camille has fallen from her rocking horse; she goes to her mother who helps her to sit on her knee) Child bé Mother t'es tombée? ‘you fell down?’ Child pōpō obbé (pointing behind in the direction of the rocking horse) Mother ah oui t'es tombée de Ponpon ‘oh yes you fell from Ponpon’ (the name of the horse) (2) Chantal at 1;5.10 (Chantal wants to continue playing at ‘hide and seek’; her mother tries to interest her in something else) Mother qu'est ce qu'on est allé chercher hier avec Mélanie? ‘what did we go to look for yesterday with Mélanie?’ Child ekaye Mother des cailloux et puis quoi? ‘pebbles and what else?’ Child efei Mother des feuilles. Elles étaient belles les feuilles hier hein? ‘leaves. They were nice the leaves yesterday weren’t they?’ Child we! ‘yeah!’ (ii) Contributions to the theme. There is, however, more to referring to past events than initiating talking about them. An event usually comprises several elements or aspects at different moments and involves different objects or persons (see also Eisenberg, 1985: 180). When the adult initiated the theme, the children would react in different ways: they ignored the proposal either by not replying at all or by talking about something else; they replied with an imitative uptake of a lexical element contained in the adult’s turn; or they contributed to the proposed theme by evoking an aspect of the event that was not explicitly referred to by the adult. We thus distinguished in the children’s production three main categories of references to aspects of past events independently of who initiated the theme: (a) Uptakes from the adult (UPTAKES in tables and figures): the child’s references occur only after s/he heard them in the adult’s utterances: (3) Chantal at 1;5.10 (Chantal’s mother is talking about activities in nursery school the day before) Mother il y avait des marionnettes à la crèche hein? ‘there were puppets at the nursery, yes? ’ Child demayonet ‘puppets’ (b) New contributions by the child where it is unclear whether the past or the present is referred to (UNCLEAR CONTRIBUTIONS). The aspects mentioned by the child were not referred to previously but it is the adult’s interpretation that situates them in the past: the child may have uttered them to refer to present objects or events: (4) Camille at 1;5.23 Child dadé (holding a doll-clown in her hand) marché/marcher ‘walked/to walk’ Mother le clown a marché avant? ‘the clown walked earlier on?’ Child dadé (making the doll-clown stand up on the floor) Mother ou on le fait marcher comme avant? ‘or we make him walk as before?’ (c) New contributions by the child where the reference to the past is clear (CLEAR CONTRIBUTIONS): the aspects referred to are contributed to the conversation by the child and cannot be interpreted as referring to present objects or events. They can be elicited by specific adult’s questions, follow the adult’s directive to tell (raconte qu’est-ce qu’il a fait le docteur ‘tell (us) what the doctor did’) or contribute a new aspect in an unsolicited way, as in the following example: (5) Chantal at 1;6.21 (With reference to a picture in the book, Chantal’s mother talks about Father Christmas and recounts how Chantal’s sister recited a poem. Spontaneously, Chantal adds) Child avo (clapping her hands) ‘bravo’ Mother bravo oui, tout le monde a dit bravo ‘bravo yes, everybody said bravo’ (iii) Temporal distance. As was done in other studies (e.g. Sachs, 1983; Miller & Sperry, 1988; Ely & McCabe, 1993), we distinguished references to the ‘immediate’ past, i.e. to events having occurred during the same observational session, from references to an ‘earlier’ past, i.e. to events having occurred before the observational session. The following are two examples of child-initiated talk about the past containing new and clear contributions of the child: example 6 concerns the immediate past and example 7 the earlier past: (6) Camille at 1;5.23 Child bé bé (looking and pointing at the base of a mechanical frog she holds in her hand) ‘tomber/tombé’ ‘fall/fallen’ Adult c’est tombé ‘it fell’ Child bé (looking at the adult and pointing at the same time to the spot on the floor where the frog had fallen earlier on) ‘tomber/tombé’ ‘fall/fallen’ Adult c’est tombé par terre? (the child looks at the adult and smiles) ‘it fell on the floor?’ (7) Gael at 1;11.1 (Gael is putting plastic chips into a toy-truck. He stops and looks at his mother) Child bubel ‘poubelle’ ‘rubbish’ Mother quoi poubelle? ‘what about the rubbish’ Child pati ‘gone’ Mother ah oui parce qu’on a vu un camion poubelle ce matin. Il est venue et il est reparti. ‘ah yes because we saw a rubbish van this morning. It came and drove off again.’ Some of the references to the past do not fall into these two categories. The temporal distance of the event from the present is indeterminate as they are mini-stories about book characters: (8) Chantal at 1;6.21 (Chantal, sitting on the floor, plays with little dolls and toy prams) Mother où est la poupée? ‘where is the doll?’ Child epum (looking at her mother) Mother elle est tombée? ‘she fell?’ Child (shakes head negatively and adds) adam ‘(the) lady’ Mother la dame? ‘the lady?’ Child pum Mother la dame elle est tombée oui la dame du livre ‘the lady fell yes the lady in the book’ Child ay! Mother aïe ça fait mal ‘ouch it hurts’ Explanations/justifications. Utterances classified as such had to fulfil at least three criteria. Firstly, the two parts of an explanation – the explanandum, that which needs to be explained and the explanans, that which explains – should be expressed in some way. The explanans should be expressed verbally while the explanandum may be marked in a nonverbal way (by actions and/or gestures). Secondly, the verbalization should be addressed and there should not be reasons to believe that it could refer to ongoing actions or events. Thirdly, the event should be considered as an explanandum – something the child might consider to be a problem for himself and/or for his interlocutor. The following example fulfils these criteria. At 1;8.12 Camille, after having tried without success to open a sliding match box, handed it to her mother and said, while looking at her, /oppa/ roughly for peux pas ‘can’t’. In this example, the explanans – the child’s incapacity to open the matchbox – is verbalized while the explanandum – the request itself – is marked by the child’s action of handing the matchbox to the mother and by looking at her; the utterance identified as the explanans is produced while the child handed the object over and not during the child’s unsuccessful trials to open the matchbox; the act of requesting is likely to be considered by the child as an explanandum since her mother often encouraged the child to do things herself. TABLE 1. Themes of past reference to which the children contributed according to temporal distance and proportion that are child-initiated, by dyad \| \| Camille 1;3–1;10.15 \| Chantal 1;4–15–1;8 \| Amandine 1;5–2;0 \| Gael 1;4–2;3 \| Total \| \|--------------------------\|---------------------\|--------------------\|------------------\|-------------\|-------\| \| \| % that are child-initiated \| No. of themes \| % that are child-initiated \| No. of themes \| % that are child-initiated \| No. of themes \| % that are child-initiated \| \| References to earlier past \| 15 \| 20 \| 9 \| 11 \| 3 \| 33 \| 9 \| 33 \| 36 \| 22 \| \| Mini-stories \| 0 \| — \| 4 \| 100 \| 5 \| 20 \| 1 \| 0 \| 10 \| 50 \| \| References to immediate past \| 13 \| 77 \| 6 \| 100 \| 7 \| 57 \| 3 \| 67 \| 29 \| 76 \| \| Total \| 28 \| 46 \| 19 \| 58 \| 15 \| 40 \| 13 \| 38 \| 75 \| 47 \| TABLE 2. Children’s contributions to themes of past reference according to the type of child’s contribution and the proportion occurring in child-initiated themes, by dyad \| \| Camille 1;3–1;10.15 \| Chantal 1;4–15–1;8 \| Amandine 1;5–2;0 \| Gael 1;4–2;3 \| Total \| \|--------------------------\|---------------------\|--------------------\|------------------\|-------------\|-------\| \| \| % occurring in child-initiated \| No. of contributions \| % occurring in child-initiated \| No. of contributions \| % occurring in child-initiated \| No. of contributions \| % occurring in child-initiated \| No. of contributions \| % occurring in child-initiated \| No. of contributions \| % occurring in child-initiated \| \| Category (a) \| 18 \| 83 \| 10 \| 0 \| 12 \| 0 \| 4 \| 0 \| 44 \| 0 \| \| Category (b) \| 6 \| 52 \| 1 \| 100 \| 1 \| 100 \| 1 \| 100 \| 9 \| 89 \| \| Category (c) \| 21 \| 36 \| 17 \| 71 \| 15 \| 33 \| 13 \| 38 \| 66 \| 50 \| \| Total \| 45 \| 171 \| 28 \| 46 \| 28 \| 21 \| 18 \| 33 \| 119 \| 34 \| Cat. (a), uptakes from the adult; Cat. (b), new contributions by the child: unclear; Cat. (c), new contributions by the child: clear. RESULTS References to the past References to past events were found for all four children well before the age of two, expressed by single-word, successive single-word, and early two-word utterances. Cumulative results Table 1 provides the number of themes evoked by each dyad according to whether they concern the immediate past, the earlier past or whether they are mini-stories, and the proportion of themes initiated by the children. All four dyads contributed to the total of 75 themes, of which 48% concerned the earlier past, 39% the immediate past and 13% were mini-stories. Adults initiated the majority of the themes concerning the earlier past (an average, over dyads, of 78%); however, contrary to Lucariello & Nelson's (1987) study which found no child-initiated talk about the past up to 2;5, in our study 8 of the 36 conversations referring to earlier past (22.2%) were initiated by the children. Moreover, the children initiated most of the themes concerning the immediate past (an average, over dyads, of 76%). The adults had various ways of initiating talk about the past. Sometimes they asked a general elicitation question (e.g. raconte qu'est-ce qu'on a vu 'tell us what we saw') or a more specific one (e.g. avec qui t'as été sur le carrousel? 'who were you with on the merry-go-round?'); sometimes they started with a question to which they themselves provided the answer (e.g. où est-ce que t'as bu du Coca Cola? au McDonald? 'where did you drink Coke? at McDonald's?'), or they began talking about a past event by simply appealing to the child's memory (e.g. looking at the child who is manipulating his sunglasses, the mother says tu te rappelles qu'on les a mis en vacances quand il y avait du soleil? 'do you remember we put them on in the holidays when the sun was shining?'). The children initiated talk about the past by verbalising an element of the event that might be an object or a person (e.g. /pã/pain, 'bread' given to the swans; /bubel/poubelle 'rubbish' which was there early in the morning; /e'tin/ 'Christine' who sewed the button on the jacket); by talking about what they had just done (e.g. /etwaye/nettoyer/nettoyé 'to clean/cleaned' after having cleaned the clown's feet; /eassé/repassé 'ironed' after having finished ironing with a toy iron; /põpõ obbe/Ponpon tomber/tombé 'Ponpon to fall/fallen', meaning that the child fell off her toy horse named Ponpon) or by talking about what happened to objects/persons (e.g. /pum/ talking about a lady in a book who lies on the ground – the book was not visible at the time –; /omi/dormi, 'slept' talking about a doll she had taken out of bed; /ga aglas/ 'look mirror' meaning that the doll had looked at herself in the mirror). Concerning the number of elements or aspects of past events referred to, the four children, taken together, made a total of 119 contributions (see Table 2 which presents the cumulative number of child-mentioned aspects according to whether they were contributions of category (a) (b) or (c), and whether they occurred in child-initiated or in adult-initiated themes, per child). The mean number of references per session, from the time they started to appear in the children’s production, indicates that Amandine, Camille and Chantal produced more of such references than Gael (the mean number of aspects verbalized per session was, respectively, 4·7, 5, 5·6 for the girls and 1·6 for the boy). Summed up over the whole period studied, new and clear contributions of the child (category (c)) are the most numerous (55·5%): Gael and Amandine produced them more frequently in adult-initiated themes, Chantal produced them more frequently in child-initiated themes and Camille produced them about equally in both. Uptakes (category (a)) constitute 37% of all children’s contributions and all occurred in adult-initiated themes. New but unclear contributions (category (b)) constitute 7·5% of the total and occurred mostly in child-initiated themes (89% of them). Among the new and clear contributions made by the children, 71% were produced without having been specifically elicited by a wh-question or by a directive to tell (see Table 3). The proportion of such unsolicited production Table 3. New and clear contributions by the child according to temporal distance and elicitation by the adult, per child \| \| Earlier past \| Mini-stories \| Immediate past \| Total \| \|------------------\|--------------\|--------------\|----------------\|-------\| \| Camille \| \| \| \| \| \| Number \| 13 \| 0 \| 8 \| 21 \| \| % NEA* \| 46 \| — \| 88 \| 62 \| \| Chantal \| \| \| \| \| \| Number \| 5 \| 6 \| 6 \| 17 \| \| % NEA \| 60 \| 100 \| 100 \| 88 \| \| Amandine \| \| \| \| \| \| Number \| 5 \| 4 \| 6 \| 15 \| \| % NEA \| 40 \| 75 \| 83 \| 67 \| \| Gael \| \| \| \| \| \| Number \| 7 \| 5 \| 1 \| 13 \| \| % NEA \| 71 \| 60 \| 100 \| 69 \| \| Overall \| \| \| \| \| \| Number \| 30 \| 15 \| 21 \| 66 \| \| % NEA \| 53 \| 80 \| 90 \| 71 \| * % NEA, % non elicited by adult specific wh-questions or directives. is higher for references to immediate past (90·5%) and mini-stories (80%) than for references to distant past (53%). A minimum of 15% (Gael) of themes and a maximum of 46% (Camille) contained more than one contribution by the child, mainly in adult-initiated themes (see Table 4). The mean number of children’s contributions was, for each of the four dyads, higher in adult-initiated than in child-initiated themes. This is possibly because the adults may have solicited more from the child when they themselves initiated a theme than when the child did so; furthermore, it was the adults who initiated most of the themes concerning the distant past and it may be supposed that there is more to say about earlier than about the immediate past, the former comprising a large span of experience, while talk about the latter usually highlights but a brief experience. Table 4. Number of past reference themes with 2(+) child’s contributions and mean number of children’s contributions per theme, per child \| \| Camille \| Chantal \| Amandine \| Gael \| \|--------------------------\|---------\|---------\|----------\|------\| \| No. (and %) of themes with 2(+) contributions \| 13 (46) \| 6 (31) \| 3 (20) \| 2 (15) \| \| % occurring in child-initiated themes \| 23 \| 33 \| 0 \| 50 \| \| Mean number of contributions per theme \| \| \| \| \| \| All \| 1·61 \| 1·47 \| 1·87 \| 1·38 \| \| In child-initiated themes \| 1·23 \| 1·18 \| 1·00 \| 1·20 \| \| In adult-initiated themes \| 1·93 \| 1·88 \| 2·44 \| 1·50 \| Whether child- or adult-initiated, the themes were often elicited by an element present in the situation, for example, by a still perceptible result of a previous action or by a picture in a book. As Table 5 shows, this is the case for at least 90% of the themes evoked by dyads with Camille, Amandine and Gael, the percentage being instead lower for the dyad with Chantal (57%). Most of the themes (between 73 and 100%) were first mentions and most of them were referred to only once in our documents. We evaluated the repetitive or routine nature of the events to which the children made new and clear contributions and found that between 56 and 60% of the themes evoked might concern recurring events. This percentage is higher than the overall measure of 24% of routine activities occurring in the past talk of the ten 2–2; 5 subjects of Lucariello & Nelson’s study (1987: 225), but lower than the measures provided by Eisenberg (1985: 185) for the age period comparable to that of our subjects (between 82 and 93% for one child between 1;9 and 2;0 and between 75 and 83% for the other child between 2;3 and 2;9). Most TABLE 5. Themes with children’s new contributions (cat. (b) and/or cat. (c)) according to presence of cues in the situation, frequency of recorded talk, estimation of repetitive/routine activities and self-involvement \| \| Camille \| Chantal \| Amandine \| Gael \| Total \| \|--------------------------\|---------\|---------\|----------\|------\|-------\| \| Cues in situation \| 20 \| 8 \| 9 \| 9 \| 46 \| \| Cues in discourse \| 2 \| 2 \| 1 \| 0 \| 5 \| \| % of new contributions cued in situation \| 91 \| 57 \| 90 \| 100 \| 84 \| \| First mention \| \| \| \| \| \| \| No. \| 16 \| 10 \| 10 \| 7 \| 43 \| \| % \| 73 \| 71 \| 100 \| 78 \| 78 \| \| Repetitive/routine \| \| \| \| \| \| \| No. \| 13 \| 8 \| 6 \| 5 \| 32 \| \| % \| 59 \| 57 \| 60 \| 56 \| 58 \| \| Reference implies self \| \| \| \| \| \| \| No. \| 19 \| 7 \| 6 \| 8 \| 40 \| \| % \| 86 \| 50 \| 60 \| 89 \| 73 \| of the themes to which the children contributed concerned events in which the child was personally involved. Developmental results The age at which children produced their first references to past events varied: 1;4 for Camille, 1;5 for Chantal, 1;7 for Amandine, and 1;8 for Gael. The first references the children made to the past occurred in conversational contexts either as partial imitations of aspects evoked by the adult (category (a)) or, if they were new contributions produced by the child, they were ambiguous as to whether they made reference to the past or to the present (category (b)). Clear references to aspects of past events contributed by the child (category (c)) appeared, for the four children, one month after these first occurrences and then became increasingly frequent. Fig. 1 presents the occurrence of these different types of reference for each child. Concerning category (c) – new and clear contributions of the child – for three of the children (Camille, Chantal and Amandine), references to the immediate past and mini-stories (when they occurred) appeared at about 1;5, 1;6 and 1;8 and preceded references to the earlier past; the latter occurred one month later for Camille and Chantal and three months later for Amandine. By contrast, the first new and clear contributions made by Gael were to the earlier past and appeared at about 1;9 (see Fig. 2). References to the past were thus produced by the children during our period of observation, but not at its very beginning. This, of course, does not mean that as early one-word speakers children had no memories of past Fig. 1. Children's contributions to references to the past, by child and by age. $\Box$, Cat. (a) uptakes; $\square$, cat. (b) new contributions: unclear; $\blacksquare$, cat. (c) new contributions: clear. events; but that memories are not a sufficient condition for talking about past events (Eisenberg, 1985). To us this change suggests that children, as they become more competent, both cognitively and socially, find a new functional use for their utterances. This new use suggests that children in this period start to understand what might be pertinent to tell their listener (Sachs, 1983: 21) and that the newly mastered capacity to conventionally relate signifiers to signifieds can be put to powerful use in the interests of communication. This capacity is not immediate across the board, but starts in close relation to the adult's production, first as imitative uptake, and then as a sequel to the adult's initial evocation of a past event, though the aspect of the event mentioned by the child constitutes an original contribution which is far from being always specifically elicited by the adult. Child-initiated references to the past appear at first for events that have just happened with only a few aspects of the experience mentioned. As soon as they appear, new and clear contributions by the child concern not only the evocation of events that are routinized, frequent or often talked about but also specific happenings in the past that are mentioned in our records for the first time. Fig. 2. References to immediate past, to earlier past and mini stories in children’s new and clear contributions, by child and by age. ☒, References to earlier past; ☢, mini-stories; ☣, references to immediate past. Explanations and justifications The first examples of justifications, like those of references to the past, appeared when the children were still essentially single-word speakers and were observed in different situations. Sometimes the children produced justifications for their own behaviour. For example, at 1;6.22, Camille gave a bottle which still contained some juice to her mother saying /py/, plus, ‘no more’, not to wrongly state that there was no more juice in the bottle, but to give the reason why she handed the still half-filled bottle to her mother, a verbalization well understood by the latter (M.: t’en veux plus? ‘you don’t want any more?’). Justifications and explanations were also produced to account for real or imaginary behaviours occurring in pretend play episodes. At 1;8.20, for example, Amandine said /fwa/, froid, ‘cold’ while she tried to put a toy shoe on to a doll’s foot, explaining the reason for her doing it. At 1;8.15 Camille, looking at her mother, says /oppa/, roughly meaning veut pas, ‘doesn’t want’, after having said, in her previous turn, /plæ/, pleure, ‘cries’, talking about a small baby doll she had just placed in a plastic box. serving as a bath-tub: the utterance /oppa/ explains the reason for the baby doll’s ‘crying’ (pretended by the child) by invoking the baby’s internal state of dislike relative to the bathing situation. The developmental status of the appearance of explanations or justifications can be particularly well demonstrated by analysing two specific communicative situations: that of request and that of refusal/denial. Requests and refusals occurred at all observational sessions from the beginning of our study and were expressed by all the children in certain ways. Such naturally recurring situations are precious for the analysis of observational data: they provide an in-built control since they show that opportunities to exhibit the focused behaviour existed all along. Thus if explanations and justifications occur in these situations, it will be possible to evaluate their occurrence in relation to that of other behaviours. Verbalizations in requests and in refusals/denials Our subjects, like many other children described in the literature, used their early utterances to verbalize a variety of communicative functions including requests. During a certain period, they verbalized one or another of the different aspects of a request, e.g. the desired object, the action or the result (/ʃõ/ for bouchon, ‘bottle cap’, while reaching out towards the mother who held a bottle cap; /tun/ for tourne, ‘turn’, while handing a spinning top to the mother for making it turn; /ecru/ for trou, ‘hole’, while handing a punching machine and a piece of paper to the mother); or they verbalized the person who was to perform the action (e.g. /mamã/, ‘mummy’, while handing a spinning top to the mother) or the action that should be carried out so that the child can obtain the desired object (for example, /ovi/ for ouvrir ‘open’, while handing a box containing baby dolls to the mother). At some point in this development a new behaviour appeared: while performing the gestures that allowed their communicative act to be identified as a request, the children did not verbalize components of the request but provided the reason for the request, justifying for their adult interlocutor the request itself. For example, Camille handed a box she could not open to her mother saying /e’ppa/, peux pas, ‘can’t’; Gael handed a video-cassette holder to his mother saying /edy/, roughly c’est dur, ‘it’s hard’, and Chantal handed her mother a doll, from which she had unsuccessfully tried to remove the pants, saying /e’ppa/, roughly peux pas, ‘can’t’. The interactional histories of these children show that their mothers encouraged them to attain their goals by themselves. In these examples, by justifying their request, the children provided their mother with a good reason to help them without further delay. It is interesting to note that claims of incapacity (‘I can’t do it’) are also frequently provided by children in their third and fourth year as justifications of requests (Hood & Bloom, 1979; Barbieri et al. 1990) and for TABLE 6. Requests, refusals/denials and their justifications by child and by age \| Child/age \| Number \| % with justification \| \|-----------\|--------\|----------------------\| \| \| Requests \| Refusals/denials \| Requests \| Refusals/denials \| \| Camille \| 82 \| 52 \| 0 \| 0 \| \| \| 45 \| 22 \| 35.5 \| 68.2 \| \| Chantal \| 29 \| 18 \| 0 \| 0 \| \| \| 49 \| 56 \| 14.3 \| 16.1 \| \| Amandine \| 24 \| 5 \| 0 \| 0 \| \| \| 27 \| 62 \| 3.7 \| 24.2 \| \| Gael \| 65 \| 8 \| 0 \| 0 \| \| \| 100 \| 48 \| 15 \| 25.0 \| declining their parents’ demand for assistance in some task (Dunn, 1988: 31). One of our subjects, Camille, observed at a later session (not analysed here) when she was 2;2 produced a much more explicit utterance, j’arrive pas maman, tiens ‘I can’t do it mommy, here it is’, handing to her mother a doll that she wanted to undress, to similarly justify her request. The appearance of these justifications is clearly not due to the children’s acquisition of new lexical items like ‘can’t’ or ‘hard’. Indeed, they already knew these words, and had used them previously while experiencing difficulties in reaching their goal; it is only later that they used them as justifications in a request act. Another type of justification was encountered in contexts of refusal and denial. At first, when the children verbalized their refusal to carry out an action, or to follow a suggestion made by the adult, they simply said non. Later, verbalizations of refusals were sometimes followed by a justification, often indicating what should be done instead. For example, Chantal at 1;6 refused her mother’s help and said non; then, immediately afterwards, while looking at her mother before resuming her activity, added /tusel/, toute seule, ‘all by myself’; Gael, at 1;10.17, by saying non, refused the adult’s suggestion to build a train and immediately added, looking at the adult, bébé ‘baby’; it was not till later that he went to the toybag to look for baby dolls. Though these utterances are the expression of what the child wants to do, they can be considered to provide an explanation of refusal since they are addressed specifically to the adult interlocutor before the child goes about realizing the intended goal. The verbalization seems to be produced in order Fig. 3. Temporal relation between the occurrence of references to the past and of explanatory acts, by child and by age. ■, Number of new and clear references to the past contributed by the child; □, number of explanations/justifications. to foil the adult’s proposal, making the child’s refusal more understandable and thus more likely to be accepted. Children may also contradict an adult’s statement, the denial being sometimes followed by a justification that may be regarded as a primitive form of argumentation. For example, Amandine, at 1;11.22, contradicted the adult who, in a game, asserted that a red chip was green: Amandine said non and looking at the adult justified her denial by adding rouge ‘red’. As can be seen in Table 6, quantitative analysis of all communicative acts of requests and refusals/denials occurring during the whole study shows that the four children verbalized requests and refusals (and thus occasions for explanations or justifications) right from the start of our observations. But it is only at a certain point in development that explanations are provided in these contexts, though the frequency of the phenomena and the age at which they were first observed for each child differed (at 1;6 for the earliest and 1;9 for the latest). Thus, in the case of Camille, for the 82 requests verbalized between 1;3.2 and 1;7.4, no clear justification was produced. A justification was provided in 35.5% of the 45 requests verbalized between 1;7.18 and 1;10.12. As for refusals, 52 were observed between 1;3.2 and 1;7.4, none being followed by an explanation. An explanation followed in 68.2% of the 22 refusals/denials observed between 1;7.18 and 1;10.12. Temporal relation between references to the past and explanations/justifications According to the hypothesis that references to the past and explanatory utterances are both manifestations of a new, informative use of language that brings out the signifier-to-signified direction of semanticity, we expected a close temporal relation in the appearance of these behaviours. As Fig. 3 shows, clear references to the past introduced by the child and explanatory utterances appear at the same session for three of the four children: at 1;6 for Chantal, at 1;8 for Amandine and at 1;9 for Gael. For Camille, clear references to the past were observed at 1;7, one observational session, i.e. two weeks, before the appearance of explanations. DISCUSSION Our data show that references to the past and explanations/justifications appear at a very early period of language acquisition, earlier than is generally assumed in the literature, and that at first they are expressed by simple linguistic means the children had at their disposal before starting to produce them. Concerning references to the past, our results show that though children initiate more talk about the immediate than about the earlier past, they also initiate talk about the latter and make new contributions to themes about the earlier past initiated by the adult. Moreover, children’s new contributions not only refer to repetitive, routine activities but also to specific, unique events. The early appearance of explanations is surprising; it is interesting to note, though, that they occur quite often in requests which constitute communicative acts that infants are reported to perform quite early and well before the appearance of identifiable words (e.g. Harding, 1983). The co-appearance of references to the past and explanations/justifications supports our hypothesis that both are manifestations of the children’s apprehension of a socio-cognitive, communicatively functional feature of human speech, i.e. its informative potentialities. What processes can be invoked to account for this development? On the one hand, it may be supposed that the ability to use language in a way that is detached from the perceptible situation at the moment of speaking naturally extends the child’s earlier elaboration of the relation between signifier and signified: signifiers acquire a mental reality of their own that can evoke the signified in the same way as the signified may elicit the signifier (cf. the reversal of the relation ‘object/meaning’ and ‘action/meaning’ referred to by Vygotsky (1933/1967) in his analysis of symbolic play). The development of this capacity is related to the more general cognitive evolution that takes place in the second half of the first year and the beginning of the second year of life when infants start to be less dependent on what is immediately perceived and on the actions they are performing. On the other hand, there appears to be a socio-cognitive development by which the interlocutor begins to be viewed by the child as an alter ego – a person whose psychological states may be different from the child’s own. This development relates to a topic, much discussed in recent literature, that came to be known as the child’s ‘theory of mind’. One of the central questions in this domain is the following: when does the child begin to assume that persons have minds and that their behaviour is regulated by what they want, feel, think or believe, though these desires, feelings, thoughts and beliefs may not necessarily find clear observable expression? (Butterworth, Harris, Leslie, & Wellman, 1991). Research findings suggest that in the second half of their second year children can attribute certain internal states to other people and differentiate them on the basis of surface cues, as attested by their manifestations of empathy towards a distressed adult or by the positive or negative value they attribute to a new object or situation on the basis of the adult’s emotional reaction (cf. Bretherton, McNew & Beeghly-Smith, 1981; Kagan, 1987; Dunn, 1988). Children in their second year show several other behaviours whose meaning can hardly be understood without supposing that they take other persons’ psychological states into consideration: teasing, for example, which implies an understanding of what might annoy or amuse another person (a behaviour whose early manifestations are claimed to be found already towards the end of the first year (Reddy, 1991)), and pretend play in so far as it involves verbalization of inner states attributed to pretend characters (Dunn, 1991). During this same period – e.g. between 1;6 and 1;10 in Lamb’s (1991) study – children start to use lexical items such as sad, happy, hurt for internal states and items such as good, bad, nice for social values. We think that our findings provide further data that can contribute to a better understanding of development in this domain. We observed the appearance of two kinds of displaced, informative language uses at around the same time in the late single-word period: talking about past experiences and providing simple explanations. Though references to the past also occur when children are alone and ‘talking for themselves’ (cf. Piaget, 1945/1951, observation no. 104), they often occur in conversation with adults, as observed in our study. In this setting, references to the past may provide new information to an interlocutor who was not present or was not paying attention at the time of the recalled experience, or they may serve as reminders of a shared past experience which is in the child’s own mind. Such use of language implies attributing to one’s interlocutor a lack of knowledge or a shared memory-knowledge of a particular past event. In a different but functionally similar way, explanations and justifications – besides being social moves that improve children’s chances to have their way – verbalize states that are not observable to the interlocutor because they are internal to the child or are attributed by the child to the characters of his/her pretend play. Moreover, in so far as explanations are mentally constructed links between explanans and explanandum, they are inherently not directly accessible to another person. The appearance of explanations thus constitutes another instance in which language is used to signal to one’s interlocutor aspects of an event/situation which s/he is unlikely to know about. Our data on explanations and justifications occurring in situations of request and refusal/denial provide a particularly clear case in favour of this interpretation: these interactional situations occur from our earliest observational sessions; moreover, when children begin to produce explanations/justifications they use words they had already in their vocabulary but used earlier with a different function. Thus the absence of such functional uses of language at the earlier period cannot be ascribed to a lack of opportunity for producing justifications nor to a lack of lexical items for expressing them. The appearance of explanations/justifications at a certain time in our longitudinal records, and their co-appearance with first references to the past, thus strongly suggest a change in the way children view their interlocutor, to whom they now seem to attribute mental states different from their own and that need to be taken into account in interpersonal relations: mental states that can be changed by attempts to persuade, by the expression of one’s own (different) intentions and ideas, or by attempts to make the other share one’s own mental focus of attention. Some authors consider behaviours whose meaning appears to depend on making reference to internal states of an alter ego, as the beginnings of a theory of mind, whereas others argue that no theory of mind can be considered to begin before the age of 4, and that younger children’s intersubjectivity should be interpreted as a ‘fairly sophisticated mentalistic theory of behavior’ (Perner & Wilde-Astington, 1992: 142). We agree with Dunn (1988: 66) that this attitude towards others should be viewed as a kind of ‘practical’ understanding without the implication that children reflect on others’ feelings and mental states. Differentiation between self and others on this practical level is in line with the achievements of sensorimotor intelligence (at around 1;6) giving rise to what Piaget calls a ‘Copernican revolution' that eventually places the child in a universe of external objects and persons: As soon as the schema of substantial and permanent objects is acquired, and especially at the level of intuitive intelligence, persons become other 'egos' at the same time as the ego itself is being constituted and becoming a person (Piaget 1945/1962: 207). It is interesting to note that in the period under study the child is observed only to offer the interlocutor a piece of information or to lead him/her into a situation the child can share. At most this is evidence that the child considers the other as not knowing or not paying attention to what the child knows or pays attention to, but we have no indications that the other is seen by children as knowing something they themselves do not know. Since children's 'mindreading' abilities cannot be inferred from a single kind of behaviour but only from 'a broad range of aspects' (Dunn, 1991: 52), future research should include other types of informative language uses within this perspective. Another element related to these developmental changes can be sought in the utterances that adults address to children. It has often been reported that, in their conversations with children who are beginning to speak, caretakers mostly talk about the here and now - a practice that is likely to foster the acquisition of the meaning of words and sentences. In our data, the adults similarly produced few straightforward references to the past but we noted that, while talking about present entities and ongoing actions, they use subtle means that link the present situation to the past or the future, to absent persons and objects or to aspects of the present situation that are not easily or not at all accessible to simple observation (Veneziano & Georgakopoulos, 1993). For example, they may link a present to an earlier action/object by using words like 'again', 'another' and the prefix 're-' as in refaire 're-do' or 'do again'; they may link present objects to absent ones by making comparisons (e.g. c'est comme la barbe de papa 'that's like Daddy's beard'), link present states to preceding physical or intentional causes (e.g. ça a tout coulé à côté/t'as bu trop vite 'it spilled all over/you drank too fast') or verbalize non perceptible properties of present objects or beings (e.g. ça c'est la roue qui tourne 'that's the wheel that turns', pointing at a plastic reel lying on the floor), often talking about internal states, (e.g. le chien là il a faim 'the dog there is hungry'). 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The Business Sergeant’s FIELD MANUAL Military Grade Business Execution Without the Yelling and Push-ups CHRIS HALLBERG I’m so glad and proud that Chris has invested the time to share his experience and this powerful message with you. This book is a rare treat. At EOS Worldwide, we have almost 200 extraordinary EOS Implementers around the world who work hands-on with their clients, helping them implement EOS in their businesses. By fully implementing EOS® (The Entrepreneurial Operating System®) in their businesses, our clients realize amazing results: growth, better life balance, increased profits, and the ability to make a huge impact on their employees, their customers, and the world. Every one of our EOS Implementers has their own style that makes them unique. Chris Hallberg is truly one of our best EOS Implementers. The reason this book is a rare treat is that Chris shares his real-world life experience and stories of how his clients have benefited from EOS and his uncommon background. Chris’s military, law enforcement, and business background, along with his intense, disciplined, fun and energetic style, makes for a thrilling experience for his clients and for you as the reader. Chris shares his extensive, emotional, and inspiring background with stories, insights, and teaching that have made him who he is. This book will help you become a more disciplined leader and build a great organization. Enjoy! Gino Wickman Author of Traction and Creator of EOS Worldwide INTRODUCTION ENLISTING TO BECOME A BUSINESS SERGEANT A-ten-tion! My name is Chris Hallberg, and I’m known in entrepreneurial circles as the “Business Sergeant.” As a leadership and management coach to entrepreneurs and their leadership teams, my job is to help you get control of your business, so you can achieve your mission—it’s that simple. How do I do that? By distilling the best practices of military and para-military organizations and helping you apply them to your business. I believe that a military team-building mindset plus a proven business operating system = a better, faster, and more predictable way to achieve business success. The military has a system for everything, and those systems can help you harness the energy of your employees and lead them to greatness. This book is simply a modified version of that military training, designed to help entrepreneurs of small and medium sized businesses, their leaders and managers, and even much larger organizations in the corporate world. These concepts apply in any field to gain optimal performance from their business. Because without a proven system, I find it’s very difficult to consistently run a business of any size successfully. To be clear, The Business Sergeant’s Field Manual is not about my career in elite military units and all the unbelievable things I did in the most dangerous places in the world. The world already has several of those kinds of books and amazing heroes. Rather, this book is about how I’ve successfully borrowed and adapted many strategies, tools, and lessons from my military and law enforcement leadership training, and adapted these concepts with great success during my nearly 20 years in leadership roles in the business world. My clients asked me to write this book because they loved the Business Sergeant mentality I brought to their business problems. They thought other entrepreneurs and business leaders would appreciate my “no-nonsense, let’s-get-it-done” perspective at a time when leadership and management are woefully lacking in the workplace. Because of their encouragement and support, I will now share my methods with you. The whole point of the Business Sergeant mentality is to build a powerful and dynamic team that provides results, not excuses. The reason why people are disengaged at work is because most managers and senior leaders are generally inept at effective leadership (and can be oblivious to this fact). But when you’re very intentional about the type of unit you want to create and the goals you want to reach, you can create a cohesive workforce where your staff will want to re-enlist every quarter, voluntarily and happily. You should think of this book as a reference guide, a field manual, a handbook of field-tested best practices that you’ll be referring to over and over again during the course of your entrepreneurial journey. In the military, we don’t teach something to a soldier only once. We teach it to them a hundred times, so they know exactly what to do when they’re in a difficult and stressful situation. They’ve been trained in a system and they know exactly how to put that training into action—especially when times get tough. The best Sergeants know their job inside out. In the military, we call it being technically and tactically proficient. They lead from the front, they earn the respect of their troops, they’re very approachable, and they’re not afraid to get their hands dirty. They are ultimately responsible for the health and welfare of their team and the execution and success of any mission. Entrepreneurs and business leaders really need to have that kind of mindset to succeed in the business world. Like a lot of young people, I desperately needed some discipline and accountability when I graduated from high school. And like most young men lacking direction, the military gave me the focus to harness my energy. It gave me a framework for life that empowered me to operate at a high level of excellence, rather than just trying to figure it out or wing it as I went along. I enlisted at 17 (with Mom and Dad’s signature on the age waiver). I served for nine years as an M.P. in the Army National Guard in the 34th Military Police Company, rising to the position of Squad Leader at the rank of Staff Sergeant. During my nine-year, part-time military career in the National Guard, I became a corrections officer at a super maximum security correctional facility in Minnesota for violent felons, the worst of the worst, so to speak. Not a place where you could let your guard down, even for a minute. I learned a ton from that experience, mostly about following process to the letter, understanding and respecting other people, watching body language, “feeling” the mood or direction of the day, because if you were to misjudge a potentially dangerous situation building or disrespect the wrong person on the wrong day that could be your last day on the job or on this planet. Very high stakes on a day-to-day basis for several years of my life. From my experience in the military and as a correctional officer, I saw the difference between Non-Commissioned Officers (Corporals to Command Sergeant Majors) and Commissioned Officers (Lieutenants to Generals) who were respected and those who were not. I prided myself on being a dedicated, squared-away leader, which is why I got my Sergeant stripes a few years early at age 21. I succeeded because I was 100% committed to being a leader. In a business setting your troops will take their cues from your consistent day-in-and-out dedication, one of your most important priorities as a Business Sergeant. After leaving both uniforms in 1999, I started a sales career in the home improvement industry, first selling exterior remodeling for a remodeling company. As a sales representative, I closed well over a million dollars of remodeling in each year. As a sales manager, I helped a remodeling company grow from $3 million in sales to $8 million in sales in three years, and a restoration company grow from $9 million in sales to $20 million in one year. How did I make that happen? I was simply using the same leadership style I picked up in the Army and the Department of Corrections, and it’s the same leadership style I’ll be teaching you. And, like any entrepreneur, I’ve also had my setbacks and failures. So, part of my success is based on having rebounded and learned from those failures, making sure they didn’t repeat themselves in my future business endeavors. During my time in the military and law enforcement, I paid close attention to my people. That was my job, because I was in leadership positions almost the whole way. I learned a ton about what makes people tick and how to get them moving in the right direction. In short, I learned how to lead and manage people in challenging, often dangerous circumstances, where there was little or no margin for error. As a business coach, I’ve been able to translate those leadership lessons and teach them to other business owners and leaders. And the essence of leadership is following and carefully executing a system, day in and day out. To apply this military mindset effectively, to harness the power of this Business Sergeant attitude, you need to adopt a business operating system. You’d be surprised at how many businesses—even large businesses that have been around for years—don’t have an operating system. They don’t know how to hire the right people. They don’t have a vision to inspire their people. They don’t have a brand that sets them apart from the crowd. They don’t know how to keep track of their numbers or use their sales force in the most efficient ways. Without a system to keep you on track, it’s very difficult to get better at executing. But if you apply a military-grade execution strategy at your business, you’ll put together a plan that makes sense, anticipates contingencies, and ensures you have the right resources. You’ll have the right people in the right seats, and everyone on your team will know precisely what their individual roles and responsibilities are. When you do that, your chances of executing to a higher standard are much, much greater. As a business owner, everything must be systematized to make sure you’re best serving your employees and clients, period. As a Business Sergeant, you must manage and interact with every aspect of your business, from where the marketing conversation begins to final execution and another referral. I’ve yet to see a business that can’t be helped by installing a business operating system, where prioritizing and accountability are made visible and systematic. The systems I followed in uniform helped turn grey into black and white and made critical decision making easier and faster than without them. When I was helping a particularly troubled client in a turn-around of his construction business, I stumbled upon a business operating system that a peer was using with great success. This operating system is EOS* (Entrepreneurial Operating System), created by my now good friend Gino Wickman. Gino shows readers the entire system in his bestselling book Traction, Get a Grip on Your Business* published by BenBella Books. After researching EOS, plus the two or three other popular business operating systems on the market, I concluded that all my clients moving forward would have to commit to an operating system, a framework, or scaffolding to help us get our arms around the whole thing. Because I felt EOS was the simplest to understand and implement, and in my opinion the most holistic, that is the one that I chose to work with. You will read quite a few specific references to EOS (www.eosworldwide.com) in this book; keep in mind that to fully understand EOS or another operating system, you’ll need to put in the time to implement the operating system purely as it was intended—not piecemeal—as the system only works optimally. when you’ve done it correctly. While I wholeheartedly endorse this masterful system, I understand that another system might be a better fit for you, so not to be pushy or sales-y to you, I’ll just refer generically to “Business Operating System” or “Operating System”. You’ll see just a few of the many EOS tools in action in some of the chapters, along with some simple tools that I created that dovetail with the EOS tools. I’ll also share some client stories of their experiences working with me as their EOS Implementer™. I currently spend the majority of my time teaching EOS with around 20 clients at any given time. Following the proven EOS Process™ where I get together with the leadership team for 10 full-day, off-site sessions, plus coaching as needed between those quarterly sessions over about a two-year time frame. But first, as the team leader, you need to fortify yourself with some military-grade business logic that’s going to allow you to conquer any business hill you want to assault. That’s what this book is all about—to get you thinking in military terms whether or not you’re part of the small percentage (around 7% of Americans) who have served, or the vast majority who have never worn a uniform. Why is thinking in military terms so important? Because, to put it simply, business is war. Please consider the following statistics, especially if you’re considering going out on your own as an entrepreneur for the first time: - Eight out of ten entrepreneurs who start businesses fail within the first 18 months. - “There is recent research by Harvard University’s Shikhar Ghosh that three out of every four venture-backed firms fail.” To say that business is war is not just a statement. It’s a mindset. Your competitors are literally battling you for the same dollar, and while they’re not firing bullets they are firing marketing messages like commercials and online ads, they are executing sales calls with powerful sales presentations that close business and take clients off the market. How are you going to respond? How do you compete with these people on the field of business battle? It’s up to you to put the right tools of business war—the right business weapons essentially—in the hands of your troops, and to make sure they know how to use them effectively. Forbes magazine recently offered testimony to this type of approach with the following declaration: “Leadership in the 21st century requires mental --- 1 https://www.bloomberg.com/news/articles/2002-03-03/the-bottom-line-on-startup-failures 2 https://www.washingtonpost.com/news/fact-checker/wp/2014/01/27/do-9-out-of-10-new-businesses-fail-as-rand-paul-claims toughness, stamina, and patience. Being a market leader demands a new breed of leadership that can withstand the punishment of the daily grind and the people pressures along the way.” A Business Sergeant is exactly that kind of leader—he or she has the toughness, stamina, and patience to recruit the right troops and develop them to reach their fullest potential. I read somewhere that someone once asked legendary entrepreneur Richard Branson, “How do you motivate your best employees?” He replied, “That’s easy. My very best employees are already motivated. My job is to find people who are already motivated and get the hell out of their way!” Please note: when I say, “business is war,” and make other military comparisons, I certainly don’t intend to offend anyone in uniform or out of uniform. Please understand that I’m using military terminology and systems to create a foundation for your business success. I have the utmost respect for my nation’s military and especially for those who have shed blood in defense of our liberties. Starting a new business or running an existing one is nothing close to the stakes you face fighting in combat for our country. Like most soldiers, I believe war is a tragedy and an absolute last resort. Having said that, if you’ve ever failed badly in business (Again… most people do!) you might wish you were dead, because it’s a very dark place that requires lots of soul searching, reflection, and putting the pieces back together mentally and financially to gain the confidence to take another run up that hill. The best businesses in the world are made up of small units and teams of “A players” that use tested systems to excel in performance. You may know very little or nothing about the military, but why not learn from the U.S. military, one of the most effective team builders in the world? The kind of Sergeant I’m talking about in this book is NOT a Drill Sergeant who is belittling, berating, or yelling at people. My approach is NOT about breaking people down to build them back up. What I’m advocating is the mentality and mindset of a senior unit Sergeant, a coach, a mentor, an expert with a lot of answers for your junior people. A mindset that says, “We’re going to start building our highly professional team from day one, and anybody who doesn’t want to be part of that team is not in the right place. We’ll help you find the right unit if this one isn’t right for you.” 3 http://www.glennillopis.com/online_certification/the_dangers_of_complacent_leadership The Business Sergeant’s Field Manual lays out its strategy by looking at core issues that every business leader faces, described in eleven chapters. Each chapter contains core lessons I’ve learned over the years, followed by a detailed look at how I worked with business clients ranging in size from $1 million to over $500 million in annual sales on the issues discussed in the chapter. Finally, I’ll share some simple tools (some I’ve created, some are from EOS®) and action steps at the end of the chapter, which you can use immediately to put my suggestions into action. Here’s a look at how I organized this book: CHAPTER ONE ★ Are You Committed? As a business leader and owner who has led troops and team members, one immutable lesson has stood out for me among all others: ARE YOU COMMITTED? That’s a question you’ll need to ask yourself before you even think of asking it of your troops. Having a committed team will help create an environment that is both passionate and profitable for your company. But it starts with you, as a leader, having a passion for your work and complete commitment to your people. When your team members share that same vision and drive, and you have full buy-in from your team, you’ve liberated the hiders and cut loose the dead weight. They see that you’ve made long-term decisions based on culture over profit, and that level of commitment by the owner will start to be reflected back to you by your employees. CHAPTER TWO ★ Leadership: Are You a Leader Worth Following? One of my favorite business quotes: “All businesses are only one leadership team away from extinction.” (Author Unknown) That, in my opinion, is so true—a couple of wrong decisions and you’re dead. You can’t unwind it, you’re just done. Just like most airplane crashes are usually the result of three or four bad decisions strung together, and not just one big mistake, going out of business also usually happens after “enough” bad calls are made. Great leaders have an operating system and enforce accountability through consequences. Great leaders are consistent and fair, direct and decisive. Great leaders inspire and help people grow. Great leaders put their people first and park their egos at the door. Great leaders nurture talent and build the next generation of leaders who will follow in their place. Great leadership is the foundation on which all business success is built. CHAPTER THREE ★ One Team, One Vision Vision is all about creating that “bigger-than-ourselves” moment, because people really want to be part of something special, something larger than themselves, and being part of a winning team can be just as sweet as individual success. But if the vision is uninspiring, it will be very difficult to get anyone to follow you or to gain any traction in your business. You need your employees to be as fired up about your passion as you are. That fire is fueled by your company’s vision. In the armed forces, a long-held credo weaves its way through every branch of service—a unit is only as strong as the person to the left or right of you. As a business owner, you want employees working for you with every fiber of their being, who are nearly as passionate and committed as you are (nobody cares as much as the people with the everything on the line…). To create that culture of reliability among your team of troops, you must start with an inspired, vivid, and shared company vision. CHAPTER FOUR ★ How to Build a Strong Culture: Slow to Hire Culture in the military is called esprit de corps. In the business world, it means defining who we are, what we do, why we do what we do, and ideally, fostering pride of the team or company we all belong to. A great culture is one where your employees will police themselves internally because they really value being part of a unit of like-minded people, and they want to protect what you have built together, because it’s so valuable to them and you. That’s the mindset soldiers have: we’re all in it together, all working toward the same goal of being the best. An intentional culture can inspire the same loyalty in your business and make your people THINK BIG, GO BIG, and ultimately BE BIG! They’re willing to put in 100% to achieve the goal you’ve helped them visualize. Building that type of culture is something that takes an immense amount of effort. It begins with being very selective about who you hire. Be unrelenting in your vision to find the right people for the right seats, and to do that you have to create a culture that rests on high trust and high performance. CHAPTER FIVE ★ Accountability: Quick to Fire High accountability = high execution. If we’re accountable to each other, if we have a culture of accountability, then when somebody says they’re going to do something, it gets done. Your people are essentially putting their names, reputations, and ability to execute on the line. When we have high levels of accountability, we’re not worried if your teammates will get things done if they said they would. To build accountability, it’s vital to set the bar high at the start and then leave it there. One of main points in this field manual is that if you stop lowering the bar, your company will start to perform at a higher level. This involves creating an environment that’s open and honest, where there’s no retribution for speaking the truth. When you have a system in place for helping identify mistakes, that presents the opportunity to correct them, coach the correct response that you want, and check-ins to see if that remedial training has worked, your people won’t feel bad about making mistakes, because that is how we’ll all get better together. Mistakes are OK, as long as they are not repeated over and over again, so you’ll need to have clear consequences for any habitual failures in performance. CHAPTER SIX ★ Marketing and Branding For your business to not only survive but thrive, it needs both marketing and branding. But they are NOT the same thing and are commonly confused as being so. Your brand is the key to attracting consumer interest, from how it makes them feel to buy your product, to how they talk about your brand afterwards to other potential customers when you are not around. How you market that brand and reach and engage new customers is what determines how successful your business will be—it’s that simple. Your brand is your unique value to the world, it’s what you stand for. Your customer should clearly understand how and why you do it better than the competition, and why they need to be talking to you over your many competitors. What kind of experience will your customers have with your brand that will make customers continue to give you repeat business, and tell others about how amazing you are? CHAPTER SEVEN ★ Sales and Sales Management Sales are the life blood of any organization; without them, you will soon have no company. I’ve found that those businesses that have sales problems usually have a bunch of other problems too. Even my clients who have more sales than they know what do to with often lack an effective sales management process, which means lost business. Often overlooked is that selling and managing sales people are two very different specialties that require very different talents. Companies will often make their top salesperson the sales manager, the wheels come off, and they wonder why. To make the distinction clear: a sales manager is somebody who spends approximately a third of their time training their sales people, another third of their time holding them accountable for the results of that training, and the last third of their time recruiting new sales people to replace those who can’t meet the standard. CHAPTER EIGHT ★ Know Your Numbers! You may not believe this, but a lot of business owners don’t really know their numbers. They just operate on gut feeling, a dangerously ignorant way to do business. If you don’t know your numbers, then you’re sitting on what I call the Chaos/Control Meter, which in business is ALWAYS ticking! If somebody’s business is at 0 on the meter, they have a system in place for everything, they’ve automated it with technology, and a solid process is consistently followed by all. If you go up to a 10 on the scale, it means (literally) that there’s a wad of cash in a desk drawer that people can grab whenever they want with little or no accounting oversight. Most companies rank at 4 or 5 on Chaos/Control Meter. They can be functional. But to truly excel, you need financial controls, systems, policies, and procedures to make most of the chaos go away. Until then, you’ll be in a kind of free-for-all where a lot of avoidable mistakes will be made. And those mistakes can be very costly. Execution should be the expectation, not the exception to the rule. That’s the bottom line: in business, execution is paramount! I believe vision is sold by the pound, and there’s an unlimited supply of it. Great business traction or execution is sold by the carat—it’s scarce and very valuable. Great business execution is rare and it takes a lot of work to achieve it. You need to commit to being great at executing, and you continue to get better at it by tracking how many of your weekly to-dos are getting ta-done. CHAPTER TEN ★ You’ll Need Some Help! A lot of business owners have trouble letting go of control and delegating down the chain, which can have dangerous consequences. Wearing too many hats can be detrimental to your company’s performance. If you make the smart move and reach out to strategic partners who are experts in their specific fields, you will prevent headaches, wasted time, inefficiency, and, most importantly, wasted money. Seeking out partners allows you to scale your business without disturbing its core, while adding complementing capacities and capabilities. You can also outsource something and see if you like it before taking it in-house. As the Business Sergeant, remember that augmenting your forces with allies from outside the company—otherwise know in military terms as an “Attachment”—can be more efficient than training a whole new platoon of privates. By working with a network of strategic partners, you’re expanding your capabilities and adding new areas of expertise that you can offer clients, as well as saving time, money, and frustration in the process. CHAPTER ELEVEN ★ Take Care of #1 The last lesson in The Business Sergeant’s Field Manual is also the most important: it’s absolutely vital that you routinely take the focus OFF your business and put it ON your life away from the office. What is your Number one thing in life? It’s usually not your business. (Even though it can feel like it if you’re not careful…) Huh? Is that really part of the military mindset? Yes, it is—it’s the same philosophy that drove the military to create the concept of leave time, so soldiers could spend quality time back home with their loved ones and be reminded of what they’re really fighting for. Spending quality time with family and friends and chasing your passions outside of work keeps you and your home life healthy, and that is mission-critical to be truly healthy at work. In contrast, overworked entrepreneurs and business leaders who wear too many hats and spend too many hours at the office will suffer both personally and professionally in the long run. *** The Business Sergeant’s Field Manual is about how to gain the confidence, focus, business skill, and fortitude to transform an average business into an exceptional one. If you spend a few hours reading this book, you’ll have added a single chevron (Stripe) to your arm. If you master everything in this book, you have a whole arm of chevrons, and people will notice those! You’ll be a real Business Sergeant and will have the mindset, team, and tools to be really hard to contain. Using the approaches I suggest, you’ll win a lot more on the business battlefield. Now, let’s get started! --- Captain Obvious says: If you’re looking to build strong leadership in your business, I highly recommend hiring a former military leader because they already get all this stuff! There are all kinds of veterans transitioning out of the military who possess extensive leadership experience. Non-Profit programs like [hireheroesusa.org](http://hireheroesusa.org) and [americandreamu.org](http://americandreamu.org), and veteran job websites like [VetJobs.com](http://VetJobs.com) and [Military.com](http://Military.com) can supply you with leads. So, if you like this book’s concepts and approaches, go out and hire some veterans who were great leaders in the military. They’ll most likely be top performers for you, and your chances of getting to your end goal are going to be much greater than with people who haven’t been tested like they have. There’s a big difference between having a leadership title and being a confident, respected, and effective leader. Chris Hallberg’s Business Sergeant’s Field Manual is written for business owners and leaders who need a hand with the day to day rigors of operating a successful business. If you’re committed to leading, then this book will help you get where you want to go, and it will give you the tools you need to get there. The Field Manual is a crucial weapon in the arsenal of any small business leader whose spirit is willing. Chris brings decades of military, paramilitary, and entrepreneurial management experience to bear and delivers a no-nonsense, easy-to-follow handbook full of operational advice that, if applied, will help you make the kind of change that can right a listing ship, or propel a fledgling startup into star-bound success. Inside you’ll find 82 Real world lessons covering topics such as: - COMMITMENT - LEADERSHIP - SHARED VISION - ACCOUNTABILITY - CULTURE - SALES & SALES MANAGEMENT - MARKETING & BRANDING - UNDERSTANDING FINANCIALS - EXECUTION - STRATEGIC PARTNERS - WORK-LIFE BALANCE - DOWNLOADABLE TOOLS Chris Hallberg spends the majority of his time “in the trenches” helping business owners and their leaders execute their mission with military precision. He lives in Denver Colorado with his wife and two sons.
ARCHERY 2024 4-H SAFE ALABAMA STATE CHAMPIONSHIPS ALABAMA EXTENSION 2024 INTRODUCTION & GENERAL RULES 2024 Championship Schedule April 13: Archery April 26–28: Shotgun June 23–28: National 4-H Championships State 4-H Shooting Sports (SAFE) Program Specific Matches Information Sarah Butterworth, Archery, email@example.com, (334) 703-6777 Tim Gothard, Shotgun, firstname.lastname@example.org, (256) 284-5752 The 4-H Shooting Sports Project is designed to teach life skills and encourage essential elements of belonging, independence, generosity, and mastery through experiential learning. 4-H Shooting Sports competitive events are conducted for the purpose of positive youth development and education. Competition is but one way to celebrate the 4-H experience and should not be the main objective of any 4-H activity. 4-H coaches are expected to value, teach, promote, and demonstrate safety and education above awards, recognition, and winning. Alabama 4-H complies with the National 4-H No Repeat Rule. Once a youth demonstrates mastery of a project by attending its terminal event, he or she may not return as a competitor in that event but is welcome to explore a new project or activity. Conduct (from National 4-H Shooting Sports Championships rules. Applicable to all 4-H state and national Shooting Sports programs) - Tobacco and alcohol: The use of tobacco/nicotine products and alcoholic beverages by minors at any 4-H event is not permitted. Violation of this policy is grounds for disqualification and dismissal from the 4-H event. Adults may not use tobacco in the presence of youth, and alcohol is strictly forbidden. - Footwear: All participants are required to wear shoes that completely cover their feet while on the shooting line or when shooting in any 4-H event. Examples of unacceptable footwear include, but are not limited to, flip-flops, sandals, clogs, and bare feet. - Behavior and sportsmanship: All participants, coaches, and spectators are expected to demonstrate the highest level of sportsmanship, supporting the objectives and ideals promoted by the 4-H program in general and the 4-H Shooting Sports program in particular. Coaches, youth, Extension staff, and spectators are expected to conform, as applicable, to the 4-H youth state code of conduct, Alabama 4-H volunteer behavioral guidelines, volunteer agreements, and the national 4-H Shooting Sports program code of conduct. - Knowledge of rules and procedures: Where possible, Alabama SAFE events are associated with the appropriate national governing body (NGB). Exceptions to any NGB rule are noted in the synopsis of that particular championship. It is the responsibility of each coach and participant to read the championship rules, understand the procedures used in each event, and comply with the rules and standards of each event. If you have any questions, you are encouraged to seek clarification. Ignorance of the rules does not eliminate the existence of the rules. Learning the rules of an event is part of the educational process for 4-H members. 2024 4-H SAFE Championships Senior first-place teams with corresponding National 4-H Championship events may have the option to represent Alabama 4-H. - Archery: Saturday, April 13, 4-H Center, 892 4-H Road, Columbiana, Alabama - Shotgun: Friday, April 26 to Sunday, April 28, Selwood Farm, Alpine, Alabama, and Red Eagle Skeet & Trap Club, Childersburg, Alabama 4-H SAFE Opportunities 2024 National 4-H Championships: June 23–28, Grand Island, Nebraska. All disciplines (shotgun, archery) except Western Heritage. Participants attend at invitation of state 4-H office based on championship results. Youth and coaches must be outstanding ambassadors for Alabama 4-H at the local and state levels and observe code of conduct and adult behavioral guidelines to maintain eligibility to represent Alabama 4-H. Details are available at https://4h.unl.edu/shooting-sports/national. Registration All 2024 SAFE championships, including state-level postal matches, must register through 4HOnline. Registration fees are nonrefundable at match director’s discretion. Each championship registration opens approximately 6 to 8 weeks before and closes no earlier than 3 weeks before the date of the championship. At least one coach from each team must register through 4HOnline. This will be the contact person concerning the specifics for the matches. Cost Cost varies per discipline and includes participant fees and an event t-shirt. Late registrants are not guaranteed a shirt. Eligibility 4-H events are open to active members of a chartered Alabama 4-H club that has experiential learning in regularly scheduled and planned meetings. For the state championships, membership must be in a discipline-specific 4-H club. Participation is limited to members who are enrolled in the 4-H program and have been a member for a minimum of 90 days. Enrollment dates are verified through 4HOnline. The Alabama 4-H club year begins on August 1 and ends on July 31. Age eligibility is determined by how old the youth is before January 1 of the Alabama 4-H club year. Check www.aces.edu/blog/topics/about-4-h/alabama-4-h-eligibility/ to determine the division for 4-H membership. Seniors are participants born from 2003 to 2007. Juniors are participants born from 2008 to 2012. Teams Teams consist of a minimum of three and a maximum of four or five participants from the same age division, based on the event of participation. Juniors are 9 to 13 as of January 1, 2023. Seniors are 14 to 18 as of January 1, 2023. Counties may bring more than one junior and senior team as long as they are from separate clubs. To qualify as separate clubs, the clubs must meet and practice at different times, in different places, and be led by different volunteers or coaches. The top scores determine the team as indicated in the discipline’s rules. A 4-H'er may decide not to compete for team awards and only participate individually. This must be determined at on-site check-in. Any individual who participates in the National 4-H Shooting Sports Championships may not participate in that discipline at the State 4-H Championships in subsequent years. Individuals Individuals may participate in all State 4-H SAFE Championships as long as they meet the eligibility rules. If the winning senior team chooses not to attend the National 4-H Shooting Sports Championships, the age-eligible members of that team may compete in that discipline’s State 4-H SAFE Championships in the future. 2024 National 4-H Shooting Sports National Competitive Championships June 23–28, 2024. Limited funding up to $2,000 is provided by the state 4-H office for teams who opt to go. Winning teams are responsible for the balance of their expenses and encouraged to engage in fundraising. Funds raised in the name of 4-H can be used only for the 4-H team members and one designated coach per team. Per 4-H policy, all fundraisers must be approved by the Extension coordinator of the county in which the team is located. Funds must not be solicited outside the county without permission of that county’s Extension coordinator. Safety All competitors, coaches, and spectators (including small children) must wear eye and ear protection when forward of the ready line. No eye or ear protection is required for archery, only finger protection. Any individual may be asked to leave the range at the request of the match director, state 4-H SAFE program coordinator, that team’s coach, or range officers for exhibiting unsafe actions, attitudes, or behaviors. All decisions are final and not subject to protest. This removal is a disqualification. No unauthorized electronic devices are allowed on the competition ranges. Use may result in immediate disqualification. Coaching Once a team has entered the range or field for competition, only team members, range officers, and scorers/judges are allowed on the range. Range officers are appointed by the match directors. Coaches must remain behind the range. No one, including coaches and spectators, can coach, advise, or assist participants once competition has begun, unless rules otherwise allow. Unauthorized coaching from behind the range can result in disqualification. Coaches must ensure that their competitors are familiar with the range, range procedures, and championship rules. Ignorance of range procedures or championship rules is not a basis for protest. Awards First-, second-, and third-place team awards are given in each age division. Individual awards are given to the first-, second-, and third-place finishers in each class and age division. Awards are announced at the end of the respective championships. Code of Conduct All participants are expected to follow the 4-H Code of Conduct. Dress Code All participants are expected to follow the 4-H dress code. Protests/Challenges Only 4-H competitors are allowed to protest/challenge their targets. All protest/challenge monies not returned go to the state 4-H SAFE program. Protest fees vary by championship and are listed in the specific championship rules. 2024 Postal Matches If a team or individual has a compelling reason why they cannot attend a respective discipline’s state championship at the designated venue on the designated dates, team members can shoot what is called a postal match. A postal match is a means by which the scores of absentee 4-H archery teams or individuals may be emailed in and counted toward state 4-H championships. All postal match participants and one coach must register for the event through 4HOnline. All eligibility rules apply to postal matches. Shotgun is excluded from postal match participation. Team members or individuals shoot rounds, strictly following the 4-H rules, under the supervision of an adult range owner or officer who has no affiliation with the 4-H club (cannot be a relative, close friend, or the 4-Her’s coach). Teams must submit requests for postal match participation in writing, by email, to the state 4-H SAFE program coordinator and appropriate discipline lead for the particular championship 45 days before the date of the event. Submission must be completed by the relevant 4-H Foundation regional Extension agent and contain the following information: 1. Subject line: Postal Match Request 2. Reason for not attending respective discipline championship 3. Date and location of postal match 4. Name and contact information of unbiased third-party scorekeeper The person requesting a postal match receives permission or denial by email within 7 business days after the request is made. More information may be requested so that an informed decision can be made concerning participation. Teams or individuals who opt for a postal match in lieu of attending a State 4-H SAFE Championship are responsible for their own target, ammo, and range fees. The fee to submit scores is double the registration fee per person for that championship. Postal Match Rules - Each discipline postal match strictly follows the course of fire for that discipline. For scores to count as team scores, all members must shoot together at the same time and location. - Postal match scores must be supervised and certified by an unbiased third-party scorekeeper. The team’s 4-H coach and anyone associated with the team is not approved to certify postal match scores. - The scorekeeper must be approved in advance by the state coordinator and discipline lead. Scores must be recorded on standard scorecards, which are provided. The scorekeeper must legibly sign each submitted scorecard and include the following information: - name - address - phone - email - date of postal match - start and end times of postal match - location of postal match - In the event of a tie between an on-site team or individual and a postal match team, the on-site participants have preference over postal match entries. - Postal match scores must be submitted by email to the state 4-H SAFE program coordinator and respective championship discipline lead 2 weeks before the date of the respective championship. Include the subject line: Postal Match Scores. Match Contacts Sarah Butterworth, Archery Discipline Lead/Match Director, email@example.com, (334) 703-6777 Refer to additional information in the Competitive Events Introductions and General Championship Rules. Date Saturday, April 13, 2024 Time 8:00 a.m. (on-site check-in from 8:00 to 8:45 a.m.) Location Alabama 4-H Center, 892 Four H Road, Columbiana, Alabama 35051 Age Divisions Juniors 9 to 13 (as of January 1, 2024) Seniors 14 to 18 (as of January 1, 2024) FITA Competitive Classes - Junior Compound without sights (10 and 20 meters) - Junior Recurve without sights (10 and 20 meters) - Senior Recurve without sights (10 and 20 meters) - Senior Compound without sights (10 and 20 meters) - Junior Compound with sights (10 and 20 meters) - Junior Recurve with sights (10 and 20 meters) - Senior Recurve with sights (40, 50, and 60 meters) - Senior Compound with sights (40, 50, and 60 meters) - Senior Compound without sights (shots from 5 to 25 yards) - Junior Compound with sights (shots from 5 to 25 yards) - Junior Recurve with sights (shots from 5 to 25 yards) - Senior Recurve with sights (shots from 5 to 40 yards) - Senior Compound with sights (shots from 5 to 40 yards) 3-D Competitive Classes - Junior Compound without sights (shots from 5 to 25 yards) - Junior Recurve without sights (shots from 5 to 25 yards) - Senior Recurve without sights (shots from 5 to 25 yards) Cost $30 per shooter includes one FITA and one 3-D class (nonrefundable) Awards are given for FITA classes and 3-D classes separately plus overall. Teams must participate in both FITA and 3-D competitions to be eligible for the national event. Registration All teams and individuals must register through v2.4honline.com. Registration opens by February 13 and closes March 28. Please read all rules. Safety Bows may be drawn only on approved ranges with permission of a designated range officer. Sky-drawing is not permitted on the firing line. It is the responsibility of the 4-H'er to know the rules and abide by them. Learning the rules of the event is part of the educational process for 4-H Shooting Sports. There is a mandatory safety meeting with all participants on the shooting field 15 minutes before each flight begins. Match Equipment Teams and individuals must furnish all their own equipment. All equipment is inspected at check-in. All questions must be asked to the match directors. Participants should bring 8 arrows to equipment check-in. It is desirable that shooters not share equipment. If sharing is necessary, indicate this at on-site registration. Archers should mark their arrows so they can be identified quickly. - Arrows: For compound bows with sights, arrows up to 27/64 can be used. Arrows must meet AMO minimum weight standard of 5 grains arrow weight per pound of peak bow draw weight. - Bows: For bows without sights, Easton 1820 arrows can be used. Bows must be 60 pounds or less in draw weight. - Recurve bows: Kisser buttons, clickers, adjustable sight pins, and multiple hunting-style sight pins may be used. String peeps, mechanical release aids, and torque compensators cannot be used. - Compound bows with sights: Release aids, optical sights, clarifiers, or spirit levels are permitted. Overdraws may not place the arrow rest farther than 6 centimeters from the pivot point of the bow. Battery lights on sight aids can be used. No sight aid with a built-in range finder is allowed. - Compound bows without sights should be unmodified Original Genesis bows or similar. Prior approval can be requested from the match director to use bows other than Genesis. - All archers must have finger protection either on the bow string or on their fingers unless using a mechanical release aid. All shooters must use ground quivers (provided) during the FITA competition. All shooters must have a side or hip quiver during the 3-D competition. - Binoculars are allowed on the 3-D course. The presence or use of range finders by youth/parents/spectators at the 3-D course results in immediate disqualification for any individual involved. - Youth are not allowed to have a cell phone on the range or while waiting during the 3-D round. Any youth seen with one is disqualified. Parents are allowed to have cellular devices but must keep them on silent or vibrate. Only in emergency situations may they be used in the immediate vicinity of the competitive ranges during active competition. Replacement of Equipment A 4-H coach may provide replacement or additional equipment as needed after obtaining permission from the match director. Coaches may be requested to assist a 4-H'er with a situation on the firing line by the match director. Twenty minutes are given for equipment failure. A 4-H shooter is allowed to shoot all shots after the equipment is fixed. Range Commands Control over the range is through whistle commands. - Two whistle blasts: Archers to the shooting line. Shooters should not touch arrows. - One whistle blast: Begin shooting. - Three whistle blasts: Walk forward to score and retrieve your arrows. - Four or more whistle blasts: Stop shooting immediately and put your arrows in your quiver. FITA Target & Course of Fire 80 centimeter faces, 5 colors - Juniors without and with sights: 6 ends of 3 arrows from 10 and 20 meters (36 arrows) - Seniors without sights: 6 ends of 3 arrows from 10 and 20 meters (36 arrows) - Seniors with sights: 3 ends of 6 arrows from 60, 50, and 40 meters (54 arrows) Shooters have a total of 4 minutes to shoot six arrows and 2 minutes to shoot three arrows. Archers are scored by other youth in their group. Adult volunteers oversee scoring and help only when requested by 4-H’ers. Any disagreement in scoring must be settled by the range official before the arrow is pulled. Shooters must sign their scorecard at the end of the match before leaving the range. 3-D Target & Course of Fire - Junior and senior without sights and junior with sights: 10 to 20 targets; shots from 5 to 25 yards - Junior with sights: 10 to 20 targets; shots from 5 to 25 yards - Senior with sights: 10 to 20 targets; shots from 5 to 40 yards Three to five youth are assigned to a group for the 3-D round. They proceed to rotate as a group through all ten to twenty targets in the round. The amount of targets are determined after registration. Each archer in the group is allowed to shoot one arrow per target. All shots made are at an unknown distance. The maximum distance is based on the age of the youth (junior or senior) and the type of bow (compound with sights, compound without sights, and recurve). Scoring - +11 points (center circle inside 10 ring); +10 points (10 ring); +8 points (8 ring); +5 points (any body part shot outside the 8 ring); X (misses, glancing shots, not touching body color [hitting horns, rocks, logs, etc.; hooves considered body color]) - Ties are broken by the highest number of 11s, then 10s, 8s, etc. - Bounce-outs are scored as an X (no points). The youth is not allowed to shoot the arrow again. - Archers are scored by other youth in their assigned groups. All arrows are to be scored within the group before any arrows are pulled. An arrow cannot be scored once it is pulled. - Any disagreement in scoring is settled by the range official before the arrow is pulled. - If an arrow is robin-hooded, both arrows are scored and receive the same amount of points. Required Score Volunteers Every team must have a minimum of one adult per four archers to assist with scoring. All adults helping with scoring are required to stay the entire match. No adult is allowed to score a participant from their own county. No coaching or talking by parents and coaches to youth is allowed during the match. No parent, coach, or other spectator is to be on the range during the match. No one is to go down range to take a picture during shooting. Protests All protests must be made to the state 4-H archery discipline lead with a $10 (cash only) protest fee (potentially refundable). Protests must be made by 4-H youth for committee review. Protest forms are available on-site. Directions From Birmingham/I-65 Take I-65 South to Exit 238 (Alabaster-Columbiana). Turn left onto Hwy. 31. Go 6.3 miles to Hwy. 70 and turn left. Follow Hwy. 70 to Columbiana. Go through two traffic lights. Travel 0.3 mile past the second light and take the right fork by Shelby County High School onto Shelby County Hwy. 28. Follow Hwy. 28 for 4.8 miles to Hwy. 145. Go straight across Hwy. 145 for 1.7 miles and turn left at 4-H sign. Follow this road to the lodge. From Birmingham/Hwy. 280 Take Hwy. 280 to Chelsea, turning right onto Hwy. 47. Go 12.8 miles to Columbiana. Go straight through traffic light into downtown Columbiana. At the next traffic light in the center of town, turn left. Travel 0.3 mile and take the right fork by Shelby County High School onto Shelby County Hwy. 28. Follow Hwy. 28 for 4.8 miles to Hwy. 145. Go straight across Hwy. 145 for 1.7 miles and turn left at 4-H sign. Follow this road to the lodge. From Montgomery Take I-65 North toward Birmingham. Get off at Exit 212 (Clanton-Lay Dam) turning right onto Hwy. 145. Go 20.6 miles and turn right onto Shelby County Hwy. 28. Go 1.7 miles and turn left at 4-H sign. Follow this road to the lodge. From Atlanta Take I-20 West toward Birmingham. Take exit 158 at Pell City, Alabama, on Hwy. 231 South. From Pell City go straight through Vincent and Harpersville to Wilsonville. (Note: Hwy. 231 changes to Hwy. 25.) In Wilsonville, turn left at the traffic light onto Hwy. 61 South. Travel 2.7 miles to Hwy. 145. Hwy. 145 forks to the left. Travel 3.1 miles on Hwy. 145 to Hwy. 28. Turn left onto Hwy. 28. Go 1.7 miles and turn left at 4-H sign. Follow this road to the lodge. From Auburn Take Hwy. 280 to Childersburg. Go over river bridge outside Childersburg and turn left onto Hwy. 76. Follow Hwy. 76 for 5 miles to Hwy. 25. Turn left onto Hwy. 25 and travel 4.4 miles to Wilsonville. Follow directions above from Wilsonville to the 4-H Center. From Tuscaloosa Take I-459 from Tuscaloosa to Birmingham. Take I-65 South off I-459. Travel on I-65 South to Exit 238 (Alabaster-Columbiana). Follow directions above from Birmingham/I-65 to 4-H Center. Lodging There are multiple lodging options within driving distance of the 4-H Center. The Alabama 4-H Center also has hotel rooms and cabins. For information call (205) 669-4241. In accordance with Federal law and U.S. Department of Agriculture (USDA) civil rights regulations and policies, this institution is prohibited from discriminating because of race, color, national origin, sex (including gender identity and sexual orientation), age, disability, and reprisal or retaliation for prior civil rights activity. Program information may be made available in languages other than English. Persons with disabilities who require alternative means of communication for program information (e.g., Braille, large print, audiotape, and American Sign Language) should contact the Alabama Cooperative Extension System Human Resources Department at (334) 844-5531 or the State of Alabama Governor’s Office on Disability (GOOD) at (888) 879-3582 or USDA’s TARGET Center at (202) 720-2600 (voice and TTY) or contact USDA through the Federal Relay Service at (800) 877-8339. To file a program discrimination complaint, a complainant should complete a Form AD3027, USDA Program Discrimination Complaint Form, which can be obtained online at https://www.usda.gov/oascr/how-to-file-a-program-discrimination-complaint, from any USDA office, by calling (866) 632-9992, or by writing a letter addressed to USDA. The letter must contain the complainant’s name, address, telephone number, and a written description of the alleged discriminatory action in sufficient detail to inform the Assistant Secretary for Civil Rights (ASCR) about the nature and date of an alleged civil rights violation. The completed AD-3027 form or letter must be submitted to USDA by mail: U.S. Department of Agriculture Office of the Assistant Secretary for Civil Rights, 1400 Independence Avenue, SW, Washington, D.C. 20250-9410; Fax: (833) 256-1665 or (202) 690-7442; or Email: firstname.lastname@example.org. This institution is an equal opportunity provider. Revised March 2024, 4HYD-2131-A © 2024 by the Alabama Cooperative Extension System. All rights reserved. www.aces.edu
Backcountry Camping and Basic Survival Skills Lance Simms SPLASH 4/21/12 Agenda • Motivation for Backpacking • Preparation – Planning your route – Preparing equipment, food, and supplies – Letting others know where you’re going!!! • During your Trip – Hiking – Navigating – Finding water Motivation Bottom of the Grand Canyon - Takes one day to reach the bottom - Great places to camp - Many people have died trying to hike down and back in one day! Goddard Canyon – Sequoia/Kings Canyon National Park - Takes two days to reach this unnamed lake - Excellent fishing, beautiful scenery, tons of wildlife Cerro Del Plomo – 17,800 feet - Chile • Reaching high peaks generally requires a series of base camps • Base camps used to split large distance and adjust to altitude Grand Canyon of the Tuolumne River – Yosemite, CA - Spectacular canyon in Yosemite - Rivals the main valley - Requires multi-day travel See Wildlife in Natural Habitat - Easy to find bears eating berries or looking for fish away from campgrounds Motivation You don’t have to deal with this!! • Loud, obnoxious campgrounds don’t exist in the backcountry • No lights means pitch-black skies perfect for viewing stars Preparation – Route Planning • Research the area you want to explore • There are some great books out there (e.g. Sierra Nevadas) Start out with an easy route • A 1 or 2 night, out-and-back trip is a good start • Book will give you low detail map, but you need more Preparation – Route Planning Once you’ve picked a route, get detailed maps Little Yosemite Valley: a great spot for a first trip! GPS vs. Map • Having a GPS is great, but make sure you always bring a waterproof map • If you have GPS, download route and waypoints for your trip before leaving Preparation – Route Planning Make sure your map is detailed enough - Scale on map is ratio of map units to real units - E.g. 1:20,000 means 1 inch corresponds to 20,000 inches ~1670 feet - For backpacking, 1:24,000 is usually adequate Preparation – Route Planning The key question is: How long will it take? For hikers that 1) are in decent physical shape 2) carry a pack that is about 20% of their body weight ...the rule of thumb is It will take about - 1 hour for every 2-3 miles hiked on flat ground - 1 hour for every 1000 feet of elevation gain • Add time for bathroom breaks, etc. (more people means more breaks) • Take lunch and snack breaks into consideration • Taking your pack off for 5-10 minutes an hour is a good idea • Take the weather into consideration. Snow slows you down; so does heat. • Where will you set up camp each night? We’ll talk about this later. • When dealing with elevations above 8000 feet or so, you have to factor in the possibility of elevation sickness (will talk about this later) Preparation – Route Planning Let’s do an example Total Time = 3.5-4.0 hours Contour interval = 150 feet - Total horizontal distance is about 2.4-3.0 miles -> +1.0 hour - Total elevation gain is about 2200 feet -> +2.0 hours - Time for pictures and bathroom breaks -> +0.5 hours Preparation – Gear: Backpack First thing you’ll need is a backpack to carry all your stuff. Two Main Types: Internal Frame & External Frame I’d recommend internal frame packs since they generally have more volume. Preparation – Gear: Backpack One size does not fit all!! • Make sure you are fit properly when buying a backpack • I generally use an 80 Liter pack, smaller people may use 50 or 60 Liter Preparation – Gear: Tent 3 Season Tents - Appropriate for most camping except winter (heavy snow & winds) - Waterproof fly covers tent in case of rain and wind - As light as 3 pounds! 4 Season Tents - Built to withstand weight from snow - Some are waterproof and windproof without fly - Heavier: 6-10 pounds Preparation – Gear: Tent Some people forego the tent and use a Bivy Sack Advantages • Lightweight • Compact in your bag • Aerodynamic in wind Disadvantages • Small, tight squeeze • Can’t cook inside it • Not the best place to hold up in bad weather Preparation – Gear: Sleeping Bag Your sleeping bag is one of the most important pieces of equipment you’ll be carrying. Two Main Types: Goose Down & Synthetic Fiber Make sure you hang your sleeping bag or lay it flat when you store it. Leaving it rolled up will ruin its loft, which is what keeps you warm. Goose Down +15° F Synthetic +20° F Marmot® - Warmer oz. for oz. - Very Compact - Breathable - Does not work when wet - Works when wet - Dries quickly - Heavier - Not compact Preparation – Gear: Sleeping Pad A sleeping pad is for more than just comfort Your Sleeping Pad: • Provides insulation between you and the ground • Comes in inflatable and non-inflatable flavors • Thin, light weight ones are available, but can puncture easily • If sleeping on snow, it is absolutely necessary! Survival Tip: If your sleeping pad punctures or you don’t have one and the ground is cold, make a bed of pine needles, leaves, ferns, etc. to prevent heat loss. Preparation – Gear: Bear Canister Bears are extremely crafty and food needs protection. Some parks require canisters - Can generally be rented at trailhead - Slightly heavy, but better than hanging your food in a tree - Makes a good seat Preparation – Gear: Footwear Your feet are the most important part of your body on a long hike. People have different philosophies when it comes to shoes. Running/Tennis Shoes Pros - Flexible soles allow your foot to achieve normal range of motion - Rarely cause blisters if broken-in - Very breathable* Cons - Poor ankle support - May be shredded by harsh terrain - Not very protective against rocks and debris on trail - Not waterproof Wet feet are the primary cause of blisters. Take off your shoes before crossing rivers. Preparation – Gear: Footwear Your feet are the most important part of your body on a long hike. People have different philosophies when it comes to shoes. Hiking Boots Pros - Stiff soles prevent things from poking the bottom of your foot - Good ankle support - Warmth Cons - Not breathable - Stiff soles can prevent your foot from taking natural shape - Some boots are heavy - Certain kinds cause blisters* Breaking in boots will reduce or eliminate blisters in most cases, but not all. Preparation – Gear: Footwear Your feet are the most important part of your body on a long hike. People have different philosophies when it comes to shoes. These types of boots are good in constant snow. Preparation – Gear: Socks Avoid cotton, avoid cotton, avoid cotton - Wool or synthetic socks are good - Thickness and cushioning vary from sock to sock - Good idea to bring thin socks for hiking during day and thick socks for night - Always bring an extra pair in case one gets wet or torn - Stop immediately if something gets trapped in your sock and remove it to prevent blisters Preparation – Gear: Clothes Layers, layers, layers. Oh, and avoid cotton. - Nylon T-shirt - Long Underwear - Fleece Top - Shorts (convert to pants) - Thick socks Even though you may look ridiculous, you can adjust your temperature with precision Preparation – Gear: Clothes Day Temperature in the 80s-90s Night Temperature in the 30s - Even in the summer you will need a heavy layer when temperatures drop at night - Especially important if fires are not allowed or there is no wood to burn - In many cases, you’ll want a ski cap and gloves Preparation – Gear: Clothes Protect yourself from wind and rain with a waterproof shell Also a good idea to bring waterproof pants Preparation – Gear: Stove, Pot, Spork Stove is great for cooking, boiling, and warming up without a fire. My favorite stove is the Snow Peak GigaPower. Preparation – Gear: Light Source Nothing really beats a headlamp, but any flashlight will do. - LED lamps provide many hours of light with one battery. - Extremely convenient for cooking, setting up a tent, collecting firewood, etc. - Make sure it’s not easily breakable like the one above. Preparation – Gear: Sun Protection Sunglasses, lip balm, sunscreen, and a hat The Polarized Lens Advantage Polarized Lenses - Superior to unpolarized - Block light reflected off water or snow Sure, you’ll survive without these things…but you’ll be absolutely miserable Preparation – Gear: Water Purification A number of options are available MSR Miniworks Ceramic filter* Iodine Tablets or Drops of bleach UV Sterilization Pen Survival Tip: Some old timers (or hippies) may tell you it’s not necessary. A filter can be improvised with some leftover charcoal from a fire. Stuff the charcoal down a hollow tube (bamboo, tent pole) and use as a straw. * This only treats for parasites and bacteria, not viruses. Good for USA, but not for some parts of South America, Africa, etc. Preparation – Gear: First Aid Kit Can make the difference between misery and enjoyment First Aid Kit Contents - A roll of gauze - Medical tape - Triple Antibiotic ointment - Bandages w/Adhesive - Ibuprofen or Advil - Moleskin (for blisters) - Iodine or alcohol-based disinfecting wipe - Safety pin - Medications My first aid kit has come in handy on almost every single trip I’ve taken Preparation – Gear: Knife A Swiss-Army Knife or Leatherman is extremely useful. Primary blade, saw, scissors, and can opener are particularly useful. You can also get a badass knife like Bear Grylls, but chances are you’ll rarely need a heavy-duty blade like his unless you’re building rafts or making your own shelter. Preparation – Gear: Other Essentials Always Essential - Lighter – For starting fires - Matches in waterproof container – In case lighter fails - Map – Absolutely essential, even if you’re hiking on a well used-trail with signs - Compass – Durable so that it can take a beating, liquid bearing is nice - Whistle – In case you’re lost and need to call for help - Duct Tape – Tear off a few feet and roll it around your match case or something - TP – In addition to the obvious, it can be a lifesaver for lighting a fire when it’s wet - Watch – You ought to know the time. If possible, get one with an altimeter! Essential if conditions are right - Bug Repellant – You’ll be in agony without it in July or August in the Sierras - Snake Bite Kit – If poisonous snakes are in the area - 50’ Feet of Rope – If you plan on going off trail, it can be used for fording rivers or lowering yourself down ledges Whenever you venture out into the wilderness, a survival kit could be a lifesaver. Survival Kit Contents - Flint and Striker – For starting fires with a spark (difficult without good kindling) - Candle – Made of tallow (fat), can be eaten in case of starvation - Snare Wire – For setting snare traps to catch rabbits - Needle and thread – Stitching clothes, wounds - Magnifying glass – Starting fires, and finding splinters, stings - Flexible Saws – Can be used to cut trees or lumber - Fish hooks and line – Used to catch fish, add a few split shots for weight For a good explanation of how to use all these things, see the book SAS: Survival Handbook by John “Lofty” Wiseman. Preparation – Food The food you bring will be a matter of personal preference, but there are a few smart rules to follow. *Rule 1: Avoid foods that contain water. It’s just extra weight. Examples: Apples, carrots, oranges…most fresh fruits and vegetables Rule 2:* Avoid foods that spoil or bruise easily Examples: Bananas, yogurt, steak, certain kinds of cheeses Rule 3: For long trips, try to maximize calories per unit volume Food with lots of air space in it can be traded for its denser counterparts Examples: Tortillas instead of bread, oats instead of granola, white rice instead of brown For 1-2 day trips, it can be fun to bring hot dogs, steaks, etc. Breakfast: Oatmeal, dried blueberries, almonds Morning Snack: Powerbar Lunch: Peanut butter and honey on tortillas, trail mix, clif bar Afternoon Snack: Protein bar Dinner: Rice with dried vegetables, a pack of tuna (aluminum bag, not can), chamomile tea, more trail mix It may not sound appealing now, but after a long day of hiking everything tastes excellent. With a meal plan like this, a bear canister can carry about 8 days worth of food. It’s about 2500-3000 calories a day. You will lose weight on a trip. Preparation – The Most Important Item! Tell someone where you’re going!!!!!!!!! #1) Tell your parents where you’re going and when you’ll be back #2) Stick by your plan. Don’t change it! #3) Your parents will get a rescue going if you’re not back on time. As long as you stay your course, someone will find you. Hiking – General Tips You’re all ready to go now. Here are some tips: 1) Don’t rush the slowest person in your group. 2) Sweating and heavy breathing are ok, but nausea and light-headedness are not. 3) If you think you won’t be able to cross a river without getting your boots wet, take them off and cross. 4) Take off your shoes as often as possible (at lunch, breaks, etc.) to avoid blisters. 5) If you get anything caught inside your shoe, stop and take it out. It will contribute to blisters. Hiking – Elevation Changes As you go up in elevation, 3 easily noticeable things happen: 1) The air becomes thinner and it gets harder to breathe 2) The temperature drops about 3.5°F for every 1000 feet 3) The vegetation disappears, so there’s no shade Take this into consideration when you’re hiking: Hiking 5 miles from 4000 feet above sea level to 7000 feet in one day may not be that hard. Hiking 5 miles from 9000 feet above sea level to 12000 feet will be much harder. Don’t get too high on the first day: Your body needs time to adjust. So try to sleep at 8000 feet or so before attempting to go above 10,000 feet. There’s no way to know how you will react to elevation: Everybody is different, the only way to find out is to try. Hiking – Elevation Sickness Elevation sickness has many different symptoms - Dizziness, faintness, upset stomach, shortness of breath, pins and needle sensation, nosebleed, and the list goes on There’s only one cure that works for sure GO DOWN Hiking in mild rain or snow is very pleasant, but lightning can kill. You can use your altimeter to predict weather. Barometric Pressure Altimeters work by measuring barometric pressure. If you are moving, it will tell you how much height you have gained/lost. If you are standing still or camping overnight, it will tell you how the atmosphere is behaving. - Increase in elevation -> Bad Weather - Decrease in elevation -> Good Weather Hiking – Predicting the Weather Clouds and wind direction are also a good indication of the coming weather. Cumulus Clouds Low, puffy clouds. Generally a sign of good weather unless they start gathering in big towers. Then they become cumulonimbus, which bring storms and hail. Hiking – Predicting the Weather Clouds and wind direction are also a good indication of the coming weather. Cirrus Clouds High, wispy clouds Usually seen in fine weather. If sky above them darkens, rain may be on the way. If you can see a halo from the sun or moon, good weather is coming if it’s getting bigger, bad if it’s getting smaller. Hiking – Predicting the Weather Clouds and wind direction are also a good indication of the coming weather Stratus Flat, sheet of clouds covering most of sky Generally bring light rain or drizzle If low enough, they form fog Hiking – Predicting the Weather Clouds and wind direction are also a good indication of the coming weather Wind Direction These guidelines are not 100% true, but they’re a good bet. If the wind is from the North: Cold weather coming South: Warm weather coming East: Rain is coming West: Fair weather is coming Notes: 1) This is for the Northern Hemisphere 2) In rugged terrain, wind direction is mainly due to thermal stabilization currents, so may not be applicable Hiking – Dealing with the Weather In the mountains, heavy afternoon thunderstorms are very common If a thunderstorm is headed your way • Get down from mountain tops or exposed areas • Avoid isolated, tall trees • Seek shelter from low lying stands of trees • Get in your tent, sit on top of your therma-rest and other rubber/plastic materials in crouched position • Don’t panic, they usually dissipate by 5 pm Navigating – With GPS Finding your way with a GPS is very straightforward, but beware of signal loss in canyons or blockage from mountains. GPS built for the trail - Load waypoints for your route before leaving - Set waypoints as you go so you can backtrack in case you get lost Navigating – Without GPS Baseplate Compass • Can be used with a map to triangulate your position • Can be used to steer you on the right course once you have a bearing • Having an altimeter helps Navigating – Triangulation Step 1: Put your compass down on the ground and orient the dial so 0° is at north. Step 2: Take the bearings of at least two prominent peaks or landmarks. Step 3: Draw lines on your map with these bearings. Where they intersect is where you are. Navigating – Triangulation 230° 270° You are here Finding Water Try to plan your campsites around lakes or rivers. Be aware that some water sites are seasonal. They have water during the winter, but dry up during the summer. Finding Water In some places, you’ll have to carry 4-5 liters of water. Know where the water sources are, but don’t depend on them in the desert. You’ll need at least 2 Liters of water per day to feel ok. That may go up to 4 Liters if you’re sweating from heat or exertion. Finding Water – Survival Situation If you are desperate, there are a number of ways to obtain water from the ground or air. Solar Still Or you can dig at the bottom of a canyon where vegetation is present. Finding Food There are many, many things that can be eaten all around us Some involve a good deal of preparation Take a class on edible plants to find out what’s good! Miner’s Lettuce A favorite food that can be found in Northern California wilderness Ending Notes • Backpacking allows you to reach some amazing places • You must be prepared to deal with normal circumstances as well as bad weather and first aid emergencies • Always tell someone where you and your group are going! • If you feel like you have elevation sickness, go down!
Analysis On Phase Shift Method Of Stealing Electricity Meter Wiring Feng Bo Gu\textsuperscript{1, a} \textsuperscript{1}State Grid Cangzhou Electric Power Supply Company,No.18.Xinhua East Road,Xinhua District,Cangzhou City,Hebei Prov,China,061000 \email@example.com Keywords: Power factor angle; Electric larceny; Anti electric larceny; Power supply; Phase diagram Abstract. The electric energy meter error for system operation because of stealing brings, will cause loss of energy meter measuring electric energy electricity, and affect accuracy and integrity of energy settlement. In real work, we not only need to view real-time electric energy meter display and measurement value which copied back by remote meter reading system, for example the secondary current, voltage, power, power factor, use instrument and phasor diagram in order to analyze and judge the electric energy meter running state whether there is electricity stealing to the user of electricity consumption of the large fluctuation. Calculating the corresponding correct electricity and electricity stealing amount can provide technology guarantee for the accurate measurement of electric energy. Introduction To ensure the accuracy and fairness of electric power measurement is always the goal of electric power enterprises. At the same time, the accuracy of power measurement can provide basic guarantee for mutual benefit. With the rapid development of science and technology, the traditional electric energy meter which is destructive is less and less especially in the high voltage of stealing electricity, the way is also more and more advanced(see [1-10]). One of the most common, is also the most difficult method is starting from the basic principle of power measurement to change the meter secondary loop wiring and circuit structure in order to make the meter more slowly and steal electricity. It isn't too hard to see the methods of stealing electricity are under-voltage, shunt, phase-shift, destruction. Below I will analysis the method of phase shifting method. The principle of three-phase three wire electric energy metering device For three-phase three wire electric energy meter, the phasor diagram as shown in Figure 1. In Figure 1, $\Phi_a$, $\Phi_b$, $\Phi_c$ are power factor angle, $U_a$, $U_b$, $U_c$ are the secondary phase voltage, $I_a$, $I_c$ are the secondary phase current. The right wiring of the three-phase three wire electric energy meter is: the element 1 uses line voltage $U_{ab}$ and phase current $I_a$, the element 2 uses line voltage $U_{cb}$ and phase current $I_c$, expression of instantaneous power is $P = U_{ab}I_a + U_{cb}I_c = \sqrt{3}UI\cos\Phi$. The practical work, we can preliminary analysis of the user's meter connection is normal by comparing instantaneous power which calculated from real-time voltage, current with power meter display. Figure. 1 The phasor diagram of three-phase three wire electric energy meter From the above, the amount of power of electric energy meter measuring mainly depends on the product of three elements of voltage, current, power factor and time. On site inspection, we can adopt the following simple method in order to distinguish electric energy meter wiring is correct: First of all, for any electric energy meter of positive rotation, if the original electric energy meter wiring is correct, through exchange any two voltage into the line three times, the electric energy meter should be stopped three times, Otherwise, wiring must be a mistake. Its power is calculated as follow for meter of right wiring after exchange any two voltage into the line: Exchange A、B phase voltage, its power as follow: \[ P1 = U_{ba}I_a \cos(150^\circ - \Phi_a) = -UI \cos(30^\circ + \Phi) \] \[ P2 = U_{ca}I_c \cos(30^\circ + \Phi_c) = UI \cos(30^\circ + \Phi) \] \[ P = P1 + P2 = 0 \] Exchange B、C phase voltage, its power as follow: \[ P1 = U_{ac}I_a \cos(30^\circ - \Phi_a) = UI \cos(30^\circ - \Phi) \] \[ P2 = U_{bc}I_c \cos(150^\circ + \Phi_c) = -UI \cos(30^\circ - \Phi) \] \[ P = P1 + P2 = 0 \] Exchange A、C phase voltage, its power as follow: \[ P1 = U_{cb}I_a \cos(90^\circ + \Phi_a) = -UI \cos(90^\circ - \Phi) \] \[ P2 = U_{ab}I_c \cos(90^\circ - \Phi_c) = UI \cos(90^\circ - \Phi) \] \[ P = P1 + P2 = 0 \] The power of the electric energy meter calculation shows that if the original wiring is correct after exchange any two voltage into the line three times, the meter should be stopped (or micro). It just shows the meter could be right which the meter stopped after exchange any two voltage into the line three times. It is a necessary condition for the right wiring, but not a sufficient one which meter stop after exchange two voltage, So we must do further study. It follow as: First of all, revolutions per minute of meter are reduced to half of the original(Multifunctional electric energy meter power is half of the original) after disconnect B phase voltage .Its power as follow: \[ P1 = \frac{1}{2}U_{ac}I_a \cos(30^\circ - \Phi_a) = UI \cos(30^\circ - \Phi) \] \[ P2 = \frac{1}{2}U_{ca}I_c \cos(30^\circ + \Phi_c) = UI \cos(30^\circ + \Phi) \] \[ P = P1 + P2 = UI \cos \Phi \] (12) From the power calculation of the power shows that the rotational speed (magnitude of power) after disconnect B phase voltage should be reduced by half when the meter wiring is right, and then it will make the meter stop by exchanging the A, C phase voltage into the line. Continue, disconnect the A phase voltage, its power follows as: \[ P1 = Ucbl \cos(90^\circ + \Phi_a) = UI \cos(90^\circ + \Phi) = -UI \sin \Phi \] (13) Disconnect the C phase voltage, its power follows as: \[ P2 = UabIc \cos(90^\circ - \Phi_c) = -UI \cos(90^\circ - \Phi) = UI \sin \Phi \] (14) Power $ P1 $ and $ P2 $ equal in size, in the opposite direction. It shows that meter revolutions are the same, but in the opposite direction after disconnecting twice for any user power factor. It can judge the meter wiring is right which by observing the state of electric energy meter after exchanging any two voltages into the line and disconnecting phase voltage separately. The comprehensive analysis and calculation of the electric energy meter wiring error many of the results show that, for any of the wrong wiring case, combinations that are unlikely to occur simultaneously in these six cases. If the case is different from the above cases, that wrong wiring or stealing is considered. So we know, we can change the meter secondary voltage, current phase by using the phase shift method of stealing electricity in order to make the meter walk faster, more slowly and stop. Of course, thieves cannot make the electric energy meter walk faster. There are many conditions of meter walking more slowly and stopping. Now we analyze two of many conditions. Analysis on phase shift method of stealing electricity Firstly, we analyze the electric energy meter stop conditions: The three-phase three-wire electric energy meter, the element 1 uses line voltage $ Ucb $ and phase current $ Ia $, the element 2 uses line voltage $ Uab $ and phase current $ Ic $. The phasor diagram as shown in Figure 2. ![Figure 2](image) Figure 2 The phasor diagram of three-phase three-wire electric energy meter 2 In Figure 2, $ \Phi_a, \Phi_b, \Phi_c $ are power factor angles, $ Ua, Ub, Uc $ are the secondary phase voltages, $ Ia, Ic $ are the secondary phase currents. Expression of instantaneous power is: \[ P1 = Ucb * Ia * \cos(900 + \Phi) \] (15) \[ P2 = U_{ab} \cdot I_c \cdot \cos(90^\circ - \Phi) \] \[ P = P1 + P2 = 0 \] So, we came to a conclusion that how much the user electricity load, the electric energy meter basic no measurement when use the phase shift method of stealing electricity. Because this method can make that the electric energy meter is basically not go, but the actual power load is real time, so this method is very easy to be found. With the condition of line loss management is becoming more and more stringent, user basically don't use this method of electric stealing. Secondly, we analyze the electric energy meter walk more slowly conditions: The three-phase three wire electric energy meter, the element 1 uses line voltage $ U_{ba} $ and phase current $ -I_a $, the element 2 uses line voltage $ U_{ca} $ and phase current $ I_c $. The phasor diagram as shown in Figure 3. ![Figure 3](image) Figure 3 The phasor diagram of three-phase three wire electric energy meter 3 In Figure 3, $ \Phi_a, \Phi_b, \Phi_c $ are power factor angle, $ U_a, U_b, U_c $ are the secondary phase voltage, $ I_a, I_c $ are the secondary phase current. Expression of instantaneous power is: \[ P1 = U_{ba} \cdot (-I_a) \cdot \cos(300 + \Phi) \] \[ P2 = U_{ca} \cdot I_c \cdot \cos(300 + \Phi) \] \[ P = P1 + P2 = 2UI \cos(300 + \Phi) \] So, Expression of instantaneous power is $ P = \sqrt{3} UI $ when the power factor angle is $ 0^\circ $. Expression of instantaneous power is $ P = UI $ when the power factor angle is $ 30^\circ $. Expression of instantaneous power is $ P = 0 $ when the power factor angle is $ 60^\circ $. So we know that, when the power factor angle becomes larger, the three-phase three wire electric energy meter measuring instantaneous power becomes smaller, when the power factor angle closer to 600, the meter close to no measurement. From the expression on the correct wiring of power section ($ P = \sqrt{3} UI \cos \Phi $) can be seen, when the power factor angle is 00, instantaneous power expression is $ P = \sqrt{3} UI $. Therefore, we conclude that, in the event of phase shift method of stealing electricity, when the power factor is close to 1, i.e., the power factor angle is close to 00, the electric energy meter is basic normal measurement. When the power factor is close to 0.5, i.e., the power factor angle is close to 600, the electric energy meter basic no measurement. When we go to check one user, we will find that the power factor is close to 1 also the voltage, current, secondary power are normal, but the power factor is maintained at about 0.7 from the remote meter reading system. It is not difficult to explain why the user is always make the reactive power compensation device is put into operation before our staff to check, and has not been put into operation after our check. Summary So we can see from the above analysis that, it is very subtle when the user adopts the phase shift method of stealing electricity. When the power factor is close to 1, it is very difficult to find the stealing electricity behavior of user that by comparing instantaneous power which calculated from real-time voltage, current with power meter display. Therefore, From beginning to end when we check user we must observe the fluctuation power consumption of user every month and the usage of the reactive power compensation device, we also must use the phase volt ampere meter and the on-site checking instrument to measure voltage, current, secondary power, phase on spot. When necessary we can also move the measurement point up and use of high voltage metering box outdoor, so as to ensure the electric energy metering accuracy and fairness. References [1] B. Kamala Latha, Regina Jose, K. P. N. Murthy et al. Detection of an intermediate biaxial phase in the phase diagram of biaxial liquid crystals: Entropic sampling study[J]. Physical review, E. Statistical, nonlinear, and soft matter physics, 2014, 89(5 Pt.A): 050501-1-050501-5. [2] Jendrik Stein, Ralf Erich Schacherl, Minsu Jung et al. Solubility of nitrogen in ferrite; the Fe-N phase diagram[J]. International Journal of Materials Research, 2013, 104(11): 1053-1065. [3] A. Sheikhi, Sh. 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Canada’s Michael Smith Genome Sciences Centre www.bcgsc.ca AFFILIATIONS BC Cancer Research Center • BC Cancer Agency • BC Cancer Foundation • Genome BC • Simon Fraser University • University of British Columbia • Genome Sciences Institute circos & hive plots challenging visualization paradigms in genomics and network analysis 14.00 - 15.15 MARTIN KRZYWINSKI Genome Sciences Center BC Cancer Agency Vancouver, Canada PSA ANNUAL MEETING 2011 GENOMICS WORKSHOP University of Washington 12 July 2011 CIRCOS TOOL circular visualization of relationships and dense data www.circos.ca HIVE PLOTS CONCEPT approach for rational, scalable and interpretable visualization of networks www.hiveplot.com WHAT’S THE PROBLEM? (1) Fukui, T., et al., Complete genome sequence of the hyperthermophilic archaeon Thermococcus kodakaraensis KOD1 and comparison with Pyrococcus genomes. Genome Res. 2005. 15(5): p. 352-63. (2) Guo, X., et al., Natural genomic design in Sinorhizobium meliloti: novel genomic architectures. Genome Res. 2003. 13(8): p. 1810-7. (3) Thomson, N.R., et al., Comparative genome analysis of Salmonella Enteritidis PT4 and Salmonella Gallinarum 287/91 provides insights into evolutionary and host adaptation pathways. Genome Res. 2008. 18(10): p. 1624-37. (4) Lyle, R., et al., Islands of euchromatin-like sequence and expressed polymorphic sequences within the short arm of human chromosome 21. Genome Res. 2007. 17(11): p. 1690-6. (5) Veyrunes, F., et al., Bird-like sex chromosomes of platypus imply recent origin of mammal sex chromosomes. Genome Res. 2008. 18(6): p. 965-73. (6) Blanc, G., K. Hohkamp, and K.H. Wolfe, A recent polyploidy superimposed on older large-scale duplications in the Arabidopsis genome. Genome Res. 2003. 13(2): p. 137-44. (7) Pevzner, P. and G. Tesler, Genome rearrangements in mammalian evolution: lessons from human and mouse genomes. Genome Res. 2003. 13(1): p. 37-45. (9) Humphray, S.J., Oliver K. et al (2004) DNA sequence and analysis of the human chromosome 9. Nature 429(6990): 369-74. PSA ANNUAL MEETING 2011 GENOMICS WORKSHOP • circos & hive plots: challenging visualization paradigms Regions of similarity between human and dog genomes. (A) human genome. (B) human ideograms. (C) dog genome. (D) dog ideograms, coded by most similar human chromosome. (E,F) link bundles connect similar regions. (F1) rules are used to color bundles by size. (F2) bundles twist when similarity involves opposite strands. American Scientist, Sept-Oct 2007. Cover figure by M Krzywinski. PARADIGM SHIFT - ROUND IS THE NEW SQUARE The circle has made its comeback. Circos has been accepted by the biological community as a standard for displaying sequence relationships and genome rearrangements. Hillmer AM, Yao F, Inaki K et al. 2011 Comprehensive long-span paired-end-tag mapping reveals characteristic patterns of structural variations in epithelial cancer genomes. Genome research 21:665-675. In the 18th and 19th centuries cancer was a rare disease. Today it hits one in three people. Why the difference? The answer is we now live longer. Cancer is mainly a disease of older people. In centuries past, people often died young or in their prime from diseases such as tuberculosis, malaria, whooping cough, and other illnesses. But we’ve conquered all of those with vaccinations and antibiotics. We now live into our seventies, eighties, and even nineties. Some of us live to be 100. Unfortunately, as we age we increase our chances of getting some form of cancer. The prescribed treatment is surgery, radiation and/or chemotherapy. All of which have serious side effects and produce serious side effects. But now a revolutionary anti-cancer weapon is emerging – the modern supercomputer. At the forefront of this approach is Steven Jones (MSc’94), professor of Molecular Biology and Biochemistry at SFU, and associate director of the BC Cancer Agency’s Genome Sciences Centre. POPULAR CULTURE Wired, April 2010. Figure by M Krzywinski. The town of Cáceres, Spain, a UNESCO World Heritage Site, used Circos to illustrate the relationships between businesses in their urban planning strategy. DEDICATED TO GOING BEYOND YOUR EXPECTATIONS. DHL Express is not only about going faster and further. It’s about delivering and getting closer to customers – to your customers, to each other and to our global community. We empower our worldwide team to make our customers more successful with the best express shipping services for their business. We deliver when no one else can, today or tomorrow. You can rely on DHL. www.dhl.com/canada/en EXCELLENCE SIMPLY DELIVERED. WHY CIRCLES? Moving your eye across the curved path is faster and more comfortable. WHY CIRCLES? Linear layout of scale has disadvantages of changing focus (regions in the center of the image receive more attention), broken adjacency (neighbouring points on a linear scale are separated), broken continuity (data tracks are difficult to follow from one edge of the figure to another), and non-uniform data emphasis (center and edge of the axis are not perceived uniformly - the edge implies periphery, which may not apply). WHY CIRCLES? The circular layout accommodates variable resolution. \[ L = 3l \] \[ L' = \pi d = 1.05L \] The maize B73 reference genome B73 RefGen_v1 Concentric circles show aspects of the genome. Chromosome structure (A). Reference chromosomes with physical fingerprint contigs (11) as alternating gray and white bands. Presumed centromeric positions are indicated by red bands (31); enlarged for emphasis. Genetic map (B). Genetic linkage across the genome, on the basis of 6363 genetically and physically mapped markers (14, 19). Mu insertions (C). Genome mappings of nonredundant Mu insertion sites (14, 19). Methyl-filtration reads (D). Enrichment and depletion of methyl filtration. For each nonoverlapping 1-Mb window, read counts were divided by the total number of mapped reads. Repeats (E). Sequence coverage of TEs with RepeatMasker with all identified intact elements in maize. Genes (F). Density of genes in the filtered gene set across the genome, from a gene count per 1-Mb sliding window at 200-kb intervals. Sorghum synteny (G) and rice synteny (H). Syntenic blocks between maize and related cereals on the basis of 27,550 gene orthologs. Underlined blocks indicate alignment in the reverse strand. Homoeology map (I). Oriented homoeologous sites of duplicated gene blocks within maize. Schnable PS Ware D Fulton RS et al. 2009 The B73 maize genome: complexity, diversity, and dynamics Science 326 1112-1115. INFORMATION-DENSE, BUT PARSABLE Reith F, Etschmann B, Grosse C et al. 2009 Mechanisms of gold biomineralization in the bacterium Cupriavidus metallidurans Proc Natl Acad Sci U S A 106 17757-17762. The most frequent complex rearrangements involving MLL and (A) AFF1/AF4. Localization of chromosomal breakpoints and UPN of individual patients are indicated. Colored lines indicate in-frame fusions (green), out-of-frame fusions (red), no partner gene present at the recombination site (blue). Meyer, C., E. Kowarz, et al. (2009). "New insights to the MLL recombinome of acute leukemias." Leukemia 23(8): 1490-1499. Figure by M Krzywinski. LEFT Regions of similarity between human and dog genomes. American Scientist, Sept-Oct 2007. Figure by M Krzywinski. RIGHT Similarity between genes in human and fly (D. melanogaster) genomes. Russell, P. J. (2010). iGenetics: A Molecular Approach, Benjamin Cummings. Figure by M Krzywinski. Various types of data tracks can be stacked. Five instances of a compound track each represent copy number information from a different sample. Using links and highlights, attention is drawn to the progression of scale increase within chr17:53-63Mb. Krzywinski, M., J. Schein, et al. (2009). "Circos: an information aesthetic for comparative genomics." Genome Res 19(9): 1639-1645. Data sets which do not sample the genome uniformly (A) can be effectively shown by using a connector track (B) to show the remapping onto an index scale (C). Shown in the figure are methylation values (A) for 7 tissues are summarized using stacked histograms (C), whose bins represent statistics for remapped methylation probe positions. Zimmer, C. (2008). Now: The Rest of the Genome. New York Times. Figure by M Krzywinski. dynamic parameters and rules ALTER FORMATTING, NOT DATA DYNAMIC PARAMETERS PSA ANNUAL MEETING 2011 GENOMICS WORKSHOP · circos & hive plots: challenging visualization paradigms DYNAMIC PARAMETERS LEFT color = spectral-11-div RIGHT color = eval(join(",",map { sprintf("chr%d_a%d",__$CONF{counter}{mmchain}__,$_) } (5,4,3,2,1) )) Each data point is tested against a rule chain. When the rule’s condition matches, the data point’s value, position and formatting can be dynamically adjusted. ``` <rule> condition = _VALUE_ < 15000 show = no </rule> <rule> condition = _VALUE_ < 20000 color = vvlgrey </rule> <rule> condition = _VALUE_ > 100000 color = black </rule> ``` The size and outline of each scatter plot glyph is influenced by the data value. The data value itself can be altered, as seen in the two outermost collapsed scatter plots, where the value for each point has been set to 0 to display the glyphs at the same radius. automation TEMPLATE-DRIVEN TRACKS Each track is associated with several internal counters. The value of the counters are different for each track and can be used to drive track generation from a single template. By referencing the template multiple times, new tracks can be created automatically, without having to change the template. Properties of each successive track are determined by the track’s index. Orientation, color, transparency, background can thus be made to alternate or progressively change. # track definition <plot> type = heatmap file = conservation.txt # track start/end radius r0 = 0.70r r1 = 0.75r # data range min = 0.1 max = 0.9 # color map color = spectral-11-div </plot> CIRCOS TOOL circular visualization of relationships and dense data www.circos.ca HIVE PLOTS CONCEPT approach for rational, scalable and interpretable visualization of networks www.hiveplot.com WHAT’S THE OTHER PROBLEM? (1) Shakhnovich, B.E. and E.V. Koonin, Origins and impact of constraints in evolution of gene families. Genome Res, 2006. 16(12): p. 1529-36. (2) Prinz, S., et al., Control of yeast filamentous-form growth by modules in an integrated molecular network. Genome Res, 2004. 14(3): p. 380-90. (3) Nayak, R.R., et al., Coexpression network based on natural variation in human gene expression reveals gene interactions and functions. Genome Res, 2009. 19(1): p. 1953-62. (4) Genome Res (5) Genome Res (6) Markson G. et al. Analysis of the human E2 ubiquitin conjugating enzyme protein interaction network. Genome Res. October 2009 19: 1905-1911 (7) Date S.V., Stoeckert Jr., C.J. Computational modeling of the Plasmodium falciparum interactome reveals protein function on a genome-wide scale. Genome Res. April 2006 16: 542-549 (8) Formstecher, E., et al., Protein interaction mapping: a Drosophila case study. Genome Res, 2005. 15(3): p. 376-84. “The apparent banding pattern of the yellow nodes is an artefact of the graph layout algorithm (Supplementary Data). Importantly, the layout algorithm was not informed by type of supporting evidence and therefore does not explain the evident separation of blue and red edges.” Figure 2 and caption quote from Rual et al., Nature 437(7062):1173-8. (A) Visualizations of the largest connected component (2,104 gene symbols, 548 diseases, 3,941 edges) of the human disease network (3,823 gene symbols, 1,284 diseases, 6,275 edges) generated with Cytoscape 2.8.1 and Gephi 0.7. Fruchterman Reingold and force directed layouts (A1, A3) render nodes uniformly around dense hubs, whereas the y.organic layout (A2) distributes the nodes at a constant radius around their hub. OpenOrd is efficient for very large networks and distinguishes clusters by collapsing neighbouring nodes (A4). (B) Affine transformations of the j.spring embedded layout from panel A. The same group of nodes is highlighted with a dotted circle for orientation. (A) Manual layout of a 15-node symmetric directed network. (B) Automated layouts of (A). (C) Spring embedded layout of instances of (A) with edge E1 and node N1 removed. (A) Manual layout of a 15-node symmetric directed network. (B) Automated layouts of (A). (C) Spring embedded layout of instances of (A) with edge E1 and node N1 removed. The hierarchical layout of the E. coli transcriptional regulatory network and the Linux call graph. (Left) The transcriptional regulatory network of E. coli. (Right) The call graph of the Linux Kernel. Nodes are classified into three categories on the basis of their location in the hierarchy: master regulators (nodes with zero in-degree, Yellow), workhorses (nodes with zero out-degree, Green), and middle managers (nodes with nonzero in- and out-degree, Purple). Yan KK, Fang G, Bhardwaj N et al.: Comparing genomes to computer operating systems in terms of the topology and evolution of their regulatory control networks. Proc Natl Acad Sci U S A 2010, 107(20):9186-9191. (A) A small directed network, representing gene regulation. (B) 3-axis hive plot (HP) of (A) constructed using role of nodes for axis assignment and connectivity for axis scale. HP of Figure 2A using rules from Figure 3B. Position of nodes on the HP is demonstrated with copies of Figure 2A highlighting the nodes in question. Edge and node elements removed in Figure 2A to generate layouts in Figure 2C are indicated with E1 and L1, respectively. E COLI REGULATORY HAIRBALL Gama-Castro S, Salgado H, Peralta-Gil M et al.: RegulonDB version 7.0: transcriptional regulation of Escherichia coli K-12 integrated within genetic sensory response units (Gensor Units). Nucleic Acids Research 2011, 39:D98-D105. E COLI REGULATORY HIVE PLOT NSRR 83 11 GADA MICF 433 CRP REGULATOR WORKHORSE MANAGER RANKED NO NORMALIZED NO RANKED YES NORMALIZED NO E COLI REGULATORY HIVE PLOT REGULATOR WORKHORSE MANAGER RANKED NO NORMALIZED YES - REPRESSOR - ACTIVATOR - DUAL REPRESSOR & ACTIVATOR - UNKNOWN E COLI REGULATORY HIVE PLOT REGULATOR WORKHORSE MANAGER RANKED NO NORMALIZED YES REPRESSOR ACTIVATOR DUAL REPRESSOR & ACTIVATOR UNKNOWN NSRR NSRR/IHFA IHFA IHFB FIS FNR CRP ARCA FNR/ARCA ARCA/FNR FNR/FNR CRP/FIS FIS/CRP CRP/CRP GADA MICF RCSB/GADA PSA ANNUAL MEETING 2011 GENOMICS WORKSHOP · circos & hive plots: challenging visualization paradigms E COLI REGULATORY HAIRBALL REGULATOR WORKHORSE MANAGER RANKED NO NORMALIZED YES - RED: REPRESSOR - GREEN: ACTIVATOR - ORANGE: DUAL REPRESSOR & ACTIVATOR - BLACK: UNKNOWN NSRR 77 6 NSRR/IHFA IHFA IHFB FIS FNR CRP 47/433 11% 15/281 5% FNR/ARCA ARCA/FNR FNR/FNR 266/281 95% CRP/FIS FIS/CRP CRP/CRP 386/433 89% GADA MICF RCSB/GADA PSA ANNUAL MEETING 2011 GENOMICS WORKSHOP · circos & hive plots: challenging visualization paradigms E COLI REGULATORY HAIRBALL REGULATOR WORKHORSE MANAGER RANKED NO NORMALIZED YES ? REPRESSOR ? ACTIVATOR DUAL REPRESSOR & ACTIVATOR UNKNOWN NSRR 77 6 NSRR/IHFA IHFA IHFB FIS FNR CRP 47/433 11% FNR/ARCA 15/281 5% FNR/ARCA/FNR 266/281 95% FNR/FNR 386/433 89% CRP/FIS CRP/CRP GADA MICF RCSB/GADA BC Cancer Agency CARE + RESEARCH GENOME SCIENCES PSA ANNUAL MEETING 2011 GENOMICS WORKSHOP · circos & hive plots: challenging visualization paradigms COMPARING NETWORKS OPHTHALMOLOGICAL HEMATOLOGICAL COMPARING NETWORKS OPHTHALMOLOGICAL HEMATOLOGICAL OPHTHALMOLOGICAL HEMATOLOGICAL PSA ANNUAL MEETING 2011 GENOMICS WORKSHOP · circos & hive plots: challenging visualization paradigms Application of HPs to visualizing ratios. (A) Quality of a sequence assembly is visualized by relating (a) the fraction of reads, by assembly parameter, aligning to the assembly, by contribution (b) the fraction of the assembly, by contig size, providing coverage of the reference genome, by contig coverage, and (c) the fraction of reads, by quality, providing coverage of the reference genome, by quality coverage. Three assembly scenarios. (B1) complete coverage of the reference genome with some unused reads (B1F) which ambiguously map to the reference (B1E); (B2) complete coverage of the reference with unique sequenced (B2E) and assembled (B2C) content; (B3) poor assembly with large fraction of unassembled reads (B3F), assembly error indicated by regions uncovered by reads (B3D), and incomplete coverage of the reference by both reads (B3A) and contigs (B3B). CIRCOS www.circos.ca HIVE PLOTS www.hiveplot.com Canada’s Michael Smith Genome Sciences Centre www.bcgsc.ca Affiliations: BC Cancer Research Center, BC Cancer Agency, BC Cancer Foundation, Genome BC, Simon Fraser University, University of British Columbia, Genome Sciences Institute
Becoming a Muslim in Post-Soviet Uzbekistan by Johan Rasanayagam Ilkhom-aka is a 60-year-old retired knife maker living in the village of Qorasuv, near the city of Andijan in Uzbekistan’s portion of the Fergana Valley. He became a blacksmith in the Soviet era collective farm at the age of 16, and after military service worked as a knife maker in a nearby town, producing for private sale in the bazaar. At the age of 40 he began performing the five daily prayers, and now regularly attends the main mosque in the village for the Friday mid-day prayers. It is a fairly common pattern in the village for men to start observing religious prescriptions more actively at around the age of 40 when they take a leading role in representing their households at ritual events. He described himself as being a Muslim before this, although he did not observe religious obligations such as abstaining from alcohol or pork, did not perform the daily prayers, and only attended the mosque at major festivals. He blames his former lack of religious observance on work commitments and the anti-religious atmosphere during the Soviet period. Ilkhom-aka has developed his own particular understanding of Islam and what it means to be a Muslim through involvement in his community, through fulfilling his obligations as head of his household, attending communal prayers at the mosque, and through his everyday experience in which illness has played an important part. His daughter suffered from epilepsy from the age of 12 and died in 1991. He recounted his ten-year search for treatment before her death during which he had taken her to medical doctors as well as to a number of different healers in the Fergana Valley. He himself had been ill during this time suffering from a ‘fallen heart’. This is what might be called a ‘culture-bound syndrome’. It is brought on by a sudden shock or fright or simply through unwary contact with malevolent jin. Typical symptoms are a lack of energy, strength and motivation, a pervasive tiredness when the sufferer just wants to remain lying down at home, and it can lead to more serious illness and hospitalisation. Biomedicine, however, is typically unable to address the problem and once the condition is diagnosed, often after hospital treatment has proved ineffective, the sufferer seeks the aid of healers who work with the help of spirits, or someone able to recite verses from the Qur’an. They might also visit the tomb of a saint to recite the Qur’an there and wash themselves in water from an associated sacred spring. A fallen heart fits into that category of illness and treatments collectively referred to as esikcha (the old ways) or musulmanchilik (Muslimness or Muslim ways), which are outside the sphere of biomedical intervention. Whilst in hospital for this condition Ilkhom-aka had a dream in which he saw the house of a bakhsi, a healer who works with spirits, of whom he had no previous knowledge. He sought it out for his daughter and they slaughtered a sheep. He himself was put into a 15-day period of fasting and isolation (chilla) for his own condition. One night during the chilla he had a dream in which he vomited bile from his stomach, and in the morning felt much better. He continued to visit this bakhsi periodically for healing. After his daughter died, he once more became ill with a pain in his side and visited the bakhsi, who put him into a chilla for three days. On the evening after completing it he performed the ritual ablutions and the evening prayers at home, and then lay down to sleep. He described how a black man and woman appeared while he was still awake and read the Qur’an over him and then left. They were followed by a man and a woman, one dressed as a doctor in a white coat the other as a nurse, who came in a white cloud. They performed an operation on his side, and the next morning he felt better. These were the spirits sent by the bakhsi. Ilkhom-aka’s encounters with spirits are constituted within and contribute to his ideas about a good Muslim life, which are also shaped through his life in his immediate community and through discussions on what constitutes genuine Islam. He sees himself as a good Muslim, regularly performing the five daily prayers and attending communal prayers at the mosque. A large part of what might be called his circle of ‘significant others’ is composed of religiously observant men with whom he comes into contact at the mosque or at the ritual events in which he represents his household. Imams during Friday sermons regularly condemn the activities of bakhshilar and those who consort with jin, and exhort people not to turn to them for healing or prophesy. Although the existence of jin is not questioned, this mosque-based ‘orthodoxy’ emphasises that healing comes from God directly and not through the intervention of spirit intermediaries, and that a person’s fate is only for God to know. Thus, Ilkhom-aka’s attitude to his healing experience is ambivalent. The visions he has experienced in dreams and his encounters with spirits have persuaded him of the reality of jin and the efficacy of treatment by those who control them, but he also attempts to maintain a certain moral distance. He was initially embarrassed about admitting to me that he visited the bakhshi, and talked about how she ‘binds jin and harmful things’, displaying an awareness that the activities of the bakhshi were illegitimate. However, he stressed that it all depended on a person’s intentions… He emphasised that he had actually refused to become a healer himself and stressed that he only undertook the chilla for someone’s healing, and not to gain access to, and control over, the jin. This is a line he has drawn himself which allows him to take advantage of his healing treatments while continuing to remain a good Muslim as understood in his mosque circle. The reasoning through which Ilkhom-aka develops his understanding of Muslim selfhood is shaped by the history of Soviet rule and the efforts of the post-independence government to control and regulate religious, particularly Islamic, practice. The Communist Party was engaged in a project of socialist modernity: in Central Asia in the early years of Soviet rule this took the form of a civilising mission, aimed at remaking the Central Asian person. Central Asian populations were to be liberated from the bonds of superstition and tradition, and instilled with rational, empirical reason and a collectivist consciousness committed to building socialism. Islam was expected to disappear naturally. State policy on religion alternated between brutal repression and relative tolerance, and largely cut off Central Asians from Muslims outside the Soviet Union. Only a tiny minority had access to formal education in Islamic theology and philosophy, while the vast majority were unable to attend regularly the few mosques officially allowed to operate. By the latter part of the Soviet era most of those who described themselves as Muslim in Central Asia did not, like Ilkhom-aka, observe even the most basic prescriptions of Islam. This has led many observers to remark that by the time of independence in 1991 Islam in Uzbekistan had been reduced to an element of household lifecycle celebrations and to superstition, with little genuine spiritual or theological content. Central Asian Muslims were declared by some to be ‘secular’, and Islam to be a cultural marker rather than a genuine religious commitment. However, this characterization emerges from a particular understanding of religion as a distinct sphere defined by belief, separate from the secular sphere of explicitly human creative work within a material world. If, however, we adopt the perspective of morality rather than belief, then such distinctions disappear. Ilkhom-aka’s understanding of moral selfhood emerges from his experience and interaction with fellow villagers, from the sermons of the formally trained imam at his mosque, as well as from spirit beings in the course of illness and its treatment. His moral self is understood as Muslim because he participates in a tradition of ritual practice, cosmology and history, understood as Muslim, which makes his experience intelligible to himself and others. Ilkhom-aka develops a Muslim self through participation in shared rituals such as commemorations of the Prophet Muhammad’s birth, recitations of the Qur’an for the souls of the dead, through communal prayer at the mosque, and through his recourse to healers who work with spirits. Although individuals might interpret what is actually taking place on these occasions in diverse ways – and even condemn some practices as un-Islamic – this is nevertheless mutually intelligible within the context of a shared tradition. During the Gorbachev era of glasnost in the late 1980s restrictions on religious expression were relaxed and Muslims in Central Asia began to explore more freely the trends and ideas within Islam which had long been circulating in the wider Muslim world. In the first few years of independence, as the post-Soviet government embraced Islam as part of its national ideology to replace communism, interest in Islam exploded. Thousands of mosques were built throughout the region, and a network of state sponsored Islamic educational institutions was established. Not only was the open practice of Islam now possible, but those who were interested could study the core sacred texts and their interpretation relatively easily. Scripturally based interpretations of Islam, which condemned as un-Islamic much of the local practice of Muslims such as the resort to healers who worked with spirits, became more widely circulated as men began to attend Friday prayers at mosques, and preachers and their sermons became a regular feature at communal ritual occasions. However, by the mid-1990s the government of Uzbekistan began to view Islam independent of its control as a serious threat to its authoritarian rule. The government promotes its own construction of Islam as the only legitimate form of expression. In this construction Islam is presented as an element within a specifically Central Asian cultural and spiritual heritage. As part of this, regional historical figures such as prominent medieval scientists and philosophers and the leaders of Sufi sects are extolled as spiritual forebears, and their tombs transformed into lavish mausoleums with state funding. In contrast, ‘foreign’ strands of Islam are condemned as alien to the Central Asian mentality, as politically motivated and extremist. No expression independent of the state’s interpretation of the Hanafi school of Islam, promoted by the quasi-state Muslim Board of Uzbekistan, is tolerated, and those suspected of espousing other interpretations are labelled as ‘Wahhabi’ and subject to arrest. Fear and vulnerability surround religious practice which does not fall into the category of established ‘tradition’; that which is unusual or unfamiliar is liable to be labelled Wahhabism. During my research it was not uncommon to hear about cases where even converts to Protestant Evangelical forms of Christianity were labelled as Wahhabi. These groups were ‘non-traditional’ in two senses. Firstly, in contrast to Russian Orthodoxy or Catholicism, which have an established presence in the region, they are recent arrivals and many congregations are not officially registered. Secondly, they contravene the established understanding that Central Asians are Muslim while Slavs or European populations are Christian. These post-independence developments in the state’s policy on religion have also influenced how Ilkhom-aka is able to come to his own particular understanding of Muslimhood. Textually based interpretations of Islam are spreading and increasing awareness that some local practices are un-Islamic. Healers who work with spirits are responding to this. While most people in Ilkhom-aka’s village referred to such healers as bakhshi, all the healers I encountered rejected this characterization. Bakhshi, they asserted, worked with jin and are only motivated by base, pecuniary gain. In contrast, their own spirits were not jin but azizlar (saints) or otakhonlar (literally ancestors) sent from God. Some saw themselves as engaged on a mission to bring their communities back to Islam after decades of neglect during Soviet rule, and their spirits, they declared, appeared in recent years for just this purpose. While most imams condemned their practice as un-Islamic, a large part of the healers’ own understanding of what it is to be a Muslim is developed in interaction with the spirits. The government’s ruthless suppression of independent Islamic interpretation and practice, and the atmosphere of vulnerability that this has engendered, has limited the extent to which an individual can openly espouse any position on Islam. Islam must remain within officially sanctioned contexts such as an officially appointed imam preaching in a registered Friday mosque. In neighbouring Kyrgyzstan, where there is greater religious freedom, study groups and travelling preachers (davatchi) who call Muslims to a scripturally based ‘correct’ practice of Islam, have become widespread. This is impossible in Uzbekistan where such groups and preachers would be regarded with intense suspicion by the state authorities. Thus criticism of Ilkhom-aka’s recourse to healers who work with spirits and other similar practice, while it exists and Ilkhom-aka takes it into account, is much more muted than in other Muslim contexts. The only public voices permitted to define correct Islam are the pronouncements of a clearly self-interested government and the relatively muted teaching of state appointed imams who, while they might not agree completely with the construction of Islam within the state national ideology, are obliged to support government policies. Muslims in Uzbekistan, like Muslims everywhere, are coming to their own understanding of Islam and what it means to be a Muslim. They do this through moral reasoning, which does not only take the form of self-conscious reflection on alternative discourses or interpretations, but also develops within ongoing experience. One major factor which makes this process distinctive in Uzbekistan is the way the state defines what constitutes legitimate religious practice, or indeed how it defines the religious sphere. Islam is subsumed under the category of tradition as part of a local historically developed spiritual heritage – the ‘golden heritage’ in the government’s words. To remain secure, Muslims, in relation to the state authorities at least, must present their practice as part of this heritage. Mausoleum & mosque complex of Imom Bukhoriy (d.870) – compiler of Hadith of the Prophet – lavishly rebuilt by the state Snow White and the Three Prayers by John Arnold On a sunny afternoon in May 1974 I was standing next to Michael Ramsey, watching him sign a visitors’ book +Michael Cantuar and then write in capital letters CHRIST IS RISEN. We had spent the day in Weimar, the city of Goethe and Schiller, of Mozart and Liszt; we were at the heart of Germany, ‘Land der Dichter und Denker’, and in the heartland of the Reformation. But we had left the city of the plain and come up an escarpment into the beech forest or Buchenwald, which had given the place a name of omen. We passed through the gates of the concentration camp with their sinister message ‘Jedem das Seine’ – to each his own – and heard a sound like the buzzing of bees, magnified a thousand times. We looked over the edge of the hill and saw Russian tanks exercising there. We also experienced a sudden chill, such as I have felt only at Babi Yar, the ravine near Kiev where the Ukrainian Jews were slaughtered. Sometimes evil is tangible. We had come in a short space of time from paradise to paradise lost. There was not much to see, but that only gave more scope to the historical imagination. However, we had to concentrate on the present, for this was potentially the most sensitive moment in the Archbishop’s visit to the GDR, accompanied as we were by representatives of both church and state and of the state-controlled media. The very existence of the GDR had only recently been recognised by our own government; the continued existence of the church within that state was precarious; the art of manipulating the memories of death and of suffering for political advantage in the bitter rivalry with the Federal Republic was being perfected. Every word, every gesture, every syllable counted as contemporary Pharisees and Sadducees put questions to the holy man, seeking to entrap him in his answers. We went into the cell of Paul Schneider, the Lutheran pastor who had sung hymns and preached sermons for his fellow prisoners; and we were shown the whipping block where he had been beaten to death before them for his pains. A word was expected from the Archbishop within a culture which was now threefold: a culture of the word – German, Protestant, Marxist-Leninist – where every occasion called forth weighty utterances, sacred and secular. The Archbishop held one of his typical silences and then he prayed, commending the souls of martyred Jews, Christians and socialists alike to the eternal mercy of God, yearning for an end to hatred in the Kingdom of peace and love. This was the second of three occasions during a fraught itinerary on which the Archbishop turned what needed to be said away from immediate concerns into prayer to our Father in heaven. Bishop Schönherr of East Berlin and Brandenburg, the primus inter pares of the East German bishops, was later to call it ‘the visit of the three prayers’. Michael Ramsey was first and primarily a man of prayer, secondly a man who could express the essence of the Gospel in short memorable phrases, thirdly someone whose ready perception, political nous and speed of thought belied his massive presence, his snow-white hair and his physical clumsiness. Background The situation of the church in East Germany during the years following the Second World War differed in several respects from that of the churches in other communist-dominated lands. Firstly, it was the only place, apart from little Latvia and Estonia then incorporated into the Soviet Union, where the majority of Christians were Protestant, and where the folk church assumed the right and duty to care for the ordering of society and for the people, if necessary by speaking up on their behalf. The Orthodox option of simply living in the liturgy was not available; nor was the strength and self-confidence vouchsafed to the Roman Catholic hierarchies of Poland, and to a lesser extent of Czechoslovakia and Hungary, by belonging to a great international communion. The East Germans had perforce to take their stand on their historic confessions of faith, including now the Barmen Declaration of 1935, and on the word of God, read, heard and preached. All their leaders had been formed in the Confessing Church under the leadership, example and teaching of Martin Niemöller and especially of Dietrich Bonhoeffer. All were acutely aware of the churches’ share of responsibility for the disaster of the Third Reich. A small but brave minority of Christians had been imprisoned then, together with members of the communist and socialist parties. So, secondly, there were some common interests and, at least to begin with, some mutual respect between the leaders of church and state in the Soviet Occupation Zone in process of becoming the GDR. However, at the level of theology on the one hand and of ideology on the other there was never any community of interest, no hint of the kind of syncretism between Christianity and Nazism which had ruined the record of the so-called German Christianity in the Third Reich. Eventually both sides settled into a kind of trench warfare between an exceptionally well-educated and articulate form of Christianity on the one hand, and an exceptionally rigid and ruthless form of Marxist-Leninism on the other, the Socialist Unity Party of the GDR avowedly attempting within a decade to achieve what had taken the Soviet Union more than half a century. After all Marx had intended his manifesto to be implemented not in backward, agrarian Russia but among the advanced industrialised proletariats of England, the Ruhr and Saxony, where it had come home to roost in its Stalinist form, and where in Leipzig and Dresden in the autumn of 1989 it was to suffer its most crushing, if bloodless, defeat. Thirdly, in a society notable for the enforcement of the most rigid conformity, the church became the only public corporation not to be directly controlled by the state or run on Marxist-Leninist lines. It thus became willy-nilly a sign of contradiction and a living falsification of the totalitarian claims of ideology. So long as the church remained, no one could believe unreservedly in the absolutist pretensions of Marxist-Leninism. Eventually, the church was to provide the space, both actual and metaphorical, for the discussion of public issues such as war and peace, pacifism, social justice and ecology, and for the formation of a whole people in the techniques of passive resistance and the practice of democracy, which triumphed quietly in the autumn of 1989. But by a strange irony the 1970s were characterised by adjustment on both sides to the delay of the parousia and the adoption of a deferred eschatology. The state, which as in the Soviet Union soon became accustomed to the indefinite postponement of the withering away of the state, realised that it had also to come to terms with the postponement sine die of the withering away of religion. The German Marxists by contrast were not prepared to let the dialectical process run its course. As soon as the Soviet occupying power ceased to exercise a moderating influence on religious policy in the early 1950s, Walter Ulbricht decided to put his shoulder to the wheel of history and inaugurated a period of overt persecution, focussed particularly on the youth work of the church. That phase did not last long but it left deep scars and bitter memories. Pressure on young people became a permanent feature of life in East Germany, exacerbated from 1955 by the introduction of virtually compulsory Jugenddienst as a secular alternative or at least supplement to confinement camps and labour. The Party was determined to leave the so-called unproductive sections of society – little children, the old and the retired – to the church. It soon handed over the mentally ill, for whom its economy had no use and its materialist anthropology no place. The diaconal institutions of German Protestantism alone fulfilled the highest humanitarian hopes of socialism. Meanwhile, pressure was exerted in school and university, in the armed forces and in the work-place, to such an extent that it was not uncommon for people to be looking forward with longing to old age and retirement, to a quieter life and the possibility of emigration to the West. Some also looked back, if not to the Third Reich, then to a dimly remembered Wilhelminian era of peace and prosperity: but far more were looking sideways at the democratic institutions and booming economy of West Germany, where, more often than not, members of their family, friends, lovers and former neighbours lived. They expected that the Soviet Occupation Zone would be a temporary expedient, to be followed by a peace treaty and a united Germany. That parousia, too, was to be delayed until 1990; but in the 1970s it seemed to most observers that the newly emergent GDR would be at least a semi-permanent feature of the European scene. It was partly in order to release its 17 million citizens from the limbo of virtual statelessness that the United Kingdom and other western countries gave de jure recognition to the GDR in 1974 and thus, incidentally, made possible the Archbishop’s visit. Still, the overwhelming majority of East Germans appeared to be living in internal exile with their bodies in the east and their hearts and minds in the west. They were cut off by the most effective frontier ever devised, running from the outskirts of Lübeck to the western-most borders of Bohemia, since August 1961 encircling Berlin and cutting it in two, running down the middle of streets and even houses, in one case separating a church from its own churchyard. About 90 per cent of the population could receive West German television. To the claustrophobia of national incarceration was added the schizophrenia of days spent in socialist factories and collective farms followed by evenings slumped before the television set, entering in by a magic window both to the comparative but not untainted realism of western newscasting and also to the fantasy worlds of Dallas and Dynasty, dubbed into actors’ German and thus doubly incongruous. It was not a healthy situation; but at least East German citizens were exceptionally well informed with a synoptic view of every contemporary issue provided by propagandists on both sides of the wall. The state compelled its citizens to remain, when many would rather have fled. The church provided them with support and a rationale for doing so, by reference to Jeremiah’s letter to the exiles: ‘Seek the welfare of the city where I have sent you into exile, and pray to the Lord on its behalf, for in its welfare you will find your welfare.’ (Jeremiah 29:7). It also provided a theological critique of contemporary history and an understanding of the operation of God’s judgement in the overthrow of the nation and the division of the land. In 1971 a Synod meeting in Fürstenwalde, defined its position as a ‘Church in Socialism’, that is to say neither a church of socialism nor a church against socialism, nor even a church alongside socialism. It was and remained to the end, a church in socialism, constantly seeking to understand in word and deed just what that meant and thus contributing something to our understanding of the relationship between church and state and the respective claims of Caesar and of God. With hindsight, this formulation can be criticised both for its ambiguity and openness to misunderstanding, and also for its assumption that the East German polity was indeed socialist. But it is easy to say that now and on the western side of the Elbe and the North Sea. Until 1969 the church had been nominally part of a single federal Protestant Church in Germany; but it was no longer able to function as such and in that year a separate Federation of Protestant Churches in the GDR was formed, with a clause in its constitution maintaining its special fellowship with the church in West Germany. In 1972 West Berlin was separated from Berlin-Brandenburg and effectively incorporated into the West German church. Hope of a united church was, thus, also deferred. From then on there was an East German Christian Protestant Church in an East German atheist socialist republic. Three things saved the church from isolation. The first was that the state desperately needed hard currency, so it was prepared to turn a blind eye to the huge subsidies, amounting to more than 30 per cent of total income, provided by the affluent West German church. The second was that the embryo state also desperately needed friends, isolated as it was, shunned and unrecognised by the West, despised and unloved among Soviet satellite states, which had all suffered as a result of German aggression and cruelty in the Second World War. The church was one of its few means of contact with the wider world, and, though ‘cribbed, cabined and confined’, churchmen enjoyed certain limited privileges with regard to foreign travel and participation in international conferences, not least because they were the only people who could be trusted to return. Thirdly, what the Vatican was for the Roman Catholic Church in central and eastern Europe, the ecumenical movement was for East German Protestantism, which played a special role and enjoyed special attention in the World Council of Churches, the Conference of European Churches, the Lutheran World Federation and the World Alliance of Reformed Churches. The Visit Particularly significant were relations with the British churches – western but not West German, in lands on the same parallels of latitude at the same stage of industrialisation and indeed of secularisation, facing similar problems in mission and evangelism and, a great blessing, comparatively poor. The British Council of Churches took a special interest in East Germany through its East West Relations Advisory Committee of which I had the honour to be chairman. A substantial delegation had gone to East Germany in 1969. Early in 1974 we had completed the book Discretion and Valour, written by Trevor Besson on the basis of research and analysis by a group of experts, and offered to the public as the first reliable survey – between apocalyptic horror stories of unremitting persecution and the equally incredible bland assurances of official publications – of the churches in the USSR and Eastern Europe. The foreword contained the sentence ‘We do not accept that the only authentic Christianity is underground’; and the chapter on the GDR went a long way towards substantiating that claim. In the event it became clear that what would help the East German Church most at that juncture would be a personal visit by the Archbishop of Canterbury. In view of the delicate international situation and the danger of misrepresentation the visit had been carefully prepared. At first the authorities of the GDR, refused to have anything to do with it and they clearly wished to downplay its significance. Shortly before the appointed time, however, they became aware of the position of an Archbishop of Canterbury in the Establishment, over-estimated his significance as ‘der zweite Mann im Staat’ and made an abortive attempt to turn it into a state visit, even offering accommodation in the lavishly appointed Schloss set aside for official visitors. We were not going to walk into that elephant trap, but insisted that this was a church-to-church visit and that we had already agreed to accept the hospitality of the Hospiz, or church-run hotel in the Albrechtstrasse. However, the necessary courtesies would be observed, official visits would be paid and meetings arranged, notably with Herr Willi Stoph, the President of the State Council and in effect Head of State. Berlin When we returned to our hotel late on the first evening we were met by a minor disaster. The antiquated plumbing had given out in the archiepiscopal bathroom, which was so dramatically flooded that the water had to be turned off at the mains. The staff, who had so desperately wanted everything to go right, were distracted in a flurry of inefficiency and obsequiousness. The Archbishop was left at all put out. He sat down with the rest of us on comfortable sofas in the foyer and suggested that we all have a nice cup of tea. To the accompaniment of mysterious noises off we waited, and waited. Eventually an embarrassed manager appeared with a bottle of the best wine and a tray of glasses. ‘There was’, he said, ‘no water. Would wine do instead?’ The Archbishop’s eyebrows went up and down; his shoulders heaved; ‘Yes’, he said, ‘yes. It’s happened before, it’s happened before. At Cana in Galilee, Cana in Galilee’, thus defusing a potentially dangerous moment with mirth and merriment, and knowledge of the scriptures. We paid a courtesy call on Cardinal Bengsch, the leader of the Roman Catholic Church in East Germany and, through skilful diplomatic work by the Vatican, still of the whole of Berlin. The visit was not a success; indeed we felt that we had walked through the door of the residence into the pre-eccumenical era. Roman Catholics were historically a small minority in that part of Germany, though ironically their numbers had increased after the war through immigration from the East. The Cardinal’s aim was two-fold: to keep open lines of communication with the Vatican and to preserve his flock. He was not interested in the Church of England, which was not surprising; but nor was he interested in the German Protestant churches, which shared his situation, or, even more surprisingly, in Polish or Czech Catholicism, national animosity prevailing over ecclesial fellowship. He was proud to have voted against ‘Lumen Gentium’ and ‘Gaudium et spes’ at the Second Vatican Council, and had no intention of transmitting the ethos of the Council or even implementing its decrees beyond the bounds of duty. He let us make our own way into the bleak and unwelcoming Cathedral of St Hedwig, where we said our prayers at the tomb of Bernhard Lichtenberg, the saintly Dean who was martyred in a concentration camp. The Catholic Church kept a low profile; it protected and retained its people; it played no part in public life but let the majority Protestant Church make the running and take the knocks. The contrast, not so much with Protestantism as with Polish Catholicism, could scarcely be greater. And who could say that the policy was wrong rather than merely different? The Protestant Church in 1989 poured its life into the peaceful transformation of society and saved the nation from civil strife, perhaps even saved Europe from war; but it was grievously weakened in the process and it seems to have lost its character as a folk church in what are now some of the most secularised areas of Europe. Just at the end some Catholic clergy, notably in Dresden, and many Catholic lay people joined forces with the Protestants in the gallant attempt to reform the state, which both contributed to its eventual overthrow and also ensured that the revolution, when it came, was bloodless. And disproportionately large numbers of the new leaders, members of parliament and of local authorities, mayors, head teachers and other pillars of society came precisely from that Catholic laity, which later demanded the kind of changes in the church which they had experienced in the state, ‘Wir sind die Kirche – we are the church’ replacing as a slogan ‘Wir sind das Volk – we are the people’. A formal dinner was organised at the residence of the British Ambassador, who played host to the Archbishop’s party and to guests from church and state, including Hans Seigewasser, Secretary of State for Religious Affairs, and Gerald Götting, Deputy Head of State and Chairman of the Christian Democratic Union. The evening game, for such it turned out to be, was played strictly according to British rules, even though it was an away match for us. The East Germans were well schooled in Soviet etiquette. They had brought long speeches with them in their pockets and were prepared for frequent toasts to peace and friendship. There was no opportunity for any of these things. Instead, after the ladies had withdrawn, the port circulated and more concentrated and focussed conversation ensued. Here the Archbishop was in his element. The ready wit and mellifluous rhetoric, which had characterised the young president of the Cambridge Union, came to the fore. If, in theology and spirituality, he sometimes gave the impression of being rather conservative, in politics and public affairs he was a liberal through and through. With the utmost courtesy but with persistence he pressed for concessions on civil and human rights. They sought refuge in flattery and half-remembered quotations from the laborious speeches languishing in their back pockets. Herr Götting remarked what an honour it was for them that the Archbishop should visit the GDR. ‘Yes, yes,’ he replied, ‘I am an old man and wherever I go, people say nice things to me. But they don’t do what I tell them. For example in South Africa.’ Only Michael Ramsey could have drawn that comparison and, as it were, hit the target by implication and with a calculated faux pas. Leipzig The following day was a Sunday and we set out for Leipzig. Evening service was in St Thomas Church where Bach had been organist, and where the organ he played was still in use. Ramsey preached to a packed church on the text ‘as sorrowful, yet always rejoicing’ (2 Cor 6:10). At the recessional the little group of Anglican clergy peeled off from the procession and moved to the tomb of Bach. Flowers were hastily produced for the Archbishop to lay, and he prayed the first of the three prayers which characterised and typified the visit. He thanked God for the musical gifts of Johann Sebastian Bach, given to the whole world for the praise and glory of God, gifts which must be shared freely and across the walls of division and of national frontiers. In a few words, without a speech or lecture, he had taken both a timeless topic and a contemporary concern and offered them to God in prayer. Eisenach Next day we journeyed to Weimar and to Buchenwald, the scene of the second prayer, and thence to Eisenach where Bach was born, Pachelbel had been organist and Luther had been a choirboy, first to the headquarters of the Church of Thüringen on the Pflugensberg and then to the Wartburg, home to the Minnesänger or troubadours of the Middle Ages, the setting for Wagner’s opera Tannhäuser, the home of St Elizabeth of Hungary, the headquarters of the Burschenschaften or student societies which in the early 19th century had striven for freedom, unity and democracy. Above all, it was the place to which Martin Luther, kidnapped on his way home from his lonely stand against church and Empire in Worms, was taken and where he made the first translation of the Bible into German from Hebrew and Greek. We went into his room and stood by his desk. What could we say? The Archbishop lifted up his voice and prayed: ‘Blessed Lord, who hast caused all holy scriptures to be written for our learning; grant that we may in such wise hear them, read, mark, learn and inwardly digest them by thy patience and comfort of thy holy word we may embrace and ever hold fast the blessed hope of everlasting life which thou hast given us in our Saviour Jesus Christ.’ That was the third prayer, not extempore prayer this time but common prayer. We moved then from the sublime to the ridiculous, from a voluntary pilgrimage to a holy place to a compulsory visit to a collective farm at Berstedt. The chronic shortage of foreign currency meant that tropical fruit was a rarity and a great luxury in the GDR. In the workers’ canteen however a lavish spread had been prepared for us. The fruits of socialist agriculture, introduced to us as a ‘Thüringer Spezialitäten’, contained large quantities of highly polished oranges and bananas. Here indeed was an economic miracle, and for a while the phrase ‘Thüringer Spezialitäten’ came to serve us in place of the more common ‘Potemkin villages’ as a description of vain and hollow pretensions Erfurt Erfurt is the see-city of a Roman Catholic bishopric, the only city in East Germany with a substantial Roman Catholic population. It also has a comparatively strong Protestant presence and, at the time of our visit, was notable for the depth and reality of the ecumenical engagement between well-matched partners with Probst Heino Falcke taking the lead on the Protestant side. As Archbishop Ramsey advanced towards the Catholic Cathedral, flanked by two Protestant Bishops, Bishop Aufderbeck came forward to greet him with a speech in sonorous Latin and to lead him into the service, notable for the size and enthusiasm of the congregation. There was a wholeness about this occasion which had been lacking in the bi-lateral Anglican-Protestant and Anglican-Catholic encounters so far. At the end spontaneous applause broke out in the Cathedral and it spread into the streets and squares of the city, contrasting strongly with the usual sullen enforced crowd participation in visits by dignitaries from other communist states. The warmth and affection of the people for their own bishop combined with their trust in and co-operation with their Protestant partners to provide the setting in the local church for the ecumenical conversations in which we engaged next day. Over one hundred Protestant and Catholic students gave the Archbishop a rapturous reception and listened spellbound to his exposition of the state of play and future prospects of the ecumenical movement. This was followed by some informal but more intense discussion with members of the faculties, broken off so that we might be whisked away in a motorcade for which all traffic in the city was brought to a halt and taken to the airport, where the luxuriously appointed Presidential plane was waiting to take us to Berlin. Berlin again There another motorcade took us to the new headquarters of the State Council and into the presence of the Head of State, Herr Stoph (formally responsible for the building of the Berlin Wall in 1961), and other officials. In him Michael Ramsey was face to face with ‘real existierender Sozialismus’. Never mind the theory, this was the incarnation of Stalinist socialism as actually practised in the 1960s and 1970s. Herr Stoph had much to say, the Archbishop little; but he continued to press his questions about cultural exchange and the need for people to meet. Herr Stoph said expected things about the need to bring to an end the Cold War. ‘Yes’, said the Archbishop in one of his sudden unexpected moments of inspiration and in a memorable phrase, ‘Yes. But there is no point in replacing a cold war with a cold peace. We need a warm peace, in which people meet each other and get to know each other.’ He paused, and then something remarkable happened. The oblique and fleeting reference to freedom of movement must have touched a chord and a neuralgic point of conscience. Herr Stoph started speaking unscripted about the building of the Wall, and the reasons which had made it necessary. He spoke and spoke; he couldn’t stop speaking. The Archbishop sat opposite him, silent, immobile, with his white hair like the snow on a dormant volcano. Still the President went on, for 20 or maybe 30 minutes. His aides and associates were showing visible signs of embarrassment. Eventually he stopped. Everyone was expecting some diplomatic, emollient, even pastoral word from the Archbishop. But he said nothing. This was not just a negative silence, an absence of words. It was a positive silence, an actual act or deed, like the silence of Christ before Pilate. He was doing something which the world could not understand but which those of us who were priests and pastors could. He had just been hearing a confession; but that confession had consisted entirely of self-justification. And because there was no contrition, no sorrow for sin, no intention of amendment of life, the Archbishop was doing one of the most difficult things a priest ever has to do, namely withholding a resolution. This was an extraordinary moment in which time stood still. It was like being with Ambrose and Theodosius, or at any one of those turning points in history when spiritual power has confronted worldly power across a table, face to face. Somehow the silence was broken, the atmosphere changed and we returned to the level of discussion and of diplomacy. But no one who was present during that eloquent silence will ever forget it, echoing as it did the cry of Moses before Pharaoh, ‘Let my people go’. Envoi Soon it was our turn to cross over into West Berlin – so easy for us with our British passports and visas, so nearly impossible for 17 million citizens of the GDR. As an exceptional concession the drivers were allowed to take us through Checkpoint Charlie to the West Berlin Church Headquarters in the Jenensstrasse behind the main railway station. They were excited about the prospect of breaking a taboo, confident that they knew the way. Alas, they drove straight into the unlit and uncharted no mans’ land, which had once been the heart of a great metropolis. Oberkirchenrat Walter Pabst, the senior church functionary who was accompanying us, got out and asked a nearby pedestrian, ‘Sprechen Sie deutsch?’ – ‘Do you speak German?’ We wept. After all the highs and lows, the sublime moments and the frustrations of those unforgettable days, it was this little tragicomic, Chaplinesque, pathetic moment of farce, which disclosed the enormity, the hubris, the wickedness of enforced separation. No wonder that the Epistle to the Ephesians, so beloved by Michael Ramsey and the cornerstone of his ecclesiology, describes our salvation in terms of the breaking down of a wall of separation (Eph 2:14). A Modern Prophet ‘What for a cat is fun, is death for a mouse’ by Xenia Dennen Like a contemporary prophet Isaiah and with the precision of a well-trained lawyer, Fr Pavel Adelheim has analysed and dismantled the mask covering the face of the Russian Orthodox Church (ROC) under the leadership of the Moscow Patriarchate (MP). ‘Shame on you! you who make unjust laws and publish burdensome decrees, depriving the poor of justice, robbing the weakest of my people of their rights, despoiling the widow and plundering the orphan,’ cried Isaiah (chapter 10:1-2) as he exposed the misdemeanours of Israel. So today Fr Pavel Adelheim, through his writing and through describing his own experience at the hands of his Church (for background see Keston Newsletter No 6, 2008, pp.17-20) has revealed the face behind the mask – not the face of a kind, caring father, but the face of an unfeeling disciplinarian. Christian love today is often absent from the Church, he writes; instead, clergy and laity, like defenceless mice, are at the mercy of their bishop who has total power over his diocese. To the words of Professor Vladislav Tsypin who claims that ‘To emphasise rights […] is out of place in the Church where love reigns,’ Fr Pavel replies: ‘Why pretend? One should admit honestly that Christian love has not become the norm in church life. There is no point playing at love. What for a cat is fun, is death for a mouse.’ (“The Alternative: Employment Contract or Serfdom”, Vestnik RKhD, No.193, 1-2008, p.93) As a founder of Keston Institute in the 1960s, I followed closely the fate of Christian denominations in the USSR until the change in Communist Party policy towards religion in 1988. Reading the contents of confiscated documents and studying the lives of Christians who, I believed, were some of the great witnesses of Christian faith in the 20th century. Those Christians who were part of the Soviet dissident movement (which began with the Sinyavsky-Daniel trial in 1966), who resisted the status quo and were prepared to suffer imprisonment, who campaigned for a change in the law and stood up to a political system which was inhuman, criminal and only interested in its own aggrandisement, these people were my heroes, and still are. How sad it was, therefore, to read Boris Kolymagin’s article ‘The Religious Dissident of the Stalin Prize’ (website Portal-credo.ru 29 December 2008) in which he stated with regret that the word ‘religious dissident’ today has acquired a derogatory connotation among certain Orthodox circles, and that some confessors and defenders of the Church are no longer seen as Orthodox. Fr Pavel belongs to the heroic band of dissidents, while at the same time firmly remaining a faithful son of the ROC. After a childhood partly spent in orphanages, partly with his mother in exile after his father was shot, his spiritual life was nurtured by Fr Sevastyan Fomin (the latter, in his turn, had been nurtured by one of the last starstsy of Optino) and later by Archbishop Ermogen Golubev, whose long period of service in Soviet Central Asia (he built Tashkent Cathedral in 1957) led Fr Pavel to serve as a priest in Kagan, Uzbekistan. There he, like his mentor Archbishop Ermogen, also started building a church. For this he was arrested in 1969 and spent 1970-72 in a labour camp. He emerged physically damaged, having lost his right leg in an accident deliberately engineered by the camp authorities, but totally fearless after enduring so many years of adversity. What in his Church does Fr Pavel criticise? To start with, its current governance. This, he argues, is tending towards greater and greater centralisation which infringes the principles laid down at the 1917-18 Local Council. In his book Dogmas on the Church in the Canons and in Practice (2004, Pskov, Russia), in his 1st December 2005 lecture ‘The Local Council of 1917’ (Portal-credo.ru 11 December 2008) and in his article ‘The Principles of the ROC MP’s Current Structure and Possible Ways of Improving Them’ (Portal-credo.ru 1 & 5 September 2008) he analyses the ROC’s Statutes and points out that the latest version adopted in 2000 has taken power away from the Church as a whole – from the laity and clergy – away from its representative institution, the Local Council. The 2000 Statutes give legislative and judicial power to the Council of Bishops, and executive power to the Patriarch and Holy Synod. All these powers should be vested in the Local Council, he argues, whereas in actual fact the latter now only deals with canon law and matters of faith, and only meets to elect a Patriarch, as we saw in January. All power is in the hands of the bishops. Were the decisions of the 1917 Local Council observed, these princes of the church would be elected by the clergy and laity of each diocese, and this would help create relationships, in Fr Pavel’s view, based on Christian love rather than on fear and subservience. As well as criticising the 2000 Statutes, Fr Pavel condemns the structure of ecclesiastical courts which he considers supports an oppressive administrative system. In his ‘Address to the Council of Bishops’ dated 22 June 2008 (Portal-credo.ru 23 June 2008) he asks the bishops not to confirm the ‘Law on Ecclesiastical Courts’ which contradicts the juridical principles established by Local Councils as well as international legal norms, the Russian Constitution and Federal law: ‘Principles of injustice destroy the legal foundations of court procedure, revealing a tendency in the courts, not to establish the truth, but to convict the defendant.’ His criticism is devastating and based on his own personal experience at the hands of the ecclesiastical court in his own diocese: he points out that in the current system there is no presumption of innocence, no right to a defence lawyer, no right of appeal, cases are dealt with behind closed doors in the absence of the defendant, the indictment is not stated, and there is no independent judge (in fact it is the bishop who is in total charge as both judge and prosecutor). Most serious is the absence of any appeal court to crown the structure. The structure of church governance, Fr Pavel points out, is crucial because in its present form it undermines Christian unity which can only be built on love and freedom—not on fear and subservience. In an interview published by Portal-credo.ru on 16 June 2008 he explains that without love and freedom church unity turns into dictatorship, and the Church’s members are treated as slaves. Whereas during the communist period relations between clergy and bishops were usually simple and trusting, now, in his assessment, bishops have become government functionaries using force like the Soviet authorities once did. The ROC has become an administrative system rather than a living organism inspired by the Holy Spirit. In the place of love, the Church is being built on foundations of obedience and discipline, of fear and compulsion. In his letter dated 20 June 2008 to the bishops of the Russian Orthodox Church Abroad, now united with the Moscow Patriarchate (Portal-credo.ru 24 June 2008) he diagnoses the Church’s main tragedy as its loss of sobornost [conciliarity] which has been emptied of its dogmatic content and turned into a purely geographical concept about jurisdiction. Church-state relations, in Fr Pavel’s view, are unhealthy because they are still influenced by the communist past; they are sick from the infection of the ROC’s 1927 Declaration of allegiance to the Soviet state made by Patriarch Sergi which, he considers, contradicts the very nature of the Church: ‘It is time to free the Church from its communist handcuffs [...] The Declaration embodies spiritual Stalinism, a sickness which has long infected the country and the Church. A sickness does not need to be “improved”. It must be cured [...]’ (‘The Principles of the ROC MP’s Current Structure and Possible Ways of Improving Them’ Portal-credo.ru 5 September 2008, Part II, point 12). Although the 1927 Declaration was made over 80 years ago, this capitulation of the Church to the state, the harmonising of the Church’s objectives with those of the state, is a present reality. Fr Pavel’s sympathies lie with all those who refused to compromise, with the bishops imprisoned on the Solovetsky Islands who issued an Epistle condemning collaboration with the state, and he thinks the ROC should have followed the policy of a 1920 Decree issued by the Patriarchate which instructed the dioceses to run their affairs independently of the centre. A thought-provoking term to describe current church-state relations is introduced into this discussion by Mikhail Sitnikov in his article (Portal-credo.ru 25 February 2008) reporting on Fr Pavel’s dismissal as the priest-in-charge of the Church of the Myrrh-Bearing Women in Pskov by his bishop, Archbishop, and later Metropolitan, Evsevi of Pskov and Velikie Luki, on 22 February 2008. He uses the term ‘sovereign Orthodoxy’ to describe Metropolitan Evsevi’s authoritarian type of Episcopal rule, a neat parallel with the term ‘sovereign democracy’ used by those in power to describe the current Russian political system. Is not Metropolitan Evsevi’s authoritarianism an ecclesiastical form of ‘vertical power’ reflecting the Putin-Medvedev polity? Owing to the current structure of the ROC, Fr Pavel’s writings often discuss the role of the bishops. Three texts are relevant here: his lecture delivered on 18 August 2007 at the St Filaret Institute’s conference in Moscow and published by Portal-credo.ru on 3 September 2007, an interview dated 16 June 2008 published by Portal-credo.ru, and his article ‘The Principles of the ROC MP’s Current Structure and Possible Ways of Improving Them’ (Portal-credo.ru 1 & 5 September 2008). In the first of these texts, Fr Pavel examines the role of a bishop in the early church. He was a servant ‘in the image of Christ’, sent to take care of the Christian flock – ‘Feed my sheep’. Fifty years ago, Fr Pavel writes, a bishop was a true pastor who was willing to lay down his life for his people, to endure camp and exile (this, I think, was true of some, but by no means of all), but today the bishop’s position has changed in principle; he has become untouchable, all power is focussed on him through the ROC’s Statutes, and this power is based on force and only limited by the boundaries of a diocese. A bishop is a creature like any other Christian, argues Fr Pavel, and although given ritual sanctity through his consecration, he must make this holiness a reality in his ordinary life through moral effort, prayer and all the spiritual disciplines. Holiness only comes from the Holy Spirit, and bishops should not be put on pedestals and treated as sacred. In his 16 June 2008 interview he stresses that love must be at the core of a bishop’s ministry; a bishop should not use a rod of iron to impose unity, as unity can only be achieved through love, based on freedom and not on compulsion. In his second text, Fr Pavel examines the bishop’s status in the Church: the bishop has privatised his power, forgetting the source of his authority. ‘Forgetting the limits placed on Episcopal power, the bishop associates himself with God. He lays claim to God’s glory and becomes an idol’. The bishop does not own his diocese, Fr Pavel reminds his readers; he is responsible and answerable to God; and the Orthodox believers in his diocese do not belong to him – they belong only to Christ. Owing to the oppressive treatment Fr Pavel received from his bishop, much in his writing is concerned with the position of the clergy. In ‘The Alternative: Employment Contract or Serfdom’ (Vestnik RKHД No.193, 1-2008, pp.77-93) he states that the power of a human being over another must be limited by law. However, in the case of the clergy there is no such limit in relation to their bishop. Clergy, he argues, are without rights under the 2000 Statutes, and can be compared to the serfs in Russia before the emancipation of 1861: ‘A system has been legalised in the dioceses of the ROC whereby a priest is enslaved to his diocesan bishop’. A priest has no right to labour and to rest, he has no right to freedom of movement, he is subject to ecclesiastical courts which act outside the Federal law, meting out punishment rather than justice, and he has no contract like other citizens of the Russian Federation. All depends ‘on the goodness or otherwise of the bishop; there are no institutional forms of protection, and in Fr Pavel’s case, unfortunately, the bishop harboured a personal grudge for him and waged a vendetta against him.’ ‘Metropolitan Evsevi preaches the absolutism of Episcopal power, the dominance of the bishop over the Church, and a geographical interpretation of sobornost: he needs his clergy to be servile.’ (Ezhednevny Zhurnal, 4 June 2008). But the clergy are not the whole church; they are only there to organise it, points out Fr Pavel, and it should be the laity who take responsibility and make decisions. His views on the role of the laity are most interesting. In his book Dogmas on the Church in the Canons and in Practice, chapter 11, he emphasises the importance of the people of God, the importance of their ministries within the Body of Christ. In his interview published by Portal-credo.ru on 16 June 2008, Fr Pavel states that the laity, according to the 2000 Statutes, are defined as objects, like church furniture, not subjects like living icons. Their concerns are ignored and their potential is wasted. They only have duties, but no rights: ‘The Statutes of the ROC MP only refer to “parishioners”. These are “persons who must go to confession, receive communion, observe the canons and instructions, care for the clergy and church building”. Parishioners have duties. The Statutes do not confer on them rights. […] they have lost their status as subjects and have become church objects, on a level with lecterns, votive candle stands and other such church furniture. They are no longer honoured as an extension of the iconostasis, that is as living icons which in a church are censed: “You saw a brother—you saw God”. Their role has been reduced to contributing their expected “mite”. Parishioners have found themselves excluded from church life.’ From his own experience, even the institution elected by members of a parish, the parish council, can be bypassed by a bishop’s minions. In Fr Pavel’s case an Area Dean, Fr I. Mukhanov, and Fr Sergi Ivanov (appointed to run Fr Pavel’s parish, the Church of the Myrrh-Bearing Women) called a secret parish meeting and illegally appointed a new council. Furthermore, the finances of the parish, which should be managed by the parish treasurer and chairman, were hijacked by the new priest-in-charge, Fr Sergi Ivanov. In relation to the power of bishops, Fr Pavel examines the meaning now expressed by the words ‘obedience’ and ‘blessing’. In his 18 August 2007 lecture ‘Orthodox Sobornost and Social Solidarity’ he emphasises individual free will, which must not be manipulated through compulsion; people should not be treated as slaves. Unfortunately, he notes in his article ‘The Principles of the ROC MP’s Current Structure and Possible Ways of Improving Them’ (Part II, point 9), obedience as a means to an end – the attainment of Christian love – has become an end in itself, and thus it has been distorted and turned into a means for degrading human beings and a method of control. Obedience should issue from filial love based on trust. Instead the whole chain of command within the ROC has been corrupted and its members, clergy and laity, are expected to behave like soldiers in an army, to stand to attention and carry out military commands, without opening their mouths. In Dogmas on the Church in the Canons and in Practice (chapter 15) Fr Pavel explores the current meaning of ‘blessing’: it has lost its mystical meaning and has acquired a formal function; it gives permission or issues an instruction. It has become an adjunct of discipline which, as in the case of obedience, has confused means with ends – discipline has become an end in itself. A primary goal of the Church should be the care of those in society around it, especially of the suffering. In Fr Pavel’s own ministry, the care and defence of those rejected by society has been central, as has the education of the young. He ministered to the children in his local psychiatric hospital, and organised a home for handicapped children in his parish of the Apostle Matthew in Piskovichi. His bishop decided to remove him from his work in the hospital and then removed him from Piskovichi. When it came to the education of children, his work was again disrupted and destroyed by his bishop. The school attached to his Church of the Myrrh-Bearing Women, which was highly respected in the Pskov oblast, was disrupted at the beginning of this academic year when Metropolitan Evsevi managed to remove the headmaster following his dismissal of Fr Pavel as priest-in-charge of the church earlier in the year (Edict dated 22 February 2008, text in Keston Newsletter No 6, 2008, p.17). Tragically it would seem that Fr Pavel’s bishop waged a personal vendetta against him (there were suspicions that a car accident in 2003 had been deliberately engineered, although no one was convicted at the time). His book, Dogmas on the Church in the Canons and in Practice, first published in 2002, described by Metropolitan Evsevi as the work of the Devil, appears to be partly to blame for the bishop’s attitude, but his systematic persecution of Fr Pavel seems to have verged on the pathological. In Fr Pavel’s interview published in Kifa No 16, December 2007 (Portal-credo.ru 11 January 2008) he remarks sadly on the fact that those Christians who suffered under Lenin and Stalin are revered, but that those who were persecuted during the 1960s (and particularly during Khrushchev’s anti-religious campaign of 1959-64) and those who fought for religious freedom in the 1970s and 1980s are disliked for having struggled against the regime. Only the dead martyrs are honoured. What about the living martyrs, he asks? I think Fr Pavel must be counted among their number. Martyrs are witnesses to the truth and Fr Pavel is such a witness: ‘We must witness without thinking about the consequences. Our task is to witness; it is God who wins the victory’ (interview Portal-credo.ru 8 April 2008). He has been martyred, and this has not happened because a Godless government is in power, but because of his own Church. Now he has retired. No longer can Metropolitan Evsevi torment him. Much of what he criticises in the ROC is fundamental, and thus, not surprisingly, his criticism is unacceptable to the leadership. And can a prophet expect to be welcome in his own country? Unfortunately not. Fr Pavel’s living martyrdom will, however, in time be honoured when the history of the ROC in the 20th and 21st centuries comes to be written, and his understanding of suffering as a means of sanctification will continue to be the quiet song of victory in those parts of the universal Church which remain faithful to the teachings of their Founder: ‘Persecution is necessary for a Christian if he is to reach the Heavenly Kingdom. The Church blossoms and grows stronger through persecution’ (Fr Pavel’s Easter letter to Metropolitan Evsevi, Portal-credo.ru 29 April 2008). --- Home News Michael Bourdeaux writes: I retired as director on my 65th birthday, just ten years ago, and now Keston is about to celebrate its first 40 years. At the breaching of the Berlin Wall many people said to me, ‘How do you feel now that Keston’s work is over?’ To which I would reply: ‘This isn’t even the beginning of the end; it’s the end of the beginning.’ Twenty years later I can confidently say, ‘Keston’s work is ongoing; we guard the key documents on the religious history of Eastern Europe in the second half of the 20th century’. Also, the work of our Chairman, Xenia Dennen, and our Moscow Encyclopaedia team, seven volumes on every manifestation of faith, no matter how minor, is not likely soon to be surpassed. Although he has completed his magnum opus, Religious Life in Russia Today, after 12 years of work, Sergei Filatov is now engaged on permanent updating and, with Xenia, has already started a new programme of visiting the distant regions – now, of course, with vast experience behind the team. Roman Lunkin, another member of Sergei’s team, was recently quoted, with his Keston affiliation, in the Washington Post, when he gave an interview on the relations between the Kremlin and the Russian Orthodox Church. --- Keston AGM Saturday 7th November 2009 The Great Chamber The Charterhouse Charterhouse Square London EC1M 6AN \| Time \| Event \| \|------------\|--------------------------------------------\| \| 12.00 noon \| Annual General Meeting \| \| 12.45 p.m. \| Lunch \| \| 2.00 p.m. \| Address by Canon John Arnold \| \| 3.00 p.m. \| Address by Canon Paul Oestreicher \| \| 4.00 p.m. \| Tea \| My own work has been more interesting than ever recently. At the end of last year Patriarch Alexi II died, soon followed by the election of his successor, Patriarch Kirill, who in 1999 entertained me in his Episcopal residence in Smolensk. Obituaries, profiles and radio interviews have now followed in quick succession. Then in February Metropolitan Nikitas, of the Greek Orthodox Church in America, invited me to give three lectures at the Patriarch Athenagoras Theological Institute, part of the campus of the University of California at Berkeley. In March the former Prime Minister of Estonia, Mart Laar, invited me to Budapest to speak at the founding conference of a political group (mostly MEPs) aiming to raise the profile of the ‘other’ holocaust, persecution under communist rule, which receives scant public attention these days compared with what school children learn about Hitler and the Nazis. I was asked to choose a less well-known topic for my presentation. I spoke on Khrushchev’s persecution of religion (1959-64) – and discovered that, even in such élite company, knowledge was scant. Nothing could more readily illustrate that Keston’s work is perhaps more important today than ever before. Moscow Book Launch The final volume of Keston’s Encyclopaedia Religious Life in Russia Today was presented to the press and the academic world at the Slavic Centre for Law and Justice in Moscow on 14 January 2009. The Centre’s Director, Anatoli Pchelintsev, opened the proceedings by praising the work of the Encyclopaedia team, stressing the exceptional value of their fieldwork, and then presented Keston’s Chairman with an honorary doctorate ‘for an outstanding contribution to the establishing of civil society and the defence of freedom of conscience and religion’. About 40 people were present, including the religious correspondent of Izvestia who published an article about the Encyclopaedia on the following day. Olga Fadina, the publisher, expressed her delight at seeing her dream come true, adding that she hoped the Encyclopaedia would reach people in the Russian provinces. Professor Shaburov (Comparative Religion Department of the Russian State Humanities University), Professor Alexei Malashenko (Moscow Carnegie Centre), Bishop Künzel (Lutheran Church), Diane McKelvey (First Secretary, British Embassy), correspondents from Blagovest and Protestant, the editor of Ezhednevnyi zhurnal, Alexander Ignatenko (President of the Institute of Religion and Politics), Evgeni Rashkovsky (head of the religious literature section of the Library of Foreign Literature) and Professor Anatoli Krasikov (Director of the Centre for the Study of Religion and Society, Institute of Europe, Russian Academy of Sciences) were among those present. Xenia Dennen chaired the meeting, starting with a brief speech, and handed over to Sergei Filatov, head of the Encyclopaedia team. Roman Lunkin then spoke followed by the publisher, Olga Fadina. Professor Anatoli Krasikov praised the Encyclopaedia in fulsome terms, after which the meeting was opened to questions and discussion. Evgeni Rashkovsky described the Encyclopaedia as synchronised history where you could see Russia’s spiritual history in action. At the end Xenia asked Sergei Filatov’s 8-year-old daughter, Marfa, to speak, whereupon in a loud voice she announced: ‘Ladies and Gentlemen, we invite you now to partake of our “fourchette” which has been specially prepared for you!’ (Sergei had rehearsed her before the proceedings began, and she performed her part beautifully.) The ‘fourchette’, or buffet, had been assembled by Sergei and Roman – they did the shopping in the morning – and others from the team laid everything out on plates. There was wine, soft drinks, smoked salmon, good Russian ‘pirogi’ (pies) and more – all gobbled up by the end of the evening. Fieldtrip to Vladimir In January 2009 Xenia Dennen joined Sergei Filatov and Roman Lunkin on a fieldtrip to Vladimir, 200 km east of Moscow. Keston’s Council in July 2008 had decided to support the on-going research of the Encyclopaedia team as the trustees felt that this work was unique and should continue to be an important focus of Keston’s activity. A number of sections within the Encyclopaedia needed to be up-dated for a second edition, and so fieldtrips during 2009 were planned to Vladimir, Vologda and in June to Siberia. In Vladimir Roman interviewed Protestant leaders while Xenia (who both took notes and acted as the photographer) and Sergei talked to Orthodox and Roman Catholics. There had been a congregation of Baptists in Vladimir since 1911, and in 1967 they had been officially registered by the Soviet authorities. Since perestroika the congregation had grown to about 200 members, and included a number of students. They were now active at the local teacher training college where they held English language classes and ran a sports club, as well as focussing on work with children and in prisons. Roman also talked to the leaders of various Charismatic groups – the ‘Emmanuel’ church, the Association ‘Global Strategy’, the Calvary Chapel church, the ‘Light of Life’ church, the ‘Vine’ church – which were all involved in evangelism. The local Orthodox bishop’s (Archbishop Evlogi) right-hand man, Archimandrite Innokenti Yakovlev, a former architect and professional artist, now a monk, proved a mine of information on the diocese and described his bishop as a man of prayer. Before perestroika there had only been 50 parishes in the diocese – now there were 280. In nearby Suzdal a rival Orthodox jurisdiction, the Autonomous Orthodox Church headed by Metropolitan Valentin, had its headquarters: after some initial difficulty an interview was organised and the Encyclopaedia material on that denomination was updated. The internationally-recognised icon painter, Fr Andrei Davydov, whom Xenia had met ten years earlier during her first Encyclopaedia fieldtrip in 1999 to Pskov, had moved away from the oppressive regime imposed by Metropolitan Evsvei (described by Fr Pavel Adelheim, see article pp.11-15) to Suzdal: Xenia was able to visit his studio and was given a warm welcome. He now looked after two churches, the Church of St Nicholas, which was gradually being restored and where Fr Andrei had painted some frescoes, and a small, warm ‘winter’ Church of the Nativity which also contained his ‘Sophia’ studio, used during Soviet times by restoration specialists. The local Roman Catholic priest, Fr Sergei Zuyev, who earned a living as a professional musician since there were no church funds available to support him, gave us a long interview on our last day. He was Russian – unusual as most Catholic clergy in Russia are Polish (in the case of Vologda the priest was Slovak) and thus he understood Russian culture well and the Russian Orthodox Church. ‘I am part of Russian culture,’ he said, and with a laugh related how someone had told him that ‘a Russian cannot be a Catholic’. In fact Catholic-Orthodox relations in Vladimir were a model of cordiality; in Fr Sergei’s words, ‘we belong to the western tradition but are one church – we complement one another; we do not contradict each other.’ Fieldtrip to Vologda The team travelled by night train 500 km north of Moscow to Vologda on 17 March, and the next morning managed to fit in some sightseeing – they visited Vologda’s magnificent kremlin – on their way to interview Nadezhda Doinikova, the local government official in charge of religion. She told them that there were 106 Orthodox parishes in the whole of the oblast and 13 working Orthodox churches in Vologda itself, many of which had been restored thanks to local government funding (125 million roubles had been donated). Her policy was to promote peaceful coexistence between denominations, she said, and the rule of law. Protestant groups were able to rent premises and many were extremely active; she did not approve, however, of a Charismatic group which had ‘broken the law’ by evangelising on the street. Nadezhda Doinikova recommended that the team talk to Fr Alexei Mokievsky, one of the most active Orthodox priests in the diocese, so the next day Sergei and Xenia took a taxi out to Kirillov, where Fr Alexei agreed to meet them in a small building outside the walls of the famous Kirillo-Belozersky Monastery. Monastery. (The latter stood on the edge of a frozen lake and contained a museum with an exceptional collection of icons. A small community of four monks was now also in residence.) Fr Alexei was not only the spiritual director of the Goritsky Convent, but with his wife organised a programme called ‘For Spiritual and Moral Health’ which involved a network of different groups – some for children, others for teachers or doctors, a group which organised pilgrimages, an organisation for offenders and drug addicts, a club called ‘The Young Family’, a youth centre called ‘Alpha’. The Goritsky Convent also played a part in this network: it tried to help society’s rejects and worked with drug addicts and alcoholics (the nuns ran a farm, tilled the soil, kept chickens and cows and bees). Vologda’s Roman Catholic priest, Fr Josef Roman from Slovakia, was not as fortunate as Fr Sergei Zuyev in Vladimir; he had no church and made do with a somewhat shabby room in a depressed-looking Soviet block. During communist days he had been part of an underground Catholic community in Czechoslovakia which smuggled bibles into the Soviet Union. He now had about 30 parishioners but had given up trying to get back the Catholic church across the road from his flat, which had been turned into a restaurant in the 1980s. His relations with the Orthodox bishop were ‘mutually respectful’ but the latter had refused to receive him: ‘each of us works in his own garden,’ he added. Roman Lunkin meanwhile had caught a bus to Cherepovets (over two hours from Vologda) where he talked to Fr Georgi Trubitsyn who ran a very successful Russian Orthodox Sunday school. It was founded in 1998 and functioned every day of the week with 300 children attending. Fr Georgi’s Church of the Nativity had been restored with the help of the Governor who wanted to make reparation for his NKVD father. The latter, as an active member of the Komsomol, had helped tear it down many years before. Later he talked to Pastor Sergei Golubev, leader of the Potter’s House, a Charismatic group (an import from America with 20 churches in Russia) in Vologda which had 400 members and was working with drug addicts. This was the group which had displeased Nadezhda Doinikova for evangelising on the street. Somewhat exotic was his meeting with a local pagan ‘high priest’, Viktor Novikov, a graphic artist dressed ‘à la Russe’ in traditional Russian peasant clothes, who that morning, being the equinox, had been out in a boat on Vologda’s river worshipping the sunrise. ‘Here in Smolensk we make the best bread in Russia.’ So said Metropolitan Kirill to me at his dinner table in November 1999. And indeed his lively conversation about the selection of grain and the milling process held my attention over our meal, not least because he told me that his diocese had financial control over this local industry. These words have come back ‘stronger than ever’ after his election as ‘Patriarch of Moscow and All Russia’, for his critics at home have been resurrecting the story of how he became immensely rich through being involved in the import, avoiding taxes, of eight billion of cigarettes in the 1990s. More recently – and more legitimately, it is said that he has been much involved in the car and other industries, and is now the richest man in the Church. The new Patriarch is – and has been for a considerable time – the most powerful man in the Russian Orthodox Church (ROC). His election as Patriarch is no surprise, though that has not prevented considerable lobbying and a contested election (as reported in The Times 28 January 2009). It seems as though Patriarch Kirill was even powerful enough to block the website, Portal-credo.ru, perhaps the only source of independent comment on church affairs in Russia, after articles critical of him had appeared on it. During the days leading up to the election it closed down and Alexander Soldatov, its editor, reported that a hacker broke in and destroyed its data-base. I was in Smolensk – for the second time in two months – nearly ten years ago at the invitation of Metropolitan Kirill, its diocesan bishop. The BBC was planning the first in what was to become a series of broadcasts from the ROC over the next few years. For the first, Kirill insisted that we should go to his diocese to make a recording marking the millennium. My producer, the Revd Stephen Shipley, and I were soon convinced that the choice was an excellent one. We saw the Church in its strongest aspect, rebuilding its life after 70 years of persecution. Kirill insisted that I should give an autobiographical lecture in the new diocesan seminary – the first and only time I have done so – and we also visited the immensely impressive music school for training female church singers and conductors. There was an openness among all the local church leaders we met, a desire for contact after years of isolation due to communist anti-religious policies. Whatever the other current criticisms of the new Patriarch (for his authoritarianism and anti-Catholic stance, for example) he is reckoned in Russia to have been a highly successful bishop in his diocese (which included the Russian exclave of Kaliningrad) and to have made strong contacts with the intelligentsia. Everything we saw in Smolensk supports this. But how did such a strong man find himself in this provincial city, four hours west by train from Moscow, just short of the border with Belarus? The story also helps explain Kirill’s rise to the office of Patriarch. Nepotism explains his early rise. He was a protégé and relative of the formidable Metropolitan Nikodim of Leningrad, who dominated Russian church affairs in the 1960s and 1970s. But he was also strong and a competent theologian, which persuaded Nikodim to appoint him as Rector of the Leningrad Theological Academy at the age of only 28 (younger than some of his students). His high-profile activities in attempting to reform theological education and bring it into the 20th century led to his falling foul of the communist authorities. Leaning heavily on the weak Patriarch Pimen, they secured his removal to Smolensk in 1984, out of harm’s way, as they thought, even though he received a bishopric in return. How wrong they were! It was in Smolensk that Kirill honed his skills. Not only did he become head of the Department of Foreign Relations, a post he held for 20 years until now; he also transformed the internal government of the Church. Back in 1961, at the outset of a particularly serious outbreak of religious persecution under Nikita Khrushchev, a new regulation (ustav) had been foisted on the Church, removing the parish priest from executive power in his own parish and clearing the way to the massive closure of churches. Now, before Mikhail Gorbachev began to facilitate church reform in the mid-1980s, Kirill began to draft a new ustan: This massive document – 34 detailed pages – came to the fore in 1988 at the Council (sabor) marking the millennium of the conversion of Russia. He presented his document in a masterful way. It was accepted, though subsequently critics have pointed out that it contains loopholes for potential manipulation by the church leadership. His rise was now assured in the liberal climate by then prevailing. He would further prepare himself for an international role by, for example, spending a few weeks at Selly Oak Colleges in Birmingham in order to improve his English. The question being asked in the Vatican, Poland and elsewhere is: will this Patriarch invite the Pope to Moscow? He seems to have had early sympathy with the Catholic Church, and I perceived a certain openness in his Smolensk seminary, for example. This, however, changed when the Vatican created four fully-fledged dioceses in Russia and Kirill strongly criticised this. The Vatican, though, seems hopeful that relations will improve now. Keston Institute’s Encyclopaedia Religious Life in Russia Today, the final volume of which was launched in Moscow last January, designates him as a ‘popular and colourful figure’ who has regular meetings with the scientific and artistic intelligentsia of Smolensk and is brilliant in the field of education. He supports a ‘powerful Russian State’ and it will be interesting to observe his developing relations with President Medvedev and Prime Minister Putin, who have similar views. [First published in The Times 31 January 2009, and reprinted with kind permission] Methodism reached Vologda from America. In 1994 members of the United Methodist Southwest Texas Conference arrived in the city and two years later a Methodist church was registered. When Keston’s Encyclopaedia team (myself, Roman Lunkin and Sergei Filatov) arrived at the door of this new Methodist church, we were not confronted with what I would have expected to find in England. This was no ordinary church. Because it was not possible to buy land and build a church, Vologda’s Methodist minister, the Revd Vera Agapova, had bought a small house, 43 Proletarskaya Street, which was registered as her private property, and had turned half of it into a church. She lived in the other half. Immediately behind her house the elegant curvaceous outline of a Russian Orthodox church imprinted a traditional image on the skyline in contrast to what was a new element on Russia’s religious landscape. Vera Agapova met us on the doorstep, a homely shawl draped over her shoulders, and led us into a well-ordered room, most of which was set aside for the church, with a small area behind some pillars where there was a table and chairs and facilities for making tea. There we sat and heard her story. She had been a businesswoman and had lost her husband in 1997 when he was killed in a car crash. It was he who had found his way into the small Methodist group formed by the Americans in 1994, and Vera had followed. After his death, the group encouraged her to join the Methodist seminary in Moscow where she trained for the ministry and was ordained in 1998. She had been profoundly moved, she told us, by all the prayer and support which had poured forth from those attending the Methodist Conference in Moscow, led by Bishop Ridgier Minor (originally from East Germany), the head of the Russian United Methodist Church. Now her congregation consisted of about 30 members. There was a Sunday school attended by 12-15 children, and summer camps were organised for them and children from state homes by Vera and her helpers. Foreign languages at the local technical college were taught by some Americans who kept in close touch with her congregation, and helped maintain contact with the US from where funding came to support her ministry. Members of Vera’s congregation had visited the US and had seen ‘varied aspects’ of church life there: ‘As members of a non-traditional religion, it is good to feel that you’re not alone,’ she said. Groups of American doctors who were Christians had attended four conferences in Vologda, which Vera had helped to organise. She knew many of Vologda’s doctors who agreed to have the American visitors to stay. Even the Orthodox bishop had been prepared to receive the visitors, she told us. ‘Working relations begin with friendship,’ she said. Although she had established good relations with the Baptists and with the Catholic priest, some more conservative Evangelical Christian groups could not relate to her as a woman minister because of their views on women’s ministry. She wanted her church to remain theologically liberal and part of Europe, she said, and had been attracted to the Methodist Church because of its non-judgemental attitude and its love. In her view, people should remain free and never face compulsion – this had been her experience among the Methodists. Her theology was sacramental, she wore vestments when officiating, read Russian Orthodox theological books and liked the writings of Fr Alexander Men. She respected Russian culture, for in her view ‘you must not rubbish the place where you live’. She clearly could happily coexist with the Russian Orthodox Church – in her words ‘we have to live together’ – and she particularly liked its renewed interest in biblical studies. Nevertheless, she and her American visitors had on occasion been shocked by Orthodox behaviour: once they had arrived in an Orthodox church where a funeral was being held, and had been greeted in a loud voice by the parish priest who, she said, paid absolutely no attention to the solemn event taking place just behind him. Also, on another occasion a visiting group of American teenagers from a Methodist Sunday school had been invited to sit down at tables laden with vodka, all generously provided by an Orthodox parish. The Methodists’ relations with the local authorities were excellent and her congregation worked with local agencies involved in helping single mothers and foster children. ‘Faith must be visible through action; we must show that we are “normal” people,’ Vera explained, ‘and proudly added that they were now called “normal sectarians”! She believed that slow, careful work would gradually enable Methodism to gain respect and become established. ‘We must not advise ourselves; nothing can happen all at once in the current Russian situation.’ She spoke with a hint of envy, however, about churches where many generations had been baptised, married and buried, and longed for the day when her church would become rooted in Russia and enmeshed with the lives of future generations. Keston Newsletter No 9, 2009
Simulation-Free Runway Balancing Optimization Under Uncertainty Using Neural Network Ryota Mori Air Traffic Management Department ENRI Tokyo, Japan email@example.com Daniel Delahaye OPTIM Research Lab ENAC Toulouse, France firstname.lastname@example.org Abstract—This paper proposes a new optimization scheme using neural network for runway balancing to minimize departure and arrival aircraft delay. While other researchers have proposed solutions to the runway balancing problem using a simulation-based technique to calculate aircraft delay, the proposed method replaces the simulation by a neural network model-based estimation using the actual operational data, thus providing the following two advantages. First, accurate estimation of aircraft delay can improve the solution of the runway balancing problem. Second, the simulation process is not required in the optimization. Although it is difficult to develop an accurate simulation model especially under uncertain environment, the neural network model can estimate the average delay without explicitly modeling uncertainty. In this paper, as a first step, the effectiveness of the proposed method is validated through simulations. First, simulations considering uncertainty are used to generate the data, which are then used to train the neural network. The neural network predicts the delay under the current traffic and only this predicted delay is used for the runway balancing optimization with simulated annealing. The simulation result shows that the result by neural network outperforms the one by the simulation-based method under uncertainty. This means that the neural network can accurately estimate the delay under uncertainty environment, and is applicable in the optimization process. Keywords; simulated annealing, arrival manager, convolutional neural network I. INTRODUCTION Airport runway is a main bottleneck of air traffic control system, and thus more efficient runway usage is needed to maximize capacity and optimize traffic handling [1]. Apart from new runway construction, there are two main approaches to increase runway capacity: take-off/landing separation reduction and runway balancing. The former is a straightforward idea to increase the runway capacity, and various methods are proposed such as optimal aircraft sequencing considering wake turbulence category, time-based separation applied under strong head wind, and development of new separation standard (RECAT) [2]. The latter (runway balancing) aims at optimal runway allocation of take-off/landing aircraft to multiple runways. Although this method works only when there are multiple runways at the airport, it is one of the promising solutions for major airports in the world with multiple runways. This research focuses on runway balancing. There have been many prior studies to optimize the runway allocation of departures and/or arrivals. To optimize the runway allocation, there are several types of the objective functions to be minimized depending on the problems, such as aircraft delay [3][8][13], makespan [7], and combination of makespan/aircraft delay and other factors such as noise, fuel consumption, and congestion level [4][5][6][9][10][11][12]. The runway allocation is a combinatorial optimization, and various optimization methods are applied such as mixed integer linear programming [10], genetic algorithm [3][4], simulated annealing [8][9][11], ant colony optimization [6], swarm intelligence algorithm [7], bat algorithm [13], greedy method [5], and dynamic programming [12]. Also, many researchers optimize the aircraft sequencing and runway allocation simultaneously. Operational constraints, such as conflict on air routes and taxiing, are also considered in some studies [11]. Most researchers consider deterministic environment only, and just a few researches are found to take uncertainties into account. However, uncertainty exists in real world, and the uncertainty of take-off time is usually greater than that of landing time because the boarding process includes large uncertainty. Therefore, uncertainty becomes critical when the runway handles departure aircraft. To tackle uncertainty, several approaches are considered. One is robust optimization. The robust optimization assumes a certain time window of uncertainty, and the best strategy is found under the worst scenario. Runway sequencing has been optimized with robust optimization as shown in [14]. With this method, the optimization is converted to a deterministic optimization problem, so the deterministic optimization method can be applied. The optimal parameters found for the worst case scenario are not necessarily optimal for various uncertain scenarios, however. Another method is to run numerous simulations by changing uncertainty parameters, and sets of simulation results are evaluated by the expected value (sample average approximation) or its alternatives. This method is referred to as a simulation method here. There are some researches using the simulation method for runway balancing and sequencing [7][15]. This method can consider many uncertain scenarios, but requires large computational time. However, both methods discussed above have a common problem: they require an accurate runway simulation model, and especially the following important parameters should be found: take-off/landing separation, interaction of departure and landing, and their uncertainty. The optimal runway balancing, for example, is usually obtained by minimizing the objective function that is estimated based on such simulation models. Intricate airport operations make it difficult to develop an accurate simulation model. If the simulation model is inaccurate, the obtained optimal solutions becomes less reliable. To tackle this issue, the authors propose a new optimization approach without using a simulation or parameter estimation of airport operations. The objective function must be calculated for optimization, but the authors propose that this be done by a neural network (NN) trained with the actual operational data directly. Since the NN training process requires both inputs and outputs from actual data, the NN can learn the actual operation environment directly by the actual data. In addition, the actual operation includes various types of uncertainties, which are difficult to be handled in the optimization. However, the NN is trained to minimize the error between the model output and data output, which means that the NN estimates output of the expected value considering uncertainty. This approach should work in theory, but investigation is necessary to evaluate its performance in practice. Therefore, in this paper, the above simulation-free approach is formulated and the result is compared to the simulation-based approach. One of the advantages of the proposed method is the use of the actual operational data directly with no simulation environment required. However, to validate the proposed method, as a first step, the simulated data including uncertainty instead of real-world data is used for NN training, which makes it possible to evaluate the obtained NN performance. This paper starts with the problem formulation in Sec. II, and the NN model is developed in Sec. III. Sec. IV shows the simulation environment and results, and Sec. V concludes this paper. II. PROBLEM FORMULATION A. Airport operation and simulation method This time, Tokyo International Airport (Haneda Airport) is set as a target airport, and the runway balancing problem is considered. Fig. 1 shows the airport layout and runway operations under north wind. Runway A is used for arrival only, and is independent of traffic on other runways. On the other hand, Runway C is used for both departure and arrival i.e. mixed-mode operation. Runway D is used for departure only, but the arrival to Runway C also affects the departure from Runway D. Under this condition, the runway balancing for arrivals between Runways A and C is considered. In this paper, as a first step, the above runway operation is simply described in the following mathematical forms. 1) Inputs - $D$: Set of departure aircraft $D = \{1, ..., n_D\}$ - $R_D$: Set of departure runways $R_D = \{c_D, d\}$, where $c_D$ is Runway C used by departures and $d$ is Runway D. - $A$: Set of arrival aircraft $A = \{1, ..., n_A\}$ - $R_A$: Set of arrival runway $R_A = \{a, c_A\}$, where $a$ is Runway A and $c_A$ is Runway C used by arrivals. - $PTOT_i$: Earliest possible take-off time for aircraft $i$. $\forall i \in D$ - $PLDT_i$: Earliest possible landing time for aircraft $i$. $\forall i \in A$ - $r_i^{nom}$: Nominal runway for departure and arrival. $r_i^{nom} \in R_D \forall i \in D$ and $r_i^{nom} \in R_A \forall i \in A$ - $r_i$: Departure/Arrival runway. $r_i = r_i^{nom} \forall i \in D$ and $r_i \in R_A \forall i \in A$ 2) Decision variables - $\delta_i \forall i \in A$: binary variable for arrival runway decision. \[ \delta_i = \begin{cases} 1 & r_i \neq r_i^{nom} \\ 0 & \text{otherwise} \end{cases}. \] 3) Variables given by the airport operation - $t_i$: Actual take-off or landing time. $\forall i \in A \cup D$ 4) Constraints - Runway separation \[ t_j \geq t_i + S_{ij} \quad \forall i \neq j \in A \cup D \quad \text{where } S_{ij}: \text{Minimum separation between aircraft } i \text{ and } j \text{ where aircraft } i \text{ precedes aircraft } j. \] \[ S_y = \begin{cases} -\infty & \text{if } t_i > t_j \\ N(120s, 15s) & \text{or } (r_i = c_A \& (r_j = c_D \text{ or } r_j = d)) \text{ for } i \in A, j \in D \\ & \text{or } ((r_i = c_D \text{ or } r_i = d) \& r_j = c_A) \text{ for } i \in D, j \in A \\ 0 & \text{otherwise} \end{cases} \] - Earliest landing time \[t_i \geq PLDT_i + w_{r_1, r_2}^{\text{nom}} \quad \forall i \in A \text{ where } w_{r_1, r_2} \in R_A;\] Additional flight time required when the nominal runway is $r_1$ and the landing runway is $r_2$. \[w_{r_1, r_2} = \begin{cases} 0 & \text{if } r_1 = r_2 \\ 120 & \text{otherwise} \end{cases}\] - Earliest take-off time \[t_i \geq PTOT_i \quad \forall i \in D\] - Arrival is always given priority over departure. To simplify the problem, the take-off and landing separations are set the same regardless of the wake turbulence category, and are equal to 120 s. The departure-arrival (C runway-C runway) or arrival-departure (C runway-C runway and C runway-D runway) separations are also set to 120 s. $N(a,b)$ indicates the normal distribution with average $a$ and standard deviation $b$, so the separation is not constant but randomly distributed. Arrival is always given priority over departure, so the departure from both C runway and D runway cannot take off if arrival at C runway is approaching and enough separation cannot be established. The objective function to be minimized is the total delay of all aircraft. However, the landing runway re-assignment in general requires additional ATC workload, so the number of runway re-assignment is also included in the objective function, defined as the following form where $\alpha$ is the weight factor. Here, the runway re-assignment indicates the case where the nominal and the actual runways are different. \[ J = \sum_{i \in D}(t_i - ETOT_i) + \sum_{i \in A}(t_i - ELDT_i + \alpha \delta_i) \] (1) If PLDT and PTOT of all aircraft are known in advance, it is easy to optimize the runway balancing, which is not the case in the real world. Both have a considerable uncertainty, but departure aircraft tend to have larger uncertainty than arrivals, because the departure aircraft can start pushback only when all passengers are onboard, which causes the large uncertainty. The estimated time of PLDT and PTOT is denoted by ELDT (Estimated Landing Time) and ETOT (Estimated Take-off Time), respectively. This time, the following uncertainty value is assumed according to past researches[16][17]. \[ ETOT - PTOT = \begin{cases} N(0, 300s) & \text{if } \Delta T > 15 \text{ min} \\ N(0, 120s) & \text{otherwise} \end{cases} \] \[ ELDT - PLDT = N(0, 0.02\Delta T) \] where $\Delta T$ is the time difference between ELDT/ETOT and the current time. This means that the uncertainty of ELDT is linear to the estimated flight time to the runway with the standard deviation of 2% flight time. The uncertainty of ETOT is assumed to become small at 15 minutes before ETOT, because at this time the largest contributor to the uncertainty, i.e. the boarding process, is completed. The decision variables are the landing runway of each arrival aircraft only. However, the last minutes change of landing runway is not possible considering both ATC and pilot workload perspectives, so it is assumed that the runway decision must be made 30 minutes before ELDT. Therefore, the runway decision must be made under uncertainty. B. Optimization method The optimized parameters are $\delta_i \forall i \in A$. However, all $\delta_i$ do not need to be optimized at the same time, because aircraft due to depart further in the future cause little impact on the runway decision of the aircraft 30 minutes before the landing. As in other researches, this time, the sliding windows approach is applied[11]. The sliding window approach optimizes the aircraft with a certain time window of ELDT only, and the target aircraft are changed as time proceeds. This optimization process is done repeatedly, with the latest result being used for decision making. Assuming that there are $n$ aircraft to be optimized, the possible combination is $2^n$. If $n$ is sufficiently small, the objective function for all combinations is calculated, and the best one is chosen. However, when $n$ increases, it is impossible to calculate all combinations. Therefore, simulated annealing is applied to find the best solution. The simulated annealing is a metaheuristic optimization algorithm, and imitates the annealing process in metallurgy. The simulated annealing is often used to solve combinatorial optimization problems, and is therefore applicable here as well. The general optimization process of the simulated annealing is shown as follows. ``` Initialization: $i := 0, T := T_0$ While $T > T_{\text{final}}$ do Generate solution $j$ near solution $i$ if $f(i) > f(j)$ then $i := j$ else $i := j$ with probability of $\exp\left(\frac{f(i) - f(j)}{T}\right)$ end if Compute $T$ $i$ becomes the final solution. ``` III. NN DEVELOPMENT FOR OBJECTIVE FUNCTION CALCULATION A. Inputs and outputs of the network In this research, the authors propose that the objective function is calculated by data-trained NN. Therefore, first the NN inputs and outputs should be decided. First the inputs are considered. The possible inputs are the ETOT/ELDT of each aircraft and its runway information. This time, to represent both ETOT/ELDT and runway information, the number of aircraft on each runway at each time slot are set as inputs. Fig. 2 shows the image of the inputs. There are four different queues in this runway operation (runway A for arrival, runway C for arrival, runway C for departure, and runway D for departure). In each queue, the number of aircraft is set to each time slot of ETOT/ELDT. The size of time slot is set to 120 s. The time slot starts with the current time and ends at the end of sliding window. Since the runway re-assignment is considered within the sliding window only, the aircraft out of the sliding window do not affect the decision of the runway re-assignment. In this example, 1 hour sliding window is assumed, and 430 inputs are made. This input size (1 hour sliding window) is used for NN development. ![Figure 2. Representation of NN inputs.](image) As for the outputs, the objective function is the sum of the delay and the number of runway re-assignment. Only the delay should be calculated by NN, and the number of runway re-assignment is implicitly incorporated in the decision variable. This time, the following four output values are set as NN outputs. \[ o_1 = \sum_{j \in \{Arr_j = a\}} \left( t_j - ELDT_j \right) \] \[ o_2 = \sum_{j \in \{Arr_j = c_A\}} \left( t_j - ELDT_j \right) \] \[ o_3 = \sum_{i \in \{Dep_i = c_D\}} \left( t_i - ETOT_i \right) \] \[ o_4 = \sum_{i \in \{Dep_i = d\}} \left( t_i - ETOT_i \right) \] Each output is affected by different inputs (aircraft). Since it is easier to develop several small networks than a single large network, four separate NNs are made. The sum of all four outputs corresponds to the delay of all aircraft, which exactly matches the objective function given in Eq. (1) except the number of runway re-assignment. Each network requires only the necessary inputs that affect the output. Table 1 summarizes the used input in each network. ### B. NN structures Next, NN structures are considered. There are various types of possible networks, such as feedforward fully-connected NN (FFNN) and convolutional NN (CNN). To estimate the delay of aircraft, a single aircraft usually affects the nearby aircraft, and queue length is propagated to the later aircraft. As for FFNN, all inputs are connected, but most connections are actually not needed for estimating the delay. The unnecessary connections often cause over-fitting and results in the failure of training a network. On the other hand, CNN connects the neighborhood inputs only, and smaller network can be created. A popular application of CNN is image processing. Although the inputs are 2 dimensional in image processing, time sequence data in this research is considered as 1 dimensional data, and CNN is applied. #### TABLE I. Inputs and Outputs Used in Each Network. \| Network name \| Inputs \| Outputs \| \|--------------\|--------\|---------\| \| Network1 \| Arr-A (30 inputs) \| $ o_1 $ \| \| Network2 \| Arr-C (30 inputs) \| $ o_2 $ \| \| Network3 \| Arr-C, Dep-C (302 inputs) \| $ o_3 $ \| \| Network4 \| Arr-C, Dep-D (302 inputs) \| $ o_4 $ \| ![Figure 3. NN structures used in this research.](image) #### TABLE II. The Parameters in NN Used in This Research. \| Layers \| Variables \| Values \| \|--------------\|----------------------------\|-----------------\| \| \| \| Network1,2 \| Network3,4 \| \| 1st (convolution) \| Number of out channels \| 128 \| 256 \| \| \| Strides \| 3 \| 3 \| \| \| Kernel size \| 3 \| 3 \| \| 2nd (convolution) \| Number of out channels \| 128 \| 256 \| \| \| Strides \| 2 \| 2 \| \| \| Kernel size \| 2 \| 2 \| \| 3rd (fully-connected) \| Number of hidden nodes \| 128 \| 256 \| \| 4th (fully-connected) \| Number of hidden nodes \| 128 \| 256 \| \| 1st-4th \| Activation function \| ReLu [18] \| ReLu \| \| Output \| Activation function \| Linear \| Linear \| Fig. 3 summarizes the NN structures used in this research. The first and second layers use a convolutional layer, and the third and fourth layers use a fully-connected layer. Table 2 summarizes the detailed values of the network. Since Network3 and Network4 have more inputs than Network1 and Network2, the NN size is set larger in Network3 and Network4. However, the general NN structures are set the same for all networks. C. Training data and NN training Training data sets are required to train the NN. In reality, the actual operational data is used, but this time data must be generated via simulations. The data should include various scenarios, and various patterns of runway balancing, otherwise the data would be biased, and the appropriate NN cannot be made. Therefore, through a data generation process, NN is trained iteratively and its output is used for runway assignment of each arrival aircraft in the simulation. In order to simulate various situations, $\alpha$ is randomly set with exponential distribution of scale parameter 600 s, and the runway assignment is randomly set with a probability of 0.05. The simulation parameters are given later in Sec. IV A. The data is obtained every minute for 3 hours, so a single simulation can generate 180 data sets. By running about 1700 times of simulations, 300,000 data sets are created. Once the training data is obtained, NN is trained. The well-known training algorithm Adam[19] is applied here. During a training process, the generalization capability is a big issue. Generalization refers to the ability of the NN to produce reasonable outputs for inputs that are not encountered during training. NN tries to minimize the loss function between model output and trained data output. Since both inputs and outputs data usually include noise, minimizing the error loses the generalization (called over-fitting). There are various ways to avoid over-fitting, but one method is to collect sufficient number of data. However, the possible number of data obtained is also limited if this process is implemented using real operational data. As for the airport operational data, it is assumed that each day consists of 16 operational hours, with data obtained every 1 minute. For 1 year, $6016365=350,400$ is the maximum possible number of data obtained. However, a good NN could not be made with 350,400 data sets according to the authors’ pre-calculation. Consequently, data augmentation technique is used. The data augmentation is the technique where the data is artificially made based on the obtained data. This technique is often used in the image processing field. In this field, the data augmentation is done by various ways such as rotating the image, reflecting the image, and changing the scaling. In this research, data augmentation is done by the following way. 1) copy the input/output from the original data. 2) pick up one aircraft from the input data. 3) the aircraft moves to the next time slot. This process is very easy, but it should work because ETOT/ELDT includes uncertainty, so similar output is expected even if the ETOT/ELDT is slightly changed. This time, it is assumed that 300,000 data are available in advance. First, the data is augmented by 9 times in each original data set, and the number of data becomes 3,000,000 ($300,000(9+1)$). Second, the data is split into 70% training data (2,100,000) and 30% test data (900,000). The NN is trained with the training data, and the NN where loss function between model output and test data output is the minimum is used as the obtained NN. Also, batch training is applied, and the batch size is set to 2048. As for the loss function, the mean squared error (MSE) is used. IV. SIMULATION RESULTS A. Simulation parameters Before conducting a simulation, several simulation parameters need to be set. First, the traffic volume is decided as shown in Table 3. There are three scenarios considered. Scenario 1 is low traffic, Scenario 2 is heavy traffic, and Scenario 3 covers various traffic. Without the optimization of runway re-assignment, there is an optimal ratio of runway balance for both departures and arrivals, and the nominal ratio should not be significantly different from the optimal ratio. Therefore, the nominal ratio of arrival/departure is also set in the scenario. As for the departure, 0.5 is the best ratio of departure, so it is randomly set between 0.4 and 0.6 in the simulation. As for the arrival, 0.85 is the best ratio of arrival for A Runway, and distributed between 0.75 and 0.95. Scenario 3 is used for NN training as explained in Sec. III, and Scenarios 1 and 2 are used to investigate the simulation results. In the simulation, first, PTOT/PLDT are randomly distributed for 3 hours, and the simulation is conducted until all departure and arrival aircraft take off or land. The optimization of runway assignment of each arrival aircraft is conducted every 10 minutes, and the runway decision is made 30 minutes before ELDT. Since the time window for the optimization is set for the next 60 minutes, the runway is optimized for arrival aircraft where ELDT is between $t + 30$ and $t + 60$. The runway actually assigned is the one obtained in the latest optimization process. \| Scenario \| Total arrival \| Total departure \| Nominal ratio of arrival for A Runway \| Nominal ratio of departure for C Runway \| Total number of aircraft \| \|----------\|---------------\|-----------------\|--------------------------------------\|----------------------------------------\|-------------------------\| \| 1 \| 20 \| 20 \| 0.75-0.95 \| 0.4-0.6 \| 120 \| \| 2 \| 32 \| 32 \| 0.75-0.95 \| 0.4-0.6 \| 192 \| \| 3 \| 15-34 \| 15-34 \| 0.75-0.95 \| 0.4-0.6 \| 90-204 \| Next, Table 4 shows the parameters of simulated annealing. If the number of possible combinations is less than the number of iterations, the objective functions of all possible combinations are calculated, and the best one is chosen, which is actually a deterministic method. TABLE IV. PARAMETERS OF SIMULATED ANNEALING. \| Parameters \| Values \| \|-----------------------------\|---------\| \| Number of iterations \| 1024 \| \| Initial temperature \| 15000 \| \| Terminal temperature \| 7.5 \| B. Calculation of objective function without considering uncertainty To proceed with the optimization process, the objective function must be calculated. In this research, the authors propose to calculate it by NN. However, the simulation method is also used here as a benchmark. To calculate the objective function, the simulation method developed in Sec. II A is used, but no uncertainty is considered, i.e. the simulation runs assuming that $PLDT_i = ELDT_i \forall i \in A$, $PTOT_i = ETOT_i \forall i \in D$, and $S_{ij} = 120s$ for given conditions. Since this simulation does not consider uncertainty, the objective function calculated by this simulation differs from that by the simulation including uncertainty. This discrepancy can cause the inappropriate assignment of arrival runway for each aircraft. In reality, the separation $S_{ij} = 120s$ is also sometimes difficult to be identified, but this time it is assumed that the “average” separation is already known in advance. From now, the case where the objective function is calculated by the simulation without considering uncertainty is denoted by SIM method. C. Comparison between SIM method and NN method To compare the results obtained by SIM method and NN method, 100 times simulations are conducted in each scenario (1 and 2). Since the same random seed is used between SIM method and NN method, completely the same initial values, the same randomized separations, and the same randomized ETOT/ELDT errors are used in both methods. The optimization calculation is conducted with various $\alpha$ in the objective function between 0 s and 2400 s, which models the cost of a single runway re-assignment. First, the accuracy of NN performed estimations are discussed. Fig. 4 shows the delay estimation result of both methods by arrival on Runway A (which corresponds to $o_1$), while Fig. 5 shows the result by departure on Runway C (which corresponds to $o_3$). The other two values ($o_2$ and $o_4$) also show a similar trend. The total delay in this result indicates the sum of the delay for next 60 minutes time windows, and is used to calculate the objective function. Also, this is the result of Scenario 2 where $\alpha$ is 60 s. The root mean square error (RMSE) values are also included in the result. As expected, the RMSE by NN is smaller than that by SIM for all cases, which means that the NN can estimate the total delay more accurately than SIM method. The delay of arrival is estimated better than that of departure, because the uncertainty of arrival is smaller than that of departure. The SIM method estimates the relatively smaller delay than the actual delay. This can be understood by the queueing theory. According to the queueing theory, the arrival process on Runway A can be described as M/G/1 queue[20], and the average waiting time increases if there exists uncertainty of the service time (which corresponds to the Figure 4. The estimated total delay by NN and SIM methods compared to the actual delay by arrivals on Runway A. (RMSE=809s by NN, RMSE=1122s by SIM) Figure 5. The estimated total delay by NN and SIM methods compared to the actual delay by departures on Runway C. (RMSE=927s by NN, RMSE=1009s by SIM) landing separation here). SIM method does not consider the uncertainty, so its estimate of the waiting time tends to be lower than the actual one. On the other hand, the NN can estimate the delay better than the SIM method, because NN models the delay considering uncertainty. As for the departure, the delay is estimated less accurately than the departure, because the uncertainty of the departure is assumed to be much larger than that of the arrival. However, the NN can estimate the delay slightly better than SIM method when measured by RMSE. ![Figure 6. RMSE in each total delay range by arrivals on Runway A.](image) ![Figure 7. RMSE in each total delay range by departures on Runway C.](image) To analyze the estimation accuracy in more detail, Fig. 6 shows the RMSE of each method in each range of actual total delay by arrivals on Runway A, while Fig. 7 shows the result by departures on Runway C. In general, the RMSE tends to increase with the actual total delay. As for arrivals, NN always estimates the delay better than SIM method. However, as for departures, SIM method sometimes estimates the delay better than NN when the actual total delay is large. This can also be understood by Figs. 4 and 5. As for arrivals, the number of plots becomes small as the actual total delay increases, but there are enough number of plots even when the actual total delay is large. However, as for departures, the number of plots gets significantly small when the actual total delay is larger than 5000 s. Since NN is trained by the data, the training process does not work well if there is not enough training data. According to Fig. 7, NN can always estimate the delay better than the SIM method where there seems to be sufficient data. However, NN can estimate the delay better than SIM method in most cases, and the difference of the delay accuracy between two methods (SIM and NN) can affect the solution of the runway balancing. Next, Fig. 8 shows the total delay after the optimization by both methods under scenario 1 (low traffic), while Fig. 9 shows the result under scenario 2 (heavy traffic). Here, the total delay means that the sum of delay for all aircraft for a single simulation. The dotted line indicates the “no optimization” result. Therefore, the results of both methods converge to “no optimization” when the number of runway re-assignment is 0. In each parameter of $\alpha$, the optimization is conducted in each method, and the following 12 values of $\alpha$ are used. [0, 60s, 120s, 180s, 240s, 360s, 480s, 600s, 900s, 1200s, 1800s, 2400s]. When traffic volume is small (Fig. 8), the average flight delay is also small compared to that in the heavy traffic case. Also, the possible reduction of delay is also limited. Since there are $202(\text{dep/arr})3(\text{hours})=120$ aircraft in a single simulation, 1 s average flight delay corresponds to 2 minutes total delay. SIM method does not estimate the objective function very accurately, so the delay increases when $\alpha$ is small because unnecessary runway re-assignment can increase the delay due to the term $w_{\tau_1,\tau_2}$. However, that is not the case when using NN, and the minimum delay is observed when $\alpha$ is 0. While SIM method can reduce the waiting time by 8.7 s per aircraft via runway balancing, NN can reduce the waiting time by 11.8 s per aircraft, or additional 36% savings. On the other hand, when the number of runway re-assignment is small, the possible delay reduction is almost the same for both SIM and NN methods. That could be because “large benefit” runway re-assignment strategy is the same regardless of the consideration of uncertainty. If the number of runway re-assignment is limited, the advantage of the proposed method may be limited. As for heavy traffic (Fig. 9), the delay per aircraft is large, and the possible delay reduction is also large. However, the difference between SIM and NN methods is not quite big. SIM method can reduce the delay by 64.0 s per aircraft, while the NN method can reduce the delay by 68.2 s per aircraft, about 7% larger. This could be because many departure aircraft exist anyway under heavy traffic, so even if one departure aircraft has large uncertainty, another departure aircraft can compensate it, and the uncertainty effect could be reduced. However, NN method still outperforms the SIM method. These results infer that the proposed method using NN is very promising. This time, simulation environment is developed in a simple manner, which is advantageous for SIM method. However, in reality, much more complicated airport operation is conducted, so the advantage of the proposed data-driven NN method will be significant in the real world. ![Figure 8. Average additional flight time (flight delay) per aircraft on Scenario 1.](image) ![Figure 9. Average additional flight time (flight delay) per aircraft on Scenario 2.](image) V. CONCLUSIONS This paper proposed a new scheme to optimize a runway balancing problem using NN. NN modeling approach does not require any explicit operational models and simulations, and relies on actual operational data only. This means that simulation parameters such as departure/arrival separations and its interactive effect are not required, because these characteristics are expected to be modeled by NN. This paper showed the effectiveness of the proposed method via simulations. The uncertainty effect was appropriately modeled by NN, and the solution of the runway balancing was improved. This time, relatively simplified airport operation was assumed, so it will be interesting to investigate how much NN can handle more complicated operation. Also, the proposed method will be applied using the actual operational data, and its ability will be investigated. These will be subjects of the future work. 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New records of the genera Leptogorgia, Pacifigorgia and Eugorgia (Octocorallia: Gorgoniidae) from Ecuador, with a description of a new species María del Mar Soler-Hurtado ¹,², Annie Machordom ¹, Jesús Muñoz ³,⁴, Pablo J. López-González ² ¹ Dpto. Biodiversidad y Biología Evolutiva. Museo Nacional de Ciencias Naturales (MNCN-CSIC), 28006 Madrid, Spain. E-mail: firstname.lastname@example.org; email@example.com ² Biodiversidad y Ecología de Invertebrados Marinos, Facultad de Biología, Universidad de Sevilla, 41012, Sevilla, Spain. E-mail: firstname.lastname@example.org ³ Real Jardín Botánico (CSIC), Plaza de Murillo 2, 28014 Madrid, Spain. E-mail: email@example.com ⁴ Centro de Biodiversidad y Cambio Climático, Universidad Tecnológica Indoamérica, Quito, Ecuador. Summary: New records of the genera Leptogorgia, Pacifigorgia and Eugorgia (Octocorallia: Gorgoniidae) on the coast of Ecuador are reported. These new records redefine the current known limit of distribution of these species on the eastern Pacific coast (from southern California to Chile). Some of these species are reported for the first time since their original description. The newly collected specimens allow for the measurement of the variability of several morphological characters, from colonial to sclerite levels. Additionally, Pacifigorgia machalilla n. sp. is described and compared with its closest relatives. Morphological differentiation among related species is supported by genetic divergence estimated from an extended barcode of MutS + Igr + COI. Keywords: Gorgoniidae; eastern Pacific; distribution; mtMutS; COI; barcode; Igr. *Nuevos registros de los géneros Leptogorgia, Pacifigorgia* y Eugorgia (Octocorallia: Gorgoniidae) en Ecuador, con la descripción de una especie nueva Resumen:** Se han obtenido nuevos registros para los géneros Leptogorgia, Pacifigorgia y Eugorgia (Octocorallia: Gorgoniidae) en la costa de Ecuador. Estos nuevos registros redefinen el límite actual conocido en la distribución de estas especies en la costa del Pacífico Oriental (desde el sur de California hasta Chile). Algunas de estas especies han sido registradas por primera vez desde su descripción original. Las nuevas muestras recogidas permiten medir la variabilidad de los caracteres morfológicos, desde el nivel de colonia hasta el de esclerito. Además, se describe la especie Pacifigorgia machalilla n. sp., y se compara con sus congéneres más relacionados. Las diferenciaciones morfológicas encontradas entre estas especies, están apoyadas por la divergencia genética estimada a partir del “código de barras” ampliado, formado por los genes MutS + Igr + COI. Palabras clave: Gorgoniidae; este del Pacífico; distribución; mtMutS; COI; “código de barras”; Igr. Citation/Como citar este artículo: Soler-Hurtado M.M., Machordom A., Muñoz J., López-González P.J. 2016. New records of the genera Leptogorgia, Pacifigorgia and Eugorgia (Octocorallia: Gorgoniidae) from Ecuador, with a description of a new species. Sci. Mar. 80(3): 369-394. doi: http://dx.doi.org/10.3989/scimar.04392.14A LSID: urn:lsid:zoobank.org:pub:A6373513-5FFE-4D2E-B130-98C239C0EDF3 Editor: X. Turon. Received: December 18, 2015. Accepted: June 1, 2016. Published: September 25, 2016. Copyright: © 2016 CSIC. This is an open-access article distributed under the terms of the Creative Commons Attribution (CC-by) Spain 3.0 License. INTRODUCTION The octocorals are found in marine habitats ranging from intertidal to abyssal waters and are distributed from the Arctic to the Antarctic (Bayer 1961). The gorgonian octocorals are one of the best-represented taxonomic groups in sublittoral marine ecosystems, are ecologically important and are the dominant macrofaunal group on many tropical reefs (Sánchez et al. 2003, Williams and Breedy 2004). The study of the eastern Pacific gorgonian octocorals, specifically in Ecuador, has not matched the intensity and number of publications dedicated to Caribbean species (see Bayer 1981). Despite important contributions by authors such as Breedy and Guzmán (2002, 2007), Williams and Breedy (2004) and Breedy et al. (2009) in the eastern Pacific, the knowledge on the gorgonian fauna of Ecuador is far from complete (but see Bielschowsky 1929 and Soler-Hurtado and López-González 2012). Four gorgonid genera (Gorgoniidae) were previously reported in the eastern Pacific. Phycogorgia Milne-Edwards and Haime, 1850, Leptogorgia Milne-Edwards and Haime, 1857, Eugorgia Verrill, 1868 and Pacifigorgia Bayer, 1951. The genus Leptogorgia, with about 60 valid species (27 species in the eastern Pacific) is one of the most frequent genera in the shallow water communities of the eastern Pacific (Breedy and Guzmán 2007), with a wide distribution from southern California to Chile. This genus is also present in the Caribbean, western and eastern South African coasts, the eastern Atlantic and the Mediterranean Sea, and one species is known from the sub-Antarctic (Williams and Lindo 1997). The genus Pacifigorgia is geographically confined to the Pacific coast of tropical America, with the exception of Pacifigorgia elegans (Milne-Edwards and Haime, 1857) from the tropical western Atlantic. Pacifigorgia includes about 36 recognized species distributed throughout the eastern tropical Pacific region (Breedy and Guzmán 2002, 2003, 2004, Williams and Breedy 2004, Guzmán and Breedy 2011). The genus Eugorgia, which includes 16 species, is considered exclusive to the eastern Pacific (from southern California to Peru) (Breedy and Guzmán 2013). Finally, the genus Phycogorgia, with only one species, Phycogorgia fucata (Valenciennes, 1846), is distributed along the west coast of Central and South America (Bayer 1953). The aim of this report is to present new information derived from material of the genera Eugorgia, Leptogorgia and Pacifigorgia collected in Ecuador. We expand the known distribution of some species in the eastern Pacific and describe new morphological variability for several taxa. Finally, using morphological and genetic data, we describe one new species of Pacifigorgia, emphasizing the set of morphological characters considered to be of taxonomic importance for this genus (Breedy and Guzmán 2002, 2003, 2004, Williams and Breedy 2004, Guzmán and Breedy 2011). We include the sequence analysis of the barcode of mtMutS plus COI with a short, adjacent intergenic region (lgr1) proposed by McFadden et al. (2011), with its closest congeners and available sequences in GenBank. MATERIALS AND METHODS Study area and sampling methodology Eleven stations in Ecuadorian waters were sampled from February 2010 to June 2014 (Fig. 1). Gorgonians were collected by SCUBA diving in a depth range of between 5 and 30 m. Substrata in these habitats mainly include sand and rocky bottoms. During sampling, we took colour photographs of the living specimens in their environment; specimens were also photographed outside the water, just after collection to ensure the accuracy of our colour descriptions. Subsamples were fixed in either absolute ethanol for further molecular analyses, or in 4% buffered formalin (after previous relaxation with menthol crystals for a few hours) for the morphological study; the rest of the colonies were allowed to air dry. Buffered formalin-fixed subsamples were subsequently transferred to 70% ethanol (Soler-Hurtado and López-González 2012). External morphology and SEM study Fragments from different parts of the colony were prepared for study by SEM according to standard methods (Bayer and Stefani 1989, Alderslade 1998). Additionally, permanent mounts were made for light microscopy observation. The colonies are described and illustrated according to standard terminology (Bayer et al. 1983, Breedy and Guzmán 2003, 2007). For either morphological and molecular comparisons, we studied types and additional materials deposited in the Museum of Comparative Zoology, Harvard University (MCZ); Muséum National d’Histoire Naturelle, Paris (MNHN); the Natural History Museum, London (NHM); the Yale Peabody Museum of Natural History, New Haven (YPM); and the National Museum of Natural History, Smithsonian, Washington (MNH). Museum specimens were revised for morphological comparative purposes and, in some cases, for molecular analysis. These samples are listed in the text after the newly collected material of each species. Additional museum specimens of species revised but not found in Ecuador were the following: Eugorgia ampla (Verrill, 1864): NHM 188.8.131.52, Baja California (Mexico), no further data. YPM 399, Baja California, 11–15 m depth, 1865. MCZ 65167, Mexico, no depth given, date unknown. Eugorgia aurantica (Horn, 1860): YPM (4051), Baja California (Mexico), no depth given, 1867–1870. NHM 184.108.40.206, Baja California (Mexico), no depth given, date unknown. MCZ 36185, Baja California (Mexico), no depth given, date unknown. Table 1. – Pacifigorgia species involved in the molecular comparisons carried out in this paper. Materials in bold are species sequenced for this study. Note that all GenBank sequences are considered here with the names as they appear in GenBank and their original publications (including numbers or letters). For sequences with duplicate complete names, we have included (1), (2), (3), etc., for the purpose of correctly identifying the sequence in Table 5. \| Species \| Catalog. Nos. \| Igr1 + COI \| mtMutS \| \|--------------------------------\|------------------------\|-----------------\|------------\| \| Pacifigorgia bayeri \| voucher HGM77 \| HG917061 \| HG917044 \| \| Pacifigorgia catedralensis \| voucher HGM109 \| HG917065 \| HG917019 \| \| (1) \| voucher HMG112 \| HG917066 \| HG917020 \| \| Pacifigorgia exilis \| YPM 1559 \| KX351879 \| KX351871 \| \| Pacifigorgia firma \| MCZ 51918 \| KX351879 \| KX351872 \| \| Pacifigorgia irene \| voucher HMG10 \| HG917070 \| HG917024 \| \| Pacifigorgia irene \| MNCC 2.0/4/1174 \| KX351880 \| KX351873 \| \| Pacifigorgia machaillia n. sp. (1) \| MECN Ant0058 \| KX351881 \| KX351874 \| \| Pacifigorgia machaillia n. sp. (2) \| MECN Ant0059 \| KX351882 \| KX351875 \| \| Pacifigorgia machaillia n. sp. (3) \| MECN Ant0061 \| KX351883 \| KX351876 \| \| Pacifigorgia media \| Parrin et al. 2009 \| GQ342421 \| GQ342497 \| \| Pacifigorgia sculpta \| MCZ 57053 \| KX351884 \| KX351877 \| \| Pacifigorgia smithsoniana \| voucher HMG59 \| HG917076 \| HG917023 \| \| Pacifigorgia stenobrochis \| voucher HMG100 \| HG917078 \| HG917026 \| \| Pacifigorgia rubicunda (1) \| voucher HMG01 \| HG917073 \| HG917032 \| \| Pacifigorgia rubicunda (2) \| voucher HMG29 \| HG917074 \| HG917033 \| Eugorgia nobilis Verrill, 1868: YPM 1552a-e, type material, Las Perlas (Panama), 11-15 m depth, 1866. YPM 401, type material, Baja California (Mexico), no further data. MCZ 36316, Baja California (Mexico), no further data. USNM 49371, Gulf of Nicoya (Costa Rica), no depth given, 15 Jan. 1930. USNM 49372, Baja California (Mexico), no depth given, 16 Mar. 1911. Eugorgia multifida Verrill, 1870: YPM 4605, type material, Mazatlán (Mexico), no depth given, date unknown. USNM 49368, Baja California (Mexico), 11-15 m depth, date unknown. Pacifigorgia adamsii (Verrill, 1868): MCZ 391, type material, Panama, no depth given, 1863. MCZ 36079, type material, Panama, no depth given, 1866-1867. NHM 19220.127.116.11, South Pacific, no depth given, date unknown. YPM 1173g, type material, Panama, no depth given, 1866-1867. USNM 49688, Las Perlas (Panama), 33 m depth, 5 Mar 1888. USNM 49586, Mexico, no depth given, date unknown. Pacifigorgia agassizii (Verrill, 1864): MCZ 374, type material, Panama, no depth given, 1863. MCZ 4035, Acapulco (Mexico), no depth given, 1859-1860. MCZ 36266, Baja California (Mexico), no depth given, date unknown. NHM 1818.104.22.168, type material, Mexico, no depth given, 1859-1860. YPM 956, type material, Baja California (Mexico), no depth given, 1860. MNHN-IK 1589, no depth given, date unknown. USNM 49369, Baja California (Mexico), no depth given, date unknown. Pacifigorgia arenata (Valenciennes, 1846): MNHN-IK 1411, type material, New Zealand, no depth given, 1839. Pacifigorgia firma Breedy and Guzmán, 2003: MCZ 51918, type material, Culebra Bay (Costa Rica), 20 m depth, 21 Sept. 1997. Pacifigorgia pulchra var. exilis (Verrill, 1870): YPM 4059, type material, Baja California (Mexico), no depth given, 1867-1870. USNM 75076, Baja California (Mexico), no depth given, date unknown. Pacifigorgia rutila (Verrill, 1868): MCZ 184, type material, Acapulco (Mexico), no depth given, date unknown. YPM 2266, type material, Acapulco (Mexico), no depth given, 1869-1870. The newly collected specimens are deposited in the Museo Ecuatoriano de Ciencias Naturales (MECN), the octocoral reference collection of the research group “Biodiversidad y Ecología de Invertebrados Marinos” at the University of Seville (BEIM), the Museo Nacional de Ciencias Naturales in Madrid (MNCN-CSIC), the Museo de Zoología de la Universidad Tecnológica Indoamérica in Quito (UTI), and the Museu de Ciències Naturals in Barcelona (BCN). DNA extraction, PCR amplification and sequencing DNA was extracted from 20-30 mg of tissue using the DNeasy extraction kit (Qiagen, Inc.) according to the manufacturer’s protocol. Partial COII-COI (including Igr1 region) and MutS sequences were amplified by PCR using the following primers: COII8068F (McFadden et al. 2004), COIOCTR (France and Hoover 2002), the newly developed COI-Gorg1-R3 (5’-AGA-GAAGTGGTAATAACCGAAA-3’) and COI-Gorg2-F2 (5’-GATTCGGAATTGGTTTGTG-3’) for COI + Igr1; ND42599F (France and Hoover 2002) and MUT3458R (Sánchez et al. 2003) for MutS. Amplifications were carried out in a final volume of 50 µL containing 5 µL of 10x buffer (containing 10x2 mM MgCl$_2$), 1 µL dNTPs mix (10 mM), 0.8 µL of each primer (10 µM), 0.5 µL of Taq DNA polymerase (5U/µL) (Biotoools) and 2 µL of genomic DNA. Thermocycling for the COI fragment included an initial 4-min denaturation step at 94°C, followed by 40 cycles of 45 s at 94°C, 1 min at 58°C and 1 min at 72°C. The cycle ended with 10 min of sequence extension at 72°C. For MutS, we used an initial 4-min denaturation step at 94°C, followed by 35 cycles of 90 s at 94°C, 90 s at 58°C and 1 min at 72°C. The cycle ended with 5 min of sequence extension at 72°C. The amplification products were purified by ethanol precipitation. The amplicons were sequenced for both strands using BigDye Terminator in an ABI 3730 genetic analyser (Applied Biosystems). The sequences obtained were edited using the Sequencher v.4.6 program (Gene Code Corporation, Ann Arbor, MI, USA). The resulting alignments were inspected by eye and manually checked... and adjusted with Se-Al v2.0a11 (Rambaut 2002). The distance matrix was obtained using PAUP* v4.0b10 (Swofford 2001) with a neighbour joining clustering algorithm (Saitou and Nei 1987). A molecular data matrix was created with the morphologically closest species, together with other published sequences for Gorgoniidae in GenBank (see Table 1). RESULTS Order ALCYONACEA Verrill, 1866 Suborder Holaxonix Studer, 1887 Family Gorgoniidae Lamouroux, 1812 Genus Leptogorgia Milne-Edwards and Haime, 1857 Leptogorgia alba (Duchassaing and Michelotti, 1864) (Figs 2, 3) Synonymy. See Breedy and Guzmán (2007: 12). Newly collected examined material: MECN (Ant0001), Los Ahorcados, Manabí (Ecuador), 1°40'44"S 80°50'08"W, 15 m depth, 27 Feb. 2010, three whole colonies. MECN (Ant0019), Isla de Salango, Manabí (Ecuador), 1°35'55.13"S 80°52'0.01"W, 7 m depth, 20 Nov. 2011, two whole colonies. MECN (Ant0020), Salinas, Santa Elena (Ecuador), 2°12'50.01"S 80°56'5.93"W, 15 m depth, 18 Dec. 2011, one whole colony. MECN (Ant0027), Los Frailes, Manabí (Ecuador), 1°30'14'S 80°48'33"W, 10 m depth, Dec. 2011, three whole colonies. MECN (Ant0030), Los Frailes, Manabí (Ecuador), 1°30'14'S 80°48'33"W, 15 m depth, 9 March. 2012. BEIM (0071), Los Ahorcados, Manabí (Ecuador), 1°40'44"S 80°50'08"W, 15 m depth, 2 Feb. 2010, one whole colony. BEIM (0074), Los Ahorcados, Manabí (Ecuador), 1°40'44"S 80°50'08"W, 5 m depth, 27 Feb. 2010, one whole colony. MNCN (2.04/482), Los Ahorcados, Manabí (Ecuador), 1°40'44"S 80°50'08"W, 10 m depth, Feb. 2010, one whole colony. MNCN (2.04/483), Los Ahorcados, Manabí (Ecuador), 1°40'44"S 80°50'08"W, 15 m depth, 28 Feb. 2010, one whole colony. MZB (2016-2989), Los Ahorcados, Manabí (Ecuador), 1°40'44"S 80°50'08"W, 15 m depth, 27 Feb. 2010, one whole colony. UTI (MZUTI-Inv02), Los Ahorcados, Manabí (Ecuador), 1°40'44.48"S 80°50'08.04"W, 15 m depth, 28 Feb. 2010, one whole colony. MECN (Ant0040), Punta Malacita, Manabí (Ecuador), 1°33'41.37"S 80°50'8.79"W, 16 m depth, (2 Feb. 2013, one whole colony. MECN (Ant0041), Islote La Viuda, Manabí (Ecuador), 1°26'5.95"S 80°46'7.30"W, 15 m depth, 23 Nov. 2013, one whole colony. MECN (Ant0050) Punta Machalilla, Manabí (Ecuador), 1°28'33.53"S 80°47'38.04"W, 13 m depth, 24 Nov. 2013, one whole colony. Additional examined materials: Litogorgia lavis, MCZ 5416, type material, Las Perlas (Panama), no depth given, date unknown; MCZ 7008, type material, Golfo de Nicoya (Costa Rica), no depth given, May 1968. Leptogorgia lacvis, YPM (Z.161639, type material, Las Perlas, (Panama), no depth given, 1868. Leptogorgia alba, NHM 1922.214.171.124, Toboga (Panama), no depth given, date unknown; NHM 126.96.36.199, Toboga (Panama), no depth given, date unknown. Leptogorgia alba, USNM 59078, Ecuador, 8.9 m depth, 8 May 1966; USNM 1016223, Ecuador, no depth given, Dec. 1937. Description. The colonies measure up to 350 mm in length and 105 mm wide, irregularly pinnate; branches slender, mostly in a plane (Fig. 2A). Unbranched distal twigs up to 100 mm in length and 20 mm in diameter, compressed proximally, more cylindrical and slightly tapered distally (Fig. 2A, B). The holdfast circular, up to 5 mm in diameter. Slightly marked longitudinal grooves along the thick basal branches and near the base. The polyps retract within slightly raised polypmounds, sparsely distributed all around the branches with oblong apertures (Fig. 2B). The colour of the ![Fig. 2. – Leptogorgia alba (MN CN 2.04/482). A, colony; B, detail of a branch; C, light micrograph of sclerites.](image-url) Costa Rica, Panama, Colombia, and the Galápagos Islands (Ecuador) (Duchassaing and Michelotti 1864, Bielschowsky 1929, Breedy and Guzmán 2007), at 3-30 m depth (Fig. 25A). Although Leptogorgia alba has already been collected in Ecuador (Galápagos Islands) (Breedy and Guzmán 2007); this is the first time that it has been found on the continental coast since the paper of Bielschowsky (1929). Remarks. Our material is in agreement with the original description (Duchassaing and Michelotti 1864:19) and its later re-description (Breedy and Guzmán 2007:12-19). Due to its white colour, it is easily recognizable underwater. Breedy and Guzmán (2007) considered that its morphological variability, especially the type of branching, could perhaps be a response to several environmental factors. In our samples we observe a more pinnate pattern, although there is a tendency towards a dichotomous branching in some specimens. In the type material, the spindles are long, up to 0.17-0.18 mm in length and 0.04-0.06 mm in width, with marked and complex tubercles. However, our material shows smaller spindles (up to 0.14×0.03 mm, Table 2) with a less marked ornamentation. In the same way, the anthocodial rods are considered very consistent in size and shape (long and conspicuous) in this species (up to 0.15 mm in length) (Breedy and Guzmán 2007). However, the examined Ecuadorian material shows a smaller maximum length (up to 0.08 mm). Leptogorgia diffusa (Verrill, 1868) (Figs 4, 5) Synonymy. See Breedy and Guzmán (2007: 32). Newly collected examined material: MECN (Ant0032), Punta Mala, Manabí (Ecuador), 1°33’41.37”S 80°50’8.79”W, 13 m depth, 3 Abr. 2012, one whole colony. MECN (Ant0005), Los Ahorcados, Manabí (Ecuador), 1°40’44”S 80°50’08”W, 30 m depth, 28 Feb. 2010, two whole colonies. BEIM (0080), Los Ahorcados, Manabí (Ecuador), 1°40’44”S 80°50’08”W, 10 m depth, Feb. 2010, one whole colony. BEIM (0078), Los Ahorcados, Manabí (Ecuador), 1°40’44”S 80°50’08”W, 10 m depth, 28 Feb. 2010, one whole colony. MNCN (2.04/484), Los Ahorcados, Manabí (Ecuador), 1°40’44”S 80°50’08”W, 15 m depth, 27 March 2012, one whole colony. MNCN (2.04/485), Los Ahorcados, Manabí (Ecuador), 1°40’44”S 80°50’08”W, 30 m depth, 27 Feb. 2010, one whole colony. MZB (2016-2990), Los Ahorcados, Manabí (Ecuador), 1°40’44”S 80°50’08”W, 30 m depth, 27 Feb. 2010, one whole colony. MZB (2016-2991), Los Ahorcados, Manabí (Ecuador), 1°40’44”S 80°50’08”W, 25 m depth, 27 Feb. 2010, one whole colony. MZB (MZUTI-Inv09), Los Ahorcados, Manabí (Ecuador), 1°40’44”S 80°50’08”W, 25 m depth, 28 Feb. 2010, one whole colony. MZB (MZUTI-Inv01), Los Ahorcados, Manabí (Ecuador), 1°40’44”S 80°50’08”W, 10 m depth, 27 Feb. 2010, one whole colony. MECN (Ant0042), El Burbuillón, Manabí (Ecuador), 1°28’23.59”S 80°51’23.04”W, 25 m depth, 23 Nov. 2013, one whole colony. Additional examined materials: Leptogorgia diffusa MCZ 7081, type material, Golfo de Nicoya (Costa Rica), no depth given, May 1868. Litigorgia diffusa YPM 1659A, type material, Las Perlas (Panama), no depth given, 1866-1867. Leptogorgia diffusa MCZ 4972, Mexico, no depth given, date unknown. MNHN-IK 2233, no further data. Description. The colonies are up to 670 mm in length by 950 mm in width. The branching pattern... Table 2. – Comparative general features of the species of the genera Leptogorgia and Eugorgia collected in this study, on the coast of Ecuador. \| Characters \| Leptogorgia alba \| Leptogorgia diffusa \| Leptogorgia flexilis \| Leptogorgia obscura \| \|-----------------------------\|-----------------------------\|-----------------------------\|-----------------------------\|---------------------------\| \| Colour of colony \| white \| irregularly pinnate \| brown \| purple \| \| Type of branching \| slightly raised \| flat \| irregularly, immature \| dichotomous \| \| Polyp-mound \| small \| flat \| flat \| pinnate \| \| Double disc sclerite type \| no \| prominent \| prominent \| prominent \| \| Colour of sclerites \| colourless \| spindles \| spindles \| double disc \| \| Acute spindles max. size (mm)\| 0.14×0.03 \| red \| red \| red \| \| Capstan max. size (mm) \| 0.07×0.03 \| pink and yellow \| red \| yellow \| \| Crosses \| no \| yes \| no \| yes \| \| Size and colour of anthocodial rods (mm) \| 0.11×0.03 \| 0.1×0.03 \| 0.13×0.04 \| 0.15×0.05 \| \| Complete double disc \| 0.07×0.03 \| 0.07×0.03 \| 0.08×0.04 \| 0.08×0.05 \| \| Double disc max. size (mm) \| 0.04×0.05 \| 0.03×0.03 \| 0.06×0.04 \| 0.14×0.06 \| \| Disc-spindles \| no \| orange / 0.13×0.02 \| orange / 0.07×0.02 \| not obtained \| \| \| \| pink / 0.16×0.08 \| - \| yes \| \| \| \| - \| - \| 0.07×0.06 \| \| \| \| - \| - \| yes \| Fig. 4. – Leptogorgia diffusa (MNCN 2.04/1172). A, colony; B, detail of a branch; C, light micrograph of sclerites. is irregularly pinnate; branches are flat, lax, pinnate, slender and on a plane (Fig. 4A). The unbranched distal twigs can reach up to 22 mm in length and 17 mm in diameter (Fig. 4A, B). The holdfast is slightly flat, up to 15 mm in diameter. The polyps retract within prominent polyp-mounds, sparsely distributed all around the branches with slit-like apertures (Fig. 4B). The colour of the colony and of the coenenchymal sclerites is red (Fig. 4A-C). The spindles are the dominant sclerite type, up to 0.11 mm in length and 0.03 mm in width, with 4–6 whorls of tubercles, they are straight or bent, some with a marked waist (Figs 4C, 5A). The capstans reach up to 0.07 mm in length and 0.04 mm in width (Figs 4C, 5B). Some small, scattered crosses are found (0.04x0.05 mm) (Fig. 4C). The anthocodial sclerites are orange flattened rods, up to 0.13 mm in length and 0.02 mm in width, with lobe-like marginal projections (Figs 4C, 5C). Geographic and bathymetric distribution. Leptogorgia diffusa has been previously reported in California, El Salvador, Costa Rica, Panama, Colombia, and Chile at 5–30 m depth (see Verrill 1868, Bielschowsky 1929, Prahl et al. 1986, Breedy and Guzmán, 2007) (Fig. 25B). This new record fills the gap between the northern and southern records of the species. Leptogorgia diffusa probably has a wider distribution, especially in offshore areas of Mexico and Peru, but it may have been previously overlooked. Although this species is quite frequent in Ecuador, it is usually observed isolated within multispecies assemblages and does not form large gorgonian gardens. Remarks. The morphology of this species is very constant in all examined samples. It is easily differentiable from other Leptogorgia species by the lax, pinnate style of branching, with prominent polyp-mounds. Breedy and Guzmán (2007: 34–35) noted anthocodial sclerites that were light orange, dark pink, or both; however, our materials are only orange. The coenenchymal sclerites are a bit smaller (up to 0.11×0.03 mm; Table 2) than previously described (up to 0.14–0.15×0.05 mm) (Verrill 1868: 398, Breedy and Guzmán 2007: 34). In addition, the Ecuadorian material has scattered small crosses not reported in this species before. Leptogorgia flexilis (Verrill, 1868) (Figs 6, 7) Synonymy. See Breedy and Guzmán (2007: 40). Newly collected examined material: MECN (Ant0034), Los Ahorcados, Manabi (Ecuador), 1°40′44″S 80°50′08″W, 10 m depth, 27 Feb. 2010, one whole colony. BEIM (0085), Los Ahorcados, Manabi (Ecuador), 1°40′44″S 80°50′08″W, 10 m depth, 27 Feb. 2010, one whole colony. MNCN (2.04/1171), Los Ahorcados, Manabi (Ecuador), 1°40′44″S 80°50′08″W, 5 m depth, 27 Feb. 2010, one whole colony. Additional examined materials: Litigorgia flexilis (Eugorgia flexilis) MCZ 722 (4123), type material, Las Perlas (Panama), 6 to 8 m depth, 1860’s. Litigorgia flexilis NHM 188.8.131.52 (19184.108.40.206), type material, Toboguilla (Panama), 5 m depth, 1915. Leptogorgia flexilis YPM 569, Panama, no depth given, 1867-1868. Description. The colonies measure up to 200 mm in length by 40 mm in width. The branching pattern is irregularly pinnate, mostly on a plane; branches are lank and bushy with long, slender, and flexible branches, drooping slightly at the ends (Fig. 6A). The unbranched distal twigs can reach up to 50 mm in length and 18 mm in diameter (Fig. 6A, B). The holdfast is circular, up to 10 mm in diameter. The polyps retract within nearly flat polyp-mounds, closely distributed all around the branches, with oblong apertures (Fig. 6B). The colour of the colony is brown (Fig. 6A, B). The coenenchymal sclerites are red, pink and yellow; some of them are bicoloured (Fig. 6C). The capstans are the dominant sclerite type, up to 0.07 mm in length and 0.03 mm in width (Figs 6C, 7B). The spindles reach up to 0.1 mm in length and 0.03 mm in width, with 4-6 whorls of tubercles; they are straight or bent, some with a marked waist (Fig. 7A). Some crosses or four-radiates (up to 0.03x0.03 mm) (Fig. 7D) and six-radiates (up to 0.03x0.02 mm) are also found. The anthocodial sclerites are pink flattened rods up to 0.16 mm in length and 0.08 mm in width, with short lobe-like marginal projections (Fig. 6D). Geographic and bathymetric distribution. This species has been previously reported in California, El Salvador and Panama at 5-30 m depth (Verrill 1868, Breedy and Guzmán (2007) (Fig. 25C), and thus our specimens represent a sizeable expansion to the south. Remarks. Under water, the species is characterized by its decumbent or drooping branching pattern and its brown colonies. However, in small colonies the drooping habit is not as evident, and sometimes the holdfast and basal branches are an intense yellow. Crosses or four-radiate sclerites were not mentioned by Breedy and Guzmán (2007) in their revision of different type materials (e.g. deposited at MZC and YPM). However, they are evident in our collections and in the type specimens at NHM. This type of sclerite had been noted by Verrill (1868) as well, and it should be considered diagnostic for the species. Leptogorgia obscura Bielschowsky, 1929 (Figs 8, 9) Synonymy. See Breedy and Guzmán (2007: 57). Newly collected examined material: MECN (Ant0011), Los Ahorcados, Manabí (Ecuador), 1°40′44″S 80°50′08″W, 10 m depth, 27 Feb. 2010, three whole colonies. MECN (Ant0028), Los Frailes, Manabí (Ecuador), 1°30′14″S 80°48′33″W, 10 m depth, 17 Feb. 2012, one whole colony. BEIM (CRO-0068), Los Ahorcados, Manabí (Ecuador), 1°40′44″S 80°50′08″W, 10 m depth, 27 Feb. 2010, one whole colony. BEIM (CRO-0069), Isla de Salango, Manabí (Ecuador), 1°35′55.13″S 80°52′0.01″W, 7 m depth, 19 Nov. 2011, one whole colony. MNCR (2/04486), Isla de Salango, Manabí (Ecuador), 1°35′55.13″S 80°52′0.01″W, 7 m depth, 19 Nov. 2011, one whole colony. MNCR (2/04487), Los Frailes, Manabí (Ecuador), 1°30′14″S 80°48′33″W, 10 m depth, 17 Feb. 2012, one whole colony. UTI (MZUTI-Inv03), Isla de Salango, Manabí (Ecuador), 1°35′55.13″S 80°52′0.01″W, 7 m depth, 19 Nov. 2011, one whole colony. UTI (MZUTI-Inv05), Isla de Salango, Manabí (Ecuador), 1°35′55.13″S 80°52′0.01″W, 13 m depth, 17 Feb. 2012, one whole colony. MZB (2016-2992), Isla de Salango, Manabí (Ecuador), 1°35′55.13″S 80°52′0.01″W, 13 m depth, 19 Feb. 2012, one whole colony. MZB (2016-2993), Los Ahorcados, Manabí (Ecuador), 1°40′44″S 80°50′08″W, 10 m depth, 27 Feb. 2010, one whole colony. MECN (Ant0043), Los Frailes, Manabí (Ecuador), 1°30′14″S 80°48′33″W, 15 m depth, 15 May. 2012, one whole colony. MECN (Ant0044), Islaote La Viuda, Manabí (Ecuador), 1°26′5.98″S 80°46′7.30″W, 15 m depth, 23 Nov. 2013, one whole colony. MECN (Ant0049), Punta Machallila, Manabí (Ecuador), 1°28′33.53″S 80°47′38.04″W, 13 m depth, 24 Nov. 2013, one whole colony. Description. The colonies are up to 164 mm in length by 75 mm in width. The branching pattern is irregularly dichotomous; branches are bushy, closely ramified and rigid (Fig. 8A). The unbranched distal twigs can reach up to 5 mm in length and 2.3 mm in diameter, are compressed proximally, being more cylindrical and slightly tapered at the ends (Fig. 8A, B). The holdfast is circular, up to 14 mm in diameter. The polyps retract within prominent polyp-mounds leaving oblong apertures, and are closely distributed all around the branches (Fig. 8B). The colour of the colony is purple (Fig. 8A, B). The coenenchymal sclerites are red (Fig. 8C, D). The spindles are the dominant sclerite type, up to 0.13 mm in length and 0.04 mm in width, with 4-5 whorls of tubercles; they are straight or bent, some with a marked waist (Figs 8C, 9A). The capstans reach up to 0.08 mm in length and 0.04 mm in width (Figs 8C, 9B). Some crosses up to 0.06 by 0.04 mm are found (Fig. 9C). The anthocodial sclerites are orange flattened rods, up to 0.07 mm in length and 0.02 mm in width, with lobe-like marginal projections (Figs 8D, 9D). ![Fig. 8. – Leptogorgia obscura (MECN Ant0011). A, colony; B, detail of a branch; C, light micrograph of coenenchymal sclerites; D, light micrograph of anthocodial sclerites.](image-url) Geographic and bathymetric distribution. Leptogorgia obscura was known previously only from the type locality (Bahía de Caráquez, Ecuador) (Bielschowsky 1929; Fig. 25D). There is an unpublished record from Baja California (Harden 1979), although Breedy and Guzmán (2007) note that this record should be verified. The only reliable previously known depth range for the species was 4-5 m (Bielschowsky 1929), which we now expand to 15 m. This species is quite abundant in the study area on rocky bottom areas and usually grows along with Leptogorgia alba. Remarks. According to Bielschowsky (1929) and Breedy and Guzmán (2007: 57), capstans are the dominant sclerites in the type material. However, spindles are the most common sclerites in our specimens. Crosses or four-radiates also occur, a type of sclerite not reported in this species before. Genus Pacifigorgia Bayer, 1951 Synonymy. See Breedy and Guzmán (2002: 791). Pacifigorgia cribrum (Valenciennes, 1846) (Figs 10, 11) Synonymy. See Breedy and Guzmán (2002: 804). Newly collected examined material: MECN (Ant0035), Los Ahorcados, Manabí (Ecuador), 1°40'44''S 80°50'08''W, 15 m depth, Fig. 11. – Pacifigorgia cibrum (MNCN 2.04/1170). SEM photographs. Coenenchymal sclerites, A, spindles; B, captans; C, anthocodial sclerites, flattened rods. Table 3. Comparative general features of the species of the genus Pacifigorgia collected in this study, on the coast of Ecuador. \| Characters \| Pacifigorgia rubicunda \| Pacifigorgia cibrum \| Pacifigorgia flavimaculata \| Pacifigorgia stenobrochis \| Pacifigorgia irone \| \|------------\|--------------------------\|-----------------------\|-------------------------------\|-----------------------------\|---------------------\| \| Colour of colony \| brownish orange \| reddish (with yellow) \| yellow with light brown \| brown or yellow \| reddish with yellow \| \| Number of fans \| 6-9 \| 25 \| 1-3 \| one or more \| one or more \| \| Number of meshes cm$^{-2}$ \| square or oblong/ 10×3, 5.5×3 \| square / 2×2.8, 2.5×3 \| rounded-square, oblong 19×5, 9×4 \| 2 \| 35 \| \| Mesh shape and maximum mesh size (mm) \| slightly raised \| slightly raised \| prominent \| squarish 2×0.9 \| \| \| Polyp-mounds \| red and light yellow \| pink and light yellow \| flat \| slightly raised \| \| \| Colour of sclerites \| yes \| yes \| not \| red, lemon yellow and orange \| yes \| \| Bicolour sclerites \| 0.1×0.03 \| 0.13×0.04 \| 0.16×0.04 \| 0.11×0.05 \| \| \| Acute spindles max. size (mm) \| 0.1×0.04 \| 0.08×0.03 \| 0.12×0.04 \| 0.08×0.04 \| 0.08×0.04 \| \| Blunt spindles max. size (mm) \| 0.07×0.03 \| 0.07×0.04 \| 0.09×0.04 \| 0.08 by 0.06 \| 0.08×0.05 \| \| Captan max. size (mm) \| no \| no \| orange \| pink and yellow \| 0.11×0.02 \| \| Crosses \| yellow \| light yellow \| 0.11×0.02 \| 0.09×0.02 \| 0.11×0.02 \| Description. The colonies are up to 50 mm in length by 73 mm in width, and are formed by two fans; the first fan is the largest and the second one radiates from the holdfast and extends in parallel together with the first fan, until a certain point where both may fused (Fig. 10A). The holdfast is very small, up to 4 mm in diameter. The branches are squarish, ranging from 0.6 Additional examined materials: Rhupidigorgia cibrum MNHN-IK 1661, type material (New Zealand), no depth given, 1839. Pacifigorgia cibrum MZC 36263, (4014), Cape Flattery, Baja California (Mexico), no depth given, 1859-1860. MCZ 36264, Mariel Point (Mexico), no depth given, data unknown. Pacifigorgia cibrum USNM 49382 (Costa Rica), no depth given, Mar. 1927, F.M. Bayer (Id.). Gorgonia cibrum NMH 220.127.116.11 (Australia), no depth given, data unknown. to 0.8 mm in diameter (25 meshes cm$^{-2}$), and the end-branchlets are short, up to 2 mm long. The network is fine and regular; it is formed mostly by square meshes (2x2.8 mm by 2.5x3 mm) (Fig. 10B). There are no midribs; nevertheless, adult specimens have large, slightly compressed principal branches, which arise from near the base, and diverge through the fan, but often for no more than a quarter of the height. The polyps retract within slightly raised polyp-mounds with asterisk-like apertures, placed in multiple rows all around the branches. The colour of the colony is reddish intermingled with yellow. The coenenchymal sclerites are red, light yellow, and bicoloured (Fig. 10C). They are spindles (0.13x0.04 mm) having acute ends and 4-6 whorls of tubercles; blunt spindles (0.08x0.03 mm) with 4 whorls of tubercles (Figs 10C, 11A); and capstans (0.07x0.04 mm) with tuberculate ends (Figs 10C, 11B). The dominant sclerite types are acute, straight or bent spindles, some with a marked waist. The anthocodial sclerites are light yellow flattened rods, up to 0.10 mm in length and 0.02 mm in width, with smooth or slightly lobed borders (Figs 10C, 11C). Geographic and bathymetric distribution. Pacifigorgia cribrum has been previously reported in Mexico (Breedy and Guzmán 2002) (Fig. 25E), with additional questionable records from New Zealand (MNHN-IK 1661), Australia (NMH 18.104.22.168), and Costa Rica (e.g. USNM 49382, collected in 1927 and identified by M.F. Bayer). In this study we observed this species at 15–30 m depth. A depth range was lacking for it in the literature. Remarks. According to Bayer and Macintyre (2001) and Breedy and Guzmán (2002), Pacifigorgia cribrum, P. adamsii, P. agassizii and P. rutilla may represent a group sharing a set of morphological features, consisting of fine, regular and closely anastomosed networks. In addition, Pacifigorgia cribrum is morphologically close to P. arenata, both species having a similar colony colour and sclerome characteristics (red, yellow, bicoloured coenenchymal sclerites, and yellow anthocodial sclerites up to 0.10–0.13 mm in length; Table 3). However, the two species differ in mesh features (presence of midrib and higher meshes in P. arenata, see Breedy and Guzmán 2002). In fact, one of the principal problems in recording the possible morphological and chromatic variability of P. arenata is that the only known specimen is the holotype, which is deposited in Paris (MNHN), and there are some fragments in the Smithsonian (USNM 49567). Pacifigorgia flavimaculata Breedy and Guzmán, 2003 (Figs 12, 13) Newly collected examined material: MECN (Ant0021), Salinas, Santa Elena (Ecuador), 2°12'50.01"S 80°56'5.93"W, 15 m depth, 10 Dec. 2011, one whole colony. MECN (Ant0022), Salinas, Santa Elena (Ecuador), 2°12'50.01"S 80°56'5.93"W, 18 m depth, 11 Dec. 2011, one whole colony. BEIM (0075), Salinas, Santa Elena (Ecuador), 2°12'50.01"S 80°56'5.93"W, 17 m depth, 10 Dec. 2011, one whole colony. BEIM (0070), Los Alforcados, Manabí (Ecuador), 1°40'44"S 80°50'08"W, 10 m depth, 27 Feb. 2010, one whole colony. MNCN (2.04/490), Los Frailes, Manabí (Ecuador), 1°30'14"S 80°48'33"W, 10 m depth, 13 March 2012., one whole colony. MNCN (2.04/491), Salinas, Santa Elena (Ecuador), 2°12'50.01"S 80°56'5.93"W, 17 m depth, 10 Dec. 2011, one whole colony. MZB (2016-2994), Los Frailes, Manabí (Ecuador), 1°30'14"S 80°48'33"W, 10 m depth, 20 Feb. 2012, one whole colony. UTI (MZUTI-Inv07), Los Frailes, Manabí (Ecuador), 1°30'14"S 80°48'33"W, 10 m depth, 20 Feb. 2012, one whole colony. UTI (MZUTI-Inv08), Los Frailes, Manabí (Ecuador), 1°30'14"S 80°48'33"W, 15 m depth, 10 March 2012, one whole colony. MECN (Ant0047), El Chichó, Manabí (Ecuador), 1°31'15.39"S 80°49'21.37"W, 20 m depth, 24 Nov. 2013, one whole colony. MECN (Ant0048), Punta Machalilla, Manabí (Ecuador), 1°28'3.53"S 80°47.38.04"W, 13 m depth, 24 Nov. 2013, one whole colony. Additional examined materials: Pacifigorgia flavimaculata MCZ 51922, type material, Punta Salsipuedes (Costa Rica), 3 m depth, 22 Jan 1994. Description. The colonies reach up to 105 mm in length by 70 mm in width and are formed by two parallel fans. The holdfast was not observed (Fig. 12A). The branches are cylindrical, ranging from 1.5-2.2 mm in diameter (1-3 meshes cm$^{-2}$). The branches arise directly from the base and have incomplete anastomoses that form a loose, open and irregular network. The meshes are rounded-square, oblong or triangular (19×5 mm, 9×4 mm) (Fig. 12B). There are no distinct mid-ribs. There are long end-branchlets (up to 11 mm). The polyps retract within prominent polyp-mounds having rounded apertures, placed all around the branches in multiple rows. The colour of the colony is light brown when alive and yellow intermingled with light brown and light purple when dry. The coenenchymal sclerites are pink and light yellow, some of them bicoloured (Fig. 12C). They are spindles (0.14×0.04 mm) having acute ends and 4-5 whorls of tubercles; blunt spindles (0.11×0.04 mm) with 4 whorls of tubercles (Figs 12C, 13A, B), and capstans (0.09×0.04 mm) with tuberculate ends, warty or smooth (Figs 12C, 13B). The dominant sclerite types are straight or bent spindles, some of them with a marked waist. The anthocodial sclerites are orange flattened rods, up to 0.13-0.14 mm in length and 0.02 mm in width, with pointed projections, and acute and warty ends (Figs 12C, 13C). Geographic and bathymetric distribution. Pacifigorgia flavimaculata has only been reported from the type locality in Costa Rica at 3 m depth (Breedy and Guzmán 2003) (Fig. 25F). In the present study, it was observed at a 3-20 m depth. Breedy and Guzmán (2003) pointed out that this species was only observed in the type locality (Punta Salsipuedes, Costa Rica), despite a significant sampling effort in the neighbouring areas. Therefore, our record from Ecuador is important in defining the geographic (and bathymetric) distribution of this species. Remarks. Colonies of this species mainly form loose and irregular networks, sometimes almost pseudoanastomosed, yellow or brown in colour but with purplish or yellowish spots around a prominent polyp-mound, making the species easily recognizable. The Ecuadorian specimens have a quite constant set of features in comparison with the type specimens examined (Breedy and Guzmán 2003, pers. observ.), except for the size of the anthocodial sclerites, which are longer (up to 0.13-0.14 mm, instead of up to 0.08-0.09 mm) (see Breedy and Guzmán 2003: 23, Table 3). Pacifigorgia irene Bayer, 1951 (Figs 14, 15) Synonymy. See Breedy and Guzmán (2002: 825). Newly collected examined material: BEIM (0091), Los Ahorcados, Manabí (Ecuador), 1°40'44"S 80°50'08"W, 10 m depth, 8 Dec. 2011, one whole colony. MNCN (2.04/1174), Punta Mala, Manabí (Ecuador), 1°33'41.37"S 80°50'8.79"W, 12 m depth, 16 Feb. 2012, one whole colony. MZB (2016-2995), Los Ahorcados, Manabí (Ecuador), 1°40'44"S 80°50'08"W, 15 m depth, 15 April 2012, one whole colony. MECN (Ant0062), Los Frailes, Manabí (Ecuador), 1°30'14"S 80°48'33"W, 15 m depth, 10 March 2012, one whole colony. MECN (Ant0054), El Chichó, Manabí (Ecuador), 1°31'15.39"S 80°49'21.37"W, 20 m depth, 24 Nov. 2013, one whole colony. MECN (Ant0055), Islaote La Viuda, Manabí (Ecuador), 1°26'5.95"S 80°46'7.30"W, 15 m depth, 23 Nov. 2013, one whole colony. Additional examined materials: Pacifigorgia irene USNM 49379, type material, Nicoya (Costa Rica), no depth given, Mar 1927; USNM 33611, type material, Costa Rica, no depth given, data unknown. Pacifigorgia irene MZC 36232, Gulf of Fonseca (Costa Rica), no depth given, data unknown. Description. The colonies reach up to 600 mm in length by 500 mm in width, and are formed by one to several fans (Fig. 14A). The holdfast was not observed. The branches are slender, ranging from 0.3 length and 0.02 mm in width, with smooth or slightly lobed borders (Fig. 14C). Geographic and bathymetric distribution. Pacifigorgia irene has been previously reported in Panama and Costa Rica at 12-33 m depth (Bayer 1951, Breedy and Guzmán 2002, 2003) (Fig. 25G). Our finding represents a considerable southerly extension of its known distribution. Remarks. This species is easily recognized by its characteristic morphology, showing a wide fan or fans, marked and thick midribs and small meshes. Some coenenchymal sclerites have been considered here as elongated capstans instead of blunt spindles, as commonly described. The morphology of some sclerites are not always easy to define in this taxon, and they can also be considered transitional forms of blunt spindles, depending on the development of the two opposite distal processes on the longitudinal axis with respect to --- Fig. 14. – Pacifigorgia irene (MNCN 2.04/1174). A, colony; B, detail of a branch; C, light micrograph of sclerites. to 0.7 mm in diameter (about 35 meshes cm$^{-2}$). The branches form a fine and regular network. The network consists of small and squarish meshes (usually up to 1.2 by 0.9 mm) (Fig. 14B). The fans have several stout, rounded midribs. There are short end-branchlets (<1 mm long). The polyps retract within slightly raised and crowded polyp-mounds, placed all around the branches. The colour of the colony is reddish intermingled with yellow both when alive and dry, with a slight discoloration at the edges of the colony. The coenenchymal sclerites are red, lemon yellow and orange, some of them bicoloured (Fig. 14C). They consist of long spindles (0.17x0.05 mm) having acute ends and 5-6 whorls of tubercles (Figs 14A, 15A), and capstans (0.08x0.04 mm) with tuberculated ends (Fig. 15 B). In our specimens the dominant sclerite type are acute straight or bent spindles, some with a marked waist. Some crosses up to 0.06 by 0.05 mm occur as well (Fig. 15C). The anthocodial sclerites are light yellow and light pink flattened rods, up to 0.11 mm in --- Fig. 15. – Pacifigorgia irene (MNCN 2.04/1174) SEM photographs. Coenenchymal sclerites, A, spindles; B, captans; C, four-radiates. the two central whorls with alternate tubercles (Vargas et al. 2010a). In any case, if these sclerites are considered blunt spindles, they would have equivalent forms with respect to the original description of this species. In situ specimens seen during this study show a more intense reddish and yellow colour than Costa Rican specimens. Bayer (1951) described the colour of the colony as dark purple with greenish borders, but this is not the case in the Ecuadorian material, where colour only fades slightly at the edges of the fans. Pacifigorgia machalilla n. sp. (Figs 16-18) Examined material: Holotype: MECN (Ant0061), Cope, Manabí (Ecuador), 1°43’34”S 80°50’85”W, 23 m depth, 8 Dic. 2012, one whole colony without holdfast. Paratypes: MBZ (2011/5996), Los A, Ahorcados, Manabí (Ecuador), 1°40’44”N 80°50’08”W, 10 m depth, 1 Dic. 2011, one whole colony. MNCN (2.04/1181), Cope, Manabí (Ecuador), 1°43’34”S 80°59’85”W, 23 m depth, 8 Dic. 2012, a fragment of the colony. Other material: UTI (Inv262), Cope, Manabí (Ecuador), 1°43’34”S 80°59’85”W, 23 m depth, 8 Dic. 2012, one whole colony. BEIM (0095), Isla de la Plata, Manabí (Ecuador), 1°16’25.84”S 81°4’11.70”W, 22 m depth, 22 Feb. 2012, two whole colonies. MECN (Ant0058), Los Ahorcados, Manabí (Ecuador), 1°40’44”N 80°50’08”W, 10 m depth, 27 Feb. 2010, one whole colony. MECN (Ant0059), Los Ahorcados, Manabí (Ecuador), 1°40’44”N 80°50’08”W, 10 m depth, 1 Dic. 2011, one whole colony. Description of the holotype. The colony is formed by a single fan 250 mm in length by 290 mm in width (Fig. 16A). The holdfast is circular, up to 15 mm in diameter. The branches are cylindrical, ranging from 1.5-2 mm in diameter (7-9 meshes cm$^{-2}$) and the end-branchlets reach up to 9 mm in length, and have blunt tips. The network is regular and complete, and is formed of mostly square and rectangular meshes (4×5 mm, 10×3 mm); in some cases, meshes are oblong (Fig. 16B). There are five or six prominent, long and strong midribs, which divide into others that progressively fuse among the anastomosed structure of the mesh (Fig. 16A). The polyps retract within slightly raised or flat polyp-mounds with slit-like apertures, placed in multiple rows all around the branches. The colour of the colony is intense red-brown when dry and bluish-grey when alive. The coenenchymal sclerites are pink, light yellow and orange, some of them bicoloured (Fig. 16C). They are spindles (up to 0.20×0.04 mm) having acute ends and 5-6 whorls of tubercles (Figs 16A, 17A); blunt spindles are absent, and there are capstans (up to 0.7×0.03 mm) with tuberculate ends (Figs 16C, 17B). The dominant sclerites are spindles, straight or bent, some of them with a distinct waist. There are irregular crosses with different branch lengths (up to 0.11×0.05 mm) (Fig. 17C). The anthocodial sclerites are pink, light orange and light yellow in colour, most of them bicoloured; flattened rods (0.11×0.02 mm) with short pointed or lobe-like marginal projections and acute or rounded ends also occur. There are also platelets (0.06×0.02 mm) (Figs 16C, 17D). Variability. This new species is fairly constant with regard to colonial and sclerome characters. However, in some specimens there are small secondary fans growing parallel to the primary fan. In addition, in some small colonies (about 100 mm in length) the midrib is not very obvious or even absent, or is only formed by two short basal branches. Geographic and bathymetric distribution. Pacifigorgia machalilla is only known from the type locality in Cope, Los Ahorcados, and Isla de la Plata (continental coast of Ecuador), living on rocky bottoms in shallow waters at a depth of 10-23 m. Etymology. The new species is dedicated to the National Park of Machalilla (Ecuador) and its staff for their constant support and help during field work. Name considered as a noun in apposition. Comparison with other Pacifigorgia species. Pacifigorgia machalilla is morphologically close to P. exilis and P. firma, having similar networks with the presence of a midrib, and similar mesh size (9-11.5 meshes cm$^{-2}$) and anastomosis. The network in P. machalilla is formed by almost square or rectangular meshes, 10×3 mm, 4×5 mm, and 12×3 mm, 6×2 mm in P. firma (Table 4). Pacifigorgia exilis also has a similar type of network (open or closed and regular); however, it Table 4. – Comparative morphological features of Pacifigorgia machalilla n. sp. with its closest congeners. \| Characters \| Pacifigorgia machalilla \| Pacifigorgia exilis \| Pacifigorgia firma \| \|----------------------------------\|---------------------------\|-----------------------\|----------------------\| \| Colour of colony \| intense red-brown \| red-orange \| light brown/ dark purple \| \| Number of fans \| one or two small \| several \| one (or two) \| \| Number of meshes cm$^{-2}$ \| 7-9 \| 7 - 9 \| 11.5 \| \| Mesh shape and maximum \| square -rectangular/ regular \| square - oblong / irregular \| rectangular / regular 12×3 - 6×2 \| \| Mesh size (mm) \| 10×3 - 4×5 \| 3×0.5 \| \| \| Presence of midrib \| present \| present \| present \| \| Polyp-mounds \| slightly raised or flat \| slightly raised \| slightly raised \| \| Colour of sclerites \| pink/yellow/orange \| red / yellow \| red/pale yellow/orange \| \| Acute spindles max. size (mm) \| 0.20 length 0.04 width \| 0.11 length 0.05 width \| 0.11 length 0.05 width \| \| Blunt spindles max. size (mm) \| absent \| 0.09 length 0.04 width \| absent \| \| Captan max. size (mm) \| 0.07 length 0.03 width \| 0.07 length 0.04 width \| 0.09 length 0.05 width \| \| Crosses or radiates \| present \| absent \| absent \| \| Anthocodial max. size (mm) \| 0.11 length 0.02 width \| 0.12 length 0.02 width \| 0.10 length 0.03 width \| \| Shape and colour of anthocodial rods; Bicolour sclerites \| flattened rods; pink/ orange / light yellow present; coenenchyme and anthocodial \| flattened rods; yellow present; coenenchyme \| flattened rods; ligh orange present; coenenchyme \| References This paper Breedy and Guzmán 2002 Breedy and Guzmán 2003 has smaller square or oblong meshes (0.5×3 mm). Additionally, P. machalilla has blunt spindles while they are absent in both P. exilis and P. firma, and the acute spindles are larger in P. machalilla (up to 0.20×0.04 mm) than in P. exilis (up to 0.11×0.05 mm) and P. firma (up to 0.11×0.05 mm). Finally, P. machalilla has crosses or radiate forms, which are lacking in the other two species. The molecular distance matrix (COII + Igr + COI + MutS) shows that, within the genus Pacifigorgia, the genetic divergence among species was close to 1% or lower in most cases. The new species showed no intraspecific variation (Table 5). Despite the fact that P. machalilla is closely related morphologically to P. firma and P. exilis, as stated previously, the three species are clearly separated molecularly. The maximum genetic divergence is 0.3% between P. machalilla and P. firma, and is 1% between P. machalilla and P. exilis (Table 5). However, Pacifigorgia machalilla is closely related molecularly to P. irene and P. smithsoniana (Breedy and Guzmán, 2004). The maximum genetic divergence between P. machalilla and P. smithsoniana or P. irene is 0.06%. However, in a thorough analysis of the sequences for these three species, we observed the following differences: 1) there is a silent mutation in COI for P. machalilla and P. smithsoniana; and 2) there is a mutation in the first base of one triplet which changes Lys to Val, in COII for P. machalilla and P. irene. It may be interesting to extend the sequencing based on COII in the search of additional variable segments in the mtDNA of this group of species. Despite its molecular similarities, there are clear morphological differences among these three species. Pacifigorgia machalilla differs from P. smithsoniana in having a midrib, and larger acute spindles (0.20×0.04 vs 0.14×0.05 mm). Pacifigorgia machalilla differs from P. irene in that its anastomosis forms a network of almost square or rectangular meshes 10×3 mm, 4×5 mm (only 2×0.9 mm in P. irene), its branches are larger, ranging from 1.5–2 mm in diameter (7–9 meshes cm$^{-2}$), while the branches in P. irene are 0.5–0.7 mm in diameter (35 meshes cm$^{-2}$), with longer end-branchlets (up --- Fig. 18. – Comparison of the anastomosed branches in Pacifigorgia machalilla n. sp., holotype (A) and Pacifigorgia irene (B). Table 5. – Genetic divergence matrix for the species examined based on the COII + Igr + COI and MutS-1 gene sequence. \| \| 1 \| 2 \| 3 \| 4 \| 5 \| 6 \| 7 \| 9 \| 9 \| 10 \| 11 \| 12 \| 13 \| 14 \| \|-------\|-----\|-----\|-----\|-----\|-----\|-----\|-----\|-----\|-----\|-----\|-----\|-----\|-----\|-----\| \| P. firma \| 1 \| \| \| \| \| \| \| \| \| \| \| \| \| \| \| P. rubicunda (1) \| 2 \| 0.0127 \| \| \| \| \| \| \| \| \| \| \| \| \| \| P. rubicunda (2) \| 3 \| 0.0128 \| 0.0000 \| \| \| \| \| \| \| \| \| \| \| \| \| P. smithsoniana \| 4 \| 0.0124 \| 0.0114 \| 0.0114 \| \| \| \| \| \| \| \| \| \| \| \| P. stenochrois \| 5 \| 0.0055 \| 0.0108 \| 0.0108 \| 0.0042 \| \| \| \| \| \| \| \| \| \| \| P. catedralensis (1) \| 6 \| 0.0006 \| 0.0115 \| 0.0115 \| 0.0024 \| 0.0042 \| \| \| \| \| \| \| \| \| \| P. catedralensis (2) \| 7 \| 0.0006 \| 0.0116 \| 0.0116 \| 0.0024 \| 0.0043 \| 0.0000 \| \| \| \| \| \| \| \| \| P. sculpta \| 8 \| 0.0060 \| 0.0114 \| 0.0114 \| 0.0048 \| 0.0018 \| 0.0048 \| 0.0049 \| \| \| \| \| \| \| \| P. exilis \| 9 \| 0.0133 \| 0.0006 \| 0.0006 \| 0.0119 \| 0.0118 \| 0.0121 \| 0.0122 \| 0.0116 \| \| \| \| \| \| \| P. machalilla n. sp. (1) \| 10 \| 0.0030 \| 0.0108 \| 0.0108 \| 0.0006 \| 0.0036 \| 0.0018 \| 0.0018 \| 0.0039 \| 0.0110 \| \| \| \| \| \| P. machalilla n. sp. (2) \| 11 \| 0.0030 \| 0.0108 \| 0.0108 \| 0.0006 \| 0.0036 \| 0.0018 \| 0.0018 \| 0.0039 \| 0.0110 \| 0.0000 \| \| \| \| \| P. machalilla n. sp. (3) \| 12 \| 0.0030 \| 0.0108 \| 0.0108 \| 0.0006 \| 0.0036 \| 0.0018 \| 0.0018 \| 0.0039 \| 0.0110 \| 0.0000 \| 0.0000 \| \| \| \| P. bayeri \| 13 \| 0.0012 \| 0.0114 \| 0.0114 \| 0.0024 \| 0.0042 \| 0.0000 \| 0.0000 \| 0.0048 \| 0.0120 \| 0.0018 \| 0.0018 \| 0.0018 \| \| \| P. media \| 14 \| 0.0139 \| 0.0006 \| 0.0006 \| 0.0125 \| 0.0112 \| 0.0126 \| 0.0128 \| 0.0118 \| 0.0000 \| 0.0118 \| 0.0118 \| 0.0118 \| 0.0125 \| \| P. irene \| 15 \| 0.0036 \| 0.0114 \| 0.0108 \| 0.0012 \| 0.0042 \| 0.0018 \| 0.0018 \| 0.0048 \| 0.0120 \| 0.0006 \| 0.0006 \| 0.0006 \| 0.0024 \| 0.0125 \| to 9 mm long), while these are very short in P. irene, less than 1 mm (Fig. 18). Finally, bicolour anthocodial sclerites are a unique feature for P. machalilla. Pacifigorgia rubicunda Breedy and Guzmán, 2003 (Figs 19, 20) Newly collected examined material: MECN (Ant0023), Los Ahorcados, Manabí (Ecuador), 1°40′44″S 80°50′08″W, 10 m depth, 27 Feb. 2010, two whole colonies. MECN (Ant0025), Punta Mala, Manabí (Ecuador), 1°33′41.37″S 80°50′8.79″W, 15 m depth, 15 Feb. 2012, three whole colonies. BEIM (0083), Isla de la Plata, Manabí (Ecuador), 1°16′25.84″S 81°4′11.70″W, 22 m depth, 19 Feb. 2012, one whole colony. BEIM (0082), Los Frailes, Manabí (Ecuador), 1°30′14″S 80°48′33″W, 10 m depth, 10 March 2012, one whole colony. BEIM (0081), Los Ahorcados, Manabí (Ecuador), 1°40′44″S 80°50′08″W, 5 m depth, 27 Feb. 2010, one whole colony. MNCN (2.04/488), Isla de la Plata, Manabí (Ecuador), 1°16′25.84″S 81°4′11.70″W, 20 m depth, 19 Feb. 2012, one whole colony. MNCN (2.04/489), Punta Mala, Manabí (Ecuador), 1°33′41.37″S 80°50′8.79″W, 12 m depth, 27 Feb. 2012, one whole colony. UTI (MZUTI-Inv04) Los Ahorcados, Manabí (Ecuador), 1°40′44″S 80°50′08″W, 10 m depth, 27 Feb. 2010, one whole colony. MZB (2016-2997), Los Ahorcados, Manabí (Ecuador), 1°40′44″S 80°50′08″W, 5 m depth, 27 Feb. 2010, one whole colony. MZB (2016-2998) Isla de la Plata, Manabí (Ecuador), 1°16′25.84″S 81°4′11.70″W, 20 m depth, 19 Feb. 2012, one whole colony. Additional examined materials: Pacifigorgia rubicunda MCZ 51917, type material, Gulf of Chiriquí (Panama), 14 m, Dec. 2001. Description. The colonies reach up to 40 mm in length by 160 mm in width, and are formed by several fans. The secondary fans sprout from the main fan at a right angle and spread perpendicularly to form new fans. Several fans may reunite, adhering together and producing square arrangements like beehives. A short stem divides close to the holdfast (Fig. 19A), which is up to 12 mm in diameter. The branches are cylindrical, ranging from 0.8–1 mm in diameter (9–11 meshes cm$^{-2}$). The end-branchlets are short. The network is closed and regular; it is formed of mostly square or oblong meshes (10×3 mm, 5.5×3 mm) (Fig. 19B). The polyps retract within slightly raised polyp-mounds with slit-like apertures, placed in multiple rows all around branches. The colour of the colony is brownish-orange when alive or preserved and a conspicuous burnt sienna colour speckled with yellow when dry. The coenenchymal sclerites are pink, orange and lemon yellow, bicoloured and multicoloured (Fig. 19C). They are spindles (0.1×0.03 mm) having acute ends and 10–12 whorls of tubercles (Figs 19C, 20A); blunt spindles (0.1×0.04 mm) with 4–5 whorls of tubercles (Figs 19C, 20B); and capstans (0.07×0.03 mm) with tuberculate ends (Figs 19C, 20C). The dominant sclerite types are blunt spindles straight or bent, some with a marked waist. Crosses are lacking. The anthocodial sclerites are yellow flattened rods up to 0.12 mm in length and 0.02 mm in width, with short lobe-like marginal projections, and acute and warty or smooth ends (Figs 19C, 20C). Geographic and bathymetric distribution. Pacifigorgia rubicunda was originally described by Breedy and Guzmán (2003) from Costa Rica (Fig. 25I). The geographic range of the species is here extended to Ecuador (Manabí). Its bathymetric distribution ranges from 5 to 30 m depth (Breedy and Guzmán 2003). Remarks. There are some morphological differences between the specimens of P. rubicunda found in Ecuador and the original description of this species by Breedy and Guzmán (2003). The colour of sclerites is very similar (orange and yellow); however, in Ecuadorian material most of the sclerites are pink (bicoloured or multicoloured) and colourless sclerites are lacking. If compared with the type material (6-9 meshes cm$^{-2}$, 5-1.2x2.5-0.9 mm) (Breedy and Guzmán 2003), in our colonies the network is less compact, usually more elongate and larger, and there are no crosses. Finally, the size of sclerites and anthocodial rods seem to be somewhat larger in the type material (spindles 0.09-0.12x0.03-0.04 mm, capstans 0.04-0.09x0.02-0.04 mm; anthocodial rods 0.14x0.05 mm) than in the Ecuadorian material (spindles 0.1x0.03 mm, capstans 0.07x0.03 mm; anthocodial rods 0.12x0.02 mm). In most cases, P. rubicunda was found forming colonies similar to beehives, irregularly stretching across the rocks. The midrib extends from the holdfast in parallel to the substrate, but the unique point of union is the holdfast, which is diagnostic for this species (Breedy and Guzmán 2003: 43). Newly collected material of P. rubicunda from Ecuador permits the description of variability of some characters. The species is reported herein for the first time since its original description in Costa Rica. Pacificorgia stenobrochis (Valenciennes, 1846) (Figs 21, 22) Synonymy. See Breedy and Guzmán (2002: 833). Newly collected examined material: BEIM (0090), Salinas, Santa Elena (Ecuador), 2°12'50.01''S 80°56'5.93''W, 15m depth, 9 Dic. 2011, a fragment of colony. MNCN (2.04/1176), Los Ahorcados, Manabí (Ecuador), 1°40'44''S 80°50'08''W, 10 m depth, 12 Dic. 2011, a fragment of colony. MNCN (2.04/1177), Los Ahorcados, Manabí (Ecuador), 1°40'44''S 80°50'08''W, 13 m depth, 7 Dic. 2012, a fragment of colony. MZB (2016-2999), Punta Mala, Manabí (Ecuador), 1°33'41.37''S 80°50'8.79''W, 15 m depth, 12 Dic. 2012, a fragment of colony. MNCN (2.04/1175), Salinas, Santa Elena (Ecuador), 2°12'50.01''S 80°56'5.93''W, 15m depth, 11 Dic. 2011, a fragment of colony. MECN (Ant0065), Los Ahorcados, Manabí (Ecuador), 1°40'44''S 80°50'08''W, 10 m depth, 15 Mar. 2012, a fragment of colony. MECN (Ant0064), Punta Mala, Manabí (Ecuador), 1°33'41.37''S 80°50'8.79''W, 15 m depth, 15 Dic. 2011, a fragment of colony. MECN (Ant0063), Punta Mala, Manabí (Ecuador), 1°33'41.37''S 80°50'8.79''W, 13 m depth, 6 April 2012, a fragment of colony. MECN (Ant0051), El Chichó, Manabí (Ecuador), 1°31'15.39''S 80°49'21.37''W, 20 m depth, 24 Nov. 2013, a fragment of colony. MECN (Ant0052), El Burbullón, Manabí (Ecuador), 1°28'23.59''S 80°51'23.04''W, 25 m depth, 23 Nov. 2013, a fragment of colony. MECN (Ant0053), Islaote La Viuda, Manabí (Ecuador), 1°26'5.95''S 80°46'7.30''W, 15 m depth, 25 Nov. 2013, a fragment of colony. Additional examined materials: Rhipidigorgia stenobrochis MHN-HK 1719, type material, New Zealand, no depth given, 1839. Pacificorgia stenobrochis var. engelmanni (Horn 1860) MCZ 4042, Acapulco (Mexico), no depth given, 1856-1860; Pacificorgia stenobrochis MCZ 28753, Mexico, no depth given, data unknown; Gorgonia stenobrochis NHM 1922.214.171.124 St. George (Mexico), no depth given, data unknown. Pacificorgia stenobrochis USNM 49378, Gulf of Nicoya (Costa Rica), no depth given, March 1927. Pacifigorgia stenobrochis USNM 8847, Baja California (Mexico), no depth given, 1911. Description. The colonies are up to 280 mm in length by 270 mm in width and are formed by a single fan that may divide into smaller fans. The holdfast was not observed (Fig. 21A). The branches are rounded, ranging from 1.1–2.3 mm in diameter (2 meshes cm$^{-2}$). The branches arise directly from the base and have an open and irregular network. The meshes are rectangular or oblong (55x6 mm, 10x5 mm) (Fig. 21B). There are no distinct midribs. There are long end-branchlets (up to 26 mm). The polyps retract within flat polypmounds, placed throughout the branches, on both sides. The colour of the colony is light brown or dark yellow when alive and yellow intermingled with brown. The coenchymal sclerites are light yellow (Fig. 21C). There are long acute spindles (0.16×0.04 mm), straight or bent, some with a marked waist, having 8 whorls of tubercles, and they are the dominant sclerite types. In addition, there are blunt spindles (0.12×0.04 mm) with 6 whorls of tubercles (Figs 21C, 22A), and capstans (0.09×0.04 mm) with tuberculate ends (Figs 21A, 22B). Some crosses up to 0.08 by 0.06 mm are also found (Fig. 22C). The anthocodial sclerites are light orange in colour, with flattened rods up to 0.09 mm in length and 0.02 mm in width, with smooth or slightly lobed borders (Figs 21A, 22D). Geographic and bathymetric distribution. Pacificorgia stenobrochis has been reported in Mexico, El Salvador, Nicaragua, Costa Rica, Panama, Peru (Verrill 1868, Breedy and Guzmán 2003) and Ecuador (current study) at 3-30 m depth. In the original description, New Zealand is indicated as the type locality, which appears to be an error (see Valenciennes 1846, Breedy and Guzmán 2002, 2003) (Fig. 25J). Generally, colonies of this species occur both solitary and mixed with other species in the same environment. The Ecuador records nicely connect the previously known localities from Mexico and Peru. Remarks. The chromatic variability of the colonies and sclerites of this species has been known for a long time (Hickson 1928, Breedy and Guzmán 2002, 2003). In the Ecuadorian material studied here, all the coenchymal sclerites are yellow. Pink and grey sclerites noted by other authors are lacking. The colour of Ecuadorian colonies varies between yellow and orange hues, while it is said to be reddish purple and brown in previous descriptions. The presence of thick and robust branches, shape of the mesh and absence of the midrib are diagnostic for P. stenobrochis, and readily separate it from similar species, such as P. firma. Genus Eugorgia Verrill, 1868 Synonymy. See Breedy et al. (2009: 8). Eugorgia daniana Verrill, 1868 (Figs 23, 24) Synonymy. See Breedy et al. (2009: 17). Newly collected examined material: MECN (Ant0033), Salinas, Santa Elena (Ecuador), 2°12′50.01″S 80°56′5.93″W, 15 m depth, 9 Dic. 2011, one whole colony. MNCN (2.04/1173), Salinas, Santa Elena (Ecuador), 2°12′50.01″S 80°56′5.93″W, 15 m depth, 10 Dic. 2011, one whole colony. MECN (Ant0060), Punta Gruesa, Manabí (Ecuador), 1°33′38.15″S 80°50′5.28″W, 18 m depth, 20 Feb. 2013, one whole colony. MECN (Ant0056), El Chichó, Manabí (Ecuador), 1°31′15.39″S 80°49′21.37″W, 20 m depth, 24 Nov. 2013, one whole colony. MNCN (2.04/1179), El Burbullón, Manabí (Ecuador), 1°28′23.59″S 80°51′23.04″W, 25 m depth; 23 Nov. 2013, one whole colony. Additional examined materials: Eugorgia daniana MCZ 7080, type material, Gulf of Nicoya (Costa Rica), no depth given, May 1868; MCZ 723, type material, Las Perlas (Panama), no depth given, 1866-1867; NHM 126.96.36.199, type material, Panama, no depth given, data unknown. Eugorgia daniana MCZ 02138, Cali (Colombia), 3 m depth, Dec. 1979; USNM 59084 Gulf of Guayaquil (Ecuador), 20 m depth, Sept. 1966. Description. The colonies are up to 110 mm in length by 190 mm in width and arise from a circular holdfast, 0.5 mm in diameter. They are profusely and pinnately branched in multiple planes. Main stems are 3–5 mm in diameter, compressed, and very short (up to 10 mm long) or absent (Fig. 23A). The branches arise directly from the base, and are cylindrical, ranging from 0.8 to 1.2 mm in diameter. Some of the branches are pseudoanastomosed (anastomosis to the coenenchyme level, but not including the axes). The unbranched distal twigs can reach up to 15 mm in length and are blunt at the ends (Fig. 23A, B). In some branches, there are numerous and evident yellow, longitudinal grooves. The polyps retract within prominent polyp-mounds, leaving a small bilabiate aperture; they occur in multiple rows on all sides of the branches, sometimes having yellow spots. Colonies are dark orange or bright red streaked with bright yellow on the branches or on the polyp-mounds (Fig. 23B). The coenenchymal sclerites are red, yellow or bicoloured (Fig. 23C). They are double discs reaching up to 0.07 mm in length, 0.06 mm in width (Figs 23C, 24B). The capstans reach up to 0.08 mm in length, 0.05 mm in width (Fig. 23C). The dominant sclerite types are spindles (up to 0.15 mm in length, 0.05 mm in width); disc-spindles (up to 0.14 mm in length, 0.05 mm in width) are also abundant, with 4-6 whorls of warty tubercles; they are straight or bent, some with a marked waist (Fig. 24A, D). The crosses are up to 0.14 mm in length, 0.06 mm in width (Figs 23C, 24C). No anthocodial sclerites were obtained. Geographic and bathymetric distribution. This species has a wide distribution along the eastern Pacific. It has been recorded in USA, Mexico, El Salvador, Nicaragua, Costa Rica, Panama, Colombia, Ecuador (Galapagos and the Gulf of Guayaquil) and Peru (Fig. 25K), at 3–30 m depth (Verrill 1868, Breedy et al. 2009, present record). The only specimen of Eugorgia daniana previously found in continental Ecuadorian waters was collected in the Gulf of Guayaquil (identified by Bayer in 1966, and published by Breedy et al. 2009). Our record from Manabí and Santa Elena is the second finding of this species in continental Ecuador, providing information about the possible existence of widespread populations of this species in this area. Currently, Eugorgia daniana and E. ahorcadensis Soler-Hurtado and López-González, 2012 are the only species of this genus found in Ecuadorian waters. Remarks. Differentiation between E. daniana and E. aurantica is difficult at first sight due to a similar branching pattern and colour of their colonies. However, E. aurantica has polyp-mounds with characteristic yellow rings and lacks disc-spindles. Eugorgia daniana, E. aurantica and E. multifida Verrill, 1870 form the “daniana-group” (Breedy et al. 2009, 2013), which includes species with irregular pinnate branching, prominent polyp-mounds and a similar colour of colonies and sclerites. DISCUSSION Seven of the species identified are new records for the octocoral fauna of Ecuador (Table 1, 2): Leptogorgia diffusa, L. flexilis, Pacifigorgia cibrum, P. flavimaculata, P. irene, P. rubicunda and P. stenobrochis. Another three species, Leptogorgia alba, L. obscura and Eugorgia daniana, had already been reported in Ecuador by other authors (Bielschowsky 1929, Breedy and Guzmán 2007). The new species described here, Pacifigorgia machadilla, requires additional records to better establish its geographical and bathymetric distribution. These species, together with Leptogorgia maria-rosae Soler-Hurtado and López-González, 2012, Eugorgia ahorcadensis and L. aequatorialis (Bielschowsky, 1929), constitute the current list of gorgoniid species from the continental coast of Ecuador. Despite the recent contribution of Breedy et al. (2013) suggesting the synonymization of E. ahorcadensis with E. nobilis based on the consideration of an enlargement of morphology and chromatic variability of the latter, recent molecular analyses based on the study of both type materials demonstrated that they should be considered separate taxa (Soler-Hurtado et al. unpublished). In addition, to complete the species list for Ecuadorian waters, the species described above for the Galapagos Islands, Pacifigorgia darwinii (Hickson, 1928), P. dampieri Williams and Breedy, 2004, P. symbiotica Williams and Breedy, 2004 and P. rubripunctata Williams and Breedy, 2004, should be added. According to Bayer (1961), gorgonian corals systematics relies on a combination of characters such as axial skeleton (if any), colonial form, polyp arrangement and sclerite morphology. However, the often unwieldy older literature with no or neglected illustrations and lost or badly preserved type material have played a major role in the taxonomic confusion around octocoral systematics (Sánchez 2004, Soler-Hurtado and López-González 2012). Currently, variation in sclerite size, sculpture, and coloration and the relative proportion of the different sclerite types are the main criteria for species delimitation in Gorgoniidae (Williams and Lindo 1997, Breedy 2001, Sánchez et al. 2007, Vargas et al. 2010a). These characters vary widely and the ranges of variation have not been established for all gorgonid taxa, hindering a robust taxonomy for the group. The description of sclerite type can sometimes be difficult, because of continuous variation in size and ornamentation within and between species (Williams and Lindo 1997, Sánchez et al. 2003, Vargas et al. 2010a). This continuum represents a major obstacle to the assignment of size intervals or ranges that could be used to define and separate possible species. Vargas et al. (2010b) proposed for Pacifigorgia the combined use of continuous and discrete morphological characters, in order to define the relationships between species at different resolution level, in an integrative approach with molecular data. Despite the rebirth of invertebrate systematics due to the ever-increasing availability of DNA sequence characters (Mallet and Willmott 2003, Sánchez 2004, DueFig. 25. – Geographical distribution of the Leptogorgia, Pacifigorgia and Eugorgia species mentioned in the paper. The solid circle shows the relative position of the species in the countries where they have been recorded. The empty circles indicate the first record for the species in Ecuador. (2011) showed that congeners of the genera Isidella, Keratoisis and Lepidipsis were identical at COI and Igr1 sequences, and only varied 0%-2% for MutS. In this study, we found that pairs of morphologically different species, Pacifigorgia exilis and P. media (Verrill, 1864), and P. buyeri Breedy, 2001 and P. catedralensis Breedy and Guzmán, 2004, showed no interspecific variation (0%, in COI+Igr+COI+MutS, cf. Table 4); while others, P. firma and P. catedralensis, P. rubicunda and P. exilis, and P. rubicunda and P. media, showed a very low genetic divergence (0.006%). In fact, the maximum genetic divergence observed in this study is 1.3%, between P. media and P. firma, and between P. exilis and P. firma, confirming the reduced variability in the genetic regions examined. The analysis combining MutS and Igr1-COI for DNA barcoding indicates that these markers are not always suitable and conclusive for species-level identification of eastern Pacific octocorals (Vargas et al. 2014). However, we can say that these regions can at least define different species groups. This may serve... as a supporting tool for morphological findings among species within and between groups. According to our results, based on strong morphological data and molecular tests with sufficient resolution for this set of octocoral species, we propose Pacifigorgia machalilla as a new species. In conclusion, we recommend the use of molecular tools as a necessary complement to morphological identification for future descriptions of new species. Although mitochondrial markers are known to evolve at much lower rates than in other zoological groups, they still provide information that should not be neglected. These mitochondrial markers can be complemented with nuclear regions (e.g. 28S, ITS and SRP54, among others) that have been demonstrated to be especially useful for some octocoral families and genera (Sánchez et al. 2007, McFadden et al. 2014, Wirshing and Baker 2015). Although much more work is needed to fully understand the morphological diversification of octocorals, a combination of molecular and morphological data is a very promising approach to disentangling phylogenetic relationships among species (Breedy et al. 2013, McFadden and Van Ofwegen 2013, López-González et al. 2015) and intraspecific population ecology (Calderón et al. 2006, Prada et al. 2008, Prada and Hellber 2013). Molecular and morphological analytic tools will be essential to quantify the variety of evolutionary pathways within these groups (Sánchez et al. 2003, McFadden et al. 2006, Concepción et al. 2010). However, even when combined, the two approaches do not seem to fully solve the taxonomic problems in this group, and more informative characters in both disciplines must be identified to distinguish closely related morphological species (e.g. McFadden and Van Ofwegen 2013 on stoloniferous octocorals), as well as to obtain more natural classifications, reducing the number of taxonomic synonyms (e.g. Grajales and Rodríguez 2016, on sea anemones). This will help to clarify the evolution of a zoological group that is very important in the structural functioning of benthic marine communities (Conell 1978, Fabricius and Alderslade 2001, Fabricius 2005). Finally, the presence and abundance of these and other species of octocorals in shallow waters could be used as an environmental indicator, suggesting potential areas for protection. Intensive sampling on the coast of Ecuador in biotopes such as submarine ridges and coralligenous bottoms, rich in gorgonian species, could reveal unrecorded gorgonian species in this area. Therefore, much work remains to elucidate Gorgoniidae taxonomy on the coast of Ecuador. The octocorals are an important structural component of the rocky reef fauna of these waters. The present survey contributes towards resolving issues concerning the distribution and taxonomy of this fauna in this region. ACKNOWLEDGEMENTS This research was funded by the grant “Biología de la conservación de las comunidades de gorgonias tropicales en el Pacífico oriental (Ecuador)” of the Universidad Tecnológica Indoamérica to JM. This research received support from the SYNTHESYS Project (http://www.synthesys.info/), financed by the European Community Research Infrastructure Action under the FP7 Capacities Programme, and “Ernst Mayr Travel Grants In Animal Systematics” for visiting MCZ at Harvard University. This research was partially supported by a grant from the Spanish Ministry of Economy and Competitiveness (CTM2014-57949-R). Our special thanks to Gonzalo Giribet and Adam J. Baldinger (MCZ) and Aude Andouche (MNHN), Andrew Cabrinovic and Miranda Lowe (NHM), Eric Lazo-Wasem and Lourdes Rojas (YPM), and Stephen Cairns and Herman H. Wirshing (Smithsonian, MNH) for helping in our museum work. We thank Santiago Villamarín (MECN), Machalilla National Park and Ministerio del Ambiente de Ecuador (Manabí) for collection permits; and Michel Guerrero and his team (Exploramar Diving) for his special interest and collaboration since we began our research. Special thanks to Micaela Peña for her unconditional help, and to Alicia Maraver, Valeria García and Damián Ramírez for their help on the collection expeditions, their friendship and their hard work. Thanks also to Eva Andrés Marruedo and Mónica Flores for their help during the subsequent fieldwork. 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MANISTEE North Corridor A Placemaking Project Art & Artists - Farmers Market - Entertainment September 2012 Beckett & Raeder, Inc. - ArtServe - Cooper Design, Inc. - Carmody Consulting- September 2012 Acknowledgments Leadership Committee Travis Alden, Executive Director, Manistee Main Street DDA Brandon Seng, Executive Director, Manistee Community Kitchen Kevin Summers, SEEDS Program Coordinator Jeff Reau, Development Interest Josh Spencer, Development Interest Jeanne Butterfield, Community Member and Local Artist DDA Board Members Steve Brower Mitch Deisch - Ex-Officio Member Maria DeRee Tim Ervin - Ex-Officio Member Colleen Kenny Barry Lind Kyle Mosher Elbert Purdom Jeffrey Reau Lee Trucks Shari Wild City Council Members Colleen Kenny .................................................Mayor Catherine Zaring .............................................Mayor Pro-Tem Beth Adams ..................................................Councilmember Ilona Haydon ...............................................Councilmember Robert Hornkohl ..........................................Councilmember Alan Marshall .................................................Councilmember Beckett & Raeder, Inc. - ArtServe - Cooper Design, Inc. - Carmody Consulting - September 2012 # Table of Contents Section One - Acknowledgments - INTRODUCTION - Purpose of the Project .......................................................... 1 Section Two - ART AND ARTISTS MARKET STUDY - Assessment ............................................................................. 3 - Research Findings ................................................................... 5 - Case Studies ............................................................................ 14 - Additional Resources .............................................................. 16 - Final Thoughts ......................................................................... 17 Section Three - NORTHERN HOTEL BUILDING STUDY - Preliminary Assessment of Existing Conditions ....................... 19 - Proposed Redevelopment Concept .......................................... 30 Section Four - FARMERS MARKET ASSESSMENT - Existing Conditions .................................................................. 45 - Short Term Recommendations .................................................. 47 - Long Term Recommendations .................................................. 51 Section Five - NORTH CORRIDOR STREETSCAPE PLAN - Existing Conditions Assessment .............................................. 55 - Proposed Improvements Concept ........................................... 57 - Conclusion .............................................................................. 61 APPENDIX - Northern Hotel Alternate Residential Apartment Layout ............. 67 September 2012 - Beckett & Raeder, Inc. - ArtServe - Cooper Design, Inc. - Carmody Consulting City of Manistee Beckett & Raeder, Inc. - ArtServe - Cooper Design, Inc. - Carmody Consulting- September 2012 Purpose of the Project Situated on Lake Michigan, the City of Manistee is a historic coastal community located 80 miles north of Muskegon, 60 miles south of Traverse City, and 50 miles west of Cadillac. Downtown Manistee is positioned on the Manistee River, which is an active shipping and recreational waterway connecting Lake Michigan with Lake Manistee. The City of Manistee Downtown Development Authority (DDA) commissioned Beckett & Raeder, Inc. and its subconsultants, ArtServe, Cooper Design, Inc., and Carmody Consulting, to prepare an assessment and feasibility study related to the Northern Hotel property, located in the North Corridor area of town. The assessment and feasibility study for the Northern Hotel property was specifically for the potential adaptive re-use of the building as an artist incubator, with artist live-work units. Thus, the assessment and feasibility study included a market study of artists in the region to determine the need for such space. Additionally, the building itself was studied for its potential to be renovated into such a use. While much of the focus of the study pertained to the Northern Hotel, the study also examined the North Corridor area including its physical condition and the potential for improvements in the public realm. This part of the study specifically looked at Washington Street from the bridge over the Manistee River north to 2nd Avenue/Lincoln Street and Memorial Drive from Washington Street to US 31, including the properties that front those streets. As such, the public park, Memorial Park, located along the north shore of the Manistee River east of Washington Street and south of Memorial Drive was included, with consideration given to the existing amphitheater and performance space along the shoreline. Lastly, the project included an assessment of the Manistee Farmers Market, which is currently located in the parking lot of Memorial Park. The intent of the study is to identify strategies to transform the Manistee Farmers Market into a local, regional and state destination while serving the needs of residents, area growers and others. All of these unique, yet related, aspects of the project are discussed in much greater detail in subsequent sections of this report, with supporting graphics and data included. Each aspect of the project stands alone and has the potential to become a successful development for Manistee. But these initiatives, if realized collectively, will transform the North Corridor into an extremely vibrant and culturally significant destination for the community and region. City of Manistee Beckett & Raeder, Inc. - ArtServe - Cooper Design, Inc. - Carmody Consulting- September 2012 Assessment In order to ascertain the potential need for an artist incubator in Manistee, the first comprehensive survey of artists, designers, food entrepreneurs, architects, and other creative practitioners for the region was conducted. Input and perspectives from artists and creative practitioners was sought through an online survey. The goal was to document artist presence, depth, characteristics, and needs in the City of Manistee and the surrounding region. It is clear that the community values the importance of the arts and culture as part of the community character, assets and opportunities for the future. As work progressed, information was gathered through facilitated discussions to generate new ideas, and quantified potential priorities and needs that can be used in developing new strategies for engaging the arts and artists as part of ongoing community development initiatives. While this project is located in Manistee, the research used a regional lens including the counties of Manistee, Benzie, Mason, Wexford, Leelanau, and Grand Traverse. City of Manistee Beckett & Raeder, Inc. - ArtServe - Cooper Design, Inc. - Carmody Consulting- September 4, 2012 Research Findings The work involved several layers of compiling data and information on the needs, challenges and opportunities facing artists in the community and included: - Updated statewide and regional American Community Survey (ACS) data to document the presence, depth and characteristics of the artistic and cultural worker populations for the period 2006 thru 2010 using model information from Leveraging Investments in Creativity (LINC). Data relies on Public Use Microdata Areas (PUMAS). Because this census data comprises a 5% sample, they were combined in geographic units that contain at least 1000 artists to ensure reliability of the totals. - Developed an online artist survey seeking input from artists and creative practitioners in Manistee and the region. - The survey launched in June. Advanced promotion through local groups like the Manistee Art Institute and Arts and Cultural Alliance, as well as direct media outreach and e-blasts to advocacy networks took place throughout the survey period. Limited email lists made these promotions challenging, as did the dynamic that many artists are attracted to this area to “escape” and “work invisibly”. - The goal was to secure 50 survey responses based on a 25% rate of the estimated 200 artists on available listings. With an extension of timing, and help from local groups and leaders, 38 survey responses were gathered. While this didn’t meet the target, these responses can be used to confirm the data and information gained through the ACS update. - In addition to these research activities, valuable insights and perspectives from local artists and arts and cultural leaders in one-on-one meetings and calls was gained. - Three artist meetings – one in June (17 attendees) and two in July (total of 16 attendees) – to solicit additional feedback from area artists was conducted. As part of these meetings, and as an incentive, professional practice seminars were facilitated. Meetings were held at the Ramsdell Inn. American Community Survey Results The American Community Survey (ACS) is an ongoing statistical survey that samples a small percentage of the population every year -- giving communities the information they need to plan investments and services. While the 2010 Census shows the number of people who live in the U.S., the American Community Survey shows how people live. The Census Bureau collects American Community Survey data from a sample of the population in the United States and Puerto Rico--rather than from the whole population. All ACS data are survey estimates. American Community Survey 1-, 3-, and 5-year estimates are period estimates, which means they represent the characteristics of the population and housing over a specific data collection period. Data are combined to produce 12 months, 36 months or 60 months of data. These are called 1-year, 3-year and 5-year data. For this project the 5-year data for 2006-2010 was used. As part of this work on this project, 11 data tables covering both basic demographic information and particular information related to housing and migration was produced. For the purposes of this report basic population density, artistic discipline/category, housing, migration, and income have been concentrated on for analysis. Workforce Employed artists and related cultural workers represent a total of 1,778 of combined total employed population of Manistee, Benzie, Grand Traverse, Leelanau, Mason, and Wexford Counties. There were 746 artists of all disciplines and 1,032 related cultural workers. As a percent of total employed, artists and related cultural workers make up a total 1.85% of the regions’ workforce. The state average for employed artists and related cultural workers as percent of total employed is 1.4%. This seems to indicate the presence of a vibrant community of artists within the 6 counties. \| Employment Status by Discipline (Artists) \| \| \|------------------------------------------\|--------\| \| Writers & Authors \| 88 \| \| Performing Artists \| 122 \| \| Musicians & Composers \| 138 \| \| Visual Artists \| 413 \| Amongst the employed artists population, the visual arts have the highest population with 413, followed by musicians and composers. Given the feedback received from the community and the observations gained through participation in local events, these two artistic disciplines have the highest visibility within the region and show the most promise for cultivating within the context of the redevelopment efforts. For related cultural workers the highest population is designers with 436. ### Employment Status by Discipline (Related Cultural Workers) \| Discipline \| Count \| \|-----------------------------------\|-------\| \| Architects \| 263 \| \| Media Communication Workers \| 265 \| \| Designers \| 437 \| #### Housing Rates As part of this feasibility study, documenting specifically the homeownership rates amongst employed artists in the 6 county area was of interest. The results were surprising. 92% of artists in the region own their own home compared to 86% of all employed for the region. From the period of time from which data was collected, it is likely that this number includes those who bought property during the bubble (and may be underwater on their mortgages now), as well as those that after the market bust were able to pick up property affordably. Compared to Michigan’s overall average, 75% of employed artists owned their own home compared to 79% of all other employed. The national average is 65% for artists and 70% for all other employed. While the focal point of this feasibility study and the North Corridor redevelopment initiative is the Northern Hotel property, it is clearly a point of interest for future planning to consider ways of tying the ability for artists to buy their own home to growing the regions’ sector and economic base. By comparison the percent of employed artists renting in the region is 7%. The number for all employed in the region renting is 18%. When this number is compared to Michigan’s overall average, 21% of employed are renters compared to 25% of all other employed. The national average is 34% for artists and 29% for all other employed. There are limitations on housing data gathered from the ACS system, in that it does not provide housing information for the unemployed and underemployed. While these numbers are only for employed artists and the portion of the population that is also within the workforce, it is the best available data to document the way artists are making a living and a life in the region. For the purposes of the redevelopment of the Northern Hotel, this information provides a strong caution against committing to artist live/work spaces. #### Income For the redevelopment study it was also essential to understand income levels for artists in region to see if there was economic readiness within the artist population to buy or rent a live/work space or contribute in other ways to the region’s economic vitality. Toward that end, it was necessary to understand the population of artists that may be within thresholds for federal or other social assistance programs. Many federal, social and health assistance programs have requirements of 100 – 133% of Federal Poverty Limits, some will go up to 299% of FPL – 40% of artists (employed and unemployed) are at or below 299% FPL which may be a strong indicator of need in the region. ### Family income as % of poverty line \| Family income as % of poverty line* \| Artists (%) \| All employed (%) \| Artists (%) \| All employed (%) \| \|------------------------------------\|-------------\|------------------\|-------------\|------------------\| \| 500% or more \| 15.1 \| 30.3 \| 38.5 \| 33.7 \| \| 400-499% \| 7.3 \| 14.3 \| 13.2 \| 14.1 \| \| 300-399% \| 37.9 \| 16.5 \| 16.5 \| 17.0 \| \| 200-299% \| 19.4 \| 22.3 \| 14.9 \| 16.7 \| \| 100-199% \| 20.3 \| 12.4 \| 11.3 \| 12.6 \| \| Less than 100% \| 0.0 \| 4.2 \| 5.6 \| 5.9 \| \| Totals \| 100.0 \| 100.0 \| 100.0 \| 100.0 \| * poverty line varies by family size and number of children, data not available for individuals in group quarters. ^ Personal and household income for US uses “All US”, not just “All employed” Sources: American Community Survey Public Use Microdata Sample, 2006-2010 Average; Data Driven Detroit. ### Median personal income \| \| Artists ($) \| All employed ($) \| \|----------------------\|-------------\|------------------\| \| Median personal income ($) \| 22,000 \| 30,000 \| \| \| Artists ($) \| All employed ($) \| \|----------------------\|-------------\|------------------\| \| Median family income ($) \| 60,000 \| 68,200 \| \| \| Artists ($) \| All employed ($) \| \|----------------------\|-------------\|------------------\| \| Median household income ($) \| 60,000 \| 63,800 \| ### Personal income by arts discipline \| Arts discipline \| Artists ($) \| All employed ($) \| \|--------------------------\|-------------\|------------------\| \| Visual artists \| 12,200 \| 25,000 \| \| Performing artists \| 30,600 \| 35,000 \| \| Musicians & composers \| 22,000 \| 20,000 \| \| Writers & authors \| 32,500 \| 40,000 \| * poverty line varies by family size and number of children, data not available for individuals in group quarters. ^ Personal and household income for US uses “All US”, not just “All employed” Sources: American Community Survey Public Use Microdata Sample, 2006-2010 Average; Data Driven Detroit. Visual Artists are one of the largest concentrations of artists in the region and they also represent the lowest in terms of personal income. As a result should the community wish to pursue artists’ live/work housing or affordable housing that may include artists within the mix then we suggest specifically targeting the visual arts community. Migration Benzie, Grand Traverse, Leelanau and Manistee, Mason, Wexford Counties in Michigan \| Migration status, 1 year ago \| Artists (%) \| All employed (%) \| Artists (%) \| All employed (%) \| \|-----------------------------\|-------------\|-----------------\|-------------\|-----------------\| \| Lived in same house \| 91.3 \| 86.5 \| 84.6 \| 86.7 \| \| Moved within state/region \| 8.7 \| 13.0 \| 13.5 \| 12.6 \| \| Moved into state/region \| 0.0 \| 0.6 \| 1.9 \| 0.7 \| \| Totals \| 100.0 \| 100.0 \| 100.0 \| 100.0 \| Net migration for Michigan, total arts labor force* In-migrants (lived elsewhere from 2006 - 2010) 382 Out-migrants (moved from region 2006 - 2010) 557 Migration ratio 0.69 New artists as % of total 102.7 * includes both employed and unemployed individuals Sources: American Community Survey Public Use Microdata Sample, 2006-2010 Average; Data Driven Detroit. A regional migration pattern amongst artists was also of interest. This information is crucial in terms of thinking about attracting and retaining talent in the region as well as understanding how transitory in nature the artist population may be. The table above shows that from 2006 – 2010 382 artists moved into the region while 557 left the region. The percent of new artists represented within that is 102% of total artists in the region. Currently the region is experiencing a negative migration pattern (losing more than gained). Summary The ACS data provided illuminating information and demographics as a benchmark. Key findings from the ACS data are that Visual Artists are in need of support economically and that as a whole the region shows a stable and high rate of homeownership amongst artists. Creative Many Survey Results The Creative Many Survey was offered online and as paper offline options. The survey was live from June 1 – September 12, 2012. 38 responses were received. This is a response rate of 19% based on a list of 200 artists. 20% is an acceptable response rate for surveys where there is no prior relationship between respondents and the surveying organization. There was a goal of a response rate of 25% for the survey. This was a comprehensive survey of artists in the region. This report concentrates on survey analysis and summary that directly relates to the feasibility of developing live/work or other spaces for individual artists. Creative Many Survey – At a Glance -80% of respondents have been practicing more than 10 years as a creative practitioner. -68% of respondents were 50 years or older Visual Arts (45%), Crafts (18%), and Music (13%) were the largest categories of respondents and supports the ACS findings. -76% of respondents reside in Manistee County, Mason was the next largest county represented in the survey with 11%. -41% of the artists surveyed earned less than $5000 in an annual year for their creative work (this includes all sales, grants, workshop fees, speaker fees, etc., 36% earned more. Artists were asked to indicate up to $100,000 and over in incremental steps. While artist respondents indicated income in all categories including $100,000 and over the bulk of responses indicated that they would be beneficially impacted by even small amounts of money, grants, stipends, or awards. -The hours artists spent per month on their creative practice shows a fairly even distribution between levels 10-39 (likely to be hobbyists or retirees) and 80 hours or more (professionals -including both full time and part time artists). 10-39 hours (29%); 40-79 (24%); 80-159 (18%); 160 or more (29%) -Manistee, Benzie, Wexford, and Mason counties (92%) were by far the strongest regions where artist respondents were receiving opportunities. However, the survey does indicate a strong amount of activity by artists out of the region as well including some international which may indicate that this region is a good base for artists while still allowing them the ability to pursue economic and other opportunities further afield to progress their careers. -51% of respondents have lived in the region 10 or more years but were not born here. Again this is an important indicator in terms of talent attraction and retention. -82% of those surveyed indicated they were planning on staying in the region. When asked why they will stay overwhelmingly 77% indicated Quality of Life above Affordable Housing (23%) or Affordable Work-Studio Space (10%). Employment or other economic opportunity was the second largest attractor (26%). Values for Educational opportunity (3%); Quality of support for artists and other creative practitioners (19%); Other (16%) were also reported. Facilities at a Glance A number of questions designed to directly address the need for facilities amongst the artist population as well as to find out about their current usage was asked. \| MAIN PLACE FOR CREATIVE WORK CURRENTLY \| \| \|----------------------------------------\|----------\| \| Rented & Separate (10%) \| 10% \| \| Rented & Combined (8%) \| 8% \| \| Rented & Adj/Freestanding (0%) \| 0% \| \| Rented & Cooperative (3%) \| 3% \| \| Owned & Separate (5%) \| 5% \| \| Owned & Combined (53%) \| 53% \| \| Owned & Adj/Freestanding \| 5% \| \| Owned & Cooperative (0%) \| 0% \| \| N/A (16%) \| 16% \| - 53% of respondents indicated that they currently own a living space combined with their work/office/studio space. - 60% indicated that they did not need or want a studio/workspace. 24% indicated that they did. \| OF THE 24% ANSWERING YES, DESIRED WORKSPACE* \| \| \|----------------------------------------------\|----------\| \| Rent a separate workplace (non-live-in) (34%) \| 34% \| \| Rent a combined living and workplace (33%) \| 33% \| \| Rent a shared/cooperative space (11%) \| 11% \| \| Buy a separate workplace (non-line-in) (11%) \| 11% \| \| Buy a combined living and workplace (11%) \| 11% \| \| Buy a shared/cooperative space (0%) \| 0% \| - Of the 24% that indicated that they did need or want studio or workspace – 34% wanted to rent a separate workspace and 33% wanted to rent a combined live/work space. - When we asked whether the respondents were in need of some form of more flexible facility with shared resources 55% said no; 29% said yes and 16% were unsure or preferred not to answer. -We also inquired about the current amount of square footage that they use as their primary workspace. 200 sq. ft. was the median and 467 sq. ft. was the average in terms of square footage. The largest response was 4500 sq. ft. and the smallest were 100 sq. ft. Needs Assessment at a Glance Artists were asked to indicate their level of satisfaction with a number of routine aspects of creative practice and producing their creative work. The purpose of this was to uncover additional supporting or infrastructural resources and opportunities that may help support the role of a live/work, residency or artist economic development incubator concept. \| Please rate your satisfaction with the following areas of your creative practice. \| Very Satisfied \| Satisfied \| Neutral \| Dissatisfied \| Very Dissatisfied \| Not Applicable \| \|----------------------------------------------------------------------------------\|----------------\|-----------\|---------\|--------------\|-------------------\|----------------\| \| Access to quality facilities (rehearsal, recording, performance venues, office/studio, shared technical, administrative fabrication) \| 8% \| 11% \| 26% \| 24% \| 5% \| 26% \| \| Access to information (events, opportunities, legal/professional) \| 3% \| 23% \| 37% \| 21% \| 8% \| 8% \| \| Access to ongoing professional training (new creative skills, knowledge, techniques as well as essential business knowledge) \| 3% \| 32% \| 18% \| 24% \| 13% \| 10% \| \| Availability of grant funding \| 0% \| 8% \| 42% \| 18% \| 16% \| 21% \| \| Opportunities for other income and revenue generation \| 0% \| 8% \| 37% \| 37% \| 8% \| 10% \| \| Opportunities for creative development (residencies, production/commissioning opportunities, master classes, creative retreats) \| 3% \| 10% \| 34% \| 24% \| 13% \| 16% \| \| Opportunities to attend work by other creative practitioners \| 11% \| 32% \| 29% \| 13% \| 10% \| 5% \| \| Opportunities to meet other creative practitioners \| 8% \| 37% \| 24% \| 21% \| 0% \| 10% \| \| Opportunities for your work to be performed, published, presented, produced \| 5% \| 45% \| 8% \| 26% \| 5% \| 11% \| \| Opportunities to promote your work \| 3% \| 21% \| 34% \| 26% \| 8% \| 8% \| \| Opportunities for your work to be validated (awards, prizes, fellowships, etc.) \| 0% \| 24% \| 50% \| 26% \| 13% \| 8% \| -In response to the satisfaction rating pertaining to quality of facilities, the majority of respondents indicated they were dissatisfied. While this may seem contradictory to the responses given, when asked directly about their need or want of facilities, this question was designed to uncover whether there is a need for quality facilities that if delivered artists would consider leaving their current workspace arrangements. Income generation and convening of artists’ networks also were key discoveries that could inform and shape potential programs, resources and services for artists either as part of this effort or for the future. Please rate the importance of the following resources and skills to growing and enhancing your creative practice \| \| Very Important \| Important \| Neutral \| Unimportant \| Very Unimportant \| Not Applicable \| \|-----------------------------------------------------------------\|----------------\|-----------\|---------\|-------------\|------------------\|----------------\| \| Engaging with other established creative professionals (critics, agents/representatives, publishers, venue programmers/producers, etc.) \| 34% \| 34% \| 24% \| 3% \| 0% \| 5% \| \| Participating in gatherings, dialogues, and critiques with other artists and creative practitioners \| 42% \| 37% \| 16% \| 3% \| 0% \| 2% \| \| Developing a strategic approach and plan for your work \| 37% \| 26% \| 24% \| 8% \| 0% \| 5% \| \| Raising funds for your practice (individual, corporate, foundation, professional fees, sales/distribution, other forms of generating revenue) \| 34% \| 16% \| 37% \| 5% \| 3% \| 5% \| \| Developing leadership and management skills for your work (proposal writing, making presentations, critical writing, budgeting, and financial planning/management) \| 24% \| 21% \| 37% \| 10% \| 0% \| 8% \| \| Developing communications skills/expertise for your work (pr, marketing, audience/market development-traditional and online) \| 34% \| 29% \| 18% \| 11% \| 3% \| 5% \| \| Developing essential knowledge about legal, copyright, tax, insurance, pensions/benefits, healthcare, and ethical issues related to your work \| 34% \| 32% \| 18% \| 8% \| 3% \| 5% \| The relatively low importance placed on leadership and management skills by respondents (when compared to other areas of importance) also provokes some caution. These skills and the desire to gain them are often good indicators of a DIY and engaged cohort of artists. In the absence of traditional organizations providing the capacity and leadership needed on the ground, artists in Michigan have been filling that gap and have launched amazing studio, fab labs, community centers and creative placemaking initiatives. There is some concern that the artists in the region while engaged, may still be looking for someone else to make things happen for them. Summary Based on the ACS data and the conversations and participant observations that have taken place, this survey, despite its response rate, is reflective of the current trends, needs, opportunities and concerns within the community. Case Studies Paducah’s Artist Relocation Program Paducah’s Artist Relocation Program encourages artists from across the country to relocate to the Lower Town neighborhood of Paducah. The City provides incentives for artist relocation, including historic homes offered at affordable rates, and a local bank lends relocating artists funds to restore the houses. The Artist Relocation Program contributes to the revitalization of a blighted historic neighborhood, strengthens the creative economy of Paducah, and creates a renewed residential community in the downtown. Paducah’s Artist Relocation Program encourages artists from across the country to relocate to the Lower Town neighborhood of Paducah. The City offers a key resource to artists: permanent ownership of their living and working space. It provides financial incentives for artist relocation. Also the city offers free lots for new construction and because the area is in an enterprise zone, all construction materials are tax exempt. Website: http://www.paducahalliance.org/artist-relocation-program Worcester Worcester, a post-industrial New England city, rezoned an area of the city along Main Street as an arts district to create a vibrant mixed community of artists, residents, cultural organizations, and businesses by fostering cultural economic revitalization. It is a good example of how a struggling city can innovatively draw together artists, cultural organizations, the city government, and the business community. Their plan and progress is available online at http://www.artsworcester.org/http://www.ci.worcester.ma.us/reports/ArtsDistrictMasterPlan.pdf Legal Art Miami LegalArt’s Artist Residency is a hybrid, multi-disciplinary program that attracts and sustains local and international artists and arts professionals. In an effort to create a new model of cultural exchange in a city popular for its beaches, night life, and art fairs, the residency program offers artists the first, formal live/work environment in Miami. The primary focus of the residency program is two-fold: 1) provide long-term, affordable live/work space for Miami artists and 2) offer national/international artists and arts professionals year-round opportunities to research and respond to issues at stake in South Florida. Hosting approximately 17 residents per year, LegalArt complements the residency program with a broad menu of educational and professional development services for artists. Through organized programs such as LegalLink and SeminArt, artists participate in monthly workshops, presentations, and one-on-one consultations with attorneys, gallerists, and arts professionals, empowering them with the tools and knowledge to elevate their careers. addition, residency artists receive technical and administrative support as needed from LegalArt staff. Residency Studio - Housed in a former warehouse built in 1924, LegalArt is conveniently located in downtown Miami, Florida. Each live/work studio (measuring approximately 600 square feet) is outfitted with polished concrete floors, large warehouse windows providing ample natural light, modern amenities, and one dedicated parking space. In addition to the seven residency studios, the third floor features communal kitchen, dining, and lounge areas designed as an open flex-space to facilitate organic movement, use, and interactions among users. The second floor is also designed with an open-floor plan and accommodates LegalArt’s administrative offices, research library, and program space. LegalArt also utilizes the building’s ground-floor lobby as a temporary project space activated by residency and guest artists. Miami-based artists are eligible to apply for the Local Residency. This program is an incubator, designed to help artists reach a new level in their practice. The Visiting Residency Program lasts for up to three months, per resident, and includes artists, writers, scholars, and curators based outside the Miami area. http://www.legalartmiami.org/2012/06/29/open-call-for-local-and-visiting-residency/ Summary What can be learned from the successful models of artist spaces in other communities? What factors and dynamics are necessary to ensure that these efforts have a solid foundation for success and sustainability? First, there are clear benefits to both artists and communities in the development of artist spaces: - Buildings designated specifically for artists give artists living and/or working space in those buildings, increased visibility, and credibility as artists. - Projects that use public funding programs to create affordable housing for artists ensure longer-term affordability and allow artists to stay in the same neighborhood over time. - Many completed projects have seen home-ownership stabilize, businesses enter, and residents feel safer in the neighborhood. - Many of these projects create connections between the artists and the community, enriching neighborhood culture. - Tax revenues to the city and county increase as properties stabilize. - The projects often prove to be an effective organizing tool, galvanizing communities and generating enthusiasm and support for community revitalization. What are the factors that are critical to ensuring success and sustainability? - Successful artist space developments build an early connection with the surrounding community and with the targeted artist community – and focus on meeting needs of both community and artists. Partnerships also play a key role in many project success stories. - Non-profits are useful as partners in development of artist space. They can access the public funding sources that can provide enough subsidy to create affordable units and work spaces. They can also provide the leadership to envision, plan, guide and manage the development and operations of these spaces. - Most arts or artist organizations leverage relationships developed over a long period of time to obtain community input and to acquire funding. Partnerships are essential to bridge the ties necessary between the arts and development. Groups like CDCs, EDCs or DDAs are well connected with the surrounding community and familiar with a variety of financing options, but most rely on partnerships to connect to the arts community. - Artist-space development projects can require many different types of funding from a variety of public and private sources. Many average six different funding sources per project. The administrative burden of managing so many different sources with different requirements and timetables is a major challenge to project completion. A number of organizations partner with outside consultants who could guide them through the process of acquiring and managing various financing mechanisms. - Private funding, most commonly from foundation grants and program-related investment, is the dominant funding source for these projects, providing four times as much money as public funding sources. Non-profit organizations typically are uniquely situated to receive such funds. Additional Resources Pricing Live Work - Some Generalizations * Source: ArtsLink Rental studio space - Rental rates on artist space range from $5/s.f./annum up to $16/s.f. This is highly dependent on the location and quality of the space being offered. Most individual artists typically cannot afford more than $12/s.f. Small creative businesses might be able to afford more, but there are not many of them to go around. It is deceptive to think in per square foot numbers however. One needs to think about how much an artist might be able to pay total above his/her other monthly expenses. Most artists usually do not want to pay more than $100-$300 a month above other expenses. Live/work - Most live work units will not sell for more than $180-$275/s.f. to artists. Certainly there is a range of what artists can afford- not all artists are poor. When considering developing a building, one might want to have some expensive units to balance out a few affordable units. This works well in a co-op model. Other spaces - Rehearsal spaces and galleries have varying amounts that they can charge artists to pay for rent. Small creative businesses also have various rents they can afford. In general, it is probably best to assume that none of these businesses can afford much more than $20/s.f./annum. It would be wise to assume less than that amount. Final Thoughts - The research has revealed information that provides both caution and support for the feasibility of designing the Northern Hotel as an artist live/work, retail gallery, or exhibition/performance space. - There are indeed artists interested in opportunities that increase visibility to new audiences, help them promote and sell their work, and serve to convene artists as a “community”. - There is stability across the artistic population based on homeownership rates, length of residency, existing studio spaces, and yet there are some in need of affordable spaces to live and practice. - There is also a rich array of arts and cultural activities in Manistee and across the region which provide an important framework for strategically positioning those assets as part of a strategic plan to more deeply engage the arts as a community and economic development tool. - And yet, in spite of this high level of artistic energy in the community, there is a need for “that right” organizational champion who can lead artists and the community in defining and implementing a strategic cultural plan over time. An “organizational champion” is critical in providing a solid foundation for a successful artist space development. - On a more practical level, there is a need for an appropriate organization to manage the day-to-day aspects of operating an artists’ space or collaborative. With the resources here, that is arts leadership capacity that could be developed for the future. - There are important dynamics in the downtown that cannot be overlooked as part of this strategy, such as the role that the Vogue Theater will ultimately play in further cultivating Manistee as a cultural hub. Or, the great storefronts that are available in the downtown which could provide that visibility and connection to customers that local artists are seeking. - And, while a lot of attention has been focused on serving the needs of artists that are already here, there is opportunity for the future with the attraction of new artists to the area. That can be positioned for success, again with the right leadership, and engagement of both artists and community in defining a careful strategy to work toward that goal over time. - The work that was done can also be used to open new possibilities for how the community might integrate artist opportunities into long-term community development strategies – meeting the needs of both artists and community. City of Manistee Beckett & Raeder, Inc. - ArtServe - Cooper Design, Inc. - Carmody Consulting- September 18, 2012 Preliminary Assessment of Existing Conditions Designed in the ‘Italianate’ style, the Northern Hotel Building is a five-bay, two-story, brick masonry structure. Approximately 120’ long by 65’ deep, the building has five commercial storefronts facing Washington Street. Each storefront features two cast iron Corinthian columns flanking a center door with tall storefront widows on either side. Each entry is recessed and accessed by two risers. In addition to the five storefronts, there is a single entry door, between the 4th and 5th bays, to a wide stair leading to the second floor. It is presumed that this was the entrance to upper floor rooms that were for rent when the building was a hotel. The same five bays are reflected on the second floor. A central hallway allows circulation from the access stair, but it ends abruptly at the south wall of the 2nd bay. The 1st and 2nd bays of the building were clearly built first as a stand-alone building. Bays 3, 4, and 5 were a later addition. Each of the five bays features three arched top, Italianate windows on the front and, at one time, the same layout of windows, symmetrically, at the back. According to the historic district survey of the building, it began as a two bay, commercial storefront building (Bays 1 and 2) in 1880 at the corner of Washington and Lincoln streets. In 1884 it was expanded by three more storefronts resulting in the base of the present 5 bay building. In 1887 a second floor was added and the building re-opened as the Pacific House hotel. We do not agree that the second floor was added at one time. We believe that if the storefront were built first, in two stages, the second floors were added in the same way. The second floor former ‘exterior’ brick wall suggests the first two bays were two stories high before the last three bays. It is almost impossible to determine the original arrangement of rooms at the second floor level. Every non-load bearing partition seems to have been removed and almost all the floors and ceilings have been removed as well. It is our understanding that a large addition was constructed at the rear of the building in 1887 effectively doubling the size of the hotel. This addition is visible in one of the historic photographs along Lincoln Street. This explains several building oddities; the roof which slopes back from the rear wall to internal roof drains, from what should have been a gutter with downspouts, and the in-fill rear windows and unusual reconstructions of portions of the rear wall. The roof drainage of the two structures likely came together along the back wall and resulted in water and ice damage that necessitated repairs. There is very likely damage above the present ceiling, in the ceiling and roof framing all along the rear wall. It is believed that the kitchen and dining room for the hotel was located in the rear addition. This likely allowed the five storefronts to support retail commercial uses at the same time the hotel was in operation. Toilet rooms and baths could also have been located in the rear addition since there is little evidence of such uses in the present building. It is our understanding that the addition burned and was removed, leaving the present building. The fire probably also caused damage that required repair at the rear wall. It is possible that foundations from the addition are still present, below grade, in the ‘back yard’ area. Building Shell Exterior Masonry Walls The exterior walls appear to be three width brick walls, typical of the period. The exterior brick perimeter walls show some signs of differential settlement. This is most notable at the front façade, between Bays 2 and 3 (between the original 2 bay building and the following 3 bay addition). There is significant cracking that would suggest differential settlement of the foundations here. There is significant diagonal cracking at the north window of Bay 3. Otherwise, the West, North, and South walls are in relatively good condition given their age. The rear, east wall, on the other hand, has large sections of wall which have been rebuilt, repaired, and/or parged. Some of the repairs have been made with concrete block rather than brick. The majority of the problems appear to be due to water damage resulting from the present roof drainage system. There still appears to be significant damage in need of repair; particularly in the area of the rear shed roof and deck. Water is still damaging the wall. The building brick has been painted. Peeling paint and spalling brick in select areas on the lower north wall and the upper south wall suggest moisture migration problems. The exterior basement foundation walls are made of ashlar stone, most likely a local dolomitic limestone. The interior demising walls are all brick except for the former ‘exterior’ demising wall between bays 2 and 3, which is stone. The front basement foundation wall had large double-hung windows (some still intact) that opened into window wells. They flanked each storefront entrance and likely allowed a considerable amount of light into the basement level. Many of these openings and windows still exist even though the window wells are gone and the windows are sided over on the exterior. The rear basement foundation wall had two small windows flanking a central exterior stair at each bay. Most of these openings (not all) have been closed in. Several windows have been boarded up (not in-filled with masonry) and one exterior stair remains at Bay 4. The front and north exterior, upper walls feature decorative brick at the hooded, arched top windows and at the upper cornice. The upper cornice is a nicely detailed decorative brick cornice featuring triangular dentals and stepped banding. Storefronts The front façade storefronts are in relatively good condition. However, they have been modified over the years. A projecting shingled canopy has been added, the transom windows and the lower bulkhead wall have been sided over, and most of the original doors have been replaced. The good news is that most of these changes seem to be superficial. The original construction appears to generally be intact, behind the improvements. The present canopy obscures the upper storefront, the storefront cornice band, and the top of the decorative cast iron columns. All appear to be intact except possibly the storefront cornice (it may remain behind the present canopy). The upper storefront windows also appear to be intact behind the T-111 siding and may be relatively easy to expose again. Some of the lower bulkhead windows into the basement still exist, however the original window wells have been removed. The entries to each storefront, and the hotel stair, are two steps up from the sidewalk level. They are, thus, not barrier-free accessible. Roof The roof generally pitches from the front, west wall to the rear, east wall. However, the pitch is ‘kicked’ back at the east wall to internal roof drains rather than to an exterior gutter. The roof appears to be a relatively new single ply membrane roof. The southern three bays of the roof have been re-roofed more recently than the northern two bays. The two roof areas are divided by a low parapet wall between Bay 2 and Bay 3. Both roofs were installed over previous roofing. The entire roof appears to be well flashed at the roof edges, parapets, and vents. There are 5 turbine wind vents, one per bay, located toward the front of the building. These vent the attics above the second floor ceiling. The principle problem with the roof is the internal roof drains along the east wall that diverts the water down through the building and out the back wall at various locations. There is evidence of leakage and water damage around all these drains. The day of our survey, there was a significant amount of standing water around the drains. There is no system to route the roof water into a storm drain system or to discharge it onto the site. This drainage system was most likely installed when the rear addition was added to the building and has been retained since the addition was removed. Building Interior Interior Masonry Walls The five interior bays are separated at the basement and first floor levels by brick masonry demising walls. The interior masonry bearing walls show little sign of differential settlement. The walls appear to be three width brick walls like the exterior. Openings in various walls have been created over the years linking adjacent bays. In some locations, larger sections of wall have been removed and replaced with wood framing. Very large brick arches were installed between Bays 3 and 4. The structural integrity of these larger openings should be evaluated by a structural engineer. The interior brick walls divide the bays and provide structural support for the floor and ceiling framing at both levels. The floor framing is perpendicular to the brick demising walls, bearing on them. Each bay is roughly 22’-23’ wide. The demising walls do not extend to the second floor except for the former ‘exterior’ demising wall, between Bays 2 and 3. This wall extends through to the roof where it forms a low parapet, as described previously. There are former window openings, newer door openings, and other ragged openings in this wall. Interior Floor & Ceiling Framing As noted, above, the first and second floor, floor framing spans between the demising walls. The framing is consistently 3 X 12 joists at 16” on center. This is fairly heavy framing, but the joists generally clear span the bay and, therefore, will not support a large load; 40-50 pounds/SF. This generally meets residential loading requirements, as opposed to commercial or assembly loading. A timber beam and timber columns have been added at the center of Bay 3, in the basement, to increase the load capacity of the first floor. This was likely done to support the booth structures in the My Way Depot space. Some random wood framed floor support has been added at the basement of Bay 1. In general the floor framing has not been significantly altered or damaged. There are some areas in need of re-framing or repair, but less than generally found in most buildings of this age. The existing stair openings at the first floor, in bays 2 and 3, should be inspected. They are most likely improperly framed. The second floor ceiling and the roof are supported by 2 X 6 wood stud wall framing at the second floor, bearing on the brick demising walls directly below. Like the floor joists, the ceiling and roof joists bear on these demising walls. The roof framing slopes from the front, west wall to the rear, east wall; each stepping down at a uniform rate. The second floor ceiling is separately framed as a level ceiling, approximately 10'-0" high. A typical triangular attic is formed between the roof and the ceiling framing. This attic is periodically interrupted by the demising wall framing. The majority of the second floor framing has been stripped of its finishes; plaster and trim is generally gone. Some new 2 X 4 wood framing has been added to create rooms that were never finished. In general, the second floor is an open shell, except for Bay 5 which is a contemporary finished, 3 bedroom apartment. Interior Circulation – Means of Egress There is no building wide internal circulation system. At the first floor, each bay has a front and rear door to the exterior. Bays 1 and 2 are connected together and Bays 3, 4 and 5 are connected together. Bays 1 and 2 have internal stairs to the basement, neither of which appear to meet code or are enclosed or fire rated. Bays 4 and 5 access the basement via two original basement stairs (side by side, one into basement Bay 4 and one into basement Bay 5) that are especially narrow; approximately 24" wide. And, there is the previously mentioned exterior stair at the rear of Bay 4. There are two stairs to the second floor; the original hotel entry stair from the original hotel front door, between Bays 4 and 5 and a rear internal stair, from Bay 5 at the first floor to Bay 4 at the second floor. Both stairs arrive at the second floor at approximately the same location, the center of the second floor, between Bays 4 and 5. They appear to have originally connected to a central hallway running north-south. Neither stair is properly enclosed nor fire rated as an acceptable means of egress. Currently the original hotel stair is abandoned. The rear stair serves the second floor apartment which appears to be used seasonally. In addition, there is a fire escape on the north end of the building; a steel framed stair type escape from the second window opening from the rear. The window has been replaced with a door and there are steps up to the opening at the interior. This escape does not meet present building code requirements. Building Use All five of the first floor bays are currently vacant. All appear to have previously been commercial uses. The first bay was formerly the Northside Bakery. However, there is no evidence inside the space of this use. Currently this space is used for storage of miscellaneous items, furniture, home goods, etc. Bay 2 appears to have been more recently renovated for an unknown commercial use; perhaps mattress sales, which is no longer active. Bays 3, 4, and 5 are the My Way Depot – Sundae & Candy Shoppe. Established in 2008, the business opens for the summer season, however, it did not open this year. The basement is generally unused other than for utilities and equipment. It has a sandy dirt floor. A small part of the rear of Bay 2 has a concrete slab floor. The second floor is an unfinished shell except for the residential apartment at Bay 5. Building Systems There are no central building systems. Each individual use space appears to have its own services and systems. Spaces not recently in use generally have no heating or cooling systems. Heating and Cooling Only select portions of the building are heated. There is an old, large abandoned furnace in the basement of Bay 4 with a flue to an added chimney on the back wall of the building. It likely once heated the present My Way Depot space. In the same vicinity there are abandoned compressors that must have once served the bar above. It appears that this space is only being used in the summer season and is not heated in the winter. A residential forced air furnace is located in a closet at the back of Bay 5 that is ducted up to the second floor apartment. Duct distribution is below the floor which has been raised approximately 6” above the original floor. The fairly recently renovated Bay 2, first floor space has relatively new electric baseboard heat. There is no evidence of any other operational heating in the building. None of the spaces in the building appear to have any cooling. Electrical There are several overhead electrical services to the building off Lincoln Street. It is difficult to determine which might be active (if any) and what areas they service. The My Way Depot has a service at the rear of Bay 3 and panels and disconnects are located in a closet against the back wall. This service likely serves the second floor apartment as well. The fairly recently renovated Bay 2 has a relatively new electrical service and panel coming from the NE corner of the building. The panel appears to service the first floor retail space lighting, receptacles, and baseboard heating. This electrical work appears to be new enough to be up to code. Bay 1 does not appear to have had active service for some time. Conduits to bare sockets are visible at the rear ceiling. A commercial space heater sits on a shelf in the front room. This space has been unused for a long time. Electrical service to the basement is minimal. Power is provided to the hot water heaters (which are electric) and to basic lighting. Water & Sanitary There is 1” +/- water service (with no meter) in Bay 5, in the SW corner of the basement. It appears to come off a main in Washington Street. There likely are additional water services, but they could not be found. There are hot water heaters in the basement of Bay 3 and 5 serving the My Way Depot space; kitchen prep space and the toilet room. This hot water heater possibly also serves the second floor apartment and the first floor laundry. There is a hot water heater located at the rear of Bay 2 to service the first floor toilet room in that bay. The sanitary plumbing is a hodgepodge of piping that has apparently been added to and adapted as various uses were developed in the building. It is likely that much of it does not meet code. It appears that there are two sanitary services; one in Bay 3, off Washington Street, and one in Bay 1 off Lincoln Street. All visible sanitary piping seems to make its way to one of these two locations. Other than to the apartment, there is not visible water or sanitary piping to the remainder of the second floor. Natural Gas There appear to be racks for 5 gas meters on the east wall of the building at Bay 3. There is only one meter installed presently. It most likely serves the second floor apartment furnace. Gas piping is running to other areas of the building in the basement; however, it does not appear to be connected to any equipment. Building Code Assessment The building would most likely be redeveloped as a mixed-use development with retail commercial or restaurant/food services uses at the first floor and office or residential uses above. The allowable height and area of an un-separated (no fire wall separations between uses), mixed use building is determined by the most restrictive use. In this case, the most restrictive potential use is most likely a restaurant (Assembly A-2). Based on this scenario, and the fact that the building is accessible to public rights-of-way on two sides, it would meet the building code height and area requirements. A fire suppression system would not be required. However, we would highly recommend one in this situation given the type of construction, the size of the building, and the residential use. Since there is no system of access to the basement or second floor levels, an egress system would have to be developed to provide both access to, and emergency egress from, these levels. This would likely involve 2 new fire rated stairs at opposite ends of the building with appropriate circulation between the two. Traditional fire escapes as a means of egress are rarely allowed under the present code. The present first floor loading capacity is 40lbs–50lbs/SF. To accommodate potential retail commercial (Mercantile) or restaurant/food service (Assembly) uses, the first floor would have to be reinforced to at least 100lbs/SF. This could be accomplished by either providing intermediate support for the floor at the basement level or by reinforcing the existing joists themselves. The present second floor loading capacity is also 40lbs–50lbs/SF. This would be suitable for residential uses. However, it would not be suitable for office (Business), or other public uses, which require between 80lbs-100lbs/SF of loading capacity. The second floor could be reinforced for such uses, but this would be fairly difficult and expensive. The building code requires a 1-hour fire separation between the first floor commercial or restaurant uses and any second floor residential uses. This separation is required whether a fire suppression system is installed in the building or not; this likely means adding non-combustible material, such as gypsum board, to the underside of the existing floor-ceiling assembly to increase the assembly rating. This, however, is difficult to do when there are existing historic ceilings that should remain, such as at Bay 5. Public uses, like retail commercial, restaurant, and office also require restroom facilities; either common facilities or within each use. Toilet facilities have to be designed for both the business staff and the patrons. Separate facilities usually have to be provided for each sex (unisex restrooms are no longer common). Toilet facilities require a significant amount of space, are expensive to construct, and take careful planning. In addition, suitable building services and systems would have to be installed to meet building uses and that meet present electrical, plumbing, and mechanical codes. Barrier Free Accessibility As mentioned previously, there are two steps up into each of the five storefront entrances of the building. Similarly, the existing rear entrances are also approximately two steps above grade. The building has no elevator or lift. The rear entrance to the My Way Depot space is accessible via the rear deck and ramp which may meet the Michigan Barrier-Free Design Requirements. The Michigan Barrier-Free Design Code requires that buildings be made accessible and that the disabled are not discriminated against in its implementation. Technically, this means that the disabled should be allowed the same access to a building afforded the non-disabled; i.e. they shouldn’t be relegated to a side or rear entrance if the general public is using the front entrance. If more than four residential units are provided (Apartments, Type R-2) the level they are located on has to be barrier-free accessible by elevator or lift. All interiors of the units have to be accessible per the barrier-free design code requirements for Type ‘B’ units. This means they have to have doors accessible to the disabled and the disabled have to have accessible routes thru the unit. This is not as stringent as the requirement for Type ‘A’ units which are for occupancy by the disabled. Since less than 10 units are contemplated, a Type ‘A’ unit does not have to be provided. All new public toilets in the building must be barrier-free accessible. The number of fixtures in each toilet depends on the use and number of occupants of the building. Off street parking is not required in the C-3 Central Business District. If any parking is provided, a percentage of the parking must also be barrier-free accessible: one space is required for parking lots with less than 25 spaces. Historic Preservation The Northern Hotel building (141-143 Washington Street) is a ‘Contributing’ building in the Manistee Commercial Historic District. Work done on the building is subject to the Secretary of the Interior Standards for Historic Preservation and local Guidelines for the Historic District as administered by the local Historic District Commission. Simply put, the historic district requirements call for the preservation of existing architectural detail and building fabric. They do not call for the restoration of already missing detail or fabric, although in some cases this is desirable. New work at the exterior of the building, whether it is new construction or maintenance work, must be done in accordance with the Secretary of Interior Standards and the local Guidelines. If a major renovation or adaptive reuse of the building is undertaken, the work complies with the Secretary of Interior Standards, and the cost of the work exceeds the ‘Basis’ of the building, the project would be eligible for State and Federal investment tax credits. The work must be documented beforehand and a two part application process through the State Historic Preservation Office (SHPO) is required before approval. Given the fact that the storefront entrances are essentially intact, the Historic District Commission would be unlikely to require that they be made barrier-free accessible. They would most likely allow a secondary entrance as the barrier-free entrance. This may, or may not, have to be formalized with an official State of Michigan, Barrier-Free Design Board waiver. It is likely that the Board would grant such a waiver in this case, but not guaranteed. It would be fairly easy to remove present changes and restore the original appearance of the storefronts and the front facade. The only significant new construction that would be necessary would be the construction of a new storefront cornice (which could still exist behind the present shingled canopy) and work at the former basement windows. This would likely be viewed favorably by the local historic district and planning commission. Parking- C-3 Central Business District - Residential Dwellings: Multi-Family, 2 per dwelling unit - Eating and Drinking Establishments: 1 space for every 3 seats of legal seating capacity - Retail Establishments: 1 space for every 450 square feet of floor area plus 1 space for every employee in the largest shift. - Office: 1 space for every 250 square feet of office space. Proposed Redevelopment Concept The Manistee North Corridor Study has concluded that there may not be a significant need in the community for artist live-work housing or artist housing, in general. Due to a relative abundance of reasonably priced housing stock in the area, artists appear to be satisfied with the housing choices that they have made. Originally designed and built for ground floor retail commercial uses, spurred by the construction of a nearby railroad passenger station in the early 1880’s, those commercial uses have varied over the years, but have been retained until recent years. The Northern Hotel Building may best be redeveloped in response to the North Corridor neighborhood in which it is located. The development master plan for the area calls for the development of multi-family housing along Washington Street, both to strengthen the present residential neighborhood and to bring additional residents downtown, in closer proximity to the central business district and its amenities. Building Use Within the existing five bays, we recommend maintaining retail commercial & service uses at the first floor level. These uses might market primarily to the residents and workers in the neighborhood, rather than compete with downtown. Potential uses might include: - Convenience Retail - Bakery/Deli - Coffee Shop - Salon - Insurance/travel - Cellular/Utility Service Provider The building may also be able to sustain a destination use such as a specialty restaurant if the right opportunity presented itself. At the second floor level, the former hotel best lends itself to residential uses. Given the floor loading capacity and the existing structural bays, apartments would be the ideal choice. We have prepared two residential alternatives: Alternate A: Develop five two bedroom loft apartments, one at each bay of the building. Entry would be off a new circulation system (rear porch) off the rear of the building, at the kitchen, and the living room would be on the opposite side, the front of the building. Each unit would be roughly 1,300-1,400SF. Alternate B: Develop 10, efficiency loft apartments, two per bay accessed off a central hallway. This would create 5 apartments at the rear of the building and 5 at the front of the building. Each unit would take advantage of the tall second floor windows at the main living areas. The units would be roughly 500-700SF. Circulation and Egress The redevelopment proposal calls for the development of an upper and lower porch along the back wall of the building. Constructed at the same level as the first and second floor levels, the porch would connect the building to two new egress stairs and an elevator built outside the shell of the building. This would provide access to both levels of the building, controlled access to the second floor apartments, and make both levels barrier-free accessible. It would also provide emergency egress from both levels which is currently lacking. Two new egress stairs within the building would provide two means of egress from the basement level. Building Shell Improvements Based on the building’s ‘Contributing Structure’ designation in the local historic district, any improvements to the exterior of the building require the preservation of existing building fabric. As noted in our existing condition evaluation, most of the original storefront elements are still in place. They have simply been covered by later construction. Both to meet the Historic District requirements and to remain eligible for investment tax credits, the five storefronts should be restored to their original design. It may not be possible to reconstruct the original basement windows and window wells, and the front doors will have to meet barrier-free width requirements, instead of restoring the original narrow double doors, but the remainder of the storefront components are essentially intact. Large areas of the rear wall of the building will have to be reconstructed, both to repair damaged masonry and to create new windows and doors off the porch to support the interior uses. This includes windows and doors into the first floor commercial uses and to apartments at the second floor. At other walls, the small areas of masonry spalling and cracking should be repaired. Following masonry repairs, the building would need a new coat of paint. We would recommend a change in color scheme, one in keeping with the historic period of the building. The roof should be modified to remove the internal drainage system and a new exterior gutter and downspout system instituted. The adjacent roof framing should be exposed and repaired as needed. The existing double-hung wood windows are all in need of replacement to match existing. Interior Improvements The entire first floor needs to be reinforced to meet present floor loading requirements. This might best be done by installing a center beam in each bay of the basement to cut the span of the floor joists in half. This would likely yield suitable capacities. The second floor framing may need to be repaired in select areas where inappropriately modified over the years. The present loading should be sufficient for the proposed residential use; however, the hallway may need to be reinforced. The second floor apartments will need to be constructed. Services and HVAC will have to be accommodated within the construction. Most services would have to be brought up from the basement. Heating and cooling could be located within the units (gas forced air), with rooftop AC condensers. Complete new electrical, water, sanitary, gas, and communications systems need to be installed. A fire suppression, while not absolutely required, will reduce required fire rated construction, including the apartment corridor rating and utility shaft ratings. It will also reduce insurance costs and make for a safer building. It is, therefore, highly recommended. With or without a fire suppression system, a one-hour fire separation will be required between the first floor uses and the second floor residential use. This will likely require the construction of new rated ceilings at the first floor. The removal and re-installation of the decorative pressed metal ceiling at Bay 5 is a possibility. Site Improvements and Parking While off-street parking is not required in the C-3 Central Business District, we believe that the redevelopment would benefit from some parking. We would recommend that spaces for at least one vehicle per apartment be provided on site and reserved for apartment use (5 or 10 spaces depending on the alternative selected). In addition, parking for potential commercial uses would be a desirable convenience for their patrons and an attraction to potential tenants. It is not possible to provide all the parking required by ordinance if parking was required in the C-3 district on the site. The drive through parking concept also would accommodate most commercial delivery and trash collection vehicles. An easily accessible refuse container enclosure is proposed at the rear of the site. Site landscaping and screening is typically a site development requirement and a desirable amenity. We would recommend the installation of street trees, parking lot landscaping, and screening as illustrated. A parking lot screen wall and development sign is also recommended. The NORTHERN HOTEL BUILDING Corner of Washington and Lincoln Streets Historic District BUILDING DATA - First Floor Area: 7,380 GSF - Second Floor Area: 15,627 GSF (leverage area) - Total Floor Area: 1,507 GSF (leverage area) - Vertical Rigs (10): 1,507 GSF (leverage area) EXISTING OVERALL SITE PLAN SCALE: 1/4" = 1'-0" MANISTEE NORTH CORRIDOR Art & Design - Historic Market - Entertainment Place Making Project COOPER DESIGN INC. - Beckett & Raeder, Inc. September 2012 MANISTEE NORTH CORRIDOR Art & Artists, Farmers Market, Entertainment Place Making Project The NORTHERN HOTEL BUILDING Corner of Washington and Lincoln Streets Manistee, Michigan BUILDING DATA First Floor Area 7,836 GSF Second Floor Area 7,836 GSF Total Floor Area 15,672 GSF Individual Bays (10) 1,567 GSF average area FIRST FLOOR PLAN SCALE 1/8" = 1'-0" EXISTING 22 August 2012 - Beckett & Raeder, Inc. - ArtServe - Cooper Design, Inc. - Carmody Consulting The NORTHERN HOTEL BUILDING Corner of Washington and Lincoln Streets Manistee, Michigan BUILDING DATA First Floor Area 7,836 GSF Second Floor Area 7,836 GSF Total Floor Area 15,672 GSF Individual Bays (V) 1,567 GSF average area EXISTING SECOND FLOOR PLAN SCALE 1/8" = 1'-0" Beckett & Raeder, Inc. - ArtServe - Cooper Design, Inc. - Carmody Consulting- September 2012 MANISTEE NORTH CORRIDOR Art & Artists - Farmers Market - Entertainment Place Making Project The NORTHERN HOTEL BUILDING Corner of Washington and Lincoln Streets Manistee, Michigan BUILDING DATA First Floor Area 7,836 GSF Second Floor Area 7,836 GSF Total Floor Area 15,672 GSF Individual Bays (10) 1,567 GSF average area EXISTING BASEMENT FLOOR PLAN SCALE 1/8" = 1'-0" 22 August 2012 COOPER DESIGN INC. - Beckett & Raeder, Inc. September 2012 - Beckett & Raeder, Inc. - ArtServe - Cooper Design, Inc. - Carmody Consulting MANISTEE NORTH CORRIDOR Art & Artists - Farmers Market - Entertainment Place Making Project The NORTHERN HOTEL BUILDING Corner of Washington and Lincoln Streets Manistee, Michigan PROPOSED BUILDING SECTION - EW, Looking North SCALE 3/16" = 1'-0" EXISTING BUILDING SECTION - EW, Looking North SCALE 3/16" = 1'-0" REAR PORCH & BALCONY The rear wall of the building is removed. It will be linked to two new egress stairs, a new elevator, and a new roof deck. The first, second, basement, and second floor levels accessible as well as meet emergency egress requirements. RESTORED FRONT FACADE Reestablish original storefronts, add new storefront entries; restore original tall windows; re-establish tall entry doors. NEW BASEMENT EGRESS STAIRS ROOF DRAINS Section Three - Northern Hotel Building MANISTEE NORTH CORRIDOR Art & Artists - Farmers Market - Entertainment Place Making Project The NORTHERN HOTEL BUILDING Corner of Washington and Lincoln Streets Manistee, Michigan PROPOSED RESTORATION FRONT FACADE ELEVATION, Partial SCALE 3/16" = 1'-0" EXISTING FRONT FACADE ELEVATION, Partial SCALE 3/16" = 1'-0" 22 August 2012 COOPER DESIGN INC. - Beckett & Raeder, Inc. September 2012 - Beckett & Raeder, Inc. - ArtServe - Cooper Design, Inc. - Carmody Consulting The NORTHERN HOTEL BUILDING Corner of Michigan and Lincoln Streets Manistee, Michigan EXISTING BUILDING AREAS First Floor Area 7,836 GSF Second Floor Area 7,831 GSF Total Floor Area 15,677 GSF Individual Bays (4) 1,567 GSF (average area) NEW BUILDING AREAS New Back Porch 1,511 SF / per level Egress Stair & Elevator 372.5 SF / per level Second Egress Stair 198.5 SF / per level New Floor Area 13,237.5 SF / per level Total New Area 4,045 SF FIRST FLOOR COMMERCIAL AREAS Bay 1 1,420 GSF Bay 2 1,327 GSF Bay 3 1,420 GSF Bay 4 1,333 GSF Bay 5 1,275 GSF TOTAL Floor Area 6,762 GSF OVERALL SITE PLAN SCALE (ft = in) 1"=10' September 2012 COOPER DESIGN INC - Beckett & Raeder, Inc. Beckett & Raeder, Inc. - ArtServe - Cooper Design, Inc. - Carmody Consulting- September 2012 MANISTEE NORTH CORRIDOR Art & Artists - Farmers Market - Entertainment Place Making Project The NORTHERN HOTEL BUILDING Corner of Washington and Lincoln Streets Manistee, Michigan BUILDING DATA First Floor Area 7,836 GSF Second Floor Area 7,836 GSF Total Floor Area 15,672 GSF Individual Bays (10) 1,567 GSF Average Area NEW BUILDING AREAS New Back Porch 1,513 SF / per level Egress Stair & Elevator 372 SF / per level Second Egress Stair 186 SF / per level New Floor Area 12,131 SF / per level Total New Floor Area 4,262 SF FIRST FLOOR COMMERCIAL AREAS BAY 1 1,420 NSF BAY 2 1,307 NSF BAY 3 1,407 NSF BAY 4 1,353 NSF BAY 5 1,275 NSF TOTAL Floor Area 6,762 NSF PROPOSED FIRST FLOOR PLAN SCALE 1/8" = 1'-0" 22 August 2012 - Beckett & Raeder, Inc. - ArtServe - Cooper Design, Inc. - Carmody Consulting MANISTEE NORTH CORRIDOR Art & Artists - Farmers Market - Entertainment Place Making Project The NORTHERN HOTEL BUILDING Corner of Washington and Lincoln Streets Manistee, Michigan BUILDING DATA First Floor Area 7,836 GSF Second Floor Area 7,836 GSF Total Floor Area 15,672 GSF Individual Bays (10) 1,567 GSF average area NEW BUILDING AREAS New Back Porch 1,513 SF / per level Egress Stair & Elevator 372 SF / per level Second Egress Stair 186 SF / per level New Floor Area 12,131 SF / per level Total New Floor Area 4,262 SF FIRST FLOOR COMMERCIAL AREAS BAY 1 1,420 NSF BAY 2 1,307 NSF BAY 3 1,407 NSF BAY 4 1,353 NSF BAY 5 1,275 NSF TOTAL Floor Area 6,762 NSF SECOND FLOOR APARTMENT AREAS Apartment 1 1,446 NSF Apartment 2 1,423 NSF Apartment 3 1,496 NSF Apartment 4 1,371 NSF Apartment 5 1,548 NSF TOTAL Floor Area 7,284 NSF PROPOSED SECOND FLOOR PLAN-ALTERNATE A SCALE 1/8" = 1'-0" 22 August 2012 COOPER DESIGN INC. - Beckett & Raeder, Inc. Beckett & Raeder, Inc. - ArtServe - Cooper Design, Inc. - Carmody Consulting- September 14, 2012 MANISTEE NORTH CORRIDOR Art & Artists - Farmers Market - Entertainment Place Making Project The NORTHERN HOTEL BUILDING Corner of Washington and Lincoln Streets Manistee, Michigan BUILDING DATA First Floor Area 7,836 GSF Second Floor Area 7,836 GSF Total Floor Area 15,672 GSF Individual Bays (10) 1,567 GSF average area NEW BUILDING AREAS New Back Porch 1,513 SF / per level Egress Stair & Elevator 372 SF / per level Second Egress Stair 186 SF / per level New Floor Area 12,131 SF / per level Total New Floor Area 4,262 SF FIRST FLOOR COMMERCIAL AREAS BAY 1 1,420 NSF BAY 2 1,307 NSF BAY 3 1,407 NSF BAY 4 1,353 NSF BAY 5 1,275 NSF TOTAL Floor Area 6,762 NSF SECOND FLOOR APARTMENT AREAS Apartment 1 504 NSF Apartment 2 643 NSF Apartment 3 677 NSF Apartment 4 652 NSF Apartment 5 589 NSF Apartment 6 667 NSF Apartment 7 643 NSF Apartment 8 677 NSF Apartment 9 590 NSF Apartment 10 731 NSF TOTAL Floor Area 6,373 NSF September 2012 - Beckett & Raeder, Inc. - ArtServe - Cooper Design, Inc. - Carmody Consulting ## BUILDING DATA \| Area \| GSF \| \|-----------------------\|--------------\| \| First Floor Area \| 7,836 \| \| Second Floor Area \| 7,836 \| \| Total Floor Area \| 15,672 \| \| Individual Bays (10) \| 1,567 \| ## NEW BUILDING AREAS \| Area \| SF per level \| \|-----------------------\|--------------\| \| New Back Porch \| 1,513 \| \| Egress Stair & Elevator \| 372 \| \| Second Egress Stair \| 186 \| \| New Floor Area \| 12,131 \| \| Total New Floor Area \| 4,262 \| ## FIRST FLOOR COMMERCIAL AREAS \| Bay \| NSF \| \|-----\|--------\| \| 1 \| 1,420 \| \| 2 \| 1,307 \| \| 3 \| 1,407 \| \| 4 \| 1,353 \| \| 5 \| 1,275 \| \| TOTAL \| 6,762 \| Section Four - Farmers Market Assessment Existing Conditions The Manistee Farmers Market currently operates from 8am - 12 noon from May 12 to October 13 in the parking lot at the southeast corner of Maple and Memorial Drive. It is an attractive site with the vendors arranged in one aisle along the south edge of the parking lot - a bluff that overlooks the Manistee River and downtown Manistee. Current Site The shade provided by trees along the bluff is a great site amenity. Other strong pluses are the proximity of Oleson’s Food Store located just northeast of the market and the opportunity to use the market as a tool to leverage development of several properties adjacent to the parking lot on the west and northwest. Incremental growth of the market can be accommodated on site by tighter configuration of the market itself and better use of on-street parking as the market expands and takes more parking lot spaces out of use for customer parking. Drawbacks to the site are its distance from the downtown core and the lack of connection between the Farmers Market and adjacent retail businesses. Such clustering helps build traffic that supports both the market and retailers/restaurants. Management Current market management is provided by Manistee Community Kitchen and Seeds After School, a program of Eco Seeds. This management team provides good leverage between the Farmers Market and other local food system components. The market management team’s talent, enthusiasm and dedication to grow the market are significant assets to build upon. Regional Competition Manistee is within a rich agricultural setting. The crop diversity of western Michigan provides Manistee with proximity to growers unavailable to most communities. Manistee Farmers Market’s ability to attract diverse growers is limited by extensive regional competition. Regional competition includes: - Downtown Traverse City: Saturday, 7:30 - 12 Noon - Grand Traverse Commons: Mondays 2pm - 6pm - Luddington: Friday, 3 - 8 pm - Scottville: Saturday, 9am to 1pm - Frankfort: Saturday, 8am - 1pm - Interlochen: Sunday, 9am - 2pm - Cadillac: Friday, 8:30 - 4pm Current Vendor Mix The Manistee Farmers Market currently hosts 24 farm/food vendors and 8 craft vendors. The Market is sold out for the year and has a waiting list of craft vendors that would like to sell at the market. Current Customer Count The average market day attendance for ten market days during the mid-summer of 2012 was 930 patrons. The market attracts mostly affluent permanent residents and those vacationing in the area. Lower income residents are beginning to use the market to take advantage of the market’s access to Double Up Food Bucks (DUFB) which is an incentive program sponsored by the Fair Food Network that provides Supplemental Nutrition Assistance Program (SNAP) participants with a dollar for dollar match up to $20 that can only be used to purchase Michigan grown fruits and vegetables. An average number of 15 people per week are using the DUFB program and that number will increase as word spreads about the program. More than $2,000 in DUFB benefits were distributed from July through mid-September, 2012. Market Programming Currently Chef Al from the Manistee Community Kitchen provides weekly cooking demonstrations and musical performances are integrated into the market helping to make the market more compelling. Short Term Recommendations Grow the market incrementally at its current site While three sites will be considered as long term sites for the Manistee Farmers Market, the current site can accommodate significant incremental growth and re-location of the Farmers Market only makes sense as part of a larger community project or if the market outgrows its current site. Improve Vendor Mix Reduce craft vendors and increase prepared foods by utilizing Manistee Community Kitchen participants and other area food entrepreneurs. The interest in making specialty food products is growing rapidly. Working with the Manistee Community Kitchen program, the Starting Block Food Incubator in Hart and the West Shore Community College, Manistee Farmers Market should reduce the content of arts and crafts and increase the content of specialty foods including some ready-to-eat products. Focusing on regionally significant ethnic foods will help give the Market distinctive character to stand out among the many farmers markets in the region. The market should extend its hours and run until at least 1pm to provide a greater opportunity to attract lunch customers to a wider array of prepared and ready-to-eat foods. Craft vendors should be limited to only items made by local residents and the number of craft vendors should be reduced slightly to increase the quality of items sold at the market. Establishing higher quality standards and instituting a tougher but highly transparent selection process will make the market more attractive to both craft makers and customers in the region who have many markets from which to choose. Increasing the number of specialty food products also helps to build the distinctiveness of the market relative to regional competition. Proximity to one of the state’s best food incubators in Hart is an asset that Manistee should mine for value added products. The Manistee Community Kitchen also provides an opportunity to create entrepreneurs from the local community by leveraging that program’s success in teaching people about healthy eating to earning income either as a group project of the Community Kitchen or as entrepreneurial program for its clients. Tighten Vendor Layout Selling out this year’s allocation of market spaces is an opportunity to increase rates for the 2013 season. While a steep increase of rates is not advocated, a slight increase of rental fees along with a reduction in the size of stall is advocated to provide space for more vendors and to give the market a tighter, more compact form. Expand Programming In addition to the Cooking Matters curriculum offered by Chef Al at the market, it is recommended to add the Shopping Matters curriculum that the Michigan Nutrition Network has developed. This food literacy component gives tips on how to buy healthy and affordable food and can be used jointly benefiting both the Manistee Farmers Market and the nearby Oleson’s Food Store. Shoppers would be led on tours at both the market and the grocery about how to buy different kinds of foods. This will help provide a platform from which to expand other collaborations with the grocery store. Other programming ideas would include recreational activities especially for children and seniors. School-yard games are making a comeback, a great volunteer activity would be to supervise kids school yard games - four square, hopscotch, and jump rope. Another way to engage seniors would be to host a rotating set of weekly competitions between bocce ball, croquet, horseshoes, dominos, and bag toss. Guerilla Marketing Two key audiences need marketing to expand their use of the market. First, the availability of SNAP and DUFB at the market make the market attractive to lower income residents of Manistee. Second, the improved market mix of fewer, higher quality crafts and more prepared and ready to eat foods will make the market more attractive to those taking their vacations in or near Manistee. Without a large marketing budget, the Manistee Farmers Market needs to rely upon grass-roots or guerilla marketing tactics. Some examples include: - Door Hangers As the name implies 4.25 X 11 sheets hung from doorknobs in nearby neighborhoods, especially those with residents that will be attracted to the market by SNAP/DUFB programs. You can yield two hangers per sheet of paper and use minimum wage student-age interns or volunteers to distribute. - Weekly Drawing At the bottom of the door hanger, an entry form into a weekly drawing for a bushel of goodness (fresh produce contributed by participating vendors) acts to draw people to the market and it also provides for the capture of email addresses or text message phone numbers. This data will help increase market patronage over the long haul by utilization of a variety of social media tools. - Vacation Rental Gatekeepers Working with the vacation rental real estate community to find low cost ways to communicate with area vacation renters is critical to expanding the participation of this demographic in the market. Using the welcome center and area rental offices to distribute information about the market is a start, but building relationships with those in this industry is key. Hosting a vacation rental appreciation day in the spring and providing a special discount for plants and flowers to spruce up rental properties is one way to strengthen this key set of relations. Focusing on large residential complexes like Harbor Village is also recommended because these facilities often have developed ways to communicate with their residents that make it easy to promote attractive market features. Long Term Sites Manistee Farmers’ Market Long Term Recommendations The current market location can be expanded to include at least 40 vendors that would require the market to increase attendance significantly. At that size parking could begin to overwhelm the site at peak times. With the richness of the agricultural region, Manistee can build a stronger market capable of becoming more of a regional destination; but to do so requires the project to become part of a larger development that has the capability of drawing more people than just the Farmers Market itself. Three sites in the greater downtown seem to offer potential to build a regional center that could serve as an anchor for community development and significantly boost market attendance. Sites to Consider A. Current Site The current site offers the chance to build a one-stop shop experience in which the park, the Farmers Market, and Oleson’s Grocery Store are better connected to give shoppers a more diversified shopping experience. Removing the Farmers Market from the park offers a great opportunity to build a better park at the handsome riverfront site. Removing the Family Dollar store and constructing market sheds at that location will provide a more viable market and provide a community facility for community events when the market is not in session. Parking can be accommodated in conjunction with Oleson’s and by greater utilization of the street for parking. On street parking will also calm traffic and make the area safer for pedestrians. For larger events, a flexible approach should be developed wherein the street can be closed for limited periods of time. Expanding the market at this site builds a retail food and nutrition engagement hub. Its success will be dependent upon Oleson’s embracing the idea of a Farmers Market in its parking lot. Many national and regional grocers have developed partnerships with their local Farmers Market in this very manner. While produce sales may drop for a few weeks, the goodwill and community appreciation typically provides much greater benefit. B. Foundry Hub Site The former foundry site east of downtown is a unique opportunity to create a regional food hub. In conjunction with a variety of indoor and outdoor gardens at the site, the Farmers Market could be joined with other food hub projects to create a bona fide regional center for crop aggregation, specialty food processing, and storage of preserved crops. This ambitious project could be an anchor for the local economy. In addition to the Farmers Market the site can accommodate a variety of food processing facilities, IQF technology to freeze specific crops and refrigerated space to extend crop seasons for others. This project greatly increases Manistee’s ability to attract vendors and customers from other cities in the region and benefits from recent work undertaken by the State of Michigan Department of Agriculture and Rural Development (MDARD) and MSU to develop a state-wide network of food hubs. A new program provides funding for studying and implementing food hub development. While too late for the 2012 program year, a July 2013 planning study can help determine the feasibility of such a project. Existing Foundry C. Large Development Site Another site to be considered for long term siting of the Farmers Market is the vacant land at Pine and Water Streets. Developing a Farmers Market at this site in conjunction with a much larger project can help build the entire downtown as a destination. This project is likely to be more of a mixed-use residential and commercial project very different in style to the more food-related hub development at the foundry site. The very different nature of these two projects indicates how flexible Farmers Markets can be, but also should provide caution that a significant increase in the size of the Manistee Farmers Market is dependent upon becoming part of something much larger in order to shift market share of vendors and customers in the region to Manistee. This site differs from expanding the current site by integrating a Farmers Market into a mixed-use project instead of a park and an adjacent grocer. There clearly is not room for two Farmers Markets that are retail in nature. It is possible to develop one of the two retail sites as a more robust Farmers Market and still execute more of a wholesale-oriented facility at the foundry site. City of Manistee Beckett & Raeder, Inc. - ArtServe - Cooper Design, Inc. - Carmody Consulting- September 5, 2012 Existing Conditions Assessment The North Corridor, for the purposes of this study consists of the commercial district north of the Manistee River along Washington Street, as well as Memorial Drive from Washington Street east to U.S. 31. The North Corridor, unlike the retail-oriented River Street, provides more local or neighborhood commercial land uses, such as salons, insurance sales, small health clinics, and the like along Washington Street. Washington Street is also dotted with several single-family homes, an apartment complex, as well as upper story apartments in at least one building. The most significant building architecturally is the Northern Hotel, which is currently vacant and discussed in greater detail in Section Three of this report. Along Memorial Drive, the County’s Transportation Facility (Dial-a-Ride) is located near the corner of Washington Street, with the Family Dollar and Oleson’s Grocery Store further east. Memorial Park is situated on the land between Memorial Drive and the River and houses a large parking lot, which services the County Transportation Building, as well as the Farmers Market on Saturdays. Memorial Park, as the name would imply, is the location of a Veterans Memorial as well as memorial street trees along Memorial Drive. Closer to the river’s edge is a riverwalk, which can be accessed from Washington Street, that provides a walking path to the existing amphitheater. The amphitheater takes advantage of the natural topography of the site to form terraced seating overlooking an ornamental pavilion structure and the river itself. The amphitheater is used heavily in the summer time for musical performances and is a cherished by the local community. Access to the North Corridor can be gained from the River Street area by crossing the Manistee River bridge and from the nearby neighborhood streets readily on the established grid system of vehicular ways. Those entering from outside of town would most likely be travelling on U.S. 31, with southbound visitors being able to turn onto Memorial Drive. However, northbound visitors are precluded from turning left into the North Corridor area until they reach Lincoln Street, which is a narrow residential street. The land uses and geometric design of Lincoln Street do not readily support significant traffic and, therefore, should not be burdened as such. Streetscaping along Washington Street consists of walkable City sidewalks with decorative acorn-style street lights and a reasonable lawn terrace, though absent of street trees. The Washington Street corridor supports two lanes of traffic with on-street parking, making it a comfortable corridor for pedestrians, though added amenities would improve that comfort level greatly. Streetscaping along Memorial Drive, however, is not as hospitable given numerous and large drive approaches along the north side of the street. The roadway itself provides for two lanes of traffic, and informal on-street parking that is used primarily on event days, yielding the appearance of extra-wide traffic lanes on non-event days. Proposed Improvements Improvements to the North Corridor begin with the addition of a two-lane urban roundabout at the U.S. 31, Memorial Drive and Taylor Street intersection. The installation of a roundabout in this location would allow consolidated traffic flow into the North Corridor along Memorial Drive, whose geometric design and land uses more readily support the volumes associated with a collector street. The culture of Memorial Drive should change to become a complete street, as well, with formalized on-street parking, sidewalks and decorative street lights on both sides of the roadway, and bump-outs to protect the parked cars and facilitate a mid-block crossing to the Family Dollar / Oleson’s property. The design plan proposes to expand the Oleson’s property parking lot into the current site of the Family Dollar, and to relocate the Farmers Market, at least in the short term, to permanent sheds within the expanded parking area. Parking spaces adjacent to the sheds would be available to Oleson’s and the County Transportation Building on non-market days and those spaces would be used by the vendors on market days to replenish their vendor tables along-side covered sidewalks beneath the shed structures. The mid-block bump-out would facilitate pedestrian connectivity between the Farmers Market and the park to encourage picnicking and other park use on market days. The Farmers Market proximity to Oleson’s would encourage a mutually-beneficial synergy of food-oriented retail in this area that could be a catalyst for expansion of food-oriented redevelopment on a larger scale for Manistee as discussed in Section Four of this report. With the relocation of parking to the proposed Farmers Market site, Memorial Park is allowed to develop and function more as a community park. The upper terrace would retain the Veterans Memorial and memorial trees, but an open lawn would replace the parking lot allowing for picnicking and passive recreational opportunities. The lawn area can be flooded for winter ice skating to encourage year-round use of the park. Along Washington Street, a focal point is proposed by relocating the decorative pavilion from the amphitheater to a more prominent location. The pavilion would serve as a beacon, inviting visitors from River Street to the more serene park setting. The pavilion would offer opportunities for group gatherings and reunions, and could even be a rented space if revenue generation were of interest. Significant gardens, perhaps designed and maintained by a local garden club, could provide a back-drop for even more significant pavilion events, such as weddings. The amphitheater should remain at Memorial Park, though a formal bandshell should replace the pavilion structure to greatly improve the acoustics and visibility of the performers. Access to the amphitheater should be improved through maintenance and general upgrades to the riverwalk, especially as it relates to barrier-free accessibility. The culture of Washington Street should be transformed into a vibrant, active street. Redevelopment opportunities should be seized to allow mixed use in-fill. The redevelopment should be dense, yet modest in keeping with the surrounding neighborhoods, and an emphasis on quality building materials should be realized. Reinforcing the critical mass of the Washington Street corridor should be a priority with in-fill being focused at or near the right-of-way. A neighborhood park should be considered at the corner of Third Avenue to serve as a gathering space for families. A quality play structure and site improvements such as ornamental fence, landscaping and seat walls should instill community pride and contribute to the vitality of Washington Street, while connecting to the surrounding neighborhood. An adaptive re-use of the Northern Hotel building, as discussed in Section Three of this report, should be pursued and set the stage for continued redevelopment of the North Corridor. Streetscaping along Washington Street should support its transformation by supporting pedestrian activity on the street. Bump-outs at each intersection should be installed in order to formalize the on-street parking and facilitate pedestrian crossings. Zebra stripe cross-walks should also be utilized to increase the visibility of pedestrian crossings. Special pavers should be used at the bump-outs, again with a focus on quality building materials such as brick pavers. Along the mid-block, the existing City sidewalks and lawn terraces should remain as is, with the addition of street trees. Should a deli or bakery choose to locate into the Washington Street corridor, the lawn panel could be replaced with a paved area to facilitate bistro seating where space allows as on-street activity should be strongly encouraged. Manistee North Corridor Art & Artists - Farmers Market - Entertainment Place Making Project North Corridor Streetscape Improvement Plan Section Three- Northern Hotel Building City of Manistee Beckett & Raeder, Inc. - ArtServe - Cooper Design, Inc. - Carmody Consulting- September 6, 2012 Conclusion This study is a long-range redevelopment strategy for the North Corridor of the City of Manistee. Redevelopment of this scale and magnitude is not typically achieved in a short time frame, but instead is often spread over a twenty to thirty year duration due to the complicated nature of such sweeping changes. The improvements and strategies depicted in this report involve public sector agencies, private property owners and development entrepreneurs, as well as advocacy agencies such as, in this particular case, local arts and food councils. Bringing these groups together with a common goal through the establishment of a planning study is just the first step in realizing a community’s full potential as it endeavors in “placemaking.” The Manistee community and champions for this project should be applauded for recognizing the unique nature of this corridor within the City. The benefits of the North Corridor redevelopment and long-term success will impart positive impact not only on the immediate properties in the study area, but also the surrounding neighborhood and the City as a whole. While many communities focus placemaking strategies on their retail-oriented downtowns, Manistee has identified the North Corridor as one that can continue to serve its neighborhood context, while also establish distinctive land uses that will be more creative-driven than retail-driven. Whether that creativity is focused on art or food or another unique, local resource, it establishes something that is not currently available in either Manistee or the surrounding region. As such, Manistee becomes a destination for a larger population to live, work and play in a community that offers broad based resources and amenities for an improved quality of life, the very definition of placemaking. City of Manistee Beckett & Raeder, Inc. - ArtServe - Cooper Design, Inc. - Carmody Consulting- September 6, 2012 Northern Hotel Alternate Residential Apartment Layout The accompanying concept sketch for a 6 unit layout, with each unit over 750SF, was prepared at the request of the Client. Certain grant funding requires that all residential units be a minimum of 750SF. This concept illustrates a 6 unit apartment layout at the second floor. Unfortunately, we have to work around the existing structural walls at this level. As you can see, it is difficult to have units ‘cross’ the structural demising walls. The units, thus, do not layout as well as the other schemes: Alternates A and B. Note that the units vary significantly in size and we could only get 6 units; one more than Alternate A. MANISTEE NORTH CORRIDOR Art & Artists - Farmers Market - Entertainment Place Making Project The NORTHERN HOTEL BUILDING Corner of Washington and Lincoln Streets Manistee, Michigan BUILDING DATA First Floor Area 7,836 GSF Second Floor Area 7,836 GSF Second Egress Stair 15,672 GSF Second Floor Area 12,131 SF per level Individual Bays (10) average area 1,207 GSF NEW BUILDING AREAS New Back Porch 1,513 SF /per level Egress Stair & Elevator 372 SF /per level Second Egress Stair 186 SF /per level New Floor Area 4,626 SF FIRST FLOOR COMMERCIAL AREAS BAY 1 1,420 NSF BAY 2 1,307 NSF BAY 3 1,407 NSF BAY 4 1,353 NSF BAY 5 1,275 NSF TOTAL Floor Area 6,762 NSF SECOND FLOOR APARTMENT AREAS Apartment 1 504 NSF Apartment 2 643 NSF Apartment 3 677 NSF Apartment 4 652 NSF Apartment 5 589 NSF Apartment 6 667 NSF Apartment 7 643 NSF Apartment 8 677 NSF Apartment 9 590 NSF Apartment 10 731 NSF TOTAL Floor Area 6,373 NSF PROPOSED SECOND FLOOR PLAN - ALTERNATE B SCALE 1/4" = 1'-0" Apartment floor areas are approximate. The NORTHERN HOTEL BUILDING Corner of Washington and Lincoln Streets Manistee, Michigan MANISTEE NORTH CORRIDOR Art Access - Ferries Market - Entertainment Place Making Project COOPER DESIGN INC., G. Cooper, 09.20.12 PROPOSED BUILDING SECTION - EW, Looking North SCALE: 3/16" = 1'-0" POTENTIAL TO RAISE CEILING AT FRONT APARTMENTS and accommodate skylights. EXISTING BUILDING SECTION - EW, Looking North SCALE: 3/16" = 1'-0" 22 August 2012 COOPER DESIGN INC. - Beckett & Raeder, Inc. Appendix
‘Militant’ renewal drive off to good start BY EMMA JOHNSON After the first week, the international campaign to win $75 renewals and long-term subscriptions to the Militant is on schedule. Supporters have begun knocking on doors of the 2,975 people who subscribed during last fall’s drive, discussing the paper’s coverage of politics from the point of view of the working class. Supporters report a good percentage of those they talk to are interested in continuing to receive the paper, but need to set an appointment for a later date when they have the money to renew. Some want to sit down when they have time to discuss the fight to defend the Cuban Five or other political questions. So it will take more than one visit to reach those who are interested. For this reason, the drive has been extended to six weeks, through March 23. “We signed up seven readers to renew their subscriptions this past Continued on page 3 End solitary confinement! demand Calif. protesters Speakers at state hearing back prisoners’ fight BY BETSEY STONE SACRAMENTO, Calif. — Supporters of the more than 30,000 California prisoners who were on a hunger strike last summer demanding an end to solitary confinement and prison abuses packed a state legislative hearing here Feb. 11. About 200 people attended the hearing. Dozens of prisoners’ family members and others lined up to urge an end to solitary confinement of some 12,000 prisoners in California, including at least 3,000 in the notorious Continued on page 5 Puerto Rico: Soaring debt, social crisis hit US colony BY SETH GALINSKY Puerto Rico’s position as a colony of U.S. imperialism is magnifying the effects of the worldwide capitalist economic crisis there, as bondholders seek to squeeze more profits from the island, increasing the burden on workers and farmers. Billions of dollars are being sucked from the island to service Puerto Rico’s soaring debts to bondholders abroad. Industrial jobs tumbled from 160,000 to 75,000 between 1996 and 2013, with a 40 percent decline over the past seven years. With an official unemployment rate of 14.2 percent — more than double U.S. figures — Puerto Ricans, both workers and middle-class professionals, are fleeing the island in increasing numbers, the largest emigration since the 1950s when 470,000 people moved to the U.S. Conditions of life for those who remain are deteriorating, from broken highway lighting to schools without computers, air conditioning or copy machines. Standard & Poor’s lowered its rat Continued on page 11 ‘Productivity’ up, real wages down, workers pay for capitalist crisis BY BRIAN WILLIAMS Squeezed by the deepening crisis of capitalist production and trade worldwide, U.S. bosses are taking it out on the working class, seeking to keep their workforce lean, boost productivity, and drive down wages and social benefits workers have won through previous struggles. Wages were stagnant in 2013, rising only 0.4 percent after inflation, the New York Times reported Feb. 8. Official government inflation figures, however, do not fully reflect the impact of price rises on working people. Costs for food, gas, rent and other basic necessities that eat up the big majority of workers’ income are running higher than the so-called Consumer Price Index. Between 2007 and 2012, household incomes fell for five straight years, the Wall Street Journal reported Feb. 7. Today incomes are 6.4 percent below 2007, “and — remarkably — 4.7 percent below the level at the end of the Continued on page 11 Exhibit of paintings by one of Cuban Five opens in Montreal BY BEVERLY BERNARDO AND PHILIPPE TESSIER MONTREAL — Some 50 students, workers and teachers attended a presentation of Antonio Guererro’s series of 15 watercolors — “I Will Die the Way I’ve Lived!” — at the University of Montreal Feb. 6. After the program, the paintings went on display at the Intermed, the medical students’ coffee shop at the University of Montreal, from Feb. 10-21. Guererro is one of five Cuban revolutionaries arrested in 1998 on frame-up charges, including conspiracy to Continued on page 7 Also Inside Textile workers strike in Egypt over back pay, national wage 2 NKorea gov’t initiates family visits with South 4 Teamsters in Illinois strike Bay Valley Foods 5 Thousands pour into Havana International Book Fair 7 Textile workers in Egypt strike over back pay, national wage BY PAUL MAILHOT Nearly 20,000 textile workers in Egypt are on strike as of Feb. 17, the eighth day of a walkout that began when some 12,000 workers at Mahalla Weaving and Textile Co., the country’s largest textile plant, struck over back pay and wage demands. Like most workers in Egypt, pay is divided between regular wages and a system of bonus payments. The latter is often deferred and sometimes withheld altogether. A decision by the government to disburse the overdue bonus payments after the second day of the strike was rejected by the workers in Mahalla because it did not address their demand for a raise in the minimum wage. “About a month ago we formed the Free Union of Textile Workers in Mahalla to help in this fight. Our new union is actively participating in these mobilizations,” said Kamal Fayoumy, a leader of Mahalla workers, in a Mahalla TV phone interview Feb. 14. “We are also demanding the removal of the company’s director, Fouad Abdel-Alim, the establishment of an administrative board to run the company, investment of funds for the purchase of cotton, and payment of the minimum wage to the Mahalla workers, at other textile mills and to other workers as well,” he said. Mahalla textile workers are demanding that a new monthly minimum wage of 1,200 Egyptian pounds ($170) promised by the government to go into effect early this year for certain public workers be implemented immediately and applied to all workers employed by the government and the enterprises it runs. The government owns many factories, like those in the textile industry. Since the workers at Mahalla began their strike, workers at Zefzeh Textile, Tanta Spinning and several other plants have joined the protest. For years, Mahalla textile workers have been in the forefront of the fight for a higher minimum wage. They first raised the demand in mass protests against President Hosni Mubarak’s regime in 2008. Demonstrations later swept throughout the country in 2011 that forced the ouster of the hated dictator. The Egyptian rulers are turning the screws on the working class in face of an acute economic crisis. According to workers in Mahalla the Militant interviewed while on a reporting trip to Egypt last month, the mill is operating at very low capacity and layoffs have been announced. “The demand for funds to purchase cotton is also central for us,” said Fayoumy in the recent interview. “Right now production in the plant is down to 40 percent of capacity due to lack of cotton. We want production back up at 100 percent and the companies should buy the cotton needed. “We do not want a protracted strike. We want to go back to work and all the machines to run, but it is necessary for the demands of the workers to be met.” Georges Mehrabian contributed to this article. ‘Blood money’ put to good use for working class “Workers in the Chicago area recently dropped off blood money totaling $228.32 at the Socialist Workers Party branch to put it to good use for the working class,” reported Laura Anderson. Michael Baran, Christopher, John Hawkins, Alyson Kennedy, and Anderson, each $10 each, the value of Jewel-Osco cards that bosses at Caterpillar-owned Electro-Motive Diesel in Lagrange, Ill., handed out as a holiday bonus. By “blood money” Anderson is referring to so-called bonuses and other bribes bosses use to press us to accept wage cuts, speedup, dangerous working conditions and concession contracts. Donations of such bribes form a pillar of the Socialist Workers Party Capital Fund, which finances long-range work of the party. Betsy Farley, a member of United Steelworkers Local 1019 at the Arcelor Mittal Indiana Harbor steel mill in East Chicago, donated $18.32 for a ham she received as a holiday bonus. Ilona Gersh and Lucy Watson, members of the Bakery, Confectionery, Tobacco Workers and Grain Millers local at Saint Gobain glass container factory, gave $10 each for the hams they received. Harvey McArthur, a CNC lathe operator at a small tool-and-die-making shop in St. Charles, Ill., gave his end-of-the-year bonus of $100. To make a donation, contact Militant distributors listed on page 6. — EMMA JOHNSON ‘Militant’ renewal drive Continued from front page week,” reported Laura Anderson from Chicago Feb. 16. “We also visited the Workers United union hall to promote the upcoming showing of Antonio Guerrero’s watercolors.” (See ad on page 7.) “I Will Die the Way I’ve Lived,” an exhibition of prison paintings by Guerrero, one of the Cuban Five, will be shown at the Beverly Arts Center on the city’s north side for three weeks, starting March 21. “At the union hall we ran into Herlinda Hernandez, a member of Service Employees International Union and a supporter of the Cuban Five,” Anderson wrote. Hernandez renewed her subscription for three months and got Voices from Prison: The Cuban Five and I Will Die the Way I’ve Lived. These two books, just published by Pathfinder Press, are new tools in the fight to free the Five and help involve Militant readers in organizing showings of Guerrero’s paintings. “We invite readers to join us to attend the exhibition and to walk the picket line in Dixon, Ill., where food workers are on strike,” Anderson said. “We invite them to the Militant Labor Forums.” “Charlie Brown, one of my coworkers and a long-term reader, organized to get a renewal slip to Tim, another coworker, who is an electrician,” wrote Anderson, who works at Electro-Motive Diesel in La Grange, Ill. “The next day Tim came by saying, ‘It’s that time, here’s the money.’ He shares the paper with others to read on breaks.” Miami: ‘Off to a good start’ “We now have seven renewals out of our goal of 20, a good start,” reported Naomi Craine from Miami Feb. 16. “We’ve also sold a similar number of new subscriptions, most of them going door to door in neighborhoods where we’re visiting previous subscribers.” On Feb. 15, Craine and Tom Baumann visited Ivette Haiti, a hotel worker and artist originally from Cuba, to pick up her renewal. She was thrilled to see the new Spanish-language translation of Cosmetics, Fashions, and the Exploitation of Women. “Why should I make myself up like a doll?” she said. “That’s not who I am.” The book is one of 10 Pathfinder titles on special offer with a renewal or subscription. (See ad below.) Haiti bought a copy of the book as well as I Will Die the Way I’ve Lived. “We knocked on the door of a former subscriber who wasn’t home,” Craine wrote. “But his next-door neighbor remembered the Militant from a previous visit, and this time decided to get a subscription and a copy of Malcolm X, Black Liberation, and the Road to Workers Power; another title on special offer. “I’ve come across someone who had a subscription to your paper,” wrote a prisoner in Florida recently, “Could you be kind enough to send me an order form and along with a copy of the Militant, so I can subscribe.” An increasing number of prisoners are reading the Militant. Since the drive started four inmates have renewed and two others got new subscriptions. Four are from Florida, where the Militant recently beat back attempts by prison authorities to stop subscribers from receiving the paper. We have added a prisoners’ quota of eight renewals to the scoreboard. To renew, get a subscription or join in the drive, contact a distributor listed on page 6 or the Militant at (212) 244-4899. Montenegro protests hit unemployment, gov’t Hundreds took to the streets Feb. 15 in Podgorica, the capital of Montenegro — a country of 650,000 on the Adriatic Sea adjacent to Bosnia and Herzegovina — protesting high unemployment and demanding the government resign. “We can’t pay our 500 euros electricity bills with 100 euros [monthly] salaries,” protest organizer Ljubo Varagic told Associated Press. The protesters, mostly young people and students, who had rallied against mass layoffs, unpaid wages and government corruption. “Bosnia has taken to the streets. What are we waiting for?” said organizers of the Montenegro action on their Facebook page. “Tens of thousands of unemployed, hungry and robbed people should take justice into their own hands!” Montenegro police fired tear gas and stun guns in an effort to disperse the protesters. Twenty demonstrators were detained. Nine cops were injured in the ensuing clashes. “I think the corporate elite, led by Djukanovic, should end up in prison,” protester Marko Milacic told AP. Milo Djukanovic, now prime minister, has shifted back and forth between prime minister and president for most of the time since the country was forged out of the breakup of Yugoslavia in the 1990s. The country’s official unemployment rate is 15 percent, with nearly one-third of those between the ages of 25 and 30 out of work. — BRIAN WILLIAMS Special offers with ‘Militant’ subscription The Cuban Five Who They Are, Why They Were Framed, Why They Should Be Free from pages of the ‘Militant’ $3 with subscription (regular $5) The Changing Face of U.S. Politics Working-Class Politics and the Trade Unions by Jack Barnes $10 with subscription (regular $24) The Working Class and the Transformation of Learning The Fraud of Education Reform Under Capitalism by Jack Barnes $2 with subscription (regular $3) We Are Heirs of the World’s Revolutions by Thomas Sankara Speeches from the Burkina Faso Revolution 1983-87 $5 with subscription (regular $10) Thomas Sankara Speaks The Burkina Faso Revolution 1983-1987 $10 with subscription (regular $24) Malcolm X, Black Liberation, and the Road to Workers Power by Jack Barnes $10 with subscription (regular $20) Cuba and Angola Fighting for Africa’s Freedom and Our Own by Nelson Mandela, Fidel Castro, Raúl Castro: Cuban generals; Gabriel García Márquez $6 with subscription (regular $12) Women in Cuba The Making of a Revolution Within the Revolution by Vilma Espín, Asela de los Santos, Yolanda Ferrer $10 with subscription (regular $20) Women and Revolution The Living Example of the Cuban Revolution by Asela de los Santos, Mary-Alice Waters and others $3 with subscription (regular $7) Los cosméticos, las modas, y la explotación de la mujer (Cosmetics, Fashions, and the Exploitation of Women) by Joseph Hansen, Evelyn Reed, Mary-Alice Waters $10 with subscription (regular $15) See distributors on page 6 ‘Workers should back fight against Russian domination’ Militant Labor Forum discusses protests in Ukraine BY SETH GALINSKY NEW YORK — “Working people in the U.S. and around the world should support the mass struggle for self-determination that is unfolding in Ukraine today,” Tom Fiske, a leader of the Socialist Workers Party in Minnesota, said at a Feb. 1 Militant Labor Forum here on the recent anti-government protests in Ukraine. The demonstrations began in November after Ukraine President Viktor Yanukovich, under pressure from Moscow, declined to sign a trade agreement with the European Union. “Russian President Vladimir Putin put heavy pressure on the Ukraine government — a combination of threats along with the carrot of a $15 billion loan and lower natural gas prices — to get its quest to maintain economic and political control over the country,” said Fiske. “The protests that erupted were not about disagreements over whether the European Union or Moscow is offering Ukraine a better trade deal,” Fiske said, “but the fight of the masses in Ukraine against Russian domination. Hundreds of thousands of Ukrainians have been taking to the streets against the Yanukovich government and its policies.” Russian domination of most of what today is Ukraine goes back to the 17th century, Fiske said. The czars banned the Ukrainian language, tried to replace it with Russian, and brought hundreds of thousands of Russians to live there as a counterweight to Ukrainian national aspirations. “Ukraine was typical of Czarist Russia,” he said. “As Vladimir Lenin, central leader of the 1917 Russian Revolution, pointed out, the Russian empire was a prison house of nations.” The socialist revolution that brought working people to power in Russia in 1917 and a few years later in the Ukraine began to throw open those prison doors. “It marked a huge change in development in the Ukraine. Soviets, revolutionary councils, spread throughout the country,” Fiske said. “The Bolshevik Party and revolutionary government, under Lenin’s leadership carried out a policy of Ukrainization to undo the Russification of the Czars, encouraging the teaching of the Ukrainian language and the flowering of Ukrainian national culture,” Fiske said. “The Bolshevik policy was for the right of self-determination, for complete freedom for oppressed nations to be independent.” “The rise of a privileged caste tied to the government bureaucracy, whose leading representative became Josef Stalin, reversed these gains,” Fiske noted. “While stamping out the national rights of oppressed peoples throughout the former Russian empire, the Soviet Union government, under Stalin reimposed the Russification of the Ukraine. Communist leaders in Ukraine were assassinated on the orders of Stalin.” The counterrevolutionary course of the Stalinist regime in the Soviet Union over decades led to its collapse in 1991, Fiske said. This opened up political space for working people to organize and enter politics with their own struggles and demands. At the same time, an aspiring capitalist class drawn mostly from those with ties to the old government bureaucracy began to accumulate wealth, largely through theft of state property. New governments adopted a course of reimposing social relations of capitalist exploitation. The current authoritarian regime of President Putin is run by the remnants of the Stalinist state police apparatus and represents a major obstacle. Putin himself was a long-time KGB operative who rose to the rank of lieutenant colonel and later headed the Federal Security Service, the KGB’s successor. While Ukraine won its formal independence in the early ‘90s, its government functions much like Moscow’s, using police repression to stifle opposition to its anti-working-class course. The imperialist governments in the E.U. and the U.S. are no friends of working people in Ukraine, Fiske said. They want the Ukraine government “to stop subsidizing gas and to cut what they see as too high a social wage,” to ensure repayment of loans and maximize profits. “The struggle for independence from Russian domination in Ukraine is part of the fight to open up political space and prepare the working class for battles to come,” Fiske said. “It will inspire other oppressed nationalities to stand up for their rights against Russian domination in countries of the former Soviet Union, including within Ukraine itself as well as the Tatars in the Crimea.” — DOUG NELSON Ukrainian Interior Ministry cops and riot police arrest during crackdown on anti-government protesters in Kiev, Ukraine, Feb. 16. At least 26 were killed and hundreds injured in the most violent clashes since thousands took to the streets nearly three months ago to protest economic and political domination of the country by Moscow, backed by Ukrainian President Viktor Yanukovich. Protesters burned down their encampment in Independence Square and the Trade Union building they had occupied, creating barricades of fire as they were forced back. The clashes erupted after the Russian government of President Vladimir Putin pledged another $2 billion in bailout loans and pushed for a crackdown on protesters, while Yanukovich put off the opposition’s demand to restore the 2004 constitution, which would increase the powers of parliament at the expense of the executive. Yanukovich and Putin announced that the crackdown was launched to thwart a coup by rightist opposition groups. According to news reports, some opposition forces had taken over government buildings in several cities, burning some down and seizing weapons from police and military facilities. — DOUG NELSON NKorea initiates family visits with South BY JOHN STUDER On the initiative of the North Korean government, reunions of families separated for more than six decades have been set for Feb. 20-25 at the Mt. Kumgang resort in the North. The Korean nation was forcibly divided in 1945 by Washington with the complicity of Moscow. The family visits, which will involve some 84 Koreans from the South and 88 from the North, will be the first since 2010 and are part of efforts by Pyongyang to improve relations with the South Korean government. “Foreign forces are wholly to blame for this tragic and disgraceful history of the Korean nation,” a Jan. 27 press release from the North Korean mission to the United Nations said, reporting on a Jan. 16 initiative by Pyongyang to push for “opening a wide avenue for improving north-south relations.” “It is our determination to create an atmosphere of reconciliation and unity, completely halt hostile military acts, realize the reunion of separated families and reenergize multi-faceted north-south cooperation and exchanges,” the statement said. The initiative by Pyongyang led to talks Feb. 12 to set the visits, the highest-level contact between the two Koreas in seven years. North Korean representatives at the meeting requested their counterparts postpone until after the family visits two joint military drills by Washington and Seoul. But the U.S. and South Korean governments refused. Secretary of State John Kerry, who flew to Seoul Feb. 13, said it was not “appropriate to link humanitarian issues such as [family] reunification to any other issues.” The drills include a practice landing by 5,000 U.S. Marines and 3,000 South Korean forces, the largest such operation since 1989. Pyongyang decided to go ahead with the family visits despite these military exercises aimed at the North. The two sides issued a joint press release Feb. 14 announcing the reunions and agreement to continue efforts to Continued on page 7 Opposition party found guilty in SKorea political frame-up trial BY SETH GALINSKY In a blow to political rights and the right to free speech, South Korean Judge Kim Jung-woon found seven members of the United Progressive Party guilty Feb. 17 on frame-up charges of plotting an insurrection and violating the National Security Law. The charges were made by the National Intelligence Service, South Korea’s central spy agency. Lee Seok-ki, an elected member of South Korea’s National Assembly, was sentenced to 12 years in prison plus an additional 10-year ban on running for office. Six other party members received sentences ranging from four to seven years. The party won 13 seats in the 300-member assembly. Lee said the frame-up was a “medieval witch hunt.” The South Korean branch of Amnesty International called the ruling “a violation of the rights to freedom of thought and expression.” “Lee Seok-ki sought to undermine the legitimacy of the South Korean state and destroy the constitutional order for the purpose of regime change,” the judge ruled. There is no right to a jury trial in South Korea. The judge’s ruling admits that the alleged conspiracy “did not reach the stage of a detailed plan.” The judge also ruled that the seven violated the law by circulating North Korean literature. Prosecutors had asked that Lee be jailed for 20 years. Lee was only allowed to consult his defense lawyers in the presence of the prosecution and has been blocked from receiving letters or visitors, the Global Research website reported. The government arrested Lee on Sept. 5, 2013, claiming he headed a secret Revolutionary Organization, had discussed how to sabotage key installations and infrastructure across the South in case of war with the Democratic People’s Republic of Korea, and that Lee spoke in favor of the government in the North. As evidence, the government presented testimony from an informer and transcripts of May 10 and 12 meetings of the United Progressive Party where Lee spoke. According to South Korea’s Hankyoreh daily, the transcript “was altered in 272 places” by the government spy agency. The United Progressive Party announced plans to appeal the judge’s ruling. Teamsters in Illinois strike Bay Valley Foods plant DIXON, Ill. — Nine degree below zero temperatures did not stop 112 workers at Bay Valley Foods here from walking out Feb. 6 against company demands for cuts to pensions and health care. Members of Teamsters Local 722 say the biggest issue in this strike is the company’s proposal to stop accepting doctors’ notes to excuse absences. “They say eight absences and you’re fired,” Bob Crowe, a wraparound operator with 15 years in the Dixon plant, told The Militant. “The investors who own the company just keep getting richer and they treat the employees like garbage.” The Teamsters contract ran out Dec. 28. The company has kept the plant open, using nonunion workers and management personnel from other Bay Valley Foods plants to keep it running. Workers are picketing 10 hours a day. “This is more about respect,” Joe Baxter, a plastics worker at Bay Valley for 12 years, said. “It’s the same story all over the world and it’s about time people started standing up. This has been going on too long, these companies just want to take and take.” “The whole community is supporting us,” said Gayle Dietmeier, a cleaner in the plant. “We’ve had teachers, AFSCME workers, and nurses join our picket line. All kinds of people stop by with tacos, pizzas, food and hot coffee. One person brought $50 to the gas station on the corner to run a tab for picketers who came in for food and coffee.” One hundred fifty strikers and supporters held a solidarity rally at the Teamsters union hall Feb. 14. Many joined the pickets after the rally, swelling the line to close to 50. — Betsy Farley Quebec hotel workers maintain picket line SAINT-HYACINTHE, Quebec — Some 180 hotel workers have been on strike since Oct. 28, 2012, at the Hotel des Seigneurs hotel and convention center here. Last Dec. 22, SilverBirch Hotels and Resorts, which owns the Saint-Hyacinthe complex, decided to close it down. The workers, members of the Confederation of National Trade Unions (CSN), continue to picket daily in front of the now-shuttered complex. They are fighting to defend their union jobs and contract if the owner sells the facilities. By a 90 percent margin, workers voted Dec. 19 to reject the company’s final offer: “I’ve been here six years but I think of those who have been here 20 years,” chambermaid Mirta Barboza told the Militant Feb. 1 outside the picket trailer. “They deserve their pension and a good retirement.” Mayor Claude Corbeil announced Jan. 21 that the complex was up for sale. While the future is unclear, the workers continue to fight. In addition to walking the picket line, the hotel workers are engaged in solidarity activities with other workers on strike or locked out. On Jan. 30, 53 strikers took buses to Abitibi, Quebec, to join with supermarket workers fighting for new contracts at Maxi, Provigo and Loblaw stores in the region. — John Steele Supporters of Calif. prisoners demand ‘End solitary confinement!’ Continued from front page ous Security Housing Units known as the SHU. “My brother has been in solitary for 30 years,” Marie Levin said when the microphones were opened for public comments. “Abolish the SHU! It’s inhuman! It’s torture!” The hearing, organized by California Senate and Assembly Public Safety Committee chairs Loni Hancock and Tom Ammiano as part of an agreement that led prisoners to end their hunger strike last Sept. 5, focused on new policies enacted by the California Department of Corrections and Rehabilitation. George Giuribno, retired director of the CDCR’s Division of Adult Institutions, testified in favor of the department’s new four-year “Step Down Program,” touting it as a pathway for prisoners to get out of the SHU. By going through a program that includes mandated instruction by prison authorities, removing clothing and identity, keeping a journal and not breaking prison rules, he said, prisoners could demonstrate they were no longer a security threat. By taking these “steps,” new CDCR regulations say, inmates could get back into the general prison population “within three to four years.” Prison officials refused to allow four members of the Pelican Bay Short Corridor Human Rights Movement, who helped lead the 60-day hunger strike in 2013, to testify, even by phone. The four — Todd Ashker; Arturo Castellanos; Sitawa Nantumbi Jumaa, who is Levin’s brother; and Antonio Guillen — wrote a statement that was read at the hearing, calling the new CDCR program “a sham.” They said it would continue to put prisoners in isolation indefinitely, based on unverified allegations from informants, or artwork, literature or communications the prison authorities deem gang-related. “We were willing to starve ourselves to death rather than continue to endure these dehumanizing conditions forever,” the statement said. “California is still unwilling to move to a real behavior-based system where prisoners are given determinate terms in solitary after due process hearings at which they are found guilty of some serious misconduct,” they wrote. Craig Haney, a University of California professor panelist at the hearing, condemned the use of long-term solitary confinement as torture. “In sheer numbers and the length of time involved, it’s shocking,” he said. He called the Step Down Program “a step in the right direction that did not go far enough.” Panelist Charles Carbone, a lawyer who has represented prisoners in solitary confinement, argued that the new plan makes the situation of prisoners worse. The Step Down Program has “coercive qualities,” he said, including requiring prisoners to keep a journal — open to the authorities — whose contents can be used against them. The new rules actually expand the category of prisoners who can be thrown into the SHU to include any group of three or more people prison authorities say are a security threat. “With this, the number of people living in isolation will grow,” Carbone said. Most of those who spoke during the public comment period expressed frustration at the lack of progress in getting rid of the SHU. “The CDCR is a law unto themselves,” said Constance Pedroza, whose son has been in the SHU for more than 15 years. Other speakers emphasized the inhumanity of what the prisoners continue to go through — years of being locked in small windowless cells, without seeing the outside world or being able to touch their family members during visits. Assemblyman Ammiano announced he was introducing a bill that would put a cap of 36 months on the time someone could be kept in the SHU. The bill would not apply to prisoners whose violations are categorized as “serious” by prison authorities. Prison officials had slandered the hunger strike as “a play of the gangs,” former inmate Steve Czifra told a rally following the hearing. In fact, he said, it was initiatives by the hunger strike leaders that led to a historic agreement for inmates to end hostilities between ethnic groups in the prison, to bring people together across cultural and racial lines. “The leaders recognized a common bond, they got to know each others’ humanity while the state was creating divisions,” Czifra said. “We can come together and unite. This is the essence of the struggle.” — 25, 50, AND 75 YEARS AGO — March 10, 1989 STOCKHOLM, Sweden — More than 40 people attended a defense rally here for Mark Curtis on February 18. The featured speaker was Mark Curtis Defense Committee leader Kate Kaku, who is a laid-off packinghouse worker in Des Moines, Iowa, and the wife of Mark Curtis. Curtis is serving 25 years in an Iowa prison convicted on phony charges of rape and burglary. The defense committee says he is being victimized because of his political and union activities. Kaku described the kind of political activities Curtis was involved in leading up to his arrest, from supporting the rights of immigrant workers to fighting against cop racism. “What Mark was doing is not unique,” stressed Kaku. “It is the kind of political activity that thousands and thousands of vanguard workers around the world are participating in.” March 2, 1964 William Worthy, well-known correspondent for the Baltimore Afro-American, scored a notable victory for freedom of travel Feb. 20 when a three-judge federal appeals court in New Orleans threw out his conviction for going to Cuba and returning without a passport. The appeals court declared unconstitutional the federal law which prohibits a citizen from leaving or entering the country without a valid passport. Worthy was convicted of this charge in August 1962 and was sentenced to three months in jail plus nine months on probation. His conviction was based on the fact he had gone to Cuba in July 1961 and returned in October of that year without a passport. Worthy was without a passport as a result of his earlier defiance of State Department efforts to curb the right to travel. In 1955 he challenged the ban on travel to China and Hungary by visiting these countries. March 3, 1939 LOS ANGELES, Feb. 20 — The strike of 550 employees of the Goodrich Rubber plant was successfully terminated today when Local No. 43 of the United Rubber Workers Union obtained the approval of the rank and file to an agreement maintaining the 30-hour week and the four six-hour shifts in the 24-hour production departments of the plant. The strike beginning Jan. 30 and lasting 20 days was called when management declared plans to change the number of shifts in the production departments which operate twenty-four hours a day to three shifts instead of the four six-hour shifts, indicating a move to return to the eight hour day. The agreement signed is effective until October 31 and provides for the settlement of further grievances or complaints concerning temporary changes in the hours of labor by meetings between the union committees and the management. Trade Unions in the Epoch of Imperialist Decay by Leon Trotsky is one of Pathfinder’s Books of the Month for February. Trotsky was a central leader of the Russian Revolution of 1917. Beginning in the late 1920s he also led the fight to rebuild a world communist movement in face of a counterrevolution in the Soviet Union led by Josef Stalin. Excerpted below is an introduction to Trotsky’s articles by Farrell Dobbs, a central leader of the strikes and organizing drives that transformed the Minneapolis Teamsters union in the 1930s, and after his death in 1983, of the Socialist Workers Party. Farrell Dobbs, left, visits Mexico to meet with Leon Trotsky, exiled leader of Russian Revolution, to discuss world politics and communist trade union policies in January 1940, after Dobbs resigned from Teamsters union staff to become Socialist Workers Party national labor secretary. Far-ranging, pointing to the conditions that were common to unions all over the world at the start of World War II, it penetrates to the central question of unionism in our time: the need for “complete and unconditional independence of the trade unions in relation to the capitalist state.” It indeed is a pity that Trotsky did not live to write up this article, but there is much food for thought (and action) in this short unfinished piece than will be found in any book by anyone else on the union question. The second article is about “The Question of Trade Union Unity” as it presented itself to the French Left Oppositionists in 1931, when the unions were divided into two rival labor federations. But Trotsky’s treatment of this recurring problem transcends the particular situation that led him to write it and offers guidelines for handling it even today. “We make no fetish of trade union unity,” he wrote. “It is not a question for us as a panacea.” But at the same time, he stressed, “a preference for an assured majority in a narrow and isolated trade union confederation rather than oppositional work in a broad and real mass organization, is the mark only of sectarians or officials and not of proletarian revolutionists.” He did not advocate trade union unity at all times and under all conditions, but he pointed out its advantages under most conditions for the working class as a whole and for the revolutionists in particular. The third article, here entitled “The Unions in Britain,” was written in 1933 after Hitler’s coming to power had revealed the bankruptcy of the Communist International (Comintern). The Left Opposition had decided to discontinue its efforts to reform the Comintern and its parties and to work for the creation of new labor organizations. In line with this, the Left Opposition participated in an international conference of left socialist and independent communist organizations held in Paris August 27–28, 1933, where it introduced a resolution advocating a new International. One of the centrist organizations at the conference, the Independent Labour Party of Great Britain, took an intermediate position on this question because it was still suffering from illusions about the possibility of reforming the Comintern — illusions that were partly the result of ignorance about the history of Stalinism. In this article, written shortly after the Paris conference, Trotsky undertook the task of educating the members of the ILP not only about the disastrous policies of the Stalinists in the union sphere in Britain and elsewhere, but also about the role of genuine revolutionists in combating the union bureaucracy. Among other questions, he deals here with one that has still not died: Is it not possible to skip over the trade union stage? The fourth article consists of excerpts from letters in 1936, 1937, and 1938 criticizing the Revolutionary Socialist Workers Party (RSAP) of Holland, which had adhered to the movement for a new International at the Paris conference in 1933, but which developed a number of serious differences in the following years and withdrew from the movement before the Fourth International was founded in 1938. The differences covered a broad range of questions — the civil war in Spain, the revolutionary impasse of the Fourth International, and others. But they also concerned the RSAP’s union policy, which was concentrated on a small independent grouping, the National Labor Secretariat (NAS), in which RSAP leader Henk Sneevliet played a leading role, but which remained outside of the mainstream of the Dutch labor movement. The fifth article is taken from the main document adopted at the founding conference of the Fourth International, “The Death Agony of Capitalism and the Tasks of the Fourth International.” It repeats the need for revolutionists to work inside the existing unions and conferences “secreting and building up or preserving small ‘revolutionary’ unions” as “the renewing of the struggle for leadership of the working class.” But it also rejects “trade union fetishism, equally characteristic of trade unionists and syndicalists.” It advocates a struggle not only to replace the conservative union bureaucracy but also to create wherever possible independent militant organizations better suited to mass anticapitalist struggle; and, if necessary, “not flinching even in the face of a direct break with the conservative apparatus of the trade unions. If it be criminal to turn our back on mass organizations for the sake of fostering sectarian factionalism, it is no less criminal to merely tolerate subordination of the revolutionary mass movement to the control of openly reactionary or disguised conservative (‘progressive’) bureaucratic cliques. Trade unions are not ends in themselves; they are but means along the road to proletarian revolution.” The final article in part 1 is the product of a conversation Trotsky had with a CIO organizer in Mexico in September 1938, shortly after the founding of the Fourth International. --- IF YOU LIKE THIS PAPER, LOOK US UP Where to find distributors of the Militant, New International, and a full display of Pathfinder books. UNITED STATES CALIFORNIA: Los Angeles: 4025 S. Western Ave. Zip 90062. Tel: (323) 295-2600. E-mail: firstname.lastname@example.org San Francisco: 5482 Mission St. Zip 94112-1010. Tel: (415) 584-2135. E-mail: email@example.com FLORIDA: Miami: 7100 Biscayne Blvd., Suite 306A. 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E-mail: firstname.lastname@example.org UNITED KINGDOM ENGLAND: London: First Floor, 120 Bethnal Green Road (Entrance in Brick Lane) Postal code: E2 6DG. Tel: (020) 7613-2466. E-mail: email@example.com Hampstead: 100 Hampstead Rd. 3rd floor, Hilton House, 26-28 Hilton St. Postal code: M1 2EH. Tel: (016) 1478-2496. E-mail: firstname.lastname@example.org Montreal Cuban 5 exhibit Continued from front page commit espionage, and imprisoned in the U.S. (See “Who Are the Cuban Five?” below.) The program, entitled “Art and Liberation,” was organized by the Fabio Di Celmo Committee for the Five, with the support of the Quebec Association for the Teaching of History and Geography. Catrina Adriana Stun, a lecturer in the teaching of history, opened by describing Guerrero’s paintings, copies of which were hung around the room. The watercolor images illustrate the conditions faced by the five revolutionaries in the 17 months they were held in solitary at the Miami Federal Detention Center before and during their trial. The paintings depict both the harassment and brutality they faced from prison guards and officials as well as the ways they and other inmates were able to communicate and share solidarity with each other. “Cuba is part of the growing international movement to press for the release of the Five,” Alain González González, Cuba’s consul in Montreal, said. “Cuba calls on youth worldwide to join in organizing to end this injustice.” “It is an honor to be part of this act of solidarity,” said Claude Morin, a retired professor at the University of Montreal specializing in Cuban history. Cuba is “a small country, but a giant” in its acts of international solidarity, he said, describing how the Cuban Revolution had provided solidarity to other countries, from Africa to Latin America. Since 2007 I have been interested in helping get out the word about the Cuban Five,” Lisa Cournoyer, from the International Solidarity Committee of the Montreal Labor Council of the Confederation of National Trade Unions (CSN), said. She learned about solidarity activity with the Cuban Revolution after the union at the Quebec Liquor Board where she worked affiliated to the CSN. “We know that right is on our side, but to win we need a jury of millions throughout the world to make our truth known,” Félix Vincent Ardea, a philosophy student who took part in protests against tuition hikes in 2012, said, quoting Gerardo Hernández, one of the Cuban Five. “I think because people should learn about what’s happening outside their homes, because in that way they’ll truly learn about the unfairness around us,” Gee, a 20-year-old chemistry student from the Congo, told the Militant. “We each need to act to get more people involved.” Thousands pour into Havana Int’l Book Fair HAVANA — Tens of thousands — adults, youth and children — have been thronging to the international book fair here to seek out some of the 700 new titles available at the nationwide cultural event, which opened Feb. 13. After 10 days in the capital city, the fair will travel to each of the 15 provincial capitals, concluding March 9 in the eastern city of Santiago de Cuba. The culture of reading has marked Cuba’s working people since the early years of Cuba’s socialist revolution. One feature event during the first days of the fair was a packed Feb. 16 launching of Antes de que se me olvide (Before I forget), a book-length interview with Venezuelan leader Ali Rodríguez by Cuban journalist Rosa Miriam Elizalde. Rodríguez held important responsibilities in the government of Hugo Chávez, including minister of energy and oil, foreign minister and ambassador to Cuba. He is currently general secretary of UNASUR, a Latin American organization, in the 1960s and “was not a leader of one of the groups, a split-off of the Venezuelan Communist Party, that engaged in a guerrilla war against the government. Speaking on the panel (bottom photo, from left) were Julio Chirino, Venezuela’s consul in Havana; Rodríguez; Elizalde; and Zuleica Romay, President of the Cuban Book Institute. — JONATHAN SILBERMAN AND PAUL PRENDERGAST Who are the Cuban Five? Fernando González, Gerardo Hernández, Antonio Guerrero, Ramón Labañino and René González are Cuban revolutionaries who during the 1990s accepted assignments from the Cuban government to gather information on the operations and plans of Cuban-American paramilitary groups based in southern Florida. These rightist outfits, organizing on U.S. soil with virtual impunity, have a long record of carrying out bombings, assassinations and other deadly attacks, both against targets in Cuba and supporters of the Cuban Revolution in the United States, Puerto Rico and elsewhere. On Sept. 12, 1998, the five were arrested by the FBI. They were framed up and convicted on a variety of charges, which included acting as unregistered agents of the Cuban government and possession of false identity documents. Without a shred of evidence, three were charged with “conspiracy to gather and transmit national defense information.” Hernández was also convicted of conspiracy to commit murder, based on the pretext that he bore responsibility for the Cuban government’s 1996 shooting down of two U.S.-made Cessna aircraft that had invaded Cuban airspace in disregard of Havana’s repeated warnings. He is serving two life terms plus 15 years. His wife Adriana Pérez is barred from entering the United States. The frame-up and continued incarceration of the Five is part of Washington’s decades-long campaign to punish the working people of Cuba for making and defending their socialist revolution. René González returned to Cuba in May 2013, halfway through his parole. ‘Socialism on Trial’ – A clear presentation of Cannon’s 1941 testimony ‘lays out course of communist politics and propaganda necessary for revolution’ A new, expanded edition of Socialism on Trial is being published by Pathfinder Press this spring. It will include a new preface by Steve Clark, a member of the Socialist Workers Party National Committee, and the introduction from the 1944 edition by Joseph Hansen, a longtime central leader of the party until his death in 1979. Also added are numerous photos and illustrations along with a glossary of names and events to aid the reader. Advance copies were produced in Spanish for presentation at the Havana International Book Fair in February. Printed below is the preface by Clark. Starting on the facing page is the introduction by Hansen. Copyright © 2014 by Pathfinder Press. Reprinted by permission. BY STEVE CLARK Socialism on Trial presents the full testimony by James P. Cannon given from the witness stand of a federal courthouse in Minneapolis over three days in November 1941. Cannon was national secretary of the Socialist Workers Party. He was also one of eighteen communist and Teamster leaders framed up and convicted that year on federal “conspiracy” charges under the thought-control Smith Act. That new club against workers organizations, making it illegal “to teach, advocate and encourage” revolutionary ideas, had been adopted by Congress and signed into law by President Franklin Roosevelt in 1940. Roosevelt had a weighty “political reason for initiating prosecution,” wrote Joseph Hansen in his introduction to Socialism on Trial. “The administration, expecting momentarily to plunge the United States into the catastrophe of World War II, wished to isolate and silence the advocates of socialism so that their ideas might be prevented from gaining a hearing among the masses driven into the slaughter.” In this expanded edition, we are including the 1944 introduction by Hansen, who was thirty-three at the time. Hansen was for several decades a central leader of the Socialist Workers Party, serving as editor of the Militant newsweekly and other publications until his death in 1979. His introduction tells the story of the Smith Act frame-up that led to the Minneapolis trial, as well as the broad political fight against it initiated and organized by the SWP in the labor movement and among other supporters of civil liberties guaranteed by the US Constitution. “Never before in a labor trial in this country,” Hansen writes, “have defendants so unwaveringly, so consciously, and so systematically defended their revolutionary program, utilizing the courtroom as a forum from which to proclaim it.” That is what readers will find in Cannon’s testimony — a clear and forthright presentation of the communist program of the fighting vanguard of the working class. On November 30, 1941, at the end of the twenty-three-day-long trial, the jury handed down its verdicts. Eighteen of the twenty-eight defendants, spanning the ages of twenty-five to nearly sixty, were convicted. In mid-February 1944, as Hansen was completing the introduction, they had already spent a month and half in prison, jailed since New Year’s Eve. In preparation for Washington’s entry in World War II, Roosevelt administration launched frame-up against leaders of Teamsters Local 544 and Socialist Workers Party “to isolate and silence advocates of socialism and prevent them from gaining a hearing among the masses driven into the slaughter,” writes Joseph Hansen. Top, June 28, 1941, issue of Minneapolis Morning Tribune announces raid of SWP headquarters in Minneapolis, bottom right. Bottom left, New York Times sensationalized article on indictment of 29 defendants on trumped-up “conspiracy” charges two weeks later. The six defendants who were given one-year terms served ten months and were released in October 1944. The remaining twelve, each sentenced to sixteen months, served a few days less than thirteen before walking out of prison on January 24, 1946. A new Spanish edition of Socialism on Trial, published earlier this year makes available, for the first time ever in that language, “Communist Policy in the Minneapolis Trial: James P. Cannon Answers His Ultraleft Critics.” Originally published in English in the United States in 1942, it contains a sweeping criticism of the Socialist Workers Party leadership by Grandizo Munis, as well as Cannon’s response. Munis was a revolutionary socialist living in Mexico at the time, in exile from his native Spain since the defeat of republican forces there by Francisco Franco’s fascist movement in the late 1930s. “Cannon discusses how revolutionaries defend themselves against attacks, inside the courtroom and outside,” writes George Novack in the introductory note to this exchange. Novack served as national secretary of the Civil Rights Defense Committee, which organized the defense campaign that reached out to unionists, Black rights organizations, farmers and farmworkers, and others to combat the frame-up and then to demand freedom and a pardon for the eighteen. The communist policy carried out by the SWP leadership, Cannon writes in his answer to Munis, was an effective and uncompromising response to US government efforts “designed to outlaw the party and deprive it, perhaps for a long time, of the active services of a number of its most experienced leaders.” But the response to Munis represents something much more than that, Cannon says. It lays out the course of communist politics and propaganda that is necessary “for the mobilization of the workers for mass action throughout all stages of the development of the proletarian revolution in the United States.” January 2014 US gov’t wanted to silence labor opponents of imperialist war BY JOSEPH HANSEN Since publication of the first edition of Socialism on Trial [in 1942], the eighteen defendants in the famous Minneapolis “sedition” trial have been imprisoned. Fourteen are now at Sandstone penitentiary in Minnesota, three at Danbury, Connecticut, and one at the federal prison for women, Alderson, West Virginia. Prison gates closed on these socialists and trade unionists in “democratic” America despite the fact they were guilty of no crime other than exercising their right to free speech. They were incarcerated because they opposed imperialist war, and because they advocated building a socialist society as the only means of ending such wars and all the other evils of capitalism in its death agony. The views for which they now sit behind bars are presented in this book, which is a reprint of the official court record of the testimony of James P. Cannon, America’s No. 1 Socialist and principal defendant at the trial. Although the Minneapolis case was the first peacetime federal prosecution for sedition in the history of the United States, it was clearly engineered by the Roosevelt administration as part of its war program. The facts prove this beyond anyones’ dispute. In the spring of 1941, Daniel J. Tobin, head of the Teamsters International and one of the political hatchet men of the Roosevelt regime, came into conflict with the leaders of Minneapolis Teamsters Local 544. In May 1941 Tobin published a bitter attack in his personal organ, the Teamsters Journal, denouncing the Trotskyists in the Minnesota Teamsters’ movement. Shortly thereafter, he ordered the democratically elected leadership of Local 544 to stand trial before his International Executive Board in Washington the first week of June. When the leaders of Local 544 refused to concede to his appointment of a receiver over the union with absolute powers, including the power to expel anyone, Tobin proceeded to move in on the union — all this because the Trotskyists in the union refused to abandon their vigorous struggle to improve working conditions or to give political support to Roosevelt in the then rapidly approaching entry of the United States into the second World War. As a result of Tobin’s actions, 4,000 members of Local 544 at a regular membership meeting on June 9 voted unanimously to disaffiliate from Tobin’s organization in the AFL [American Federation of Labor] and to accept a charter from the CIO [Congress of Industrial Organizations]. Tobin lost no time. Four days after the vote of Local 544, on June 13, Roosevelt’s secretary, Stephen Early, told the White House press conference, as reported in the New York Times of June 14, 1941, that Tobin had complained from Indianapolis, and that: “When I advised the President of Tobin’s representations this morning he asked me to immediately have the government departments and agencies interested in this matter notified.” In addition to granting Tobin a personal favor, Roosevelt had a much weightier political reason for initiating prosecution. The administration, expecting momentarily to plunge the United States into the catastrophe of World War II, wished to isolate and silence the advocates of socialism so that their ideas might be prevented from gaining a hearing among the masses driven into the slaughter. Short action followed the White House instructions to Tobin. Just thirteen days later, on June 27, 1941, FBI agents raided the branch headquarters of the Socialist Workers Party in St. Paul and Minneapolis, carting off large quantities of Marxist literature, much of which could have been obtained in any public library. On July 15, 1941, less than a month later, an indictment drawn up by the Department of Justice was handed down by a federal grand jury against twenty men and women. Count one of the indictment, based on an 1861 statute passed during the Civil War against the Southern slaveholders, charged a “conspiracy to overthrow the government by force and violence.” Count two of the indictment charged: (1) Advocating overthrow of the government by force; (2) Publishing and circulating literature advocating this; (3) Forming organizations “to teach, advocate and encourage” such overthrow; (4) Becoming members of such organizations; (5) Distributing publications which “advised, counseled and urged” insubordination in the armed forces. This count was based wholly on the Smith “Omnibus Sedition” Act, invoked for the first time in the Minneapolis case. Like the infamous Alien and Sedition Acts of 1798 the Smith Act makes the mere advocacy of ideas a federal crime. Its constitutionality has been challenged by the American Civil Liberties Union, The Nation, The New Republic, and numerous others. The sponsor of this ultra-reactionary law is poll-tax Representative Howard W. Smith, leader of the antilabor bloc in Congress and coauthor of the vicious Smith-Connally antistrike law. On October 27, 1941, the trial began in the Federal District Court at Minneapolis. The principal government “evidence” consisted of innumerable quotations from articles in the American Trotskyist press going back to 1929. Public writings, public addresses of the defendants, radio speeches, leaflets distributed by tens of thousands — these were the main government proofs of “conspiracy.” The government further introduced as evidence photographs of the great teachers of Marxism (including a portrait of Daniel DeLeon). It introduced such leaflets as the one advertising Vincent Raymond Dunne as speaker at a public forum on the action of the Trotskyists in combating “20,000 Fascists in Madison Square.” In the indictment and in the prosecution arguments, the government flatly characterized as criminal the doctrines of Marx, Engels, Lenin, and Trotsky. This infamous attack was met unflinchingly by the proletarian defense. Never before in a labor trial in this country have defendants so unwaveringly, so consciously and so systematically defended their revolutionary program, utilizing the courtroom as a forum from Continued on page 10 ‘Socialism on Trial’ Continued from page 9 which to proclaim it. The conduct of the defendants at the trial and throughout all the subsequent stages of the case belongs to the best traditions of international Marxism. The jury returned a verdict of not guilty on the first count of the indictment, thereby revealing the utter flimminess of the government case. On the second count, involving a new law, the constitutionality of which had not yet been tested, the jury returned a verdict of guilty against eighteen of the defendants. Of the remaining defendants, five were released by a directed verdict of the court; five others were acquitted by the jury. Grant Dunne, Local 544 organizer and one of the original twenty-nine defendants, committed suicide three weeks before the trial began. He had suffered ill health for a long time from shell shock incurred during the first World War. The Civil Rights Defense Committee, handling the case in close collaboration with the American Civil Liberties Union and with the support of labor and defense organizations, took the eighteen in appealing their conviction to the Eighth US Circuit Court of Appeals. Meanwhile Tobin had instigated proceedings against the Secretary-Treasurer of Local 544, Kelly Postal. When the Minnesota Teamsters voted to accept the CIO charter, they likewise voted unanimously to turn $5,000 in the local treasury over to the Union Defense Committee. Kelly Postal turned over the funds as instructed. Brought before one court on a charge of grand larceny, Postal was vindicated when the judge threw the case out of court. But the wheels of capitalist justice did not stop because one judge could not overrule the decision of the other. Hauled before Judge Selover, Postal was declared guilty and sentenced up to five years in Stillwater penitentiary. Judge Selover, who pronounced this cruel sentence, turned down a motion to appeal the case. Kelly Postal is now behind bars because he obeyed the will of the union membership which placed him in office. On September 20, 1943, the Eighth Circuit Court handed down its decision. In defiance of the law, the Constitution, and all the principles and traditions of democracy, this court upheld the Smith “Gag” Act, giving unconditional endorsement to the prosecution. The defendants, deprived of their elementary democratic rights, were being railroaded to prison. The circuit court judges declared that all this was done in a correct legal way. Thus did the Court of Appeals uphold the right of free speech, one of the “four freedoms” which Roosevelt has solemnly promised to export to other countries. The Civil Rights Defense Committee then carried the case to the United States Supreme Court. What did this august body, composed almost entirely of Roosevelt appointees do? Did they safeguard the inviolability of the Bill of Rights? Or did they act like the “government departments and agencies interested in this matter” whom Roosevelt’s secretary, Stephen Early, notified upon receipt of Tobin’s complaint? On November 22, 1943, barely more than two months after the appeal was made, the Supreme Court handed down its decision. It denied the petition of the eighteen to hear their appeal. This decision will undoubtedly go down in history. Here is a peacetime law, manifestly unconstitutional, a law directly abrogating the right of free speech. The case is the first to be tried under this law. The President who appointed the judges is waging a war ostensibly to make the world free for democracy. The law has been universally denounced — even in the halls of Congress — as “enough to make Thomas Jefferson turn over in his grave” and as “without precedent in the history of labor legislation.” Yet the last court of appeal denies — without a word of explanation — the petition of eighteen defendants to hear their case! It is impossible to wish this reactionary decision aside as “accidental.” Twice more, the Civil Liberties Union petitioned the Supreme Court to hear this important case. Twice more, the Supreme Court denied the petition without explanation. In the words of the great socialist agitator, Eugene V. Debs, who was imprisoned in the last war, “It is extremely dangerous to exercise the constitutional rights of free speech in a country fighting to make democracy safe in the world.” On December 31, 1943, headed by James P. Cannon and Vincent R. Dunne, fifteen of the defendants formed ranks at the Minneapolis branch headquarters of the Socialist Workers Party and marched in a body through the crowded streets of the city to the Federal Court House. There they were received by the United States Marshal. On the same day the other three defendants appeared at the Marshal’s office in New York. New Year’s Day, 1944, the defendants began their transfer from the local jails to the federal prisons. The flagrant injustice of this imprisonment aroused indignation throughout wide circles. Many newspapers and partisans of civil rights and liberties protested the action of the Supreme Court. Declared the American Civil Liberties Union, “This is a case which should never have been brought to court under a law which should never have been passed. Never before has the Supreme Court refused to review a case of this importance.” Recognizing the vital importance of the Minneapolis case to the entire labor movement and the cause of civil liberties, more than 135 unions have already given support or contributed to the work of the Civil Rights Defense Committee. Among them are the United Transport Service Employees — CIO, the New Jersey State CIO Council, the St. Louis Joint Council CIO, the San Francisco Industrial Union Council, forty UAW-CIO locals, eleven United Steel Workers locals, seven United Rubber Workers locals together with dozens of other CIO, AFL, and independent unions. The present campaign of the Civil Rights Defense Committee to obtain unconditional presidential pardon for the eighteen has met with encouraging response. The alarm of thinking workers over this case is well justified. The imprisonment of the eighteen sets a dangerous precedent which threatens the freedom of every trade unionist and of every American who may disagree with the policies of the Roosevelt administration. The upholding of the Smith “Gag” Law now makes it a crime to exercise the right of free speech and creates a weapon which can be used to deprive other trade unionists and working class political parties of their democratic rights. Socialism on Trial has already proved its popularity. The first edition, published in 1942, has been sold out completely. It not only occupies a place on the shelves of advanced workers throughout the United States but has been made available to British workers through two editions printed in Great Britain. In Latin America, where workers long aware of Wall Street’s role in world politics are keenly interested in obtaining allies among American workers in the common struggle, the booklet has been read avidly. In the Middle East a translation into Arabic is projected. The form of the contents, of course, was bound to prove attractive. Here is the unrehearsed, unreheated battle between the prosecuting attorney and the chief defendant. Here are the penetrating questions of the defendant, torey. Albert Goldman, himself a defendant, as he attempts to make plain what the Trotskysts actually believe, despite constant efforts of the prosecution to create obstacles, becloud the issues, trap the defendant. But the mere form alone is not sufficient to account for the absorbing interest of Socialism on Trial. More important is the fact that here is presented the revolutionary program that discloses the only road out of the accumulating horrors of capitalist society in its death agony. From the courtroom in Minneapolis where the Roosevelt Administration hounded leading representatives of the society of the future has come a remarkable document that will undoubtedly play an important part in the difficult struggle to build that coming society of peace and plenty. Just as in World War I the imprisonment of Eugene V. Debs succeeded only in further spreading and popularizing socialism, so in World War II the imprisonment of the Minneapolis defendants will succeed only in hastening the day of the final victory. Debs spoke prophetically when he said: “They may put those men in jail — and some of the rest of us in jail — but they cannot put the socialist movement in jail.” February 15, 1944 End solitary confinement! Throwing workers into tiny, windowless cells, keeping them there 23 hours a day, denying them contact visits with relatives and friends, regulating what they can read and do, these conditions in the solitary confinement cells in prisons all across the U.S. are not just violations of basic rights. They are an affront to human dignity. These barbaric methods are used in an effort to break prisoners’ morale, to demoralize them and destroy their spirit. Often the only way out is to become a cop toady and snitch on fellow inmates. Solitary confinement is routinely employed against political prisoners. The Cuban Five, five Cuban revolutionaries framed up in 1998 for tracking the activities of paramilitary groups in Miami, with a long history of armed actions and acts of sabotage against Cubans, are thrown in solitary for 17 months before their trial. The efforts to force them to their knees, to get them to deny the justice of their efforts to defend the Cuban Revolution and accept a “plea bargain” utterly failed. The authorities fear the example of integrity, courage and dignity these fighters represent to working people, behind and outside prison walls. The propertied rulers have the same attitude toward all workers. The deepening crisis of their capitalist system is driving them to more far-reaching and harsher attacks on the working class worldwide. As they push relentlessly harder, their repressive methods will become more brazen and increasingly driven by fear of the day, the inevitable day, when workers will rise up against them. To the propertied rulers, the working class is a criminal class, and the treatment meted out in their prisons is increasingly reflected in their treatment of us as a whole. They live behind taller and taller gates while they chip away at our political rights, build up their cops and expand their criminal “justice” system. Join the fight to stop solitary confinement! ‘Productivity’ up, real wages down Continued from front page recession,” the Journal said. In fact, workers take-home wages have been falling for some 40 years, as a decline in the average rate of industrial profits spurred bosses to push against workers’ pay. Average real take-home pay of workers today is below the level of the mid-1970s, and this trend toward lowering of wages has accelerated over the past five years. Since the recession ended in June 2009, average real wages for auto workers have declined 10 percent; for all manufacturing workers they’ve dropped 2.4 percent. Bosses have succeeded in implementing two-tier contracts, like those in effect in auto plants and in more and more other factories, where newer workers do the same jobs as those with more seniority but at half the pay. Increasing numbers of workers are forced to work on temporary contracts, with lower wages and no benefits, or to work part time. Since 2009, the number working through temp agencies has doubled to a record high of some 2.7 million. Since the 1970s the bosses’ “productivity” drive — making workers toil harder at the expense of life and limb — has risen annually, but not workers’ pay. In 1973, workers’ wages as a percentage of the gross domestic product was 66 percent. By 2012 it had dropped to 58 percent, the lowest since the end of World War II. In the mid-1970s “real wages suddenly flat-lined in the face of rising productivity,” investment analyst John Mauldin wrote in his Feb. 9 newsletter. While employed workers are finding it hard to get a real pay raise — or one not eaten up by increased health premiums — those unemployed are finding it harder to get hired. “More than one in six men ages of 25 to 54, prime working years, don’t have jobs,” reported the Journal, “a total of 10.4 million.” More than two-thirds of them are labeled by government statisticians as “discouraged,” and not counted as unemployed. The number of male workers without jobs aged 25 to 54 was 6 percent in the early 1970s, 12 percent by late 2007, and 17 percent at the end of 2013. The fight to raise workers’ wages is tied into the struggle to substantially raise the minimum wage. Wages under capitalism are set from the bottom up. When the bosses are able to hold down the minimum wage, it drags down the wages of all. According to the Bureau of Labor Statistics, 3.6 million workers were paid at or below the federal minimum wage of $7.25 per hour in 2012. In 2013 dollars, today’s minimum wage is one-third less than it was in 1968. If the minimum wage rate had gone up at the same pace as productivity gains the bosses made on workers’ backs, today it would be $18.28 an hour. As social pressure mounts, President Barack Obama and other Democratic Party politicians are proposing a paltry raise in the federal minimum wage to $10.10. Puerto Rico Continued from front page ing of Puerto Rico debt to “junk” Feb. 4, rapidly followed by Moody’s. As a result, the interest owed on Puerto Rico’s $70 billion debt is increasing and Gov. Alejandro Garcia Padilla will have to come up with $940 million in payments ahead of schedule. Interest on the bonds has reached 10 percent. The debt of Puerto Rico, a U.S. colony since 1898, is greater than the value of the country’s gross annual production. Debt-service payments equate to 15 percent of the government budget. In essence, the U.S. is now keeping borrowing more just to pay off what it has already borrowed. The roughly $4.5 billion in debt service is double Puerto Rico’s annual capital works budget. That means billions leaves the island “to pay bondholders and creditors without creating a single job or contributing a dime to economic development,” notes Caribbean Business weekly in its Feb. 13 issue. Since taking over last year, Garcia Padilla has sought to “stabilize” the economy on the backs of workers. He cut pensions for government workers, reduced the size of the government workforce, raised the retirement age, raised water rates by 60 percent and increased sales and gasoline taxes. At the same time, he has offered special tax exemptions to capitalists who decide to move the island their home. “We don’t have enough personnel even to monitor the electric meters for big commercial customers,” Roberto Garcia Cooper, an electrician for the state-run electric company, said by phone from Guaynabo Feb. 18. “When people retire, the company doesn’t replace them. But the constitution says that the bondholders get paid first before anyone else.” ‘Root of problem is colonialism’ “The root of the problem is colonialism,” longtime independence leader Rafael Cancel Miranda told the Militant by phone Feb. 17. “It’s a cancer. You can’t solve it by treating the symptoms.” “U.S. imperialism wiped out our agriculture. We used to produce 75 percent of what we consumed; now we have to import 85 percent,” Cancel Miranda said. He was referring to Operation Bootstrap, a U.S.-promoted “development” plan that combined tax breaks and other incentives for U.S. bosses to expand clothing and pharmaceutical plants, drawing workers off the land. As a result, the island’s agricultural workforce fell from 36 percent in 1950 to 4.8 percent in 1980. Thousands of acres of prime farming land were left idle. Today those policies, combined with the worldwide capitalist economic crisis, have made one-third of the island’s population dependent on food stamps, used to pay for food imported from the U.S. The island’s real gross national product has declined every year since 2006 except for a 0.1 percent increase in 2012. According to the Puerto Rico Institute of Statistics, the island had seen a net loss of 54,000 people a year in 2011 and 2012. There are now more Puerto Ricans living in the United States than on the island. Nearly 320,000 homes on the island were vacant in 2012, according to the Wall Street Journal, up from 186,000 in 2005. Even as the social crisis in Puerto Rico gets worse, some bondholders see greater opportunity for speculative investment, betting that no matter how high interest rates go, Puerto Rico will pay. By U.S. law the island can’t declare bankruptcy. “I have not seen this level of enthusiasm for Puerto Rico’s paper in years,” Financial Times reporter John Dizard wrote Feb. 14. “The prospects for the issue’s success look very good … since it will be priced and sized to fly off the shelves.” To get in on the action, all you need is a minimum $50 million to invest. — LETTERS — Liked regulatory state article Thank you for that stunning article on the regulatory state, finally putting the lie to the constant assertion by the capitalist media that “Socialism=Big Government.” My concern is with the recent Boeing concession contract. The threat by the bosses to move everything somewhere else unless if they don’t get what they want is a devastating prospect for working folks. Can you please draw for readers a possible scenario in which we, the working class, win in a fight like that? Doug Kihn Los Angeles, Calif. Requests another subscription Your newspaper is the only one that I read. I do not read those of the mainstream media, because I doubt the veracity of their publications. I have always looked forward to receiving your issues. I have always received the paper without censorship. Please, may I request another subscription. A prisoner California ‘No struggle, no progress’ I initially subscribed a year ago. You offer important national as well as international news to those interested in knowing what’s taking place, especially to individuals who like myself find themselves trapped in certain unfortunate circumstances where those so-called “Correctional Officers” seem to do everything possible to deprive the incarcerated of his/her right to education, freedom of the press and intellectual progress. I always share it with other prisoners. I personally understand the huge importance of knowledge; self-respect, determination, perseverance, unity and self-worth. Where there is no struggle, there will never be any progress. A prisoner Florida The letters column is an open forum for all viewpoints on subjects of interest to working people. Please keep your letters brief. Where necessary they will be abridged. Please indicate if you prefer that your initials be used rather than your full name. — CALENDAR — GEORGIA Atlanta Reclaim Our Voice for Reproductive Justice in Georgia: Walk in My Shoes, Hear Our Voice, Tues., Feb. 25, 11:30 a.m.-1 p.m. Georgia State Building. Tel.: (404) 298-5443
ABSTRACT Urbanization is currently a major threat on biodiversity due to the direct destruction and fragmentation of natural and semi-natural habitats and also to the indirect impacts caused by urban areas beyond their limits. There is thus an urgent need to examine the current and future potential impacts of urban areas on biodiversity. Global analyses of this issue have often failed to integrate the multi-scale dimensions of urban threats on biodiversity and suffer from a lack of precise data on both socio-economic conditions and biodiversity inventories. In this study, we assess the potential impacts of current and future urbanization on high diversity sites and their associated species of five taxonomic groups across the entire French Mediterranean region. In order to do so we adapt a land-use change (LUC) model to predict future urbanization over a 20 years period. Using a 100 meter grid scale, we developed a multi-level approach based on three impacts of urban development: the direct consumption of high diversity sites, the indirect urban effects on the surrounding area over a scale of 2km and a scale of 50km. Our model predicts that 464 sites (35% of the total number of sites) will be concerned by urbanization (i.e. at least one hectare predicted to be built between 2006 and 2030). 43 sites (3.3% of the total number of sites) may lose 10% or more of their surface area to urbanization. We found that the impacts of urban area and urban growth and the biodiversity elements impacted differ among the three different pressure indicators in terms of surface area and localization of sites, number and nature of species impacted and variation of these patterns between the two dates. Mammals are the species the least threatened by urban pressure. In general, most of the sites under pressure are located in the coastal part of the study region and are of smaller surface area than average. Keywords: Biodiversity, prospective, urbanization, land-use change, Mediterranean region 1 Centre d’Ecologie Fonctionnelle et Evolutive UMR 5175, CNRS, Montpellier cedex, France 2 Ecodéveloppement UR 767, INRA, Domaine St Paul, 84914 Avignon Cedex 9, France INTRODUCTION Rapid human population growth over the last century has resulted in urban areas covering about 2% of total land surface (Grimm et al., 2000). As human populations continue to grow, major urban areas will continue to expand (Meyer and Turner, 1992). Although the concentration of people in major cities and the densification of new constructions can help to protect natural and agricultural resources elsewhere (Forman, 2008), urbanization represents a major threat to biodiversity across the world (Wilcove et al., 1998; Chapin et al., 2000; McDonald et al., 2008). Urbanization is of major concern for biodiversity conservation for several reasons. First, the intense artificialisation of habitats makes changes associated with urbanization to be among the least reversible of land-use change. Second, because urbanization is often concentrated in areas of high net primary production which are also areas with very high species richness (Balmford et al., 2001; Araujo, 2003; Vazquez and Gaston, 2006; Luck, 2007), its effects on biodiversity are much greater than randomly expected. Third, urban and suburban areas are mostly occupied by exotic species which thrive in habitats where human presence is important and where human activities have removed the native dominant species. Hence, the number of non-native species is high and the contribution of urban (and suburban) areas to the conservation of global biodiversity is very low (McKinney, 2002). Finally, urban impacts on biodiversity can extend far beyond the city limits (Luck et al., 2001; Forman, 2008). Indeed, urban areas threaten ecosystems as a result of both direct habitat conversion (Clergeau et al., 1998; McKinney, 2002) and through various indirect effects, e.g. land use change in the periphery of urban area, fragmentation of the territory by linear infrastructures associated with communication and transport among urban areas, waste generation and water pollution, and disturbances associated with recreational activities around urban areas (DeFries et al., 2007). There is thus an urgent need to pay close attention to the spatial distribution of urban areas and to predict its evolution in the future in relation to the distribution of biodiversity conservation interests. The potential impacts of urban spatial expansion on biodiversity have been studied across a diversity of scales ranging from the international and national level scale (e.g. (Theobald and Romme, 2007; Jenerette and Potere, 2010) to regional level effects, mostly associated with habitat fragmentation (Martinuzzi et al., 2007; Lawson et al., 2008; Manley et al., 2009), and impacts observed in and around particular urban centers (Jarrige, One of the recurrent difficulties is to assess the relative effects of the diversity of impacts caused by urbanization because it can range from destruction of habitats to indirect effects associated with pollution or noise caused by human proximity. Global analyses have often failed to support the multi-scale dimensions of urban threats on biodiversity and suffer from a lack of precise data on both socio-economic conditions and biodiversity inventories. Over the past decades, several models have been developed to predict and quantify future land use and land cover for ecosystem impact assessment (Irwin and Geoghegan, 2001; Veldkamp and Lambin, 2001; Parker et al., 2003; Verburg et al., 2004), mainly in land-use-change (LUC) models. LUC models aim to show how or where irreversible changes will arise in the future, in order to adapt current public policy (Lambin, 1997; Conway and Lathrop, 2005). Urbanization can be modeled through various approaches (Irwin 2010) from complex descriptions of urban expansion with many parameters describing multiple levels of land use change (Landis, 1995; Alberti, 1999; Fontaine and Rounsevell, 2009), to simplified models using a minimal set of parameters on a large scale (Batty, 1991; Fagan et al., 2001; Rouget et al., 2003). In general, most of the fine-scale modeling studies have only been implemented for a single city (e.g. (Taylor et al., 2007; Jenerette and Potere, 2010). A similar modeling framework at regional scale would allow a more precise understanding of the interactions between micro-level parameters and macro-level land use change and thus help assess the potential impacts of future urban spread on biodiversity. In this study, we assess the potential impacts of current and future urbanization on high biodiversity sites and their associated species across the entire Mediterranean region of southern France. Future urbanization is forecasted using a land use change (LUC) model at 20 years horizon with 100 meter grid cell. In order to account for a range of different urban threats, we developed a multi level approach based on three urban pressure indicators from precise urban arrangements on a local scale, to global human density impacts over a larger scale. To do so, we examined urban development and its potential impact in three ways namely the direct consumption of high diversity sites, and indirect urban effects on the surrounding area over a scale of either 2km or 50km. METHODS Study area The study region covers 59,660 km$^2$ of the Mediterranean region of southern France (Fig. 1). It represents two regional administrations: the Languedoc-Roussillon (LR) region to the west of the Rhône valley as far as the Spanish border and the Provence-Alpes-Côte d’Azur (PACA) region to the east and as far as the Italian border. These two regions have 11 administrative subdivisions (county or “départements”) and 2508 municipalities, each of which has its own local land use plan. The study region is part of one of the major World hotspots of biodiversity (Medail and Quezel, 1999; Myers et al., 2000; Shi et al., 2005), but is also one of the most transformed regions with a marked landscape diversity due to geological and climatic variability and a long history of human land-use - notably extensive agro-sylvopastoral practices and cultivation (Thompson, 2005; Blondel et al., 2010). The main landscape types which occur in this region are coastal landscapes with lagoons, marshes, cliffs and dunes, lowland garrigues often as a mosaic with cultivated areas, vast areas of vines, extensive upland limestone plateau areas, and hilly or mountainous landscapes on granite, schist or limestone in the southern tip of the Massif Central, the south-eastern Pyrenees and the pre-Alps. The Mediterranean region is currently undergoing massive coastal urbanization and infrastructure development (G. Benoit and Comeau A., 2005). The French Mediterranean region currently has the most rapidly growing human population of France (Bessy-Pietri, 2000), particularly in lowland areas close to the coast. This has entrained rapid spread of urbanization around towns and villages and coastal development associated with tourism. Data Biodiversity data As part of the national inventory of high ecological value sites (Zones Naturelles d’Intérêt Ecologique Faunistique et Floristique or ZNIEFF), a list of determinant species of conservation interest has been elaborated in each region of France and high diversity sites based on the presence of these species designated. This inventory is validated by a regional scientific council (Conseil Scientifique Régional du Patrimoine Naturel or CSRPN). We used the inventory of the two administrative regions as a basis for our study. To identify the list of determinant species, regional specialist organizations weighted and noted each species of a given taxonomic group to define their conservation interest (INPN, 2006). The main criteria used for this purpose were local rarity, quantified by the number of distinct localities where a species has been recorded in the region, and the regional responsibility, quantified in relation to the number of other regions in France where the species occurs. Additional criteria such as international, national, or regional protection status were also considered. For the purpose of this study we used taxonomic groups for which we had sufficient information on the regional distribution and abundance, namely 1040 vascular plants, 28 mammals, 20 herptiles (reptiles and amphibians), 86 birds and 16 fishes. Following the inventory of these species, 1315 high diversity sites (18.2% of the surface of the study region) were designated by the regional operators (Fig. 1). Only species reproducing on a given site were considered to be present. Site boundaries were delimitated on the basis of the distribution of determinant species and minor adjustments made to species composition based on expert consultation. Urbanisation data For the whole study area, we used four kinds of databases: - The 2008 “built-up” layer of BD TOPO®/RGE Geodatabase (IGN Institut Géographique National) which is the topographic component of French RGE (literally “Frame of reference at large scale”). This layer contains around 300 000 polygons for each administrative subdivision. We use aggregated BD TOPO® data for undifferentiated building. We considered a grid cell as built-up if at least 2.5% of its surface intersected with built-up polygon. - The Land Use Plan Geodatabase was obtained from the two nationally administered regional environmental agencies (Direction Régionale de l’Environnement, de l’Aménagement et du Logement), which are in charge of the legal control of town and country planning policy. They have a digitalized land-use plan (LUP) of each municipality which are harmonized for comparative use. The resulting regional geodatabase is called a “Generalized LUP” and is updated every two years. For the purpose of this study, we reclassified LUP’s into three types of zoning, indexed hereafter by $z$: high urban density zoning (URB), future Urban/Activities zoning (FURB), isolated houses with agricultural/natural zoning (NONBDEV). Since LUPs are not made for most rural and uninhabited municipalities, we used the Corine Land Cover Database (CLC 2006) to define three zones similar to those defined above (this represents 3% of the regional population and 27% of the total number of municipalities). - In order to tune some parameters of the simulation model (see section 3.2), we used a cadastral vector database available for the PACA region only. This database contains two important pieces of information. First, it denotes parcel boundaries (3 millions polygons) and house delimitation (1.6 millions polygons; “Plan Cadastral Informatisé”). Second, it provides house and owner characteristics (fiscal database commonly called MAJIC II) that allows to identify for each residential house the date of construction (Geniaux et al., 2009). - At municipal level, we used census data of population, housing, activities and employment (INSEE). Following (Geniaux et al., 2005) and (Geniaux, 2010), we built a classification of municipalities useful for statistical descriptive analysis of urban density dynamics and LUP policies. This classification crossed a municipal total houses classification with a municipal surrounding population in the 50 km neighborhoods classification and resulted in 11 effective levels indexed hereafter by $c^3$. Information of these four databases has been reported on a 100 meter grid cell with 6 million of cells for the two regions. Urban model Our model aims to forecast land use change (LUC) over a 20 years horizon using the 100 meter grid cell. The global design of the simulation model is illustrated in Fig. 2. The core of the model is based on the probability to be built for a non-already built cell. Then, in order to locate the effective new built cells, local probability thresholds are calculated for each municipality based on two external information items. The first one is a forecast of total housings number on municipal levels in next 20 years. The other one is an estimate of the proportion of housings for each land use plan zone $z$ in each municipality class $c$ based on three local urban parameters, coming from a statistical analysis of 1990-1995 building dynamics at parcel level for the PACA region. Our model distinguishes itself from previous works on LUC model by using information on land use plan for more than 1500 municipalities. As noted by (Irwin, 2010), almost all LUC models do not use geographic data on land use plan and are based on a theoretical framework in which land market and land use are not regulated by public institutions. Our model integrates vectorized geographic information on public regulation in its estimation of land use change probability as well as for determining the number of houses of future converted parcel. --- 3 Municipal total houses was classified into 4 levels (0-200, 200-2000, 2000-10000, >10000). Surrounding population of each municipality was estimated using a kernel smoother function of distance between municipalities and classified in 4 levels using quartiles. $\sum_j e^{-distance_{ij}/10}^2 \forall j \text{ with } distance_{ij} < 50km$ Probability of land use conversion Our model estimates for each cell $g$ with no house ($Y_g = 0$) the probability to be developed for residential use ($Y_g = 1$) knowing a set of covariable $X$ and the type of LUP zone $z$ of each cell $g$. In order to estimate such probability in a spatial and large database context, we used a semi-parametric spatial generalized additive logit model (Hastie and Tibshirani, 1993; Wood, 2006; Geniaux and Napoleone, 2008) to specify a parametric GLM probit$^4$. Non linear covariates $X^2_g$ has been split into two or three linear parts and integrated in a full parametric GLM logit that can be expressed as: $$P(Y_g = 1\|X, z) = \beta_0 + \beta_1clc90 + \beta_2sl + \beta_3zone + \beta_4nsd + \beta_5lpa$$ $$+ \beta_6duc1 + \beta_7duc2 + \beta_8dsr1 + \beta_9dsr2 + \beta_{10}pr1 + \beta_{11}pr2 + \beta_{12}dmr1$$ (1) $$+ \beta_{13}dmr2 + \beta_{14}area + \beta_{15}apr + \beta_{16}WYP + \epsilon_g$$ Table 1 describes labels and descriptive statistics of each covariate of final model. Due to the very large number of grid cells, model (1) has been estimated separately in each of the 11 administrative sub-regions (French county or “department”) of the studied area (around 500.000 cells in each county). In order to account for the heterogeneity of urbanization process and density between types of zones $z$, model (1) has been estimated separately for each type of zoning $z$ and for each county. Finally, we obtained for each cell $g$ the probability to be developed before 2030 noted $\hat{P}(Y_g = 1\|X, z)$. From probability to house building To convert probability estimates into effective land changes, we used local probability thresholds depending on constraints on two scales: on a municipality scale, the total number of housings and on the LUP zones scale, the housing density. These two constraints based on information external to the model (1) are constructed as follows: First, we used a municipal forecast of the total number of housings for 2030, noted $HD_i$. Total number of municipal housings can be mainly explained by sequences of past number of housings (we used the four preceding census), by the county, and by inhabitants and --- $^4$ A Generalized Additive Model (Hastie and Tibshirani 1990) is an extension of the Generalized Linear Model (GLM) in which the linear predictor is specified as the sum of smooth functions of regressors. We obtain a geoadditive logit model by integrating, in a smoothing function, longitude $y$ and latitude $x$, and by using a logistic distribution. It can be expressed it as: $$P(Y_g = 1\|X1, X2, x, y, z) = \beta X1_g + \sum_m s_m(X2_g) + s(x_g, y_g) + \epsilon_g$$ (2) The GAM logit model (2) has been used i) to identify non linearity in continuous covariables, in particular distance and residential density covariates and ii) to obtain a final specified model that flatten as possible the spatial smoothed terms. This specification process has been done using various subsample of 100 000 cells randomly chosen between the 6 millions of cells of the study area. employments in the surrounding 50 km. $HD_i$ is estimated with a least square percentage error models (Tofallis, 2009). Moreover, we used strata in order to have different coefficients values for 7 types of municipalities according to the level of population (7 levels of number of housing of the preceding census noted $CHD_{i,t-1,k}$: $$ HD_{t,i} = \beta_0 + \beta_1 \text{County} + \sum_{k=1}^{7} \sum_{s=1}^{4} \alpha_{k,s} CHD_{i,t-1,k} \times [HD_{i,t-s} + spop_{t,i} + slab_{t,i}] + \epsilon_i $$ Equation (3) is estimated with a weighted least square in which the weights are equal to the inverse of the lagged endogenous $1/HD_{t-1,i}$ that correspond to a Least Squares Percentage Regression (LSPR) that minimize the square of the relative errors (Tofallis, 2009). This type of regression is necessary to avoid that large municipalities may have too much influence on the results and lead to high relative errors for small municipalities. Coefficient estimates of (2) allow predicting $HD_i$ at $t+s$. In the next step, $\bar{P}(Y_g = 1\|X)$ is the local probability threshold so that the number of building realization is equal to $\tilde{H}D_{i,t+s}$. Second, In order to identify on an infra-municipal level the precise threshold for realization of land use change probability for each type of land use plan zones, we used statistics on housing at parcel scale by type of zoning $z$ and by type of municipality $c$ for recently built houses (after 1990) in PACA region for which the date of construction is known. - $\alpha_{1c}$ is the proportion, for each type of municipality $c$, of new housings after 1990 that have been built in previously unbuilt parcels. It allows estimating the proportion of future housing of the municipality that will be located in previously unbuilt parcels. We obtained: $$ \tilde{H}D_{i,t+s} = \alpha_{1c} \times \hat{H}D_{i,t+s} \quad \text{with } i \subset c $$ - $\alpha_{2cz}$ is the proportion of housings built after 1990 by type of LUP zones $z$ for each type of municipality $c$. It allows distributing $\tilde{H}D_{i,t+s}$ between various LUP zone types of municipality $i$ depending on the area of the LUP zone $S_{i,z}$. Thus: $$ \tilde{H}D_{i,z,t+s} = \alpha_{2cz} \times \frac{S_{i,z}}{\sum_z S_{i,z}} \tilde{H}D_{i,t+s} $$ - $\alpha_{3cz}$ is the number of housings by hectare by LUP zone $z$ and by type of municipality $c$. The final number of new houses for the unbuilt cells $g$ which have a conversion probability higher than the local threshold noted $H_{g(c,z)}$ is given by: $$ H_g(c,z) = \alpha_{3cz} \quad \text{if} \quad \hat{P}(Y_g = 1\|X) > \bar{P}(Y_g = 1\|X) $$ Moreover, $\forall g \quad \tilde{P}(Y_g = 1\|X)$ must verify the two following conditions: $$\forall i \quad \sum_{g \subset i} H_g(c, z) \leq \tilde{H}D_{i,t+s}$$ $$\forall z \quad \sum_{g \subset z \subset i} H_g(c, z) \leq \tilde{H}D_{i,z,t+s}$$ Data analysis Sites considered as threatened We assessed three urban pressure indicators at the site level. Pressure 1 ($P1$) corresponds to the predictable consumption for housing inside each site. $P1$ is calculated only for the year 2030 and is equal for each site to the percentage that could be newly built in 2030. A site is considered threatened if $P1 > 10\%$. Pressure 2 ($P2$) corresponds to the smoothed impact of urban area at a local scale in the nearby neighborhood of each site (2km). For each cell $g$, we calculated $p2$ as the sum of the number of built-up cells in a 2 km buffer zone weighted by their distance to the cell in question (weights are estimated using a Gaussian kernel smoother with a bandwidth $h=0.8$ km). $P2$ is equal to the mean value of $p2$ for each site. A site was considered as threatened if $P2 > 85\%$'s percentile of all sites in 2008. Pressure 3 ($P3$) corresponds to the smoothed impact of urban area at a global scale in the large neighborhood of each site. First we calculated $p3$ as the number of built cells $g$ in each square of 1000x1000 meters. For each site we calculated $P3$ as the mean value of $p3$ in a 50 km buffer zone weighted by the distance between the 1000 meters square and site centroid (weight are estimated using a Gaussian kernel smoother with a bandwidth $h=25$ km). Mean values were preferred to totals because they limit border effects due to the large scale nature of this indicator. A site was considered as threatened if $P3 > 85\%$'s percentile of all sites in 2008. For each pressure indicator, we calculated the number and mean and total percentage area of threatened sites, and the mean number of species per threatened site. An important methodological point of this study is the use of a smoothed function for pressure indicators 2 and 3. Although several studies have already investigated the indirect --- 5 We used $\sum_j e^{(distance_{ij}/h)^2}$ for all $j$ for which distance between $i$ and $j$ is less than the buffer distance; $h$ is the bandwidth. impact of human presence on biodiversity surrogates using a buffer zone (Harcourt et al., 2001; Vazquez and Gaston, 2006; Luck, 2007), our method allows us to account for a pressure which intuitively decreases in relation to distance from urbanized cells. Assessing threat levels for species For each taxonomic group, we investigated the number of threatened species according to the three urban pressures. A species was considered as threatened if more than 30% of its range (number of sites) is under pressure. Fish species are not considered for the P1 indicator since they are present in watercourses which are never considered as built-up. In order to assess the relationship between urban impacts and species rarity, we calculated the number of sites of the species (i.e. the range of the species) between those considered as threatened and the others. In order to assess the impact of urbanization beyond to the species range threshold, we also calculated for each taxonomic group the mean percentage of threatened sites for each species. Finally we mapped threatened sites and analyzed the number of sites and species that incur several pressure levels. RESULTS The LSPR model (3) for forecasting municipal population in ten years provides a 0.9954 adjusted R2 (detailed results of this model are given at URL [http://www.cefe.cnrs.fr/ecopop/pdf/Vimal/Urbanisation_Model_Results.pdf](http://www.cefe.cnrs.fr/ecopop/pdf/Vimal/Urbanisation_Model_Results.pdf)). Table 2 gives an overview of the logit model results by type of zoning $z$ (URB, FURB, NONDEV) and for the 11 counties (see also the URL above for detailed results of the 33 logit models). We present the size of sample, the percentage of thru one and thru zero, and the value and significance of three coefficients (the closed neighboring urban density $\beta_{WYP}$, the distance to small road $\beta_{dsr}$, the dummy “dominant land cover equal meadow in 1990” $\beta_{CLC90=23}$). Results are particularly stable with no sign reversal for the three coefficients (others coefficients present the same regularity). The only exception is the effect of the dominant Corine Land Cover (CLC90) that can change among counties. For example, the land cover type meadow ($\beta_{CLC90=23}$) is reversed for the Lozère (48) county which is the less inhabited county of France and where meadows are the almost ever dominant land cover. The effect of closed neighboring urban density ($\beta_{WYP}$) is very stable, particularly for zoning URB and FURB. This coefficient decreases generally for most of the inhabited counties (counties 13, 06, 83, 34 and 84 with more than 150 inhabitants/km2). We can note that the model fits better the built cell for URB (around 95 % of True one) and FURB zoning (around 75 % of True one) than the unbuilt cell. For NONBDEV zoning, it becomes naturally easier to predict unbuilt cells (around 98% of True zero), but with only around 30% of True one. We present and comment in Table 3 the urban model results in detail only for the Vaucluse (84) county and for NONBDEV zoning. The main driving factors influencing the probability of urbanization (Table 3) are location (in suburbs of greatest cities), infrastructure density (road density within the cell) and housing density in vicinity (frame of built area in contiguous cells WPy). More precisely, the effects which reduce the probability of urbanization are slope $(s/l=3)$ and enforced conservation policy $(lpa=Y)$. The covariates which have the most positive effect on the probability of urbanization concern the ratio of road inside the cell $<10\%$ $(prI)$, the ratio of built surface in contiguous cells $(WPy)$ and to a lesser degree the location in the second commuter belt. In 2008, 7.5% of the territory of the study was urbanized. Our model predicts that additional 1.3% will be urbanized for house building by 2030. In terms of Corine Land Cover classes, 30% of new urban areas will occur in already built-up areas, 57% on agricultural land (notably in heterogeneous agricultural zone and permanent culture) and 12% on natural and semi natural areas (principally in forest and open environment). Within the delimited sites, there is an average of 8.5 determinant species per site. The mean surface area of sites is about 823 hectares. The mean number of sites per species is about 7.5 for plants, 19.6 for mammals, 21.8 for birds, 18.6 for fishes, 26.8 for herptiles. The frequency distribution of sites in relation with different pressures in 2030 varies among the three pressure indicators (Fig. 3a). According to pressure indicator 3, the pressure is more widely distributed among the sites. The frequency distribution of species in relation with the percentage of their range which is threatened also varies among the three pressure indicators (Fig. 3b). The high number of species which have 100% of their range threatened is probably due to the rare species. Indeed, a species present in only one site is threatened either at 100% either at 0% of it range. However, note that, according to the pressure 1, 10 species are predicted to have 100% of their range threatened in 2030. Our model predicts that 3512 hectares (\textit{i.e.} number of grid cells which will be built) of high diversity sites will be impacted by urbanization by 2030. Thus, 464 sites (35% of the total number of sites) will have at least one hectare urbanized between 2006 and 2030. The mean surface area of these sites is about 1255 ha which is significantly higher than the mean surface area of all sites (Student $t = 5.6571, p < 0.001$). However, only 43 sites will have more than 10% of their surface area urbanized in 2030 (Table 4). The surface area of these sites is low (a mean of 88 ha) and only 0.4% of the total area of high diversity sites is concerned. Only 36 plant species, one bird and one herptile species are threatened by direct urbanization. Given the significant low value of the mean number of sites per species for plants (4.7 sites), the species concerned are rarer than the species which are not threatened (i.e. their mean number of sites is lower). Mammals are the least impacted in terms of the mean percentage of threatened sites per species. According to pressure indicator 2, 198 sites with a mean surface area of 219 ha, representing 4% of the total surface area of sites of conservation interest, are currently threatened by urbanization (Table 3). For each taxonomic group, the species concerned are not rarer than the others. Mammal and herptile species are the least impacted in terms of the mean percentage of threatened sites per species. The most impacted are fish species. In 2030, our model predicts an increase in 31% of the number of threatened sites (265 sites). The mean surface area of threatened sites increases from 178 to 213 ha, hence, the surface area of newly threatened sites will be higher in 2030. Based on our thresholds, approximately half (43.8%) of all fish species will be threatened. The fact that the mean number of sites of the threatened species increases for bird species means that the species newly impacted are more widely distributed than those in 2008. In contrast, for herptiles newly impacted species are rarer than those impacted in 2008. According to pressure indicator 3, 198 sites with a mean surface area of 400 ha, are threatened in 2008. This represents 7.3 % of the total surface of sites of high conservation interest. No mammal species are threatened and threatened species are not rarer than species unthreatened except for herptile species. In 2030, our model predicts an increase in 48% of the number of threatened sites (293 sites). The mean surface areas of these sites increases from 400 to 546 ha, hence, the surface area of newly threatened sites will be higher in 2030. Based on our thresholds, approximately half (47.7%) of the fish species will be threatened. The mean number of sites of threatened species is similar to that in 2008, except for herptile species which show an increase from 5.3 sites per species in 2008 to 30.1 sites per species in 2030. Mammal species are the least impacted in term of the mean percentage of threatened sites per species. Birds and herptiles have the highest percentage of threatened sites. For pressure indicators 1 and 3 at the two dates, the mean number of species per threatened site is not significantly different from the mean number of species of the other sites. It is significantly lower for the pressure 2 at the two dates (7.2 species per site). In 2030, 38 sites of high conservation interest will be threatened by urbanization according to both P1 and P2 (i.e. 83% of the sites threatened under P1 are also threatened under P2). 125 sites will be threatened simultaneously by pressure 2 and 3, and 29 sites will be threatened by pressure 1 and 3. 28 sites are common to all three pressure indicators. 32 plant species and 1 bird species are considered as threatened for all three pressure indicators, while 173 plant species, 10 bird species, 3 fish species and 3 herptile species are considered as threatened for at least two pressure indicators. Overall, the majority of sites under pressure for each pressure indicator are situated in the coastal part of the region (Fig.4). There are nonetheless some differences in terms of localization of the sites among the three pressure indicators. For P1 and P2, some threatened sites are localized in mountain areas (in the north of the study region) while for P3, threatened sites are aggregated around urban poles in the lowland plains, near the coast and in the Rhône valley. New threatened sites in 2030 occur close to those already concerned in 2008 for P3 while they are more dispersed for P2. DISCUSSION Our analysis provides a mean of assessing the direct and indirect threats of urbanization on biodiversity at a regional scale. To our knowledge, this is the first study to do so for such large territory and at a so fine grained scale. The three pressure indicators are highly complementary and range from precise quantification of land consumption to the pressure associated with human presence in a 50 km radius. Our study illustrates a diversity of potential impacts of urban spread on sites of high conservation interest and their associated species in the French Mediterranean region of southern France. For future threats, our model combines demographic forecast at municipal level, and spatial forecast of new built location at infra-municipal level. The main improvement of our model is the infra-municipal spatial forecast that allows to take into account the location of new built in NONBDEV zoning that may have the most influential threat inside ZNIEFF or in closed neighboring of ZNIEFF (pressure 1 and 2). Even if LUP changes are mainly driven by land market and by land owner anticipation on policy change (McMillen and McDonald, 1991), the evolution of LUP is generally made by changing rules on a set of cells. In general, contiguous zones with numerous cells with high probability of change constitute the chosen sets. Isolated cells with high probability will likely stay unbuilt because the cells will stay in NONBDEV zoning in the mid-term. At this stage, model (1) takes this phenomenon into account only partially. The spatial dependence of the endogenous zoning, i.e. the probability to be built, would have beneficiate of a Spatial Autoregressive Regression (SAR) logit model that is unfortunately unusable with such large dataset. An extension of the Klier and McMillen (2008) methodology using generalized GMM for such latent class model may be useful for such rich spatial data context if combined with sparse matrix computation method. Here the identification of the drivers of urban spread was out of the scope of this paper. A further study would allow to assess precisely which are the drivers of urban impact on high diversity sites. In terms of the numbers of threatened sites and species as well as the area of sites and their localization, the potential impacts of urbanization differ among the three pressure indicators. Most of the threatened sites of high conservation interest are of significantly smaller surface area than the other sites and occur primarily in the coastal region of the study area and the major Rhône river valley. Mammals are the least threatened species by urban pressure. This can be explained by their association with forest habitat in the study region (which is less affected by urbanization than open habitats and agricultural areas in our model) and are present in sites of generally larger surface area than average (Vimal et al.). In this study, we presented results as mean values at the site level and using thresholds in order to identify sites and species under pressure. However, we recommend that particular attention is paid to all levels of threat, even for sites impacted for only one hectare and especially for pressure indicator 1. A population of a particular species will rarely systematically cover an entire site and could be destroyed or become threatened by a localized urban impact in large site. Furthermore, our analysis does not account for the sensibility of the species considered to urbanization threat which is likely to vary among and within taxonomic groups. Direct consumption of sites through urban construction is certainly the greatest threat to biodiversity because it leads to an irreversible destruction of habitats and its associated species. In terms of direct destruction, our analysis illustrates that future urbanization could impact as much as 35% of the total number of sites (3512 hectares) of high conservation interest in our study region. However, less than 50 (3.2%) sites with very small surface area will have more than 10% of their surface area destroyed. The fact that species impacted in more than 30% of sites where they occur are rare plants is not surprising. Plants typically are species of small patch ecosystems with highly localized distributions and high levels of species turnover among sites. Even if the French law indicates that the ZNIEFF inventory of sites of high conservation interest should be taken into account before allowing an area to be urbanized, our study illustrates the high sensibility to urban pressure and direct habitat destruction of several sites. Pressure indicator 2 refers to threats caused by immediate proximity of buildings. This pressure indicator thus depends on the local dynamics and spatial configuration of urbanization and some sites can be under pressure even though they may occur close to only small villages or dispersed buildings. This explains why there is no relation between the localization of the sites under pressure in 2008 and in 2030. The fact that fish are the most endangered species indicates that rivers (i.e. linear habitat configurations) will be increasingly threatened by adjacent urbanization. Indeed, a narrow site has more chance to be under pressure than a large shaped site. An increase in 33% of the number of threatened sites in 2030 shows the potential high level of pressure directly around the sites. This pressure illustrates the need to consider one high diversity site in its neighborhood environment. Some authors have already discussed the external reserves threats (DeFries et al., 2007) and suggested the critical importance of creating buffer zones around them. Pressure indicator 3 is less sensitive to the local dynamics of urbanization in that it provides information on a more global threat, due to urbanization in a large area of 50 km around the sites. The absolute number of buildings in a global area is likely to be more important than their precise local arrangement. A site located 200 meters away from a small village is not necessarily more threatened than a site located 20 km from a town of 50 000 habitants. Thus, patterns of variation between the two dates are not the same for P2 and P3. P3 is naturally less dispersed than P2 and stays localized in the same region at the two dates. The most impacted sites are those near existing areas of intense urbanization, i.e. in the lowland plains near the coast and in the Rhone valley. This explains the more important variation rates in terms of number of sites and species endangered compared to P2. Threatened sites in 2008 become more affected and spatially aggregated with additionally threatened sites with probably similar species community in 2030. This can also justify why birds represent the taxonomic group that is the most impacted in terms of number of species and number of sites per species. Indeed, in this region, many of the bird species of conservation interest occur in wetlands along the coast where urban development is currently higher and will thus be the most affected by future urbanization. Finally, the large-scale spatial effect of this pressure also explains the bigger surface area of sites. Indeed, within a 50 km radius, the size of the site is less important in determining the level of impact. At such scale, the pressure indicator refers to a wide range of indirect urbanization impacts caused by road traffic, water and air pollution and are therefore really difficult to predict and to limit. Special attention must be paid site per site in order to assess the potential threat in such sites. Beyond the insights they provide into threat levels association with direct and indirect urban impacts on biodiversity, our use of pressure indicators has important implications for setting objective targets and for implementing conservation strategies (Margules and Pressey, 2000; Myers et al., 2000; Pressey and Cowling, 2001). Here, a site based approach would recommend paying particular attention to sites with more than one pressure as a cumulative effect. We showed that in 2030, 192 sites will undergo at least two pressures, and 29 sites will undergo all three pressures. Species based information can also be useful for prioritization, since more attention should be paid to threatened species for which the region has a high responsibility; the French distribution of several plant species is for example limited to a small number of sites in the study region (Gauthier et al., 2010). Particular attention must be given in order to assess the conservation interest of the 13 plants species predicted to be endangered by 2030 according to the three pressures. LITERATURE CITED Alberti M., 1999. Modeling the urban ecosystem: a conceptual framework. Environment and Planning B-Planning & Design 26, 4, 605-630. Araujo M.B., 2003. The coincidence of people and biodiversity in Europe. Global Ecology and Biogeography 12, 1, 5-12. Balmford A., Moore J.L., Brooks T., Burgess N., Hansen L.A., Williams P. and Rahbek C., 2001. 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Operationalization of meaningful human control for military AI A way forward Authors Pieter Elands, Marlijn Heijnen, Peter Werkhoven February 2023 Position paper for the REAIM 2023 summit Introduction The rapid rise of Artificial Intelligence (AI) has fuelled the development and use of intelligent and autonomous systems in the military domain. As the capabilities of AI increase, the opportunities to do parts of human work and augment human cognition will increase too. Potential benefits are the advancement of the efficiency, effectiveness and safety of the operations of armed forces. However, serious downsides of AI-deployment can appear that prove to be hard to predict or anticipate. Keeping the human meaningfully in control of this wicked problem of balancing the up- and downsides of AI-development and deployment entails three challenges. First, the responsibility gap must be addressed at the levels of governance, design, development and operation (i.e., the moral culpability, moral and public accountability, and active responsibility). Second, AI’s objectives and behaviours must be well aligned with the values of the stakeholders at all of these levels. Third, the dynamic situation ('situatedness') influences the AI and human performance, and relevance of the values at stake. To date, there is no international consensus on the definition of meaningful human control (MHC) (AIW/CAVV, 2021)$^1$ and how to address the responsibility gap, value alignment and situatedness in the development and deployment of AI. There is agreement on guiding principles, such as formulated by the UN Group of Governmental Experts$^2$ and NATO$^3$, and there are analytical frameworks to identify the problems. However, a comprehensive prescriptive approach is lacking for building and implementing AI-technology in such a way that it is under meaningful human control, during its complete lifecycle. In this short position paper we present such an approach, operationalizing MHC with a continuous ‘creation-feedback loop’ of developing, controlling, evaluating and adjusting human-AI systems at the level of governance, design, development and operation, the so-called (multi-level) Socio-Technological Feedback Loop (STFL). The STFL can be widely used for responsibly employing AI-systems, but will be illustrated here for high-risk military applications, in which high-risk refers to the risk of unintentional harm. The outcome of the STFL is situationally dependent, that is, it is affected by the specific AI-system deployed and the specific context of the governance, design, configuration and operation. For the main part, the examples of this paper centre on the operation level to illustrate the proposed methodology, while possible governance, design and configuration decision processes, and the corresponding evaluation, feedback and adjustment processes are less worked out. For many situations the mission may be best achieved with ‘human-in-the-loop’ solutions. But the STFL does not exclude ‘human-before-the-loop’ solutions for situations for which MHC via ‘human-in-the-loop’ is not realistic or impossible (e.g. defence against saturation attacks). In that case ‘value alignment’ and ‘responsibility allocation’ can be reliably achieved ‘before-the-loop’ using machine interpretable moral models. The use of moral models for the AI-system can also serve as a decision support tool for ‘humans-in-the-loop’. It is important to note that the STFL yields promising outcomes, but is still heavily under research. --- $^1$ AIW/CAVV advice 2021 and cabinet response 2022: [https://www.adviseroodinternationaalrevaagstukken.nl/documenten/publicaties/2021/12/03/autonome-wapensystemen](https://www.adviseroodinternationaalrevaagstukken.nl/documenten/publicaties/2021/12/03/autonome-wapensystemen) $^2$ Guiding Principles affirmed by the Group of Governmental Experts on Emerging Technologies in the Area of Lethal Autonomous Weapons Systems: [https://www.ccdoe.org/uploads/2020/02/UN-191213_CCW-MSP-Final-report-Annex-III_Guiding-Principles-affirmed-by-GGE.pdf](https://www.ccdoe.org/uploads/2020/02/UN-191213_CCW-MSP-Final-report-Annex-III_Guiding-Principles-affirmed-by-GGE.pdf) $^3$ NATO Principles of Responsible Use: [https://www.nato.int/docu/review/articles/2021/10/25/on-artificial-intelligence-strategy-for-nato/index.html](https://www.nato.int/docu/review/articles/2021/10/25/on-artificial-intelligence-strategy-for-nato/index.html) The Human-AI system The system to be developed is by definition a collaborative human-AI system with ‘system objectives’, the objectives to be achieved in its mission. To act effectively in such a ‘human-AI’ system the AI-system must first have an objective function consistent with the human-AI system objectives. Second, it needs a certain knowledge of the world it operates in (a world model) to be able to reason about the effects of its actions and (socially) interact with humans. Depending on the context and risk of harm of operation, the objective function and world model can include legal and ethical aspects and principles. It is important however, to realize that a world model and a moral model are by definition approximations of reality and that their functionality is situationally dependent. The functioning of humans, AI-systems and the human-AI system as a whole during operation is often described using the OODA (Observe-Orient-Decide-Act) loop. Socio-Technological Feedback Loop The Socio-Technological Feedback Loop (STFL) is a methodology to 1) identify the relevant ethical, legal and societal aspects the behaviour of the human-AI system should adhere to, and 2) ensure that the human-AI system operates according to those aspects. There is no single solution that achieves both in all possible applications of AI-technologies. Instead of aiming for such a solution, the STFL is a methodology; a set of methods to identify and operationalize the relevant ethical (legal and societal) aspects (given the mission goals) to establish meaningful human control of a specific AI-system in a specific context. Other known approaches such as Value Sensitive Design$^4$, ELSAI, and Responsible Research and Innovation$^5$ share important aspects with the STFL such as stakeholder involvement and multidisciplinary design. The STFL methodology differs from these, as it incorporates such approaches and places them in a continuous process of improvement. As such, it connects these approaches with each other. The STFL as illustrated in Figure 1, is a continuous process and forms nested loops with different timescales: the governance (or development) loop, the design loop, the configuration loop, and the operation loop. Each larger feedback loop governs its smaller counter-parts. For example, the governance loop dictates the design process (i.e., guiding principles signifying what should be incorporated into the design), whereas the design process dictates what can be configured (i.e., which behavioural constraints are available) and how the human-AI system should operate (e.g., as supervisory control). All loops include verification and validation. Solutions to establish meaningful human control must be found within these loops. At the start of a new mission, it may be necessary to go through one or more loops again, to obtain the best possible (and approved)$^6$ moral behaviour of the human-AI system for that specific mission. The STFL addresses the whole lifecycle of that system; the resulting system behaviour is to be evaluated, verified, validated and, when needed, refined regularly. Changing ethics in society also require regular execution of the governance loop, and possibly its inner loops. Furthermore, new or unforeseen contexts of operation may require adjustments in the design, configuration and operation of the human-AI system. Although these loops have different stakeholders, they are highly intertwined, and relevant stakeholders must be involved throughout the process. --- $^4$ John R. Boyd, Destruction and Creation, US Army Command and General Staff College, 3 September 1976. $^5$ Friedman, B. (1996). Value-sensitive design, Interactions, 3(6), 16-22. $^6$ Schomberg, R. von (2011). 'Introduction', In: R. Von Schomberg (ed.), Towards Responsible Research and Innovation in the Information and Communication Technologies and Security Technologies Fields. European Union Publications Office p. 7–15. $^7$ Current practice foresees in a combination of setting Rules-of-Engagement (by the legislator) and review of compliance with law by legal advisors. Figure 1: An illustration of Socio-Technological Feedback Loop. The governance loop is a continuous process of arriving at relevant principles, guidelines, policy, laws and similar dictating aspects (e.g., international debate on autonomous weapons). The design loop (e.g., control paradigm of the ‘human-AI’ system and AI-system based on operational, technical and ethical/legal considerations). In the configuration (or development) loop, the human-AI system is implemented according to the design specifications (allowing to reiterate the design process if requirements give too much room for interpretation). In the operation loop, the human-AI system is applied in the operational context it was designed and developed for (feedback from the operation loop can start new configuration, design and governance loops). Whereas Figure 1 illustrates the (nested) loops of the STFL, Figure 2 illustrates its (iterative) phasing when put into practice, specifically for the configuration (development) loop. If specified by the previous design loop (not illustrated in Figure 2), it includes the selection of a harm model. The figure illustrates how the STFL methodology can structure concrete methods into a responsible and practical process, including validation. The iterative improvement loop is part of the entire lifecycle. The STFL starts with the formation of a stakeholder team, with all relevant stakeholder categories at the table and with all stakeholders having a mandate to decide. Examples of stakeholders involved include legal experts, legislators, ethicists, military users, system engineers, AI developers, and NGO’s. Some formal entity (likely the government) has to decide which stakeholders must be at the table. The team of stakeholders is given the case of a specific human-AI based system to be used in a specific context. The first task for the team is to assess all potential risks of unintentional harm, caused by the (human-AI) system, operating in that specific context. Next, the team has to define the mission goals and applicable values (step #1 in Figure 2). The team also has to ensure that all these elements are included in the systems’ world model. It is as yet unusual for present military operations, to specify these values, as it requires to make these values explicit in relation to achieving the mission goals, to satisfy proportionality and subsidiarity requirements. Currently only specific constraints, such as Rules of Engagement (ROE) are specified. We see this as an explicit responsibility of the legislator. The next step for the team, indicated as step #2 in Figure 2, is the decision if and what type of ‘harm model’ or ‘moral model’ is used. A harm model (or ‘method’) is an (approximate) representation of the set of values and goals and may serve as an instruction to the (human-machine) system. For relatively predictable systems in bound contexts, relatively ‘straightforward’ methods, such as a set of rules, may suffice; the Goalkeeper Close-In Weapon System in use with the Royal Netherlands Navy may be considered as an example of this. Other situations require a more complex method, such as methods aimed at optimizing human-AI interaction, such as value-based design and usability engineering, especially suitable for complex situations, which do not deviate too much from the situation which the AI was designed for. A trade-off for high-risk situations (complex, time-critical) – between the risk of incomplete ethical value-alignment and the risk of harm caused by not deploying AI-systems – may result in ‘human-before-the-loop’ deployment of the AI-system. In this case, ethical values must be maximally explicitized through a (mathematical) ‘harm model’. A substantial amount of research is still required to successfully achieve operationalization in case of complex systems in complex situations, as the level of risk and the complexity of the context determine the complexity of the harm model as an outcome of the STFL. Of crucial importance is also the phase of verification and validation, see Figure 2, to assess whether or not the selected approach is able to adequately deal with a large number of situations, in terms of keeping unintentional harm below an acceptable level, as determined by the shared objectives and values of the human-AI system. In this phase, it is also assessed whether the system correctly interprets the world based on its observations, which can be challenging, and whether the AI-system provides the best possible solutions. If this is the case, the system may be declared fit for initial deployment by the team for the specified mission, keeping in mind that to serve the entire lifecycle well, the STFL has to be continuously iterated. Closing remarks - There is not yet an institutionalized body to assess if and when a stakeholder team is an adequate representation of all relevant stakeholders. - The advantage of the STFL is that goals and values are made explicit before the actual mission, not delegating the full responsibility for this to the executing team. Example in an operational setting The example below illustrates the functioning of a human-AI system. The application context dictated a human-before-the-loop control paradigm as was determined in the design process. The AI system itself has an advanced model of moral, ethical and legal aspects integrated into its objective and an equally advanced supporting model of the world. This was decided upon through validated methods in the design phase and implemented and tested in the configuration (development) phase. This example depicts how the STFL methodology could achieve responsible application of military AI in the future as research towards it continues. Scenario: A military compound operated by UN military in a country with civil war, suddenly notices a flow of inhabitants from the neighbouring village moving towards the compound, still at some distance. They are seeking shelter from insurgents, harassing the village. Meanwhile, the anti-drone radar of the compound signals dozens of small drones, armed with grenades, heading directly for the compound. The commander gives orders to start operating the counter-drone system. She has to take care not to attack the drones flying above the refugees; they could be injured or killed by exploding grenades. The commander launches a drone to have a real-time picture of the situation; this way she is able to only counter the drones which do not form a risk to the refugees. Here the prime risks are the unintentional injuring or killing of refugees, the risk of people in the compound getting hit and the risk of damage to the infrastructure. The latter risks are considered as minor, since the compound has armoured buildings where people can take shelter. The challenge for the commander is to maximize the countering of drones while avoiding collateral damage. Despite the situation sometimes being hectic, the outcome is satisfactory. The STFL methodology requires these values and goals to be made explicit in the design loop. Suddenly the image from the drone disappears, the commander cannot locate the positions of the refugees any more. The commander has three options: (1) continue to counter the drones and risk casualties among the refugees, (2) cease fire and allow the drones to attack the compound, and (3) switch the counter-drone system, which still can receive information from the drone, to fully automatic. The counter-drone system has been designed (governance loop and design loop of STFL, see Figure 2) to not attack drones flying above people, but it is less accurate than a skilled human operator. Option 1 is unattractive, the risk of civilians getting killed must be avoided. The risk of casualties and damage to the compound will increase in option 2, while the risk of casualties among the refugees increases if option 3 is chosen. However, soon the first refugees will arrive at the compound, which implies that option 2 will cause an increasing risk for the refugees, who cannot find immediate shelter. In the STFL approach, the weighing of options is a continuous process, and may take place in all loops. The commander decides to put the counter-drone system on fully automatic (configuration loop and operation loop in STFL, see Figure 2) and gives orders to help the refugees find shelter. For a while, this works. Refugees which have entered the compound safely, report that a large number of heavy vehicles, including rocket artillery vehicles, commanded by the insurgents, are gathering in the village. They could pose a serious threat to the compound and all its inhabitants. Should the commander direct the drone to observe the village and stop countering the drones? Observations: A number of observations can be made. First, all possible risks of unintentional harm have to be assessed and have to be given a value. In case new risks come up, the objective function and the world model have to be extended, if necessary and if possible, to include the new objects, phenomena, aspects, etc., involved. If the objective function and the world model do not cover the present situation, the human operator must take over control and decide to continue or not. Second, the minimization of total unintentional harm is dependent on the specific situation; different situations may result in different outcomes. Every change in the situation requires a new optimization of results and minimization of unintentional harm. Conclusion The Socio-Technological Feedback Loop methodology comprises the assessment of a specific human-AI system operating in a specific context through a transdisciplinary and multi-stakeholder approach. Moral, ethical and legal aspects as well as objectives for this human-AI system in high-risk situations are made explicit, comparable, and auditable. It provides a clear attribution of responsibility and accountability; as such it is a way forward to operationalize meaningful human control of military AI based systems. It challenges the stakeholders to make explicit and validate their goals and moral values, for the specific context the system is to operate in. Authors Pieter Elands Program Manager email@example.com Marlijn Heijnen Scientist firstname.lastname@example.org Peter Werkhoven Chief Scientist TNO email@example.com Context This publication was submitted by invitation to the organization of REAIM 2023, the first global summit on responsible artificial intelligence in the military domain, hosted by the Dutch government. Use of data and images in this publication are with source reference from TNO. tno.nl/responsibledecisionAI
CPI: Your one stop shop for BUCs, TWTAs and KPAs See us at SATELLITE and NAB 2020 SAT 2020, 10-12 March Washington DC Booth 1309 NAB, 18-22 April Las Vegas, NV Booth SU3307 Download our app! Search: CPI Satcom www.cpii.com firstname.lastname@example.org +1 (669) 275-2744 The distance between satellites in orbit and systems on the ground can be measured in miles, but also technological evolution. The satellite industry is undergoing tremendous innovation and change in space. New multiconstellations and highly configurable satellites are offering the industry unprecedented increases in bandwidth and flexibility. But while these new satellites and digital payloads offer a profound step up in capability, they are also introducing far more complexity, and widening a gap between space and the ground. Many of the industry’s ground systems have not kept pace with this innovation, but not out of neglect. These purpose-built hardware systems were designed for a bent-pipe, fixed satellite delivery model, sending signals up and down to relatively static payloads. However, with highly configurable, reprogrammable payloads that can shape beams, changing power, capacity, and frequency on the fly, and the advent of multi constellations, this mismatch between the old and new is driving the need for equally adaptive and responsive architectures on the ground. In the future, when thousands of payloads connect millions of services to meet changing market demands, conventional ground systems that rely on point and click configuration by teams of operators will be unable to scale technologically or economically. The Next Technological Wave For the ground station to support this innovation in the sky, it will need to evolve from purpose-built systems intended for more static environments, to software-defined virtual systems designed for more dynamic ones. We’ll look at several key advancements that will enable this transformation. In fact, most of these innovations are proven technologies that are being used in today’s terrestrial and telecom networks, which faced their own scale and flexibility challenges. These systems migrated from static, decentralized architectures to more dynamic, efficient, and automated Software Defined Networks (SDN). In Software Defined Networks, the underlying network infrastructure is abstracted or virtualized, running in a generic computing or cloud-based processing environment. Software-defined networks are ideal for high-bandwidth dynamic applications; they can provision, manage, and respond to demands in near real-time – doing so far faster than humans can. Similarly, the RF hardware elements that make up the traditional satellite ground segment can be replaced with a functionally equivalent family of orchestrated Virtual Network Functions (VNFs). VNFs run on the commodity compute and storage infrastructure in virtualized environments, whether in servers on-site or in a cloud platform. Most people would consider the main benefit of shifting from racks of application-specific hardware to generic or cloud-based processing as one of cost-savings. While that is true, the key benefit of this approach is increased network flexibility and agility. By shifting from proprietary analog hardware to open virtualized software, the ground will be able to participate in an end-to-end system, linking the new software-defined assets in space to the terrestrial networks on the ground. Now they’ll be able to automatically scale and reprovision hundreds to thousands of beams and millions of services in response to changes in demand, interference, or the environment, while interconnecting far better with IP-based terrestrial networks. The pathway to this new ground architecture involves three key components: 1) digitizing the ground system for IP compatibility, 2) replacing legacy hardware with Virtual Network Functions (VNFs), and 3) using a standardized orchestration framework to control and optimize ground operations. Dynamic Virtualized Ground System Step 1. Digitizing the Ground Station This first step requires converting the analog RF signals to digital spectrum so that the waveforms can be sent as bits over IP networks for processing. This has been a problem in the past due to the inherently lossy nature of IP networks; packet loss, jitter, delay, and other network issues can alter the digitized spectrum. But now, with advances in digital IF technology, RF signals can be converted and transported securely and reliably over IP networks nearly any distance for realtime, accurate processing, without compromising the spectrum. By digitizing the satellite uplinks and downlinks links as close to the antenna as possible using an established standard such as VITA 49 for transport, the teleport’s carrier plan can be managed like a Metro Ethernet Forum-compliant (MEF) network. This allows the ground to operate more like an IP/Ethernet WAN network than a traditional analog satellite platform, connecting and integrating with cloud infrastructure and terrestrial networks for seamless end-to-end services. Step 2. Turning Legacy Hardware to Software-based Virtual Network Functions: With spectrum now properly digitized, the racks of analog hardware, such as splitters, combiners, and frequency converters, can be replaced with a functionally equivalent series of Virtual Network Functions (VNFs). These VNFs run on commodity computing and storage, either on-premise or offsite in the cloud. This allows the software-defined payload and the software-defined ground system to be orchestrated together as an integrated, synchronized system. As satellite payloads reconfigure, the VNFs adjust, performing digital signal processing, scaling and optimizing performance on the ground. As VNFs are needed for specific signal processing functions, they are spun up on a baseline of generic computing cores. For example, as demand goes up and more capacity is delivered through an HTS payload, the orchestration framework provides more cores. When a cruise ship disconnects from a satcom network in port, and bandwidth goes down, the VNFs release cores. If traffic is moved due to interference, and the network goes idle, the VNFs spin down and release the cores entirely for other VNFs to leverage. This results in lower cost, more efficient networks, but more importantly enables a common pool of compute resources on the ground to scale up and down dynamically in tandem with the satellite. With the VNFs able to process in sync with changing beams and bandwidth, operators can capitalize on these more flexible payloads to optimize throughput for customer needs. They can manage the network in real-time and shift their approach of selling bandwidth from hertz to bits, like terrestrial providers do, to maximize revenue. By allocating bandwidth and bits more efficiently, they can serve and sell more customers who pay for what they actually use, without leaving blocks of underutilized capacity, while also ensuring quality of service for those sharing the same satellite or beam. This processing flexibility can also support new OpEx business models such as Infrastructure-as-a-Service (IaaS). For example, an operator looking to launch a new mobile service or expand geographic coverage no longer needs racks of costly hardware at each site, their CapEx is limited to digitization and a minimal footprint of computing and storage. They can now build and expand their network as they grow their customers, spending incrementally for additional cloud processing, deploying VNFs in software in minutes, versus shipping and installing hardware around the world, which could take weeks or months. Step 3. Orchestrate, Automate and Optimize Network Operations The third, and perhaps most important element to making the virtualized ground station so dynamic and scalable, is coupling the digitized spectrum and VNFs with a standards-based orchestration framework. What were previously siloed, manual point-and-click configuration tasks can then be largely automated by the ground station controller and orchestration framework. This shifts configuration and management from people and processes to technology and automation, enabling the ground station to scale, whether to support a single software-defined HTS satellite or a multiorbit constellation. Digital services can then flow dynamically end-to-end among satellites, ground systems, and terrestrial networks. What makes the software-defined ground different from traditional architectures is that it uses a far more rigid separation of data, control, and management planes. The data plane is the actual traffic path for a service; the control plane providing the signaling to complete the traffic path; and the management plane providing system-level configuration and monitoring. Now, as the satellite changes frequency, increases throughput, or switches between customers, from a ship arriving in port to one now departing, the orchestration framework automates the configuration and provisioning rather than relying on manual processes. Newfound Resilience The ability of the virtual ground station to dynamically respond to change in demand can also be used to support best-in-class resiliency. Using the generic infrastructure at each ground station of a global network, the VNFs can orchestrate in response to failure conditions, such as rain fade, migrating critical functions from one physical location to another. Similarly, in the case of hardware failures, the orchestration framework can easily shift VNFs to other cores. Unified Intelligent Management It’s important to note that these software-defined architectures also provide enhanced management. For example, traditional, siloed management solutions, such as network monitoring, network service management, and carrier/interference monitoring, can be merged into a common platform to improve overall network awareness, including RF. Just as digital signals are processed for common network functions, they can be proactively analyzed to detect RF interference or degrading performance, and reconfigured to avoid those problematic blocks of spectrum. Once the interference is cleared, the network can switch back to the previously vacated spectrum. Considering that thousands more satellites and smallsats will be added to a crowded spectrum environment, this intelligent automation can manage and head off disruptions before a cascade of service impacts occur. While the benefits of synchronizing satellites in space with the ground are clear on one side, they also extend to the other, between the satellite ground station and terrestrial networks. Once migrated to a digital infrastructure, ground systems can operate more like today’s modern IP networks than traditional analog RF platforms, seamlessly interconnecting with telecom, wireless, and expanding 5G networks. Benefits of a More Dynamic Ground System Software Defined Networking (SDN) and virtualized operations drive key capabilities such as scalability, automation and resilience for the ground system. Looking Ahead While this shift in the ground model may seem radically different, it’s important to note this is not a futuristic dream; the VNF/cloud-based technology and concept of operations is in use in the terrestrial comms world, and in some satellite ground systems. For example, LEO fleet operators and multi-use satellite ground systems that are serving the smallsat and earth observation markets have deployed and used virtual infrastructure successfully for a number of missions. They are using software-based modems, frontend processors, and digital IF capabilities to process signals more efficiently and dynamically. The telecom industry, which is much further ahead in adoption of these software-defined, cloud-based architectures, dominates the $6 trillion global communications market. In comparison, the satellite industry currently holds less than 1% of this market, but as it transforms and similarly modernizes with these highly scalable, service-aware networks, there is huge potential to grow its share, better integrating into the global communications grid and providing additional value, especially where terrestrial networks reach their limit. As we can see, there are many compelling benefits in shifting from legacy architectures that rely on proprietary purpose-built hardware and point and click processes to more automated, intelligent, and scalable digital infrastructure – from supporting evolving new satellite technologies and changing market demands, to enabling new business models and concepts of operation. The satellite industry is at the early stages of this transition, but as it moves ahead with digital/VNF/software-defined architectures, we can expect to see: - Less specialized hardware and analog equipment in ground systems. - Fewer dedicated ground systems and more general purpose gateways that can interconnect with and process many different satellite payloads. - Adoption of standards and orchestration frameworks, which will provide tighter integration with terrestrial/cloud/5G networks, and more seamless end-to-end services. - More differentiation and service capabilities, not just in orbit with highly configurable capacity, but in ground systems enablement. As the industry takes these early steps, one thing is certain: The cost effectiveness, flexibility, and resilience of software-defined, cloud-based ground systems will play a crucial role in its future. For more information, please visit: https://www.kratosdefense.com/systems-and-platforms/spacesystems/virtualized-ground-station Greg Quiggle serves as the Vice President, Product Management at Kratos, where he oversees product strategy and ongoing lifecycle management of Kratos’ commercial product portfolio. He has spent more than 25 years conceptualizing and executing successful product and technology strategies for companies in the communications industry. Kratos is at the forefront of enabling the movement towards a more dynamic ground by offering new and enhanced ground system products that capitalize upon the advantages of virtual and cloud-based architectures, helping lower costs, increase efficiencies, enhance security, and increase scalability in service offerings. With experience spanning 300 missions over 30 years, Kratos is a leading global provider of turnkey enterprise-grade ground segment solutions that assure operations and communications performance across satellites, signals and networks.
Dogfight Rulebook WILD BLUE YONDER The Air War in Europe, 1940-1944 DOWN IN FLAMES SERIES Volume V Cover illustration by Antonis Karidis TABLE OF CONTENTS 1.0 Introduction ................................................................. 2 2.0 Components ............................................................... 2 3.0 Sequence of Play ......................................................... 3 4.0 Set Up, Duration, and Victory ..................................... 4 5.0 Fighter Cards .............................................................. 5 6.0 Playing Action Cards .................................................. 8 7.0 Position ........................................................................ 9 8.0 Altitude ........................................................................ 12 9.0 Firing .......................................................................... 13 10.0 Wingmen ................................................................. 14 11.0 Destroyed Aircraft ................................................... 16 12.0 Disengagement ......................................................... 16 13.0 Balancing a Dogfight ............................................... 16 14.0 Extended Example of Play ....................................... 17 GMT Games, LLC • P.O. Box 1308, Hanford, CA 93232-1308 • www.GMTGames.com 1.0 INTRODUCTION The Down in Flames series began with GMT’s publication of The Rise of the Luftwaffe in 1993. Three additional volumes, two expansion packs, and over a dozen campaigns appearing in C3i magazine attest to the popularity of this system. Sadly, most are out of print and no longer available, so the publication of Wild Blue Yonder attempts to at least partially remedy this. It features many of the aircraft that fought in Europe during World War II, and includes updated versions of several campaigns that appeared in the first two volumes of the series and in C3i. Over time, the Down in Flames system has evolved, with many elements added and changing. This Dogfight Rulebook incorporates all the accumulated changes and improvements in one place, using the updated rules from Zero! as its starting point. It contains all the rules needed for fighter vs. fighter combat between two or more players. It is intended to be inclusive, so includes a few rules such as descriptions of Bomb ratings [5.2.8] that do not apply directly to fighter duels. Such rules are printed with gray text, and may be skipped over by players interested only in Dogfights. The Campaign Rulebook in this game adds rules for bombers, ground targets, flak, and skilled pilots and crews, allowing more structured and detailed exploration of the air missions, operations, and campaigns flown by Allied and Axis airmen throughout the war. 1.1 References Throughout these rules, references to other sections of the rules where players will find more information about a term or concept appear in [square brackets]. 1.2 Significant Rule Changes The Down in Flames rules have changed very little since 1993, but there have been some clarifications and improvements. Where these rules differ in substance from those last published, they are marked with a ▶ symbol. Experienced Down in Flames players should pay particular attention to the following changes: - WBY has separate, functionally identical decks for each side [2.2]. - The Sequence of Play now includes a Final Step when players conduct various end of turn actions [3.6]. - All Aircraft cards have Ceiling ratings, limiting the altitude at which they may operate [5.2.7]. - The concept of Power Boost, introduced by Toby Pilling for Bf109G aircraft in C3i magazine, has been normalized and extended to other aircraft types [5.5.4]. - Four new Action card types are included in the 110-card decks: - Chop Throttle [6.2.3] - Clouds [6.2.5, 7.3.5] - In My Sights (Cockpit Hit) [9.3.3] - In My Sights (Engine Hit) [9.3.4] 2.0 COMPONENTS Wild Blue Yonder contains the following components: - 220 Action Cards - 300 Aircraft Cards - 264 5/8" Counters - 4 Double-sided Target Cards - 7 Double-sided Campaign Cards - 4 Double-sided Campaign Log Sheets - 1 Land Campaign Log Sheet - 1 Campaign Display - 1 Double-sided 11" x 17" Resource/Player Aid Card - 1 Dogfight Rulebook (this one) - 1 Campaign Rulebook If any components are damaged or missing, please contact us, and we’ll replace them. GMT Games, LLC PO. Box Hanford CA 93222-1308 www.gmtgames.com (800) 523-6111 2.1 Aircraft Cards ▶ The Down in Flames series includes four general classes of aircraft: Fighters, Light Bombers, Medium Bombers, and Heavy Bombers. Only Fighters are used in the basic Dogfight game of Wild Blue Yonder. 2.1.1 Fighters The primary function of a Fighter is to shoot down enemy aircraft. Fighters operate in pairs of aircraft—a Leader plus his Wingman—called an Element. You, the player, have complete control over the Leader, and keep a hand of cards representing that Leader’s “potential energy.” You have a lesser degree of control over your Wingman, drawing smaller, temporary “mini-hands” whenever it attacks or is attacked. ![Leader (front)](image1.png) ![Wingman (front)](image2.png) 2.2 Action Cards ▶ Each side uses its own (functionally identical) Action card deck. Action cards allow players’ aircraft to maneuver relative to each other, fire their guns, and defend against enemy attacks. The name of each Action card is listed in the vertical box on the left side of the card, and is shown in SMALL CAPS when mentioned. in the rules. The vertical box also includes an individual Card #, used for randomization results in some campaigns. Every Action card includes Attack and Response sections [explained in Section 6.0] as well as Strafe and Bomb results. Some cards also have Wingman Limitation symbols, Spoiled Attack symbols, and/or Loaded Penalty symbols. Action cards may be played in one of two ways, as an Attack or as a Response, and are color-coded for easy reference. - Cards with a red vertical box along the left side are Attack cards. - Cards with a blue box are Response cards. - Cards with a white box can be used either way, but not at the same time. The Response sections of Blue and White cards list the Action card types to which they may respond [6.2]. ### 2.3 Altitude and Hit Markers These counters show an aircraft’s current Altitude and accumulated Hits sustained. ### 2.4 Pilot Counters These counters represent the men at the controls of the aircraft. Unless used for play balance [see Section 13.4], they enter play only in the Campaign Game. ### 2.5 Other Counters Wild Blue Yonder also includes a Turn marker and counters for Play Order, Elements in the Clouds, Agile aircraft, Full Throttle energy, and Heavy Guns. Ace and Veteran markers are used when pilots have those Skills. Campaign games may use additional markers for first and last Mission turns, campaign progress, formation status, Fighters Over Target, Resource reminders, and loads (indicating aircraft carrying drop tanks, bombs, and other encumbrances). ### 3.0 SEQUENCE OF PLAY Basic Dogfight games are played in Game-Turns, each of which includes one player-turn (hereafter called simply “turns”) for each Element in the game. Each turn is composed of several steps, as described below. In your turn, you complete each of the following steps in the order listed. If you do not wish to conduct actions in a given step, you may skip it and go on to the next step. Once you have completed all the steps, your turn is complete, and play moves on to the next player. When all players have finished their turns, one Game-Turn is complete. Begin the next Game-Turn, following the same player order established for the first Game-Turn [4.7]. NOTE: In these rules hereafter, a capitalized “Turn” will always refer to a Game-Turn, while a lower-case “turn” will be a player-turn. ### 3.1 Wingman Step If you have a Wingman and are at the same Altitude as an enemy Element, choose and announce a target for your Wingman. Draw a “mini-hand” equal to the Offensive Rating and resolve his attack. You may attack only one enemy aircraft during this step; you cannot play cards against two different aircraft. EXCEPTION: On the first Game-Turn, the first Element (only) skips this step unless the opposing force consists entirely of Formation aircraft [17.3]. ### 3.2 Altitude Step Remove Clouds marker, if any, and adjust your altitude to match that selected. Otherwise, your Element may change altitude up or down to an adjacent level. ### 3.3 Leader Step Choose and announce a target and play cards one at a time from your Leader’s hand. These may allow you to adjust your altitude, change your position relative to an enemy Element, or fire upon an enemy aircraft. An affected enemy player has the opportunity to respond immediately to each card as it is played against him. You may then respond to his card, and so on, until one of you elects not to respond further. You may then play a card to initiate a new action. You may attack only one enemy aircraft during this step; you cannot play cards against two different aircraft. Instead of playing cards, you may choose to voluntarily Disengage at this time [12.1]. 3.4 Discard Step ▶ You may discard as many cards from your Leader’s hand as you like, placing them face up in the discard pile. Only the top card you discard need be visible. The discard pile is closed—no player may ever examine it at any time. 3.5 Draw Step You may draw cards to refill your Leader’s hand. Your Leader’s Horsepower, Performance, Altitude, and being in Clouds limit the number of cards drawn. Play Note: If you just can’t wait to play this game, and aren’t overly fond of reading rules, skip ahead to Section 14.0 and read through the Extended Example of Play. That, along with the Sequence of Play you’ve just read, should get you going. You can refer to the rest of the rules as questions arise. ▶ 3.6 Final Step The Final Step is unique in occurring only once per Game-Turn, after the completion of all player turns. In a Dogfight, the only activity is to advance the Turn marker one space on the Dogfight Mission Turn Track unless it is the last Turn of the game (Turn 6). 4.0 SET UP, DURATION, AND VICTORY 4.1 Summary a) Select players to be on each side (Axis or Allied). b) Select the date in which the battle takes place. c) Each side selects the aircraft to be used by their side. d) Secretly select an altitude for each Element. e) Deal out initial Action card hands. f) Determine the first player. g) Play a six-Turn Dogfight, using the same player order determined on the first Turn. h) Determine victory. 4.2 Sides Divide the players into two sides. One side is the Axis, and flies aircraft with red borders on their cards (German, Hungarian, Italian, or Romanian in Wild Blue Yonder). The other side is the Allies, and flies aircraft with blue borders (British, Soviet, or US). The number of players on each side may be unequal, but the number of aircraft should be the same unless using rules for play balance [13.2-3]. This may mean that one or more players will control two Elements, or one or more players may elect not to have a Wingman (see 13.0 Balancing a Dogfight). 4.3 Date Select the month in which the battle will occur. The month and year in which an aircraft came into operational service are listed on its Aircraft card. Choose aircraft that came into service during or before the month you select. 4.4 Aircraft Choose only Fighter aircraft in a basic Dogfight game. Use Bombers only in the Campaign Game. 4.5 Initial Altitudes Each player secretly selects his Element’s starting altitude [see 8.0] by placing an Altitude marker on the table and covering it with his hand. Players on the same side may confer before selecting their altitude(s). Once all players have selected their altitudes, reveal all markers simultaneously. Place the Altitude markers selected on or next to their Elements to so indicate. EXCEPTION: Very High Altitude can be chosen only for Elements equipped with Turbochargers [5.2.3]. 4.6 Action Cards Deal each Element (or lone Leader) a number of Action cards equal to the Leader’s Performance rating. If you are controlling more than one Element, keep a separate hand for each Leader. ▶ 4.6.1 Hand Etiquette Players should keep their hands hidden from all other players (including their teammates) at all times. Players need not reveal how many cards are currently in their hands except to a player with whom they are Engaged [7.5]. 4.6.2 Draw Pile When a Draw Pile is depleted, shuffle the discards together to create a new Draw Pile and continue play. 4.7 Play Order Place the Turn marker in the ‘1’ space of the Turn Track (or place a spare ‘1’ Hit marker next to the Draw Pile). Randomly determine which side goes first, e.g., by flipping the Turn Marker (which reads “Allied” on one side and “Axis” on the other). The winning side announces which of its Elements goes first and places the “1” play order marker in front of that Element. After that Element’s turn is complete, the opposing side then selects which of its Elements will go next, placing the “2” play order marker in front of that Element and taking its turn. Alternate choosing Elements, placing markers, and executing turns until all Elements have completed their turns. Advance the Turn marker one space on the Turn Track or replace the Hit marker with another that is 1 value more. This order established during Game-Turn 1 is the play order for the remainder of the game. 4.8 Game Duration All basic Dogfight games last six Game-Turns. Upon completion of Turn 6, determine victory based upon air losses as detailed below. Play Note: Players with a little more blood lust may feel free to continue dogfights “to the death,” until all aircraft of one side are shot down or Disengaged. 4.9 Victory 4.9.1 Damage and Destruction An aircraft is Damaged when it has suffered a total number of Hits sufficient to flip it to its back side [see 5.2.1]. An aircraft is shot down and Destroyed when it has suffered a total number of Hits equal to or greater than the Damage Capacity on its back (Damaged) side. 4.9.2 Element Elimination If both the Leader and his Wingman have been Destroyed or have Disengaged, skip that Element’s turn during any remaining Game-Turns. 4.9.3 Determining Victory At the end of the game, determine victory by counting the number of enemy aircraft that were Damaged or Destroyed by your side at the end of the battle. Assign Victory Points (VPs) as follows: - 5 VP for each enemy Fighter (Leader or Wingman) Destroyed - 2 VP for each enemy Fighter (Leader or Wingman) Damaged or voluntarily Disengaged. Compare the total number of VPs scored by the Allied side with those scored by the Axis side. The side with the highest number of points wins. In the event of a tie, the battle is a Draw. Example: One Element of Bf109Es battles an Element of Spitfire Is. At the end of the dogfight, one Bf109 has been Destroyed and one Damaged. One Spitfire was Damaged, and both voluntarily Disengaged. The Allies score 7 VPs and the Axis 4, so the Allies win. Play Note: This will produce a result that is not adjusted for the relative quality of the aircraft flown, so is best used for dogfights between closely-matched fighters. If you want to balance a game between unequal types of aircraft, see 13.0. 5.0 FIGHTER AIRCRAFT CARDS Every Fighter is represented in the game by an Aircraft card. These cards provide details of the aircraft’s capabilities. The Aircraft cards also functionally illustrate the relative positions between Elements in a dogfight [see 7.0]. Every Aircraft card bears the national symbol of the country to which it belongs. All Aircraft cards with blue borders are Allied. All those with red borders are Axis. 5.1 Leaders and Wingmen There are two types of Fighter cards: Leaders and Wingmen. Leader cards have Burst, Horsepower, and Performance ratings as described below. Wingman cards have Offensive and Defensive ratings instead. All ratings (including ‘0’) are subject to modification. When you select a Leader card, select the Wingman card of the same type of aircraft. The Wingman is also under your control, but only draws smaller “mini-hands” when needed to reflect the less-than-complete control a pilot has over his wingman. How Wingmen play is detailed in the Wingmen section [10.0]. 5.2 Leader Ratings 5.2.1 Damage Capacity An aircraft’s Damage Capacity is a measure of how many Hits it can take before being impaired or shot down. An Undamaged aircraft becomes Damaged when it accumulates Hits that equal or exceed the Damage rating listed on the front (Undamaged) side of the card (but less than the number required to destroy it, listed on the back side). NOTE: These rules often refer to “Damaged” and “Undamaged” aircraft. In every case, a Damaged aircraft is one that has been flipped to its Damaged side, not one that has simply taken some Hits. In the latter instance, the aircraft is still considered Undamaged. An aircraft is shot down and Destroyed when it has accumulated Hits equal to or exceeding the Damage rating on the card’s Damaged (saw tooth) side. Example: Immediately flip the LaGG-3 above to its Damaged side when it accumulates at least 3 Hits. It is Destroyed when it accumulates 6 or more Hits. 5.2.2 Performance ▶ The Performance rating is the normal maximum number of cards the controlling player may hold in his hand. It is based on the aircraft’s top speed and overall maneuverability, and can be modified by Cockpit Hit damage and pilot skills. If drawing cards during the Draw Step, you cannot end the step with more Action cards in your hand than the Leader’s modified Performance rating. NOTE: This limit does not apply when your Leader is newly-Damaged, or when you gain an extra card by changing Altitude to a lower level. In such cases, you are not required to immediately discard down to the (new) Performance number, but you may not draw any cards during the Draw Step of your turn unless the number of cards in your hand is less than the (modified) Performance rating. 5.2.3 Horsepower The Horsepower rating is the number of cards you may draw during the Draw Step of your turn if your Element is at Medium altitude. It is based on the aircraft’s weight, engine power, and drag. During the Draw Step, you are allowed to draw a number of Action cards equal to your Leader’s Horsepower, modified by altitude. Remember, you may not draw more cards into your hand than the Leader’s Performance rating allows. Leaders with a ‘T’ next to their Horsepower rating are Turbocharged aircraft, which gives them an advantage when flying at higher altitudes. Turbocharged aircraft treat Very High Altitude as if it was High Altitude, and High Altitude as Medium Altitude for purposes of Horsepower. Altitude [8.0] affects Horsepower as follows: • At Low or Very Low Altitude, add one to the Horsepower rating. • At Medium Altitude, Horsepower is unchanged. • At High Altitude, subtract one from the Horsepower rating (unless Turbocharged). • At Very High Altitude, subtract two from the Horsepower rating (subtract only one if Turbocharged). 5.2.4 Bursts A Leader’s Burst rating limits the number of Bursts it can fire against another aircraft during its turn. This rating is based on the number and type of machine guns and cannon carried by that aircraft. The amount of ammunition carried by the aircraft also affects this rating. ▶ Any Leader that has a “+#” next to its Burst rating is equipped with multiple rapid-firing heavy cannons. Add the indicated number of Hits to the hits caused by each successfully played In My Sights or Out Of The Sun card, and draw the indicated number of additional cards when strafing [21.7.2i]. 5.2.5 Gunners Some Leaders are equipped with Gunners as well as (or instead of) Bursts. Gunners are assumed to be facing towards the sides and/or rear of the aircraft to protect it from being attacked from those directions. The Gunner rating acts like the Burst rating in limiting the In My Sights and/or Out Of The Sun cards that can be played. The difference is that, while the Burst rating applies when your Leader is Neutral, Advantaged, or Tailing, the Gunner rating applies when your Leader is Disadvantaged or Tailed [9.2]. 5.2.6 Heavy Guns Leaders with Heavy Guns have “HG#” notations on their cards. The “#” indicates the number of Heavy Gun markers with which the aircraft starts the game [see 9.1.2]. Design Note: A few aircraft with single heavy cannon have this rating. It models the low rate of fire and/or limited ammunition supply of these weapons. ▶ 5.2.7 Ceiling Not all aircraft may fly at any Altitude level [8.0]. The Ceiling rating is the highest altitude level this aircraft may climb to or occupy, abbreviated thusly: • L Low • M Medium • H High • VH Very High Most Undamaged Fighters have a Ceiling of VH, and most Undamaged Bombers have a Ceiling of H. Play Note: When using previously-published aircraft cards without Ceiling notations, assume Fighters have a Ceiling of VH and Bombers H. 5.2.8 Bomb This rating is used only in Campaign Game Missions and is not used in Dogfights. See 21.1. ▶ 5.2.9 Strafe This rating is used only in Campaign Game Missions and is not used in Dogfights. See 21.7. 5.2.10 Balance Value This value may be used to balance Dogfights between unequal aircraft [see 13.0]. 5.3 Jet Ratings In addition to the normal ratings, Jets have additional Speed and Thrust ratings on their Leader cards. These ratings are roughly analogous to Performance and Horsepower, but give a Jet a number of Full Throttle counters to use in addition to its normal hand of cards [6.3]. All Jets also have Turbochargers. 5.3.1 Speed At the beginning of a Mission, a player who is controlling a Jet with a Speed rating receives a number of Full Throttle counters equal to that rating. EXCEPTION: When a jet Leader is Destroyed and the Wingman is “promoted” to become the new Leader [see 11.2], draw a number of Full Throttle counters equal to the Speed rating minus one (−1). This penalty is a one-time event that represents the Wingman’s initial shock at seeing his Leader shot down. Use the printed Speed rating for all purposes subsequently. 5.3.2 Thrust ▶ During the Draw Phase of its turn, the player controlling a Jet with a Thrust rating receives a number of Full Throttle counters equal to that rating. Unlike Horsepower, Thrust is not affected by Altitude. But, similar to Performance, the number of Full Throttle counters held cannot exceed the Speed rating. 5.4 Wingman Ratings In World War II, most fighter formations were based on two aircraft, a Leader and his Wingman. This pair of aircraft, referred to by various names in different countries’ air forces, is termed an Element in Down in Flames series games. Virtually every Leader in this system has a matching Wingman card. When you select a Leader aircraft, also select a Wingman card of the same aircraft type. The only exception in the Basic Game is when one side opts to fly a Leader without a Wingman to help balance the game [see 13.3]. 5.4.1 Damage Wingmen have the same Damage ratings and use the same Damage rules as Leaders. 5.4.2 Combat Ratings Every Wingman card has an Offensive and a Defensive rating, which dictate the number of cards you may draw for its “mini-hand” when it attacks or is attacked. The specifics of how these ratings are used are covered in Section 10.0. Like a Leader’s Horsepower, a Wingman’s combat ratings are affected by its Altitude [8.0] and whether or not it is Turbocharged: - At Medium Altitude and below, combat ratings are unchanged. - At High Altitude, subtract one from the Defensive rating (unless Turbocharged). - At Very High Altitude, subtract one from both the Offensive and Defensive ratings (subtract one from only the Defensive rating if Turbocharged). Like a Leader’s Bursts, any Wingman with a “+#” notation on its Offensive rating is equipped with heavy cannons and adds the indicated number of Hits whenever it successfully plays an In My Sights or Out Of The Sun card. ▶ 5.4.3 Heavy Guns Like Leaders, Wingmen with “HG#” notations on their cards start the game with “#” Heavy Gun markers. ▶ 5.4.4 Ceiling A Wingman’s Ceiling rating is identical to its Leader’s. If Damaged, a reduced rating (with a red outline) will limit the altitude at which the Element may operate. 5.4.5 Bomb and Strafe Wingmen have the same Bomb and Strafe ratings and use the same strike rules as Leaders. 5.4.6 Balance Value Modifiers When including a Wingman in an Element, add the Wingman’s Value Modifier to the Leader’s Value to determine the Element’s total value. 5.5 Special Ratings Some aircraft have additional text ratings that give them special abilities or penalties. 5.5.1 Agile ▶ An aircraft rated as Agile may, once during each of its own turns, treat any card as if it were a Scissors card [see Section 7.3.4 for further explanation]. Unlike other Fighters, an Agile aircraft engaged with a Dive Bomber may follow when it dives during the Over-Target Turn [21.4.1b]. ▶ This rating does not apply with a Green Pilot [19.6.2]. 5.5.2 Carrier Aircraft/Floatplane/Flying Boat This information is included for interest only, and has no impact on game play. ▶ 5.5.3 Multi- and Single-Engined All Fighters and Light Bombers in Wild Blue Yonder are single-engined unless rated as Multi-engined. Multi-engined aircraft are not automatically shot down by an In My Sights (Engine Hit) card [see 9.3.4]. All Medium and Heavy Bombers are multi-engined unless rated as Single-engined. ▶ 5.5.4 Power Boost Some aircraft are equipped with a methanol (or alcohol)-water or N2O injection system that increases speed for a limited time. Each Leader and Wingman receives one Full Throttle counter at the beginning of the mission [6.3]. It is lost and no longer available when the aircraft is Damaged. Once expended, it may not be replaced. ▶ 5.5.5 Turret Fighters Turret Fighter Leaders may attack other aircraft using their Gunner rating: - vs. Fighters, they may only attack when Disadvantaged or Tailed [9.2]; - vs. Light Bombers, they may only attack when Advantaged or Tailing, with a Burst rating equal to their Gunner rating but with no bonus Bursts for position; - vs. Formation aircraft, they attack with a Burst rating equal to their Gunner rating, but with no bonus Bursts except for successful card play [20.4.1]. Turret Fighter Wingmen play normally. At Night, a Turret Fighter may attack a Formation Aircraft as if it has an Oblique Guns 1 rating [17.5.2]. 6.0 PLAYING ACTION CARDS Like all games in the Down in Flames series, Wild Blue Yonder uses two game mechanisms to represent the spatial relationship between aircraft: altitude and position [described in Sections 7.0 and 8.0]. During your turn, you play Action cards in an attempt to maneuver your Element to an altitude and position from which you may fire upon enemy aircraft [described in 9.0]. 6.1 Attacking The term “attack” is used to denote any action that will either damage an enemy Leader or Wingman, or alter your position or altitude. The only player permitted to initiate an attack is the player taking his turn. For your Leader or Wingman to attack an enemy aircraft, you must play a card that has an effect listed in its Attack section [2.2]. A Leader or Wingman may attack only one enemy aircraft per turn. ▶ Maneuver, Half Loop, Scissors, Vertical Roll, Full Throttle, and Clouds are the Attack cards you may play in order to change your altitude or position. Once in position (i.e., at the same altitude as an enemy Element and usually Neutral, Advantaged, or Tailing), you may play In My Sights and Out Of The Sun cards (i.e., fire Bursts) to score Hits on an opposing aircraft. Note that maneuvering need not necessarily precede firing Bursts [see the Example in Section 9.1]. Whether or not an Attack card play is successful, you may then play another appropriate Attack card (if you have one) against the same enemy aircraft. There are two restrictions: a) A Leader may not exceed his Burst/Gunner ratings as modified by his position during the Leader Step. Thus the maximum possible number of Bursts a Leader can use during a single turn is his Gunner Rating (if he starts Disadvantaged or Tailed) + his Burst rating (if he starts or maneuvers to at least a Neutral position) +3 (the total additional Bursts available if he maneuvers to a Tailing position). b) A Leader (or Wingman) cannot attack more than one enemy aircraft during a single turn. 6.2 Responding The player who is the target of these maneuvering and firing attempts may play an appropriate Response card each time an Attack card is played. In order to respond to an attack against your Leader or Wingman, you must play a card that lists the name of the Attack card in its own Response section [2.2]. The attacker may then respond to the response, if he holds a card that will successfully respond to the defender’s card. Players may continue to respond to the last card played until one player cannot, or chooses not to, respond. If, at any point, the defending player does not respond (i.e., the attacker plays the last card), the original Attack succeeds and its results are applied. If the defender successfully responds and the attacker does not (i.e., the defender plays the last card), then the attempted Attack fails. In either case, discard the Attack card and all Response cards played. 6.2.1 Ace Pilot An Ace Pilot card responds to any Attack or Response card, including another Ace Pilot. 6.2.2 Barrel Roll A Barrel Roll card responds to another Barrel Roll or an In My Sights card. ▶ 6.2.3 Chop Throttle A Chop Throttle card responds to another Chop Throttle or an In My Sights card. It also responds to a Full Throttle card, but only if you are Neutral, Disadvantaged, or Tailed. 6.2.4 Tight Turn A Tight Turn card responds to an In My Sights card, a Maneuver card, or another Tight Turn. ▶ 6.2.5 Clouds A Clouds card responds to another Clouds or an Out Of The Sun card. 6.2.6 Full Throttle A Full Throttle card or counter responds to an In My Sights card, a Maneuver card, or another Full Throttle. 6.2.7 Scissors A Scissors card responds to another Scissors or a Tight Turn card. 6.2.8 Vertical Roll A Vertical Roll card responds to an In My Sights card, an Out Of The Sun card, or another Vertical Roll. Example: (1) Your P-47D Leader attacks a Fw190A Leader by playing an In My Sights card. (2) The enemy plays a Tight Turn in response. (3) You then play a Tight Turn in response to the Tight Turn. (4) He then responds to your Tight Turn with a Scissors. (5) You respond to his Scissors with an Ace Pilot, to which he declines to respond. Because you played the last card, your original In My Sights Attack succeeds. 6.3 Full Throttle Counters Jets and aircraft with the Power Boost Special rating use Full Throttle counters. These counters may be expended at any time exactly as if they are Full Throttle cards in the hand, even when loaded. 7.0 POSITION In Wild Blue Yonder, Leaders’ Aircraft cards are placed on the table in such a way as to indicate their position with respect to other aircraft. 7.1 Relative Position Every Leader is always at one of five relative Positions with respect to each enemy Leader. Listed from best to worst, they are: Tailing, Advantaged, Neutral, Disadvantaged, and Tailed. Position affects attacks between aircraft. ![Position Diagram](image) 7.1.1 Tailing Your aircraft is flying behind the enemy aircraft and your nose is pointing at its tail. This is the best position for firing, as you may fire up to three extra Bursts against your opponent. In the illustration above, the MC.202 on the far right is Tailing the Hurricane above it. 7.1.2 Advantaged You are not directly behind your opponent, but are still in a good position for low-deflection shooting. You may fire one additional Burst in this position. In the illustration, the MC.202 in the middle is Advantaged over the Hurricane above it. 7.1.3 Neutral Neither aircraft has a noticeable advantage. Both are in a position to take quick, high-deflection shots. Your aircraft will be Neutral to all enemy Leaders in the game except possibly one, with which it is Engaged [see Section 7.5]. In the illustration, the aircraft on the left are Neutral with respect to one another. 7.1.4 Disadvantaged The opposite of Advantaged. Your aircraft is subject to the enemy taking low-deflection shots on you. 7.1.5 Tailed The opposite of Tailing. The enemy aircraft is right behind you, and will be firing everything it has. 7.2 Indicating Position Show relative Position by turning and facing the Leader cards with respect to other Leaders with which they are Engaged. Wingmen and Bomber cards do not use positioning. The top edge of a Leader card is the nose, the two edges by the wing tips are the sides, and the bottom edge by the cockpit display is the tail. 7.2.1 Neutral If your Leader is Neutral with respect to all enemy Leaders, it should face straight away from you, away from all enemy aircraft. 7.2.2 Advantaged/Disadvantaged If your Leader is Advantaged, point its nose at the enemy Leader with which it is Engaged. That enemy player must rotate his Disadvantaged Leader’s card so that one of its sides is facing your Leader’s nose. If the situation is reversed, the Advantaged enemy Leader points its nose at you, and you must rotate your Disadvantaged Leader so that one of its sides faces the enemy Leader’s nose. 7.2.3 Tailing/Tailed If your Leader is Tailing, point its nose at the enemy Leader with which it is Engaged. That enemy player must rotate his Disadvantaged Leader’s card so that its tail is facing your Leader’s nose. If the situation is reversed, the Tailing enemy Leader points its nose at you, and you must rotate your Tailed Leader so that its tail faces the enemy Leader’s nose. 7.3 Adjusting Position ▶ You play cards to improve your position relative to an enemy Leader. Leaders attempt to change their relative Position by playing one of five cards as an Attack. These five cards (MANEUVER, HALF LOOP, FULL THROTTLE, SCISSORS, and CLOUDS) are discussed in this section. Reposition the Leader cards after every successful attempt to change position. 7.3.1 Maneuver A successful MANEUVER card played will improve your Leader’s position by one, from Tailed to Disadvantaged, Disadvantaged to Neutral, Neutral to Advantaged, or Advantaged to Tailing. Example: Your Spitfire and a Bf109 are Neutral with respect to each other. You play a MANEUVER card against him. He plays a TIGHT TURN in response. You then play a SCISSORS in response to the TIGHT TURN. He does not respond, so your original MANEUVER succeeds. Your Spitfire is now Advantaged over the Bf109 (which is now Disadvantaged by your fighter). 7.3.2 Half Loop A successful HALF LOOP card played will improve your Leader’s position by two, from Tailed to Neutral, Disadvantaged to Advantaged, or Neutral to Tailing. A HALF LOOP can never be used to change position by only one, so cannot be played when you are Advantaged. Example: Your Spitfire is Tailing a Bf109. The opposing player plays a HALF LOOP card against you. You play an ACE PILOT in response. He responds with an ACE PILOT of his own. You do not respond with anything but dismay, so the HALF LOOP succeeds. The aircraft are now Neutral with respect to each other. 7.3.3 Full Throttle A successful FULL THROTTLE card or counter played as an Attack will improve your Leader’s Position by one, from Tailed to Disadvantaged or Disadvantaged to Neutral. It cannot be played as an Attack card if your Leader is Neutral, Advantaged, or Tailing. 7.3.4 Scissors A successful SCISSORS card played as an Attack will improve your Leader’s Position by two, from Disadvantaged to Advantaged. It can be played as an Attack card only if your Leader is Disadvantaged (or is attacking an enemy Lone Leader that is Advantaged [7.5.2]). Remember, an Agile aircraft may treat any one card played during its turn as if it were a SCISSORS. Example: Your Gloster Gladiator is Disadvantaged by a CR.42 at the beginning of your turn. Both players have one SCISSORS card in their hands. You begin your turn by playing a SCISSORS card. The Falco responds with its own SCISSORS card. You then play an OUT OF THE SUN card and announce it will be treated as a SCISSORS. Even though the Fiat is also Agile, it cannot play one of its other cards and call it a SCISSORS since it is not the CR.42’s turn. Your Gladiator is now Advantaged over the Italian fighter. Note that if your opponent had a second SCISSORS card, you would have been unable to respond, because an Agile aircraft can only treat one non-SCISSORS card as a SCISSORS per turn. ▶ 7.3.5 Clouds A successful CLOUDS card played as an Attack by your Leader will change its position to Neutral, regardless of the starting position. If played during the last Game-Turn of the game, your Element must immediately and automatically disengage (see 12.0). Otherwise, place a Clouds marker on the Leader’s card to show it is “in the clouds” until the Altitude Step of its next turn, when the marker is removed. While under a Clouds marker, several restrictions apply: a) You must immediately select the altitude at which you will end your next Altitude Step by secretly placing the appropriate marker face-up under your Leader’s card. Normal restrictions apply per Rule 8.2.1, i.e., you may change altitude up or down by one level at most. b) You cannot play any more cards during your Leader Step. c) Skip your Discard, Draw, and Wingman Steps. d) Enemy aircraft cannot attack your Leader or your Wingman. e) In your next Altitude Step, remove the Clouds marker, lift the Leader’s card to reveal the chosen Altitude marker, and adjust altitude if appropriate (discarding or drawing a card normally). NOTE: A Wingman may not play CLOUDS as an Attack card; it is so marked [10.2(d)]. A CLOUDS card played as a Response never causes a position change. An Advantaged or Tailing enemy Leader (only) may play his own CLOUDS or ACE PILOT card in response to stop a CLOUDS card played by the Engaged Leader to change position to Neutral. 7.3.6 Giving Up Position If your Leader is Advantaged or Tailing at the beginning of your Leader Step, you may freely give up your Position and become Neutral. By doing so, you are free to play cards to attack a different enemy Leader, a Wingman, or a Bomber. This is because a Leader cannot play Attack cards against more than one enemy aircraft during any single Leader Step. 7.4 Effects of Position When a Leader is Disadvantaged or Tailed, it is not allowed to fire Bursts unless it has a Gunner [5.2.5]. When firing from a Neutral position, a Leader uses its printed Burst rating. An Advantaged Leader increases its Burst rating by one, while a Tailing Leader increases its Burst rating by three. Thus, Leaders with a Burst rating of 0 (e.g., a MC.200) cannot fire while Neutral, but have their Bursts modified to 1 and 3 when Advantaged or Tailing, respectively. Example: A Spitfire V has a normal Burst limit of one (1). This increases to 2 when Advantaged, and to 4 when Tailing. The Burst limit increases relative to Neutral and is not cumulative. A Leader’s Bursts can never increase by more than +3 due to positioning. Example: Your Bf109E-3 is Disadvantaged by a Spitfire I at the beginning of your turn, as in the middle illustration above. You currently have 0 Bursts, because you can only fire when Neutral, Advantaged, or Tailing. You play a MANEUVER card, to which the Spitfire does not respond. You are now Neutral, so could fire 1 Burst (your printed rating) at the Spitfire, or play an additional MANEUVER or a HALF LOOP card, or both in turn. You choose to play a 1 Burst IN MY SIGHTS card. Whether the Spitfire responds successfully or not, this Attack has used all of your allowed Bursts, unless you improve your Position further to increase your Burst capability. You could now play another MANEUVER card against the Spitfire and be allowed one more Burst if successful (+1 for Advantaged position), or play two MANEUVER cards (or a HALF LOOP card) to improve your Position to Tailing and be allowed three more Bursts. You could even use 1 Burst while Advantaged, then play a MANEUVER again to move to Tailing, where you could use an additional 2 Bursts (having already used two of your 1+3=4 Bursts). 7.5 Engagement If your Leader is in any Position but Neutral, your Element is Engaged. While Engaged, your Leader cannot attack any aircraft other than the enemy Leader with which it is Engaged until you break the Engagement and return to Neutral position (either through maneuvering, or by voluntarily giving up position at the beginning of your Leader Step). A Neutral Leader is Unengaged, and may attack any one Unengaged enemy Leader or any one enemy Wingman at the same altitude. 7.5.1 Engagement Restrictions a) A Leader may only be Engaged with one enemy Leader at a time. b) When a Leader is Disadvantaged or Tailed, it is not allowed to play Burst cards unless it has a Gunner, in which case it may fire upon the Engaged enemy Leader or his Wingman [9.2]. c) The Wingman of an Engaged Leader may only conduct attacks against either the Engaged enemy Leader or his Wingman. d) Neither Leaders nor Wingmen of other Elements can attack an Engaged Leader, except in one special circumstance (see 7.5.2). They may attack an Engaged Leader’s Wingman. 7.5.2 Attacking a Lone Leader If an enemy Leader without a Wingman is Advantaged or Tailing, your Unengaged Leader or Wingman at the same altitude may attack as follows. a) First, your Unengaged Leader or Wingman must play one or more MANEUVER, HALF LOOP, FULL THROTTLE, or SCISSORS cards (the latter only if the enemy Leader is Advantaged) until the enemy Leader is no longer Advantaged over or Tailing the friendly Leader. The enemy Leader may respond normally [6.2]. b) Once the enemy Leader is no longer Advantaged or Tailing, you may attack him normally [6.1]. c) If, in the course of steps (a) and (b) above, you play cards that adjust the enemy Leader’s Position further than Neutral, you immediately gain this (Advantaged or Tailing) position on him. Example: An enemy Bf109 with no Wingman is Advantaged with respect to an Element of Hurricanes at your altitude. Your Spitfire Leader plays a SCISSORS, to which he responds with an ACE PILOT. You respond with an ACE PILOT of your own, to which he does not respond. The enemy Bf109 loses his Advantaged position over the Hurricanes, and is now Disadvantaged by you. You may now continue to attack with IN MY SIGHTS or OUT OF THE SUN cards (or a MANEUVER card to improve your position to Tailing). NOTE: This is the only situation where you can attack with a SCISSORS when you are not Disadvantaged. 8.0 ALTITUDE Aircraft are always at one of five Altitude Levels: Very Low, Low, Medium, High, or Very High. Aircraft may never go above Very High Altitude or below Very Low. Only opposing aircraft at the same altitude at the time a card is played may attack each other. 8.1 Altitude Markers Players designate altitude for each Element in the game using the Altitude markers provided. If all players agree, they may omit the Altitude markers for Medium Altitude. 8.2 Changing Altitude Changing altitude is a good way to shake an enemy Leader who is Advantaged Over or Tailing your Leader. You may change altitude in one of two ways. During the Altitude Step of your turn, your element may climb up or dive down one level. You may also change altitude by playing a VERTICAL ROLL during your Leader Step. Only an enemy Element that is Advantaged over or Tailing your Leader may respond or follow you (i.e., change altitude and maintain position on your Leader). 8.2.1 Altitude Step To change altitude during your Altitude Step, follow this sequence: a) Adjust your Element’s altitude by one level, up or down. b) If you climb, discard any one card from your Leader’s hand (or a Full Throttle counter). If you don’t have a card to discard, you cannot climb to a higher level. c) If you dive, draw one card from the deck into your hand, even if this causes you to temporarily exceed your maximum allowed hand size (your Leader’s Performance rating [see 5.2.2]). d) If you were Advantaged over or Tailing an enemy Element, you lose that position, return to Neutral, and become Unengaged. During the following Leader Step, you may attack a different enemy Element at your new altitude. e) If you were Disadvantaged or Tailed by an enemy Element, that Element may choose to follow your altitude change and maintain its position: 1) A Tailing enemy may freely follow by immediately performing steps (a) through (c) above. 2) An Advantaged enemy may follow by discarding any one card from the Leader’s hand (or a Full Throttle counter), then immediately performing steps (a) through (c) above. Note that if you climb, this means the Advantaged aircraft must discard two cards, one to follow you and one to gain altitude. 3) If the enemy Element chooses not to follow, it stays at its current altitude and reverts to Neutral position. ▶ If either aircraft in your Element is Damaged such that its altitude exceeds its Ceiling [5.2.7], your Element must Dive during the Altitude Step. 8.2.2 Vertical Roll To change altitude during your Leader Step, play a VERTICAL ROLL card: Follow steps (a) through (e) above, except that any Advantaged or Tailing enemy aircraft that follows your altitude change must discard an additional card in order to do so—an Element can never “freely” follow an altitude change due to a VERTICAL ROLL. This penalty is cumulative with that described in Rule 8.2.1(e)(2) above, e.g., an Advantaged enemy must discard a total of three cards to follow you if you climb with a VERTICAL ROLL. NOTE: A Wingman may not play a VERTICAL ROLL as an Attack card; it is so marked [see 10.2(d)]. 8.2.3 Stopping a Vertical Roll An Advantaged or Tailing Leader (only) may play his own VERTICAL ROLL or an ACE PILOT card in response to stop a VERTICAL ROLL played by the Engaged enemy Leader to change altitude. NOTE: A VERTICAL ROLL card played as a Response never causes an altitude change. 8.2.4 Effect on Position If the enemy changes altitude to follow your Disadvantaged or Tailed Element, adjust their altitude to conform to yours, maintaining position. If they choose not to change altitude with you, the enemy Element loses position and reverts to Neutral at its current altitude. You cannot attack other enemy aircraft at your new altitude. If you have another VERTICAL ROLL, however, you could play it to return to your original altitude, then play additional Attack cards against the Leader with which you had been Engaged. 8.3 Altitude Effects on Ratings As previously described in Rules 5.2.3 and 5.4.2, altitude affects Horsepower and Wingman Combat ratings. 8.3.1 Horsepower Ratings Altitude affects Horsepower as follows: - At Low or Very Low Altitude, add one to the Horsepower rating. - At Medium Altitude, Horsepower is unchanged. - At High Altitude, subtract one from the Horsepower rating (unless Turbocharged). - At Very High Altitude, subtract two from the Horsepower rating (subtract only one if Turbocharged). 8.3.2 Wingman Combat Ratings Altitude affects Wingman Combat ratings as follows: - At Medium Altitude and below, Combat ratings are unchanged. - At High Altitude, subtract one from the Defensive rating (unless Turbocharged). - At Very High Altitude, subtract one from both the Offensive and Defensive ratings (subtract one from only the Defensive rating if Turbocharged). 9.0 FIRING Play In My Sights and Out Of The Sun cards (i.e., fire Bursts) to score Hits on an opposing aircraft. Every In My Sights and Out Of The Sun card requires the use of from one to three Bursts as specified on the card. A Leader can divide its Bursts into several In My Sights and/or Out Of The Sun cards during his turn, as long as the total Bursts used do not exceed the Leader’s Burst (and/or Gunner) rating as modified by its target, their relative Position, and other cards played: - Leaders gain extra Bursts and suffer attack restrictions based on their Position relative to the target Leader. These rules are detailed in the Position section [7.1 and 7.4]. - Leaders may gain extra Bursts when attacking a Wingman or Formation aircraft by playing MANEUVER and/or HALF LOOP cards. - Leaders automatically gain extra Bursts when attacking a Formation aircraft [see 20.4.1]. 9.1 Pilots Firing Most firing attacks are made by an aircraft’s pilot, who points his aircraft at the enemy and uses his fixed forward guns. The Leader’s Burst rating applies while making these attacks. While Neutral, Advantaged, or Tailing, play an In My Sights or Out Of The Sun card during your Leader Step using the number of Bursts specified on the card. This number may not exceed the modified total of Bursts available minus Bursts already expended this turn. Example: Your Bf109 Leader (Burst rating of 1) is Tailing a Yak Leader. During your Leader Step, you play a 3 Burst In My Sights card at the Yak. If you have one, you could then play an additional (1 Burst) In My Sights or Out Of The Sun card. 9.1.1 Changing Position If able, you may fire before and/or after playing other cards to change your position or gain extra Bursts. If your Leader improves his position (even after firing), it immediately gains the additional Bursts granted by the new position or card played. Example: Your Kittyhawk Leader (Burst rating of 1) is Neutral with respect to a MC.202 Leader. During your Leader Step, you play a 1 Burst In My Sights card at the Folgore, then play a MANEUVER card to improve your Position to Advantaged and gain one additional Burst. You then play an additional 1 Burst In My Sights card. 9.1.2 Heavy Guns Heavy Gun markers are used in conjunction with Burst ratings (never by Gunners). Each Heavy Gun marker can only be used once and is then expended. ▶ Play one Heavy Gun marker together with any In My Sights (not Out Of The Sun) card to convert that card to a 2 Burst/3 Hit IMS. Wingmen may only use these markers when attacking Formation aircraft. The Burst requirement to play a “converted” card is the same as if the card had that printed 2 Burst number on it. Discard the used Heavy Gun marker from the game. Example: Your P-39D Leader (Burst rating of 1) begins the game with two Heavy Gun markers, and you have one 1 Burst/1 Hit In My Sights and one 3 Burst/3 Hits IMS cards in your hand. While Neutral, you could play the IMS 1/1 card, but could not use a Heavy Gun marker because you do not have the needed 2 Bursts. Once you become Advantaged, however, you could play either In My Sights card as an IMS 2/3 card by expending one of your Heavy Gun markers (and your allowed 2 Bursts). 9.2 Gunner Attacks When unfavorably Engaged by enemy aircraft, a Leader with a Gunner may return fire during his turns. Unlike the Burst rating, the Gunner rating does not change with relative position. It may only be increased by a ‘G’ rating on a Pilot counter [19.2.6]. While Disadvantaged or Tailed, play an In My Sights or Out Of The Sun card during your Leader Step. The number of Bursts on the card may not exceed the (modified) Gunner rating. Example: Your Bf110 Leader (Gunner rating of 1) is Disadvantaged by a Hurricane Leader. During your Leader Step, you play a 1 Burst In My Sights card at the Hurricane. Your Gunner could not fire any additional Bursts, but if you are able to maneuver to Neutral position or better, you could continue firing using your Burst rating instead. 9.2.1 Evading Gunner Attacks Gunner attacks are treated like any other In My Sights or Out Of The Sun cards, and may be responded to as such. ▶ (OPTIONAL) Decrease position by one when responding to Gunner fire. Design Note: It’s difficult to maintain a good firing solution when dodging fire from a Gunner. 9.2.2 Gunner Responses Gunners may never respond to a response. Once a Gunner’s Attack card is negated, that attack is finished. 9.3 Hits The Attack section of every In My Sights and Out Of The Sun card specifies the damage it may cause. When played successfully, inflict the indicated number of Hits on the target aircraft by placing the appropriate Hit marker on it. Hits are always cumulative, both within a turn and from one Game-Turn to another. 9.3.1 Damaged Aircraft When an aircraft accumulates Hits that equal or exceed its Damage rating on the front (undamaged) side of its card, it is now Damaged, and will lose some of its effectiveness. Flip the Aircraft card over to its Damaged (saw tooth-bordered) side to reflect its new status, retaining any accumulated Hits. 9.3.2 Destroyed Aircraft An aircraft is shot down when it has accumulated Hits equal to or exceeding the Damage rating on its Damaged side [see Section 11.0]. 9.3.3 In My Sights (Cockpit Hit) In addition to inflicting 1 Hit, place a Cockpit Hit marker on the target Fighter or Light Bomber card. This has additional effects: - Reduce a Leader’s Performance rating by 1. - Reduce a Wingman’s Offensive rating by 1. Multiple results are cumulative. A Medium or Heavy Bomber is now Out of Formation [17.3.7]. 9.3.4 In My Sights (Engine Hit) If the target is a single-engine aircraft, it is Destroyed. If the target is a Multi-engined aircraft [5.5.4], inflict six (6) Hits instead. 9.3.5 In My Sights (Fuel Tank Hit) The target aircraft is immediately Destroyed. 9.3.6 Heavy Cannons If the Burst or Offensive rating of the firing aircraft has a “+#” indication, add the indicated number of Hits to the Hits caused by each successfully played In My Sights or Out Of The Sun card. 10.0 WINGMEN Each Fighter Leader normally begins the game with a Wingman flying with him. Night Fighters, Rockets, campaign rules, and play balance are some exceptions. 10.1 The Wingman’s Mini-Hand Wingmen do not retain a hand of cards throughout the game like Leaders. Instead, their Attacks and Responses come from a temporary “mini-hand” drawn during the Wingman Step or when attacked. 10.1.1 Wingman Attacks If your Wingman will attempt to attack during the Wingman Step of your turn, first designate the target [see Section 10.3]. Then draw a mini-hand equal to your Wingman’s Offensive rating, modified by altitude [per 8.3.2]. 10.1.2 Wingmen Defending When an opponent announces he is attacking your Wingman and first plays an Attack card, draw a mini-hand equal to your Wingman’s Defensive rating, modified by altitude [per 8.3.2]. Play Note: To reduce the frequency of reshuffling, do not draw a mini-hand just because an enemy Wingman announces an attack on your Wingman. Quite often, your opponent will not draw any usable Attack cards, so no attack will be made and no Responses are possible. 10.2 General Rules for Wingmen Wingmen generally attack and respond in the same manner as Leaders, but there are some differences: a) Wingmen are restricted in whom they may attack [see Section 10.3]. b) A Wingman has no Burst limits when it attacks. You may play all the In My Sights and Out Of The Sun cards you draw during your Wingman Step. c) When your Wingman successfully attacks an enemy Leader with a Maneuver, Half Loop, Full Throttle, or Scissors card, improve your Leader’s position with respect to that enemy Leader. d) Wingmen cannot play Clouds and Vertical Roll cards as Attack cards. 10.3 Eligible Targets for Wingmen a) If your Leader is Engaged, your Wingman may only attack that Engaged enemy Leader or his Wingman. b) If your Leader is Neutral, your Wingman may attack any Unengaged enemy Leader, any Leader without a Wingman that is Advantaged or Tailing, or any Wingman. The target must, of course, be at your Element’s altitude. 10.4 Wingmen Attacking Leaders Attack an enemy Leader during your Wingman Step using the following procedure. a) Declare which enemy Leader at the same altitude you are attacking. b) Draw your Wingman’s mini-hand based on his Offensive rating and the altitude. c) Play an Attack card and respond just as with a Leader, as modified by Section 10.2. d) Continue playing Attack and Response cards in the same manner as long as desired. e) Discard any unplayed cards at the end of the Wingman Step. 10.4.1 Maneuvering If the enemy Leader does not respond to a Maneuver, Half Loop, Full Throttle, or Scissors card, or your Wingman successfully responds to his responses (i.e., is the last one to play a card), adjust your own Leader’s position relative to the targeted enemy Leader as indicated on the card. 10.4.2 Firing If the enemy Leader does not respond to an In My Sights and Out Of The Sun card, or your Wingman successfully responds to his responses, inflict Hits upon the enemy Leader normally. Example: Your P-38J Leader at High altitude is being Tailed by an Fw190A-6 Leader. You declare your Wingman (Offense rating of 2) will attack the 190 Leader and draw two cards, a 3 Burst In My Sights and a Maneuver. You decide to play the Maneuver first. The German player does not respond, so your Leader is now Disadvantaged. You then play the In My Sights card, to which he responds with a Barrel Roll. Since you have no cards left in your mini-hand with which to respond, your In My Sights card is negated and no Hits are inflicted on the enemy Leader. During your Leader Step, you are able to maneuver the Fw190 Leader to Neutral. Then, during your next Wingman Step, you declare that enemy Leader as your target and again draw two cards, a Half Loop and a Tight Turn. You play the Half Loop, to which the enemy player does not respond, so you adjust your Leader’s position from Neutral to Tailing the 190 Leader. You finish your Wingman Step by discarding the Tight Turn, as it is unplayable. 10.5 Wingmen Attacking Wingmen Fire at an enemy Wingman during your Wingman Step using the following procedure. a) Declare which enemy Wingman at the same altitude you are attacking. b) Draw your Wingman’s mini-hand based on his Offensive rating and the altitude. c) If you have any In My Sights or Out Of The Sun cards, your opponent must draw his Wingman’s mini-hand based on his Defensive rating and the altitude. If you do not have any of these cards, discard your mini-hand—your Wingman Step is over. d) Play an IMS or OOTS Attack card and respond just as with a Leader, as modified by Section 10.2. e) Continue playing firing Attack and Response cards in the same manner as long as desired. f) Both players discard any unplayed cards at the end of the Wingman Step. 10.5.1 Maneuvering Not Allowed Wingmen cannot maneuver against an enemy Wingman, so you cannot play a Maneuver, Half Loop, Clouds, Full Throttle, Scissors, or Vertical Roll Attack card against one. You may, however, play White- as well as Blue-bordered cards when responding to an enemy Wingman’s response. Example: Continuing the previous example, your P-38 Leader is still Tailing the Fw190 Leader at High altitude when your next turn begins. This time, you declare your Wingman will attack the 190 Wingman and draw two cards, a 2 Burst Out Of The Sun and a Maneuver. Your opponent (Defense rating of 3, reduced by one at High altitude) draws two In My Sights cards. You cannot play the Maneuver against a Wingman, so you play the Out Of The Sun card. Since he cannot respond, you inflict 3 Hits on the Focke-Wulf. Both of you then discard your remaining mini-hand cards. 10.6 Leaders Attacking Wingmen If you are Neutral with respect to an enemy Leader at the same altitude, you may attack that Leader’s Wingman with your Leader. 10.6.1 Declaring the Attack You must have at least one In My Sights or Out Of The Sun card in your Leader’s hand to declare an attack on a Wingman. Once you have declared the attack, the opposing player must draw his Wingman’s mini-hand based on his Defensive rating and the altitude. 10.6.2 Bursts Relative position does not change the number of Bursts allowed when attacking a Wingman. Instead, you may play Maneuver and/or Half Loop cards to increase the number of Bursts you may fire during your Leader Step. When played successfully, - A Maneuver increases your Bursts by one, and - A Half Loop, increases your Bursts by two. Unlike Leader vs. Leader combat, you are not limited to gaining, at most, three additional Bursts. When attacking a Wingman, the number of Bursts your Leader may fire is equal to your Burst rating plus all gains from successfully playing Maneuver and Half Loop cards. Example: Continuing the previous example, during your Leader Step, you decide to voluntarily give up your Tailing position so you may attack the 190 Wingman in hopes of Damaging him. But you have only a 2 Burst In My Sights fire card, and your P-38’s Burst rating is 1. You must successfully play a Maneuver card to gain one additional Burst. Fortunately, you have one, to which the Wingman does not respond. This increases your Burst rating by 1, allowing you to play the 2 Burst card. The enemy player responds with a Full Throttle, to which you cannot respond—rats! 10.6.3 Gunners vs. Wingmen A Gunner may attack an enemy Wingman only if that Wingman’s Leader is currently Advantaged over or Tailing the Gunner’s aircraft. Normal rules for a Gunner Attack apply [9.2]. 11.0 DESTROYED AIRCRAFT 11.1 Wingman Destroyed When your Wingman is shot down, place its card off to the side for later use in determining victory [4.9.3]. 11.2 Leader Destroyed When your Leader is shot down, assume full control of your Wingman (if any) by “promoting” him to Leader: a) Discard your current hand of cards. b) Remove all Hit markers from the Leader card. c) Retain all Hits and Damage status when your Wingman is converted to Leader by moving any Hit markers currently in effect on your Wingman to the matching side of your Leader card. d) Move any Aircrew, Full Throttle, and Heavy Gun counters from your Wingman to your Leader card. e) Place your Wingman card off to the side for later use in determining victory [4.9.3]. f) Draw a new hand of Action cards equal to your new Leader’s Performance rating minus one. Design Note: This Performance reduction reflects the Wingman’s “shock” at having seen his Leader shot down, and is a one-time penalty. The new Leader uses the printed Performance rating in future turns. If your Leader is shot down after the Wingman Step of your turn (e.g., due to Target Flak [22.2] or return fire from a Formation aircraft [20.5.3]), your newly-“promoted” ex-Wingman does not get a Leader Step this turn. 12.0 DISENGAGEMENT There may be times when running from a fight is your best course of action. Many fighter pilots living today are alive because they knew when to “get out of Dodge.” 12.1 Voluntary Disengagement You may attempt to remove your Element from combat through Voluntary Disengagement. Perform this action during the Leader Step instead of playing cards. a) Draw one card from the Draw Pile. b) Find the card under the “Card Drawn” column of the Disengagement Table on the back of this Rulebook and note the Level. c) Check the list of Level Modifiers below the table and sum all that apply—these modifiers are cumulative. d) Adjust the Level determined in step (b) up or down by the total modifier derived from step (c). e) Apply the result for the modified Level. If you have a Wingman, repeat this procedure for him. 12.2 Clouds If your Leader successfully plays a Clouds card as an Attack during the last Game-Turn of the game, your Element must immediately disengage. 13.0 BALANCING A DOGFIGHT You can balance a dogfight in one of several ways. 13.1 Balance Values Give the difference in Balance Values as Victory Points to the player with the lower-valued Fighters. Example: An element of P-38Js (11 points) and an element of P-47Ds (13) oppose an element of Bf109Gs (9) and an element of Fw190As (10). The Germans get a bonus of (24 – 19 =) 5 VPs. You can also use these values to create “balanced” dogfights. When the number of aircraft and total Balance Values of each side are equal, the game should be very balanced. 13.2 Quality vs. Numbers Give one side more Elements than the other, with each side’s total Balance Values being equal. 13.3 Lone Leaders Give one or more players a Leader but no Wingman in one or more Elements, with each side’s total Balance Values being equal. 13.4 Pilot Counters Give the side with the lower total Balance Value a pilot with bonus ratings for one or more of its Leader aircraft. Consider each Skill rating on a pilot counter to be worth one point of Balance Value. NOTE: Don’t confuse this with the VPs gained for shooting down an aircraft with a Skilled Pilot in the Campaign Game. This is for game balance only, not VPs. See the section on Skilled Pilots in the Campaign Book [19.2] for details on how these ratings affect your aircraft’s capabilities. 14.0 EXTENDED EXAMPLE OF PLAY This example of a small dogfight between Al (the Allied player) and Axel (the Axis player) illustrates the Dogfight Game concepts and sequence of play. You are encouraged to get out the cards and markers, set up this battle, and follow along so that you may better visualize the action. 14.1 Setup The players choose to pit an Element of MC.202s vs. an Element of P-47C-5 Fighters. NOTE: This is a very unbalanced Dogfight, but these aircraft provide the greatest possible scope to illustrate the rules. 14.2 Initial Altitudes Both players secretly choose High as their starting altitude. Since the Thunderbolts are Turbocharged, the Allied player (only) could have chosen Very High. 14.3 Initial Hands Each side draws six cards for its Leader’s starting hand: \| MC.202 \| P-47C \| \|------------------\|----------------\| \| MANEUVER \| MANEUVER \| \| MANEUVER \| IMS 1B/2H \| \| IMS 1B/Cockpit Hit\| IMS 2B/2H \| \| IMS 1B/1H \| OUT OF THE SUN 3B/4H \| \| Vertical Roll \| Clouds \| \| Tight Turn \| Scissors \| Note that altitude affects Horsepower but not Performance, so initial hand size is unchanged. In addition, each of the P-47s starts with one Full Throttle (FT) marker, and the MC.202 Leader starts with an Agile marker. 14.4 Play Order Axel wins the flip of the Turn marker and goes first. 14.5 Turn 1 14.5.1 Axis Player-Turn a) Wingman Step: Because this is the first player-turn of Turn 1, Axel skips his Wingman Step. b) Altitude Step: Axel elects to stay at High altitude with his Macchis. c) Leader Step: With a strong offensive hand, Axel chooses to attack the P-47 Leader to put it at a disadvantage and bring his guns to bear. He begins by playing a MANEUVER card, to which Al decides not to respond. The Italian Leader becomes Advantaged over the American. Adding the +1 Burst for being Advantaged to his Leader’s rating of 0, Axel now has one Burst available and plays his In My Sights 1 Burst/Cockpit Hit card. Al again chooses to hold onto his FT marker, and his Leader takes 1 Hit and places the appropriate markers on his Leader’s card to track this damage. His Performance is now reduced by 1 to 5, but he may still retain six cards in his hand for now. Axel plays another MANEUVER card, and when Al again declines to respond, the Axis position improves to Tailing. Axel plays his IMS 1B/1H, again Al doesn’t respond, and the Hits on the P-47 increase to 2. d) Discard Step: Because he only has two cards left and his Performance/hand capacity is six, Axel elects not to discard. e) Draw Step: The Folgore’s Horsepower rating is 2, but this is reduced by one at High altitude, so Axel can only draw one card. He draws an IMS 1B/1H. 14.5.2 Allied Player-Turn a) Wingman Step: Confident in his Leader’s ability to extricate himself, Al announces his Wingman is attacking the Italian Wingman. He draws two cards (a MANEUVER and an IMS 2B/2H), and because at least one of them is playable in this situation, he advises Axel he must draw his Wingman’s Defensive mini-hand. Although the Folgore’s Defensive rating is 2, this is reduced by one at High Altitude. Axel draws a BARREL ROLL. Al plays the IMS card, and Axel responds with his BARREL ROLL. Al cannot respond to the BARREL ROLL, so his attack fails. He discards the MANEUVER (of no use in a Wingman-on-Wingman attack) to end the step. b) Altitude Step: Since his Turbochargers give him an advantage at High altitude, Al elects to stay there. c) Leader Step: Al announces he is attacking Axel’s Leader and finally plays his Full Throttle marker. Axel says he declines to respond (he has no response to a FULL THROTTLE, but there’s no need to tell Al this!), so Al improves his position from Tailed to Disadvantaged. Now Al can play his Scissors, and though the MC.202 is Agile, this ability only applies during its own turn. Again there is no response, so positions are reversed and Al’s Leader is now Advantaged. Al could play his IMS 2B card but, hoping to improve his position further and finish off the Italian, he plays the IMS 1B/2H card instead. Fearing worse is to come, Axel declines to play either of his available response cards and accepts the 2 Hits. Al next plays his Maneuver, planning on improving his position to Tailing so he can play his Out Of The Sun card. But when Axel responds with his Tight Turn, Al is stymied. d) Discard Step: Wanting to keep all three of his cards, Al declines to discard. e) Draw Step: Although the Thunderbolt’s Turbocharger allows it to still draw equal to its Horsepower of 3 at High altitude, the Cockpit Hit has reduced Performance to 5 and Al draws only two cards (Maneuver and Scissors). ### 14.5.3 Final Step Advance the Turn marker into the Turn 2 space. ### 14.6 Turn 2 The players now have the following cards: \| MC.202 \| P-47C \| \|-----------------\|------------------\| \| IMS 1B/1H \| Maneuver \| \| Vertical Roll \| IMS 2B/2H \| \| \| Out Of The Sun 3B/4H \| \| \| Clouds \| \| \| Scissors \| #### 14.6.1 Axis Player-Turn a) Wingman Step: Hoping to help his Leader, Axel announces his Wingman will attack Al’s Leader. He draws and plays an IMS 3B/3H. Unable to respond, Al incurs 3 more Hits, flipping his Leader’s card over to its Damaged side. b) Altitude Step: Needing more cards, Axel elects to dive to Medium altitude and draws one card (an OotS 2B/3H). Though Damaged, Al wants to remain Advantaged on the Italians, discards a card to do so (the Clouds), and descends to Medium altitude as well. Even though his Performance is now reduced to 3, he can still draw one card for doing so (a Chop Throttle). c) Leader Step: Hoping he can turn the tables on the P-47s, Axel uses the Folgore’s Agile ability to play his OotS card as a Scissors. Al responds by playing his own Scissors. Thwarted, Axel now plays his Vertical Roll to dive to Low altitude. Unable to respond to cancel this card but determined not to let go, Al must discard two cards to follow (one for being Advantaged and one to follow a VR), and does so. Axel draws a Tight Turn, and after discarding both the IMS and the OotS, Al draws an Ace Pilot. d) Discard Step: Axel elects not to discard. e) Draw Step: Now at Low altitude, Horsepower is increased by 1 and Axel draws three cards (Maneuver, IMS 1B/2H, Tight Turn). 14.6.2 Allied Player-Turn a) Wingman Step: Al announces his Wingman will attack the Italian Leader and draws two cards (IMS 2B/Engine Hit, Scissors). Al plays the IMS, Axel responds with one of his Tight Turns, and Al responds in turn with his Scissors. The IMS attack succeeds, and since the MC.202 is not noted as Multi-engined, it is Destroyed and removed from the game. Axel’s Wingman is now “promoted” to become the new Leader and takes over the Leader card, keeping the Agile marker while discarding the 2 Hits marker. Importantly, the “new” Leader is Neutral. Axel discards the downed Leader’s hand and immediately draws a new hand of five cards (one less than the Performance of 6): Half Loop, IMS 2B/2H, Clouds, Full Throttle, Barrel Roll. b) Altitude Step: Al remains at Low altitude. c) Leader Step: Al leads off by playing a Maneuver, and Axel responds with his Full Throttle. Al responds in turn with his Chop Throttle, and since Axel cannot respond to this, the Thunderbolt Leader improves its position to Advantaged. d) Discard Step: Obviously wanting to keep his Ace Pilot, Al declines to discard. e) Draw Step: Al draws two cards (Maneuver, Scissors). 14.6.3 Final Step Advance the Turn marker into the Turn 3 space. 14.7 Turn 3 The players now have the following cards: \| MC.202 \| P-47C \| \|-----------------\|------------------\| \| HALF LOOP \| MANEUVER \| \| IMS 2B/2H \| SCISSORS \| \| CLOUDS \| ACE PILOT \| \| BARREL ROLL \| \| 14.7.1 Axis Player-Turn a) Wingman Step: Since the Wingman has been shot down, this step is skipped. b) Altitude Step: Axel remains at Low altitude. c) Leader Step: Expecting to turn the tables on the P-47 Leader, Axel first plays his IMS card as a Scissors, only to be thwarted when Al responds with his own Scissors. Undismayed, Axel then plays his Half Loop. But Al is able to respond by playing the only card that responds to a Half Loop, an Ace Pilot. Stymied and in a bad position facing an unscathed enemy Wingman, Axel looks to evade by playing his Clouds, to which Al cannot respond. Successful, the Italian Leader reverts to Neutral and receives a Clouds marker. Axel must secretly choose the altitude at which he will end his next Altitude Phase, and hides a Very Low Altitude marker under his Aircraft card. He skips the last two steps of his turn. This concludes the example, although this dogfight would continue to the end of Turn 6 (unless one side is completely eliminated or disengages first). DOG FIGHT SEQUENCE OF PLAY Wingman Step If you are at the same Altitude as an enemy unit or Formation, choose and announce a target for your Wingman. Draw a “mini-hand” equal to the Offensive Rating and resolve the attack. EXCEPTION: On the first Game-Turn, the first unit (only) skips this step. Altitude Step ▶ Remove Clouds marker, if any, and adjust your altitude to match that selected. Otherwise, your unit may change altitude up or down to an adjacent level. Leader Step Target an enemy aircraft at the same altitude and play cards one at a time from your Leader’s hand. The enemy player has the opportunity to respond immediately to each card as it is played against him. You may then respond to his card, and so on, until one of you elects not to respond further. You may then play a card to initiate a new action against the same target. Instead of playing cards, you may choose to voluntarily Disengage at this time [12.1]. Discard Step Discard as many cards from your Leader’s hand as you like. Draw Step You may draw cards to refill your Leader’s hand [5.2.3]. ▶ Final Step After the completion of all player turns, advance the Turn marker one space. --- ▶ Disengagement Table [12.0] Conduct a Disengagement Check for each aircraft that exits before the end of a Mission or Mission Segment. \| Level \| Card Drawn \| Result \| \|-------\|-----------------------------\|----------------------\| \| A \| IN MY SIGHTS (Engine/Fuel Tank) \| Destroyed \| \| B \| OUT OF THE SUN \| Destroyed \| \| C \| IN MY SIGHTS (3B) \| Damaged¹ \| \| D \| IN MY SIGHTS (other 2B) \| Damaged² \| \| E \| IN MY SIGHTS (1B) \| Damaged² \| \| F \| CLOUDS \| Safe Escape \| \| G \| MANEUVER \| Safe Escape \| \| H \| HALF LOOP \| Safe Escape \| \| I \| Any other card \| Safe Escape \| \| J \| ACE PILOT \| Safe Escape \| ¹ If aircraft is already Damaged, treat as Destroyed. ² If aircraft is already Damaged, treat as Safe Escape. LEVEL MODIFIERS \| Conditions when Disengaging \| Adjustment \| \|-----------------------------\|------------\| \| Position (Wingman uses its Leader’s position) \| \| \| Tailing \| Down 2 Levels \| \| Advantaged \| Down 1 Level \| \| Neutral \| No adjustment \| \| Disadvantaged \| Up 1 Level \| \| Tailed \| Up 2 Levels \| \| No enemy Fighters at the same altitude \| Down 3 Levels \| \| ▶ Leadership (same aircraft type only) \| Down 1 Level \| \| Damaged \| Up 1 Level \| \| ▶ Night (Day Fighter only) \| Up 1 Level \| \| Fuel Disengagement (day) \| Up 1 Level \| \| ▶ Fuel Disengagement (night)\| Up 2 Levels \| Other than Air Combat Missions (Strike aircraft only): \| Game-Turn \| Adjustment \| \|-----------\|------------\| \| Target-Bound and 5+ Turns completed \| Up 1 Level \| \| Home-Bound and 6+ Turns to go \| Up 1 Level \| \| Aircraft is a Heavy Bomber \| Down 1 Level \| --- Action Card Manifest \| Action Card \| Quantity \| \|-------------\|----------\| \| HALF LOOP \| 3 \| \| MANEUVER \| 21 \| \| IN MY SIGHTS\| \| \| 1B/1H \| 11 \| \| 1B/2H \| 5 \| \| 1B/Cockpit Hit \| 2 \| \| 2B/2H \| 7 \| \| 2B/3H \| 2 \| \| 2B/Engine Hit \| 1 \| \| 2B/Fuel Tank Hit \| 1 \| \| 3B/3H \| 4 \| \| OUT OF THE SUN \| \| \| 1B/2H \| 2 \| \| 2B/3H \| 2 \| \| 3B/4H \| 1 \| \| CLOUDS \| 2 \| \| FULL THROTTLE \| 5 \| \| SCISSORS \| 6 \| \| VERTICAL ROLL \| 5 \| \| ACE PILOT \| 4 \| \| BARREL ROLL \| 10 \| \| CHOP THROTTLE \| 4 \| \| TIGHT TURN \| 12 \| Bombing, Strafing, and Spoiled Attacks - Bombing Results: 6 Vital, 23 Direct, 52 Hit, 29 Miss - Strafing Results: 63 Hit, 47 Miss - Spoiled Attacks: 17 Normal (incl 4 IMS, 1 OoTS), 5 Special (incl 1 IMS)
“A STUDY ON CUSTOMER SATISFACTION TOWARDS FLIPKART” PROJECT REPORT Submitted to Bharathiar University in partial fulfillment of the requirements for the award of the degree of commerce with E-commerce Submitted by HARSHINI .S (REGNO.182AD0017) Under the guidance of MRS.P.JAYAPRADHA (M.com,PGDCA,M.Phil,NET) DEPARTMENT OF COMMERCE WITH ECOMMERCE SNMV COLLEGE OF ARTS AND SCIENCE (AFFLIATED TO BHARATHIAR UNIVERSITY) Shri Gambhirmal Bafna Nagar Malumachampatti Coimbatore-641050 2018-2021 SNMV COLLEGE OF ARTS AND SCIENCE (Re-accredited with "A" Grade by NAAC) DEPARTMENT OF COMMERCE WITH ECOMMERCE Shri Gambhirmal Bafna Nagar, Malumchampatti, Coimbatore-641050 (Affiliated to Bharathiar University) This is to certify that the project entitled “A STUDY ON CUSTOMER SATISFACTION TOWARDS FLIPKART” Is a Bonafide record done by HARSHINI.S (REG NO 182AD0017) Submitted to partial fulfillment of the requirements of the award of the degree BACHELOR OF COMMERCE WITH ECOMMERCE of the Bharathiar University Date: 31.3.2021 Place: Coimbatore Signature of the Guide Head of the department Principal Submitted to the viva voice examination held on 31/03/2021 Coimbatore 641 050 Scanned by TapScanner DECLARATION This is to certify that project work entitled “A STUDY ON CUSTOMER SATISFACTION TOWARDS FLIPKART”, submitted to Bharathiar University in partial fulfillment of the requirement for the award of the degree of “BACHELOR OF COMMERCE WITH ECOMMERCE”, is a record of original research work done by HARSHINI.S during the period of the study in department of Commerce with E-commerce studies and research at SNMV COLLEGE OF ARTS AND SCIENCE affiliated to Bharathiar University, under the guidance and that this project has not formed the basis for the award of my Degree/Diploma/Association/Fellowship or similar title to any candidate of any University. PLACE: COIMBATORE DATE: Signature of the Candidate HARSHINI.S (REG.NO182AD0017) SNMV COLLEGE OF ARTS AND SCIENCE DEPARTMENT OF COMMERCE WITH E-COMMERCE Shri Gambhrimal Bafna Nagar, Malumachampatti, Coimbatore - 641050. (AFFILIATED TO BHARATHIAR UNIVERSITY) This is certify that, project entitled “A STUDY ON CUSTOMER SATISFACTION TOWARDS MI IN COIMBATORE CITY” Is a bonafied record done by SenthilKumar.S (REG NO: 182AD0042) Submitted in partial fulfillment of the requirement for the award of the degree Bachelor of Commerce with information Technology of the Bharathiar University Place: Coimbatore Date: 31-3-2021 Signature of the Guide Head of the department Principal Submitted for the viva voce examination held on Internal examiner External examiner 31.03.2021 Scanned by TapScanner A STUDY ON CUSTOMER PERCEPTION TOWARDS MI IN COIMBATORE CITY PROJECT REPORT Submitted to Bharathiar University partial fulfillment of the requirement for the award of the degree Bachelor of Commerce with Ecommerce Submitted by SENTHILKUMAR .S (Reg no: 182AD0042) Under the guidance of Miss. K. PRINCY HEBSHIBHA (MCOM(CA), M.Phil., Ph.d) DEPARTMENT OF COMMERCE WITH ECOMMERCE SNMV COLLEGE OF ARTS AND SCIENCE (AFFILIATED TO BHARATHIAR UNIVERSITY) (ACCREDITED WITH “A” GRADE BY NAAC) Shri Gambhrimal Bafna Nagar, Malumachampatti, Coimbatore - 641050. 2018 – 2021 DECLARATION This is to certify that project work entitled "A STUDY ON CUSTOMER SATISFACTION TOWARDS MI IN COIMBATORE CITY", Submitted to Bharathiar University partial fulfillment of the requirement for the award of the degree "Bachelor of Commerce with E-commerce", is a record of original research work done by Senthilkumar.S during the period of the study in Department of commerce with Information Technology studies and research at SNMV College of Arts and Science affiliated to Bharathiar University, under the guidance and that this project has not formed the basis for the award of my Degree/Diploma Association/Fellowship or similar title to any candidate of any University. __________________________ Signature of the guide __________________________ signature of candidate SenthilKumar.S (REG.No:182AD0042) "A STUDY ON CUSTOMER SATISFACTION TOWARDS AMAZON PRODUCTS WITH SPECIAL REFERENCE IN COIMBATORE CITY PROJECT REPORT Submitted to bharathiar university in partial fulfilment of the requirements for the award of the degree of commerce with ecommerce Submitted by B.SRIREKHA (REGNO 182AD0046) Under the guidance of MS.K.PRINCY HEBSHIBHA (MCOM(CA),M.PHILL.,(PHD)) SHRI NEHRU MAHA VIDYALAYA COIMBATORE TRIOU ART ONE - UNITY IS OUR HERITAGE COLLEGE OF ARTS & SCIENCE Estd 1989 DEPARTMENT OF COMMERCE WITH ECOMMERCE SNMV COLLEGE OF ARTS AND SCIENCE (AFFILIATED TO BHARATHIAR UNIVERSITY) Shri Gambhirmal bafna nagar Malumachampatti Coimabatore-641050 2018-2021" SNMV COLLEGE OF ARTS AND SCIENCE (Re-accredited with "A" Grade by NAAC) DEPARTMENT OF COMMERCE WITH ECOMMERCE Shri Gambhirmal Bafna nagar, malumchampatti, combatore-641050 (Affiliated to bharathiar university) This is to certify to, the project entitled "A STUDY ON CUSTOMER SATISFACTION TOWARDS OF AMAZON PRODUCT WITH SPECIAL REFERENCE IN COIMBATORE CITY" Is a bonafide record done by B.SRIREKHA (REG NO 182AD0046) Submitted to partial fulfilment of the requirements of the award of degree BACHEOR OF COMMERCE WITH ECOMMERCE OF Bharathiar university Place: Coimbatore Date: 31.3.2021 signature of the guide Head of the department principal Submitted to the viva voice examinations held on 31.3.2021 Internal examiner External examiner Coimbatore 641 050 Scanned by TapScanner DECLARATION I hereby declare that the field work entitled of “A Study on the level of Customer Satisfaction towards AMAZON product in Coimbatore city submitted to the BHARATHIARUNIVERSITY, in partial fulfillment off the award for the degree of BACHELOR OF COOMERCE WITH ECOMMERCE is a record of an original work done by B.SRIREKHA during the period of study in department of commerce with ecommerce studies and research at SNMV arts and science college affiliated by bharathiar university Under the guidance of and this project work is similar project is candidate off university. Place: Coimbatore Date: 31.3.2021 Ms.K. PRINCY HEBSHIBHA, (MCOM (CA),M.Phil.,(Phd)) Faculty guide Signature of candidate B.SRIREKHA (Reg.no . 182AD0046) This is to certify that KIRUBAKARAN.S (Reg No: 1822J1151) of Final year B.C.A student from SNMV college of arts and science, malimachampatti been successfully completed his project work in our concern under the title “WEBSITE FOR MULTIBRAND FC FOOTWEAR SYSTEM” during the period from DECEMBER 2020 TO MARCH 2021. For HUSH PUPPIES Proprietor This is to inform you that your student Ms.G.SANGEETHA (1822J1176) doing final year BCA in SHRI NEHRU MAHA VIDYALAYA COLLEGE OF ARTS AND SCIENCE, COIMBATORE has Successfully Completed her project work in our concern under the title "CLOUD BASED MULTI SOFTWARE SHARING" during the period from DECEMBER 2020 TO MARCH 2021. FOR AES TECHNOLOGIES PVT LTD MANAGER This is to inform you that your student Mr.S.SATHISH KUMAR (1822J1180) doing final year BCA in SHRI NEHRU MAHA VIDYALAYA COLLEGE OF ARTS AND SCIENCE, COIMBATORE has Successfully Completed his project work in our concern under the title “VEGETABLE SHOP INFORMATION SYSTEM” during the period from DECEMBER 2020 TO MARCH 2021. For AMMAN VEGETABLE MERCHANTS Authorized Signature No 88/91 Vegetable Commission Mundy, Gandhi Market, Pollachi - 642001 Mobile : 8248395566 / 7867881060 This is to inform you that your student Ms.NARMATHA .N(1822J1161) doing final year BCA in SHRI NEHRU MAHA VIDYALAYA COLLEGE OF ARTS AND SCIENCE, COIMBATORE has Successfully Completed her project work in our concern under the title “DYNAMIC HOSTEL AUTOMATION SYSTEM” during the period from DECEMBER 2020 TO MARCH 2021. FOR WEBCARE TECHNOLOGIES MANAGER A STUDY ON PROFITABILITY ANALYSIS OF TATA STEEL LTD IN COIMBATORE DISTRICT Project report submitted to the Bharathiar university Coimbatore, in partial fulfilment of the requirements for the award of the degree of BACHELOR OF COMMERCE WITH BANKING AND INSURANCE Submitted by P.R. RAMYA (Reg.No:182AB0033) Under the guidance of Mr. P. JAGATHEESH, M. Com, M.Phil., MBA, (Ph.D.) Assistant Professor Department of Commerce with Banking and Insurance DEPARTMENT OF COMMERCE WITH BANKING AND INSURANCE SNMV COLLEGE OF ARTS AND SCIENCE Affiliated to Bharathiar University, Coimbatore Shri Gambhirmal Bafna Nagar, Malumachampatti. COIMBATORE -641018 MARCH – 2021 CERTIFICATE This is to certify that the project report, entitled "A STUDY ON PROFITABILITY ANALYSIS OF TATA STEEL LTD IN COIMBATORE DISTRICT" submitted to the SNMV College of Arts and Science, in partial fulfilment of the requirement for the award of the Degree of Bachelor of Commerce With Banking and Insurance is a record of original project report done by P.R.RAMYA, during the period 2020 - 2021 of her project report in the UG Department of Commerce, SNMV College of Arts and Science, Coimbatore under my supervision and guidance and the project report has not formed the basis for the award of any Degree / Diploma / Associateship /Fellowship or other similar title to any candidate of any university. Place: Coimbatore Date: 31/03/2021 Signature of the guide Signature of the HOD Signature of the Principal INTERNAL EXAMINER EXTERNAL EXAMINER This is to certify that P.R. RAMYA., Reg.No.182AB0033 final year B.com Banking and Insurance student of Sree Nehru Maha Vidyalaya Arts and Science college, Coimbatore. She undertook field work training in our esteemed concern from 16.01.2021 to 17.02.2021. During this period her conduct and character found Good. We wish good luck in her future endeavors. For TATA STEEL Ltd, D. TAMIL SELVAN Manager [Signature] This is to inform you that Ms.JAMUNARANI.N (1822K2155) doing final year B.SC(COMPUTER SCIENCE) in SHRI NEHRU MAHA VIDYALAYA COLLEGE OF ARTS AND SCIENCE, COIMBATORE has Successfully Completed her project work in our concern under the title “NETWORK BASED ATM PIN THEFT AVOIDING SYSTEM” during the period from DECEMBER 2020 to MARCH 2021. FOR SUBZERO TECHNOLOGIES MANAGER This is to certify that Mr.V.Kishore (Reg.No.1822k2166), a student of Sri Nehru Maha vidyalaya college of arts and science, Coimbatore-28 pursuing his final year Bsc Computer Science had successfully completed his major project in our concern. The Specification of the project is under mention. Project Title: ONLINE ART GALLERY Platform: Windows 10 Programming: php Database: MySql IDE: Notepad editor This is to certify that Mr. BHAVANANTHU.J (Reg No:1822K2145) of Final year B.Sc(Computer Science) student from SHRI NEHRU MAHA VIDYALAYA COLLEGE OF ARTS AND SCIENCE, COIMBATORE is doing his PHP project in our concern under the title “ONLINE STOCK MARKET QUERY AGGREGATION” during the period from DECEMBER 2020 to MARCH 2021. FOR APPSCODE TECHNOLOGIES Authorized Signatory This is to inform you that Ms.MANJULAVANYA.A (1822K2174) doing final year B.SC(COMPUTER SCIENCE) in SHRI NEHRU MAHA VIDYALAYA COLLEGE OF ARTS AND SCIENCE, COIMBATORE has Successfully Completed her project work in our concern under the title “COURSE MANAGEMENT SYSTEM” during the period from DECEMBER 2020 to MARCH 2021. FOR NEWDAY TECHNOLOGIES MANAGER This is to inform you that Ms.ARTHI.R (1822K2141) doing final year B.SC(COMPUTER SCIENCE) in SHRI NEHRU MAHA VIDYALAYA COLLEGE OF ARTS AND SCIENCE, COIMBATORE has Successfully Completed her project work in our concern under the title “COURIER SERVICE MANAGEMENT SYSTEM” during the period from DECEMBER 2020 to MARCH 2021. FOR DSK COURIER SERVICES MANAGER This is to inform you that Mr.PRABHAKARAN.T (1822K2191) doing final year B.SC(COMPUTER SCIENCE) in SHRI NEHRU MAHA VIDYALAYA COLLEGE OF ARTS AND SCIENCE, COIMBATORE has Successfully Completed his project work in our concern under the title “CERTIFICATE VERIFICATION PORTAL” during the period from DECEMBER 2020 to MARCH 2021. FOR CRYTRONIX TECHNOLOGIES Authorized Signatory This is to inform you that MR. R. NETHAJI (1822K2186) doing final year B.Sc (COMPUTER SCIENCE) in SHRI NEHRU MAHA VIDYALYA COLLEGE OF ARTS AN SCIENCE, COIMBATORE has Successfully Completed his project work in our concern under the title "HOSTEL ADMINISTRATION IN COMMON PORTAL" during the period from DECEMBER 2020 to MARCH 2021. For BEST SOLUTION Proprietor This is to inform you that Mr. NAVEEN KUMAR.G (1822K2185) doing final year B.SC(COMPUTER SCIENCE) in SHRI NEHRU MAHA VIDYALAYA COLLEGE OF ARTS AND SCIENCE, COIMBATORE has Successfully Completed his project work in our concern under the title “VILLAGE E-FARM LAND DEVELOPMENT SYSTEM” during the period from DECEMBER 2020 to MARCH 2021. FOR SUBZERO TECHNOLOGIES MANAGER This is to certify that Mr. JEEVANANTHAM M(REG.NO:1822K2158) of Final year B.sc (computer science) student from SHRI NEHRU MAHA VIDYALAYA COLLEGE OF ARTS AND SCIENCE, COIMBATORE is doing his ASP.NET PROJECT in our concern under the title “TREVAL AND TOURISM MANAGEMENT” during the period from December-2020 to March-2021. SORTSCRIPT TECHNOLOGIES PVT LTD 759/1, Immanuvel Nager Mettupalayam - 641301 www.sortscript.in This is to certify that Mr.M.Dhinakaran (Reg.No.1822k2147), a student of Sri Nehru Maha vidyalaya college of arts and science, Coimbatore-28 pursuing his final year Bsc Computer Science had successfully completed his major project in our concern. The Specification of the project is under mention. Project Title: Online GST Billing Platform : Windows 10 Programming : Android xml Database : Sqlite IDE : Android editor “A STUDY ON THE MARKETING STRATEGY PRACTISED BY RAJAN TEXTILES, TIRUPPUR” PROJECT REPORT Submitted to Bharathiar University in partial fulfillment of the requirements for the award of the degree of MASTER OF BUSINESS ADMINISTRATION Submitted by ANaida Marie Dcruz Reg No : 1935F0004 Under the guidance of Mrs. S. Rajeshwari BCom (CA),,MBA,,(PhD),, SHRI NEHRU MAHA VIDYALAYA COLLEGE OF ARTS AND SCIENCE (Re-accredited with “A” grade by NAAC) (Affiliated to Bharathiar University) Shri Gambhirmal Bafna Nagar, Malumachampatti Coimbatore-641 050 February 2021 CERTIFICATE This is to certify that project entitled “A STUDY OF HUMAN RESOURCES ACCOUNTING IN INFORMATION TECHNOLOGY SECTORS IN BANGALORE AND ITS IMPACTS ON STRATEGIC HUMAN RESOURCES MANAGEMENT” is a Bona fide record of work done by ANaida Marie Dcruz Reg.No: 1935F0004 Submitted in the partial fulfillment of the requirement for the award of the degree of MASTER OF BUSINESS ADMINISTRATION of Bharathiar University, Coimbatore Date of Viva Voce: 4/2/12 Internal Examiner External Examiner DATE: 07th Jan 2021 ANAI DA MARIE DCRUZ SNMV INSTITUTE OF MANAGEMENT DEAR ANAI DA MARIE DCRUZ, Congratulations on your successful completion of your internship with the WI BAS TEAM, Wipro Infotech effectiveness from 12th July 2020 to 06th Jan 2021. Your contribution in Performances management, Training and Development, Recruitment & Onboarding under the guidance of Mr. Anoop P Nair is highly appreciated. This is purely on academic project work allocated to Ms. Anaida marie dcruz, which would be on, “NO PAY NO FEE Basis.” We wish you all the very best in your career ahead! With regards, For WIPRO LIMITED Abanith Viswam Senior Divisional HR Manager, WI-BAS "A STUDY ON THE SATISFACTION OF EMPLOYEES IN HOSPITAL" PROJECT REPORT Submitted to Bharathiar University in partial fulfillment of the requirements for the award of the degree of MASTER OF BUSINESS ADMINISTRATION Submitted by ACHSAH K BYJU Reg No: 1935F0002 Under the guidance of Dr. S SUDHAKAR SHRI NEHRU MAHA VIDYALAYA COLLEGE OF ARTS AND SCIENCE (Re-accredited with "A" grade by NAAC) (Affiliated to Bharathiar University) Shri Gambhirmal Bafna Nagar, Malumachampatti Coimbatore-641 050 February 2021 SHRI NEHRU MAHA VIDYALAYA COLLEGE OF ARTS & SCIENCE (Re-accredited with ‘A’ Grade by NAAC) DEPARTMENT OF MASTER OF BUSINESS ADMINISTRATION Shri Gambhirmal Bafna Nagar, Malumachampatti, Coimbatore-641021 CERTIFICATE This is to certify that project entitled “A STUDY ON THE SATISFACTION OF EMPLOYEES IN HOSPITAL” is a Bona fide record of work done by ACHSAH K BYJU Reg. No: 1935F0002 Submitted in the partial fulfillment of the requirement for the award of the degree of MASTER OF BUSINESS ADMINISTRATION of Bharathiar University, Coimbatore Faculty Guide Date of Viva Voce: 04/02/2021 Internal Examiner Director – MBA Principal External Examiner This is to certify that, Ms. ACHSAH D/o. Mr. Byju Varghese Gudalur, bearing Reg. No. 1935F0002, doing I\textsuperscript{st} Year MBA (2019 – 2021) student Of Sree Nehru Maha Vidyalaya Institute of Management Coimbatore, had completed a month in-plant training in our Hospital from 20\textsuperscript{th} October 2020 to 20\textsuperscript{th} November 2020. During above tenure with us, her attitude and pleasant manner makes her excellent candidate. Her character and conduct was found to be good. I wish all success in her future endeavours. The Administrator, Pushpagiri Hospital, Gudalur. “A STUDY ON RECRUITMENT AND SELECTION PROCESS OF CONSOLIDATED RETAIL, COIMBATORE” PROJECT REPORT Submitted to Bharathiar University in partial fulfillment of the requirements for the award of the degree of MASTER OF BUSINESS ADMINISTRATION Submitted by JENIS KUJUR Reg No: 1935F0016 Under the guidance of Dr. S SUDHAKAR SHRI NEHRU MAHA VIDYALAYA COLLEGE OF ARTS AND SCIENCE (Re-accredited with “A” grade by NAAC) (Affiliated to Bharathiar University) Shri Gambhirmal Bafna Nagar, Malumachampatti Coimbatore-641 050 February 2021 CERTIFICATE This is to certify that project entitled “A STUDY ON RECRUITMENT AND SELECTION PROCESS OF CONSOLIDATED RETAIL COIMBATORE” is a Bona fide record of work done by JENIS KUJUR Reg.No: 1935F0016 Submitted in the partial fulfillment of the requirement for the award of the degree of MASTER OF BUSINESS ADMINISTRATION of Bharathiar University, Coimbatore Faculty Guide Director – MBA Principal Date of Viva Voce: 04/02/2021 Internal Examiner External Examiner TO WHOMEVER IT MAY CONERN This is to certify that Ms. JENIS KUJUR is a student from SNMV Institute of Management, she has completed her training at Consolidate Premium Retailers, from July 1, 2020 to July 31, 2020. During this period Jenis successfully completed her project on “recruitment & selection process at consolidate premium retailers”. We wish her all the best for his future endeavors. Consolidate Premium retailers (HR Manager) 189, Bashyagaralu Road, R.S.Puram, Coimbatore, Tamil Nadu "EMPLOYEE RELATIONSHIP MANAGEMENT @ Nestlé India Limited" PROJECT REPORT Submitted to Bharathiar University in partial fulfillment of the requirements for the award of the degree of MASTER OF BUSINESS ADMINISTRATION Submitted by MEGHA PRAKASH Reg No : 1935F0028 Under the guidance of Mr. S. SUNIL PRADEEP SHRI NEHRU MAHA VIDYALAYA COLLEGE OF ARTS AND SCIENCE (Re-accredited with “A” grade by NAAC) (Affiliated To Bharathiar University) Shri Gambhirmal Bafna Nagar, Malumachampatti Coimbatore - 641 050. February - 2021 CERTIFICATE This is to certify that project entitled “EMPLOYEE RELATIONSHIP MANAGEMENT” @ Nestlé India Limited” Is a bonafide record of work done by MEGHA PRAKASH Reg. No: 1935F0028 Submitted in the partial fulfillment of the requirement for the award of the degree of MASTER OF BUSINESS ADMINISTRATION of Bharathiar University, Coimbatore. Date of Viva Voce: 04/02/202 Internal Examiner External Examiner This is to certify that Ms. Megha Prakash has successfully completed the Internship Program in Human Resources at Nestlé India Limited, Choladi Factory. The Internship Program was undertaken from 22.09.2020 to 06.10.2020 for a period of two weeks. NESTLÉ INDIA LIMITED Human Resources Department Manager - Human Resources Regd Office: 100/101, World Trade Centre, Barakhamba, New Delhi – 110 001 “A STUDY ON CONSUMER PREFERENCE TOWARDS DIFFERENT BRANDS OF CHOCOLATES” Dissertation submitted to the Bharathiar University, Coimbatore-641046 In partial fulfillment of the requirement for the award of the Degree of Master of Commerce with Computer Applications SUBMITTED BY SHANMUGA PRIYA S J Reg No : 193ACOO65 Under the guidance of Dr. P. CHINNA SAHAYA RANI, M. COM., M.Phil., MBA., Ph. D Assistant Professor, PG & Research DEPARTMENT OF COMMERCE WITH COMPUTER APPLICATIONS Estd.1989 Submitted to PG & RESEARCH DEPARTMENT OF COMMERCE WITH COMPUTER APPLICATIONS SNMV COLLEGE OF ARTS AND SCIENCE (Affiliated to Bharathiar University NAAC re-accredited ‘A & ISO Certified Institution) Shri Gambhirmal Bafna Nagar, Malumachampatti-641050. MARCH 2021 DECLARATION I, SHANMUGA PRIYA S J hereby declare that the project entitled “A STUDY ON CONSUMER PREFERENCE TOWARDS DIFFERENT BRANDS OF CHOCOLATES” submitted to BHARATHIAR UNIVERSITY in partial fulfillment of the requirement for the award of the Master Degree in COMMERCE WITH (COMPUTER APPLICATIONS) is a record of original project work done by me during the period of study in Department of Commerce with (computer applications). SHRI NEHRU MAHA VIDYALAYA COLLEGE OF ARTS & SCIENCE, COIMBATORE, under the supervision and guidance of Dr. P. CHINNA SAHAYA RANI department of M.Com(CA), Assistant Professor, Department of Commerce with COMPUTER APPLICATIONS, SNMV College of Arts & Science, Coimbatore. Date: 31.03.2021 S J SHANMUGA PRIYA (193ACOO65) CERTIFICATE This is to certify that the dissertation entitled “A STUDY ON CONSUMER PREFERENCE TOWARDS DIFFERENT BRANDS OF CHOCOLATES”, submitted to the Bharathiar University, in partial fulfillment of the requirements for the award of the Degree of MASTER OF COMMERCE WITH COMPUTER APPLICATIONS is a record of original research work done by SHANMUGA PRIYA S.J during the period of her study 2020-2021 Under my supervision and guidance of the Department of Commerce with Computer Applications. DATE: 31.03.2021 Signature of the Supervisor Dr. P. CHINNA SAHAYA RANI Assistant Professor, PG & Research Department of Commerce with (CA) Signature of HOD Submitted for viva-examination held on date: 31.03.2021 Signature of the Principal External Examiner [Seal] "A STUDY ON CUSTOMERS EXPECTATIONS WITH SPECIAL REFERENCE TO KFC, COIMBATORE" Dissertation submitted to the Bharathiar University, Coimbatore-641046 In partial fulfillment of the requirement for the award of the Degree of Master of Commerce with Computer Applications SUBMITTED BY SILPA.T.R Reg No : 193ACOO66 Under the guidance of Dr. P. CHINNA SAHAYA RANI, M. COM., M. Phil., MBA., Ph. D Assistant Professor, PG : DEPARTMENT OF COMMERCE WITH COMPUTER APPLICATIONS SARVEPALLI NEHRU MAAH VIDYALAYA COMBATORE COLLEGE OF ARTS & SCIENCE Estd.1989 Submitted to PG : DEPARTMENT OF COMMERCE WITH COMPUTER APPLICATIONS SNMV COLLEGE OF ARTS AND SCIENCE (Affiliated to Bharathiar University NAAC re-accredited ‘A & ISO Certified Institution) ShriGambhirmalBafna Nagar, Malumachampatti-641050. MARCH 2021 DECLARATION 1. SILPA.T.R hereby declare that the project entitled “A STUDY ON CUSTOMERS EXPECTATIONS WITH SPECIAL REFERENCE TO KFC, COIMBATORE” submitted to BHARATHIAR UNIVERSITY in partial fulfillment of the requirement for the award of the Master Degree in COMMERCE WITH (COMPUTER APPLICATIONS) is a record of original project work done by me during the period of study in Department of Commerce with (computer applications). SHRI NEHRU MAHA VIDYALAYA COLLEGE OF ARTS & SCIENCE, COIMBATORE, under the supervision and guidance of Dr.P.CHINNA SAHAYA RANI department of M.Com(CA), Assistant Professor, Department of Commerce with COMPUTER APPLICATIONS, SNMV College of Arts & Science, Coimbatore. Date: 31.03.2021 SILPA.T.R (193ACOO66) CERTIFICATE This is to certify that the dissertation entitled “A STUDY ON CUSTOMERS EXPECTATIONS WITH SPECIAL REFERENCE TO KFC, COIMBATORE”, submitted to the Bharathiar University, in partial fulfillment of the requirements for the award of the Degree of MASTER OF COMMERCE WITH COMPUTER APPLICATIONS is a record of original research work done by SILPA.T.R during the period of her study 2020-2021 Under my supervision and guidance of the Department of Commerce with Computer Applications. DATE: 31.03.2021 Signature of the Supervisor Dr. P. CHINNA SAHAYA RANI Assistant Professor, PG & Research Department of Commerce(CA) Signature of HOD Submitted for viva-examination held on date: 31/3/21 External Examiner Signature of the Principal "AN ANALYSIS ON CUSTOMER'S LOYALTY TOWARDS THE COSMETIC PRODUCTS IN TIRUPPUR DISTRICT" Dissertation submitted to the Bharathiyar University, Coimbatore-641046 In partial fulfillment of the requirement for the award of the Degree of Master of Commerce with Computer Applications SUBMITTED BY KIRUTHIKA. G RegNo : 193ACO055 Under the guidance of Ms. S. UMAMAHESWARI,M.COMCA.,M.Phil.,(Ph.D) Assistant Professor PG & Research DEPARTMENT OF COMMERCE WITH COMPUTER APPLICATIONS Submitted to PG & RESEARCH DEPARTMENT OF COMMERCE WITH COMPUTER APPLICATIONS SNMV COLLEGE OF ARTS AND SCIENCE (Affiliated to Bharathiyar University NAAC re-accredited 'A & ISO Certified Institution) ShriGambhirmalBafna Nagar, Malumachampatti-641050. MARCH 2021 DECLARATION I, KIRUTHIKA G hereby declare that the project entitled "AN ANALYSIS ON CUSTOMER'S LOYALTY TOWARDS THE COSMETIC PRODUCTS IN TIRUPUR DISTRICT" submitted to BHARATHIAR UNIVERSITY in partial fulfillment of the requirement for the award of the Master Degree in COMMERCE WITH (COMPUTER APPLICATIONS) is a record of original project work done by me during the period of study in Department of Commerce with (computer applications). SHRI NEHRU MAHA VIDYALAYA COLLEGE OF ARTS & SCIENCE, COIMBATORE, under the supervision and guidance of Ms.S.UMAMAHESWARI department of M.Com(CA), Assistant Professor, Department of Commerce with COMPUTER APPLICATIONS, SNMV College of Arts & Science, Coimbatore. Date: 31.8.21 KIRUTHIKA G(193AC0055) CERTIFICATE This is to certify that the dissertation entitled “AN ANALYSIS ON CUSTOMER’S LOYALTY TOWARDS THE COSMETIC PRODUCTS IN TIRUPPUR DISTRICT”, submitted to the Bharathiar University, in partial fulfillment of the requirements for the award of the Degree of MASTER OF COMMERCE WITH COMPUTER APPLICATIONS is a record of original research work done by KIRUTHIKA G during the period of her study 2020-2021 Under my supervision and guidance of the Department of Commerce with Computer Applications. DATE: 31.03.2021 Signature of the Supervisor Ms. S. UMAMAHESHWARI Assistant Professor, PG & Research Department of Commerce with (CA) Signature of HOD Submitted for viva-examination held on date: 31.3.21 Signature of the Principal External Examiner V. Maha Vidyalaya College of Arts & Science Coimbatore - 641 008 This is to certify that Mr.MOHANPRASATHI.B (REG NO : 1932K0166), Final Year M.Sc-COMPUTER SCIENCE from SHRI NEHRU MAHA VIDHYALA COLLEGE OF ARTS AND SCIENCE, COIMBATORE, has successfully completed his Internship in our concern from January 2021 to March 2021. Zeboto, Arun. TO WHOM IT MAY CONCERN This is a certificate that Mr. ALEX JOHN S (Reg.no:1932k0160) Studying final year M.Sc (COMPUTER SCIENCE) in SNMV College Of Arts And Science has done the project entitled as “EFFICIENT AND ENHANCED DATA ENCRYPTION IN CLOUD COMPUTING” in our concern during 4th semester (DEC 2020 to MARCH 2021). He has completed the project successfully and his conduct was good. MUSTHAF A.A (MANAGER) TO WHOM IT MAY CONCERN This is to certify that Ms. G. MARY NIVETHA (REG NO. 1932K0165) studying Master of computer science in Shri Nehru Maha Vidyalaya Arts And Science college has successfully completed the project work titled "HELP DESK TICKETING SYSTEM" in our company during the period December 2020 to March 2021. This period, she attended the project classes regularly and her attendance and her contact was good. For FirstIdea Software Solutions FIRSTIDEA SOFTWARE SOLUTIONS, Gobichettipalayam PROPRIETOR 53-1, K.S.K Complex, Gobi To Sathy Main Road, Karattadipalayam, Gobichettipalayam - 638 453 Website: www.hostingtroop.com Email: email@example.com This is to certify that Ms.NIRANJANA.R (REG NO : 1932K0169), Final Year M.Sc-COMPUTER SCIENCE from SHRI NEHRU MAHA VIDHAYALA COLLEGE OF ARTS AND SCIENCE, COIMBATORE, has successfully completed his Internship in our concern from January 2021 to March 2021. Synovers 404, Park Royal Complex 7th Street, Cross Cut Road Gandhipuram - Coimbatore-641 012. Ram Kumar. K Project Manager 9994915435 This is certify that Mr.HARIKRISHNAN.B (REG NO: 1932K0161), Final year M.SC COMPUTER SCIENCE from SHRI NEHRU MAHA VIDHYALA COLLEGE OF ARTS AND SCIENCE, COIMBATORE, has successfully complete his internship in our concern from JANUARY 2021 to MARCH2021. R.PRABHU PROJECT MANAGER 8754721787 \| Course code \| Project Work Lab \| Core: 11 \| \|-------------\|-----------------\|---------\| \| L \| T \| P \| C \| \| 0 \| 0 \| 5 \| 8 \| Pre-requisite Students should have the strong knowledge in any one of the programming languages in this course. Course Objectives: The main objectives of this course are to: 1. To understand and select the task based on their core skills. 2. To get the knowledge about analytical skill for solving the selected task. 3. To get confidence for implementing the task and solving the real time problems. 4. Express technical and behavioral ideas and thought in oral settings. 5. Prepare and conduct oral presentations Expected Course Outcomes: On the successful completion of the course, student will be able to: \| \| \| \|---\|---\| \| 1 \| Formulate a real world problem and develop its requirements develop a design solution for a set of requirements. K3 \| \| 2 \| Test and validate the conformance of the developed prototype against the original requirements of the problem. K5 \| \| 3 \| Work as a responsible member and possibly a leader of a team in developing software solutions. K3 \| \| 4 \| Express technical ideas, strategies and methodologies in written form, Self-learn new tools, algorithms and techniques that contribute to the software solution of the project. K1-K4 \| \| 5 \| Generate alternative solutions, compare them and select the optimum one. K6 \| K1 - Remember; K2 - Understand; K3 - Apply; K4 - Analyze; K5 - Evaluate; K6 - Create AIM OF THE PROJECT WORK 1. The aim of the project work is to acquire practical knowledge on the implementation of the programming concepts studied. 2. Each student should carry out individually one project work and it may be a work using the software packages that they have learned or the implementation of concepts from the papers studied or implementation of any innovative idea focusing on application oriented concepts. 3. The project work should be compulsorily done in the college only under the supervision of the department staff concerned. Viva Voce 1. Viva-Voce will be conducted at the end of the year by both Internal (Respective Guides) and External Examiners, after duly verifying the Annexure Report available in the College, for a total of 200 marks at the last day of the practical session. 2. Out of 200 marks, 160 marks for project report and 40 marks for Viva Voce. PROJECT WORK TITLE OF THE DISSERTATION Bonafide Work Done by STUDENT NAME REG. NO. Dissertation submitted in partial fulfillment of the requirements for the award of <Name of the Degree> of Bharathiar University, Coimbatore-46. College Logo Signature of the Guide Submitted for the Viva-Voce Examination held on _______________________ Month – Year Signature of the HOD Internal Examiner External Examiner CONTENTS Acknowledgement Contents Synopsis 1. Introduction 1.1 Organization Profile 1.2 System Specification 1.2.1 Hardware Configuration 1.2.2 Software Specification 2. System Study 2.1 Existing System Elective – III \| C \| PROJECT WORK 1) A Guide has been allotted to each student by the department. Student can select any topic in discussion with the supervisor. Students should maintain a work diary where weekly work carried out has to be written. The guide should review the work every week and put his/her signature. The work diary along with project report should be submitted at the time of viva voce. 2) CIA Marks Distribution: A minimum of two reviews have to be done, one at the time finalizing the questionnaire/identifying the primary data and the second review at the time of commencement of report writing. They should be asked to present the work done to the respective guide in the two reviews. The guide will give the marks for CIA as per the norms stated below: First Review 10 Marks Second Review 10 Marks Work Diary 05 Marks 25 Marks 3) End Semester Examination: The evaluation for the end semester examination should be as per the norms given below: External Examiner 25 Marks Internal Examiner 25 Marks Viva-Voce Examination 25 Marks (Jointly given by the external and internal examiner) 75 Marks *********************** 1) A Guide has been allotted to each student by the department. Student can select any topic in discussion with the supervisor. Students should maintain a work diary where weekly work carried out has to be written. A guide should review the work every week and put his/her signature. The work diary along with project report should be submitted at the time of viva voce. 2) CIA Marks Distribution: A minimum of two reviews have to be done, one at the time finalizing the questionnaire/identifying the primary data and the second review at the time of commencement of report writing. They should be asked to present the work done to the respective guide in the two reviews. The guide will give the marks for CIA as per the norms stated below: \| Component \| Marks \| \|--------------------\|-------\| \| First Review \| 10 \| \| Second Review \| 10 \| \| Work Diary \| 05 \| Total: 25 Marks 3) End Semester Examination: The evaluation for the end semester examination should be as per the norms given below: \| Component \| Marks \| \|----------------------------\|---------------------\| \| External Examiner \| 25 Marks \| \| Internal Examiner \| 25 Marks \| \| Viva-Voce Examination \| 25 Marks (Jointly given by the external and internal examiner) \| Total: 75 Marks ********************* \| Code \| Course Name \| Credits \| Theory \| Practical \| Total \| \|------\|-------------------------------------------------\|---------\|--------\|-----------\|-------\| \| 43A \| Counselling and Guidance \| 4 \| 3 \| - \| 25 \| \| 4EA \| Elective-IV, Industrial Relations \| 4 \| 3 \| - \| 25 \| \| 4EB \| Elective—IV, Foundation Of Psychiatry –II \| \| \| \| \| \| 4EC \| Elective –IV Social Development \| \| \| \| \| \| 4ED \| Elective—IV, Family Social Work And Working With Families \| \| \| \| \| \| 4EE \| Elective - V Organisation Behaviour (or) \| 4 \| 3 \| - \| 25 \| \| 4EF \| Elective - V Psychiatric Social Work Practice (or) \| \| \| \| \| \| 4EG \| Elective -V Management of Non-Profit Organisation (or) \| \| \| \| \| \| 4EH \| Elective –V, Socialization of Child and Child Welfare \| \| \| \| \| \| 46A \| Concurrent Field Work-Practical-IV@@@ \| 4 \| - \| 16 \| 60 \| \| \| Project Report & Via Voce \| 4 \| 2 \| - \| - \| \| \| Block Field Work# \| 2 \| - \| - \| - \| \| \| Total \| 22 \| 11 \| - \| 135 \| \| \| Grand Total \| 92 \| \| \| 2250 \| #Block field work training for a period of three weeks (21 days) is must before the final semester examination. Students should submit the concurrent and consolidated report. It will be evaluated through viva-voce by internal and external examiners. Project Report and Viva-Voce: 1. Every student is required to complete a research project under the supervision and guidance of a faculty of the Department. The Student should take the topic related to their field of specialization. 2. The Project Report will be evaluated & Viva-Voce Examination will be conducted jointly by the research supervisors of the candidates and the external examiners. 3. For the project presentation 80 marks and Viva-Voce 20 marks are distributed. ***Our curriculum already consists of the specialization of community development. So the components of rural community engagement course have been covered in that specialization. In addition to that all the first year MSW students could be attending Rural/Tribal camp for 7 days. Swachh Bharat would be included in the curriculum, but the 2 credits to be considered as extra. Previous year syllabus to be followed apart from the above changes. DEPARTMENT OF BBA PROJECT REVIEW MEETING ❖ First Project review meeting for III – BBA students conducted on 28-01-2021. ❖ Students are completed the selection of their project work stream, company and title. ❖ Students have come with project title, prepared objectives and questionnaire. ❖ Guides gave suggestions in improving their objectives and corrections made in questionnaire. ❖ Guides supports students to develop Research Methodology Chapter. ❖ Guides informed students that corrected questionnaire give for survey in respective chosen company’s PROJECT REVIEW MEETING ❖ Second Project Review Meeting for III – BBA Students Held On 03-03-2021. ❖ Students Completed Survey of Their Project. ❖ Guided Recommended and Helps Students to Do Their Analysis and Interpretation Chapter Using Statistical Tools. ❖ Guides Instructed Students to Complete Findings, Suggestions and Conclusion Part of Their Project. ❖ Students Were Informed Dates for The Submission of Rough Draft and Fair Copy of the Project Report. Subject: Project Review reg…. The Project Review-1 for the Final year IT students will be on 25/2/2021 (Thursday) from 08:00am to 1.30pm in III BSC IT class room. The Students are asked to come with at least four project titles with synopsis. They have to discuss the title with their respective guides, and choose the title based on the guide’s recommendation. Adding to that, the students have to submit the following in the form of a PowerPoint presentation. 1. Title of the project 2. Synopsis On the day of review, the students have to bring the company/organization/Institution Certificate and the same has to be submitted to their Respective Guide. The students are asked to take up the Review-1 seriously; if the Review and the Project is not satisfactory to the Review-panel, it will lead to Rejection of Project. Subject: Project Review reg…. The Project Review-2 for the Final year IT students will be on 05/3/2021 (Friday) from 08:30am to 1.30pm in III BSC (IT) classroom. The Students are instructed to submit the following in the form of powerpoint presentation. 3. Modules 4. Module Description 5. ER Diagram 6. Data Flow Diagram 7. System Flow Diagram (If there is no backend) Subject: Project Review reg…. The Project Review-3 for the Final year IT students will be on 18/3/2021 (Thursday) from 08:30am to 1.30pm in III BSC (IT) classroom. The Students are instructed to submit the following in the form of powerpoint presentation. 8. Tables 9. Screen shots 10. Execution of all the modules SNMV INSTITUTE OF MANAGEMENT Summer Placement Project Report & Viva-voce. SEMESTER – III. First Review: 8/10/2021. Discussion on the Broad Area of Research. Title of the Project Company Details Submission of letter from the Company Any Other Clarification from the Project Guide. Second Review: 26/10/2021. 1 NEED FOR THE STUDY 2 REVIEW OF LITERATURE 3. PRIMARY OBJECTIVE 4. METHODOLOGY 5. LIMITATIONS 6. EXPECTED DELIVERABLES
GOD’S HOLY SABBATH {Does God Require Sabbath Observance?} This booklet is offered as a free, educational service by Book Design: Roy L. Ellis, Jr. (2003) GOD’S HOLY SABBATH {Does God Require Sabbath Observance?} INTRODUCTION Does God require Christians to keep the Sabbath? Or has the Sabbath been abolished under the terms of the New Covenant? Does it really matter which day you choose to keep holy? Can you play golf on the Sabbath or go to the office for just a few hours without violating the Sabbath law? If people observe the Sabbath, are they to be considered legalists? Just how important is the Sabbath to God? GOD’S HOLY SABBATH {Does God Require Sabbath Observance?} Whose Opinion Matters? Muslims observe Friday, religious Jews observe Saturday, and most professing Christians observe Sunday. Some people keep whatever day THEY choose as the Sabbath. Is it acceptable in God’s eyes to take to oneself the authority to make a day, any day, holy? Truth often flies out the door when overcome by human reasoning. Truth IS truth, however; and the truth about the Sabbath may surprise you! That truth is, Jesus Christ and the entire first century Church kept the seventh-day Sabbath…they did not keep Sunday…they kept the Saturday Sabbath! In fact, Jesus Christ and the true Apostles never taught anyone to observe Sunday as the Sabbath of God! The fact that early New Testament Christians were seventh-day Sabbath keepers is a biblical and historical fact, one not even disputed by the Roman Catholic Church -- the largest Christian church in the World. Still, people endlessly argue about Sabbath observance. Is the New Testament Sabbath Saturday or Sunday? Can you work on the Sabbath? Can you play at sports and watch TV on the Sabbath? Can you keep any day you choose “holy” so long as you observe one day in seven as a Sabbath? The only source that can be considered authoritative enough to settle these questions is God’s word -- the HOLY Bible. This booklet will take a candid look at the word of God to see what God’s thinking is on the subject of Sabbath observance. God’s Word will tell us what God thinks about it, and we will keep our human reasoning in check as we seek to understand this vital subject. So now, let’s take an unbiased look at what the Bible says concerning the question of Sabbath observance. Jesus Kept the Sabbath If you believe Jesus Christ is your savior, then all that really matters to you is what He believes about Sabbath observance. Human opinion on this matter will carry no weight whatsoever. What will be foremost in your mind is the example Jesus Christ set, not the example of others; unless, of course, their example follows after Christ. So now we come to the question, What day did Christ keep as the Sabbath, and did He ever teach that the Sabbath was done away? Our actions reveal our beliefs. This was true of Jesus Christ. We can simply see from His actions what day He sanctified for Sabbath observance. Luke, chapter 4, tells us the following: “So He (Jesus) came to Nazareth, where He had been brought up. And as His custom was, He went into the synagogue on the Sabbath Day, and stood up to read.” (Luke 4:16) The Bible clearly shows that Jesus’ custom was to observe the Sabbath, attending services in the synagogue. He did this on the seventh day of the week…on Saturday…while in a synagogue, rising up to read a passage from the book of Isaiah. It was a message about setting people at liberty from bondage and the consequences of sin. If Jesus’ desire had been to do away with the Sabbath, this would have been an opportune time. Let’s see if He told the people they no longer needed to keep the Sabbath: “And He was handed the book of the prophet Isaiah. And when He opened the book, He found the place where it was written: “The spirit of the Lord is upon Me, Because He has anointed Me to preach the gospel to the poor, He has sent Me to heal the brokenhearted, To preach deliverance to the captives And recovery of sight to the blind, To set at liberty those who are oppressed, To preach the acceptable year of the LORD.” (Luke 4:18-19) After reading this passage, Jesus returned the book to the rabbi and sat down. He did not mention anything about changing the Sabbath or annulling the Sabbath command. If Jesus Christ had determined to do away with the fourth commandment, an identifying sign of the Jewish people, it certainly could be found in scripture somewhere. The plain truth is that you can search all the gospel accounts and NEVER find where Jesus said: “You don’t have to keep the Sabbath anymore;” or, “The Sabbath commandment will be nailed to the cross when I die;” or, “After my death you may change the Sabbath from the seventh day of the week to the first day of the week or to any day YOU choose.” Is Jesus Our Sabbath Rest? Many self-proclaiming Christians believe Jesus Christ is somehow a replacement for the Sabbath, that He is our “Sabbath rest”. But nowhere can you find a scripture that says, Jesus Christ replaced the Sabbath with anything… especially Himself. Certainly Jesus had MANY opportunities to teach that the seventh-day Sabbath had been done away. Instead, Jesus emphatically stated that He was “Lord of the Sabbath” (Luke 6:5). His statement confirms that the Sabbath was and still is in force. A good question to ask is, How could He be the Lord of the Sabbath, if He was doing away with the Sabbath? Did Jesus Change His Father’s Law? Many view God the Father as a harsh, unforgiving, pedantic God. Yet His son, Jesus Christ, is seen as being gentle, forgiving, and tolerant. The Bible tells us that Jesus Christ and the Father are the same in character and behavior. One is not harsh and the other gentle. Both the Father and the Son have perfectly balanced character. They manifest high standards like forgiveness, love and firmness. They are consistent in character and purpose. In the book of Malachi God says, “For I am the Lord, I do not change” (Malachi 3:6). Would God proclaim His commandments in Exodus the twentieth chapter only to do away with them later? Is God fickle like a human? Certainly not! With God there is no double-mindedness, no “shadow of turning” (James 1:17). God is a perfect example of consistency: His character does not change. The Ten Commandments, including the Sabbath, are immutable! Jesus said to Philip: “Have I been with you so long, and yet you have not known Me, Philip? He who has seen Me has seen the Father; so how can you say, ‘Show us the Father’? Do you not believe that I am in the Father and the Father in Me? The words that I speak to you I do not speak on My own authority; but the Father who dwells in Me does the works.” (John 14:9-10) Jesus and the Father are one in character and purpose. Christ did not come to do away with His Father’s commandments! He came to MAGNIFY the Law of His Father. Christ taught the true intent of the Law. He taught that we should keep the law physically and SPIRITUALLY. This teaching applied to the Sabbath Day. Jesus said, “…as My Father taught Me, I speak these things” (John 8:28). Jesus did not teach a different set of laws that opposed the teachings of His Father. When a rich young ruler came to Jesus, he asked: “Good teacher, what good thing shall I do that I may have eternal life? So He said to him, … if you want to enter into life, keep the commandments” (Matthew 19:16-17). Jesus plainly stated that those who will be given eternal life must strive to keep the commandments of His Father, all of them. Who is our Savior…Jesus or the Law? None of the laws of God can save you. Only Jesus Christ fulfills the role of savior. Does that mean we are now free to break the law, including the Sabbath law? God forbid! Jesus said, “one jot or one tittle will BY NO MEANS pass from the law.” (Matthew 5:18) It is true that we are under grace if we have repented of our sins and accepted Jesus Christ as our personal savior, but grace does not give us permission to break God’s law. Paul asserts that faith does not abolish the law: “Do we then make void the law through faith? Certainly not! On the contrary, we ESTABLISH the law.” (Romans 3:31) Some 50 years after Jesus Christ died, the Apostle John upheld the law of God as a standard of right conduct. He said, “For this is the love of God, that we keep His commandments. And His commandments are not burdensome” (I John 5:3). So why would a perfect God give us a law that men have generally come to believe is burdensome? Is the Sabbath a Yoke of Bondage? God loves mankind! He gave us the seventh-day Sabbath for a much needed day of rest from our labor. To rest is not a burden; rest is pleasurable and restorative. Another and even more important purpose of the Sabbath is to give us the opportunity to worship God as a family and as a Church. The Sabbath is intended to be a delight. In Isaiah, chapter 58, we are told: “If you turn away your foot from the Sabbath, From doing your pleasure on My holy day, And call the Sabbath a delight, The holy day of the Lord honorable, And shall honor Him, not doing your own ways, Nor finding your own pleasure, Nor speaking your own words, Then you shall delight yourself in the LORD; And I will cause you to ride on the high hills of the earth, And feed you with the heritage of Jacob your father. The mouth of the LORD has spoken.” (Isaiah 58:13) Many students of the Bible do not realize that it was Sabbath breaking, along with committing idolatry, which caused God to punish Israel and Judah with war, pestilence, famine, and captivity. God took Sabbath breaking very seriously; so should you! The lessons of ancient Israel are not just antiquated stories that have no meaning for us today. What happened to them was written down as a warning for New Testament Christians. Paul makes this very clear in I Corinthians 10:11 where he says, “Now all these things happened to them as EXAMPLES, and they were written for our admonition, on whom the ends of the ages have come.” We are wise to heed the lessons of why ancient Israel and Judah were punished by God. Scribes and Pharisees Distort Sabbath Observance In Jesus’ day the scribes and Pharisees made the Sabbath a burden by imposing MAN-MADE rules on the people. They rebuked Christ and his disciples for walking through a field of grain, plucking grain to eat on the Sabbath. Christ pointed out to his accusers that David and his men, when fleeing from Saul, ate bread that was only given to the priests to eat. Christ said David and His men were blameless in their actions (Matthew 12:1-8). Why were they blameless? Because, in such unusual situations, God’s mercy trumps the ceremonial law. That is why Christ said: “But if you had known what this means, ‘I desire mercy and not sacrifice,’ you would not have condemned the guiltless. For the Son of Man is Lord even of the Sabbath.” (Matthew 12:7-8) The legalistic approach to keeping the Sabbath that was promulgated by the Pharisees made the Sabbath oppressive, something God never intended. Christ rebuked them for teaching the doctrines and commandments of men, and for distorting the true intention of the law: “…in vain they worship Me, Teaching as doctrines the commandments of men.” (Mark 7:7) The traditions of the elders had clashed with the very laws given to them by their creator, their God. Jesus confronted the Pharisees regarding their perverting of the Sabbath Law; then He restored the true meaning of the Sabbath. He made it clear how the Sabbath was to be kept: He did NOT do away with the Sabbath. God’s Sabbath remains permanent; just as the heavens and the earth remain permanent. Jesus said, “For assuredly, I say to you, till heaven and earth pass away, one jot or one tittle will by no means pass from the law till all is fulfilled. Whoever therefore breaks one of the least of these commandments, and teaches men so, shall be called least in the kingdom of heaven; but whoever does and teaches them, he shall be called great in the kingdom of heaven” (Matthew 5:17-19). There is a very definite reward for those who continue to teach observance of the seventh-day Sabbath! Who Changed the Sabbath to Sunday? If Jesus Christ never changed the Sabbath, who did? Did God give someone the authority to change the Sabbath from Saturday to Sunday? Many would say the Sabbath is still in effect, but that it was changed from the seventh day of the week to the first day of the week -- Sunday. The vast majority of Christian churches teach the observance of a Sunday Sabbath. How did this happen? History plainly reveals that it happened many years after the death of the apostles when a newly emerging, politically motivated, apostate religious system attacked the seventh-day Sabbath, changing the Sabbath to Sunday. Jesus Christ kept the seventh-day Sabbath; the Apostles kept the seventh-day Sabbath; and the New Testament Church kept the seventh-day Sabbath. It was not until three centuries after the death of Christ that Emperor Constantine convened the Council of Nicaea in order to work toward abolishing the Saturday Sabbath. The Catholic AND her Protestantdaughter churches recognize that the New Testament Church kept the seventh-day Sabbath: Notice what mainstream churches teach concerning changing the Sabbath from Saturday to Sunday: From the Writings of the Catholic Church: “But you may read the Bible from Genesis to Revelation, and you will not find a single line authorizing the sanctification of Sunday. The scriptures enforce the religious observance of Saturday, a day which we never sanctified.” --- James Cardinal Gibbons, Faith of Our Fathers, 88th ed., pp89. “The abandonment of the Sabbath and the adoption of Sunday as the Lord’s Day, are the result of an interplay of Christian, Jewish and pagan religious factors.” --- Vincenzo Monachino, S.J., Chairman of the Church History Department, Pontifical Gregorian University, June 29, 1977. “For example, nowhere in the Bible do we find that Christ or the Apostles ordered that the Sabbath be changed from Saturday to Sunday. We have the commandment of God given to Moses to keep holy the Sabbath day, which is the 7th day of the week, Saturday. Today most Christians keep Sunday because it has been revealed to us by the [Roman Catholic] church outside the Bible.” --- Catholic Virginian, October 3, 1947, p.9 art “To Tell You the Truth.” “Regarding the change from the observance of the Jewish Sabbath to the Christian Sunday, I wish to draw your attention to the facts: “That Protestants, who accept the Bible as the only rule of faith and religion, should by all means go back to the observance of the Sabbath. The fact that they do not, but on the contrary observe the Sunday, stultifies them in the eyes of every thinking man. “We Catholics do not accept the Bible as the only rule of faith. Besides the Bible we have the living Church, the authority of the Church, as a rule to guide us.---It is always somewhat laughable, to see Protestant churches, in pulpit and legislation, demand the observance of Sunday, of which there is nothing in their Bible.” --- Peter R. Kramer, Catholic Church Extension Society (1975), Chicago, Illinois “Practically everything that Protestants regard as essential or important they have received from the Catholic Church. They accepted Sunday rather than Saturday as the day for public worship after the Catholic Church made that change. “But the Protestant mind does not seem to realize that in accepting the Bible, in observing the Sunday, in keeping Christmas and Easter, they are accepting the authority of the spokesman for the church, the pope.” --- Our Sunday Visitor, Feb. 5, 1950. “Only gradually did Christians begin to observe Sunday as a day of rest….In the third century, as we learn from Tertullian, many Christians had begun to keep Sunday as a day of rest to some extent… “The real need of Sunday as a day of rest as well as worship came much later, in the sixth century.” --- “Yes, I Condemned the Catholic Church” (Supreme Council, Knights of Columbus), page 4. From the Writings of the Baptist Church: “To me it seems unaccountable that Jesus, during three years’ intercourse with His disciples, often conversing with them upon the Sabbath question … never alluded to any transference of the day; also, that during forty days of His resurrection life, no such thing was intimated. “Of course, I quite well know that Sunday did come into use in early Christian history as a religious day, as we learn from the Christian Fathers and other sources. But what a pity that it comes branded with the mark of paganism, and christened with the name of the sun god, when adopted and sanctioned by the papal apostasy, and bequeathed as a sacred legacy to Protestantism!” --- Dr. Edward T. Hiscox, author of “The Baptist Manual,” in a paper read before a New York ministers’ conference held Nov. 13, 1893. “We believe that the law of God is the eternal and unchangeable rule of His moral government.” --- “Baptist Church Manual,” Art. 12. “The first four commandments set forth man’s obligations directly toward God… But when we keep the first four commandments, we are likely to keep the other six… The fourth commandment sets forth God’s claim on man’s time and thought… The six days of labour and the rest on the Sabbath are to be maintained as a witness to God’s toil and rest in the creation… Not one of the ten words is of merely racial significance… The Sabbath was established originally (long before Moses) in no special connection with the Hebrews, but as an institution for all mankind, in commemoration of God’s rest after the six days of creation. It was designed for all the descendants of Adam.” --- Adult Quarterly, Southern Baptist Convention series, Aug. 15, 1937. “It may be that Jesus gave them an explicit command so to do [to change the Sabbath from the seventh day to the first; but of this we have no revelation.” --- C. C. A. WALLACE. “What Baptists Believe,” page 167. From the Writings of the Methodist Church: “In the days of very long ago the people of the world began to give names to everything, and they turned the sounds of the lips into words, so that the lips could speak a thought. In those days the people worshipped the sun because many words were made to tell of many thoughts about many things. The people became Christians and were ruled by an emperor whose name was Constantine. This emperor made Sunday the Christian Sabbath, because of the blessing of light and heat which came from the sun. So our Sunday is a sun-day, isn’t it?” --- Sunday School Advocate, Dec. 31, 1921. “This ‘handwriting of ordinances’ our Lord did blot out, take away, and nail to His cross. (Colossians 2: 14.) But the moral law contained in the Ten Commandments, and enforced by the prophets, He did not take away…The moral law stands on an entirely different foundation from the ceremonial or ritual law. …Every part of this law must remain in force upon all mankind and in all ages.” --- JOHN WESLEY, “Sermons on Several Occasions,” 2-Vol. Edition, Vol. I, pages 221, 222. From the Writings of the Presbyterian Church: “God instituted the Sabbath at the creation of man, setting apart the seventh day for the purpose, and imposed its observance as a universal and perpetual moral obligation upon the race.” --- American Presbyterian Board of Publication, Tract No. 175. “The observance of the seventh-day Sabbath did not cease till it was abolished after the [Roman] empire became Christian,” --- American Presbyterian Board of Publication, Tract No. 118. From the Writings of the Church of England: “Not any ecclesiastical writer of the first three centuries attributed the origin of Sunday observance either to Christ or to His apostles.” --- SIR WILLIAM DOMVILLE, “Examination of the Six Texts,” pages 6, 7. (Supplement). “Where are we told in Scripture that we are to keep the first day at all? We are commanded to keep the seventh; but we are nowhere commanded to keep the first day… The reason why we keep the first day of the week holy instead of the seventh is for the same reason that we observe many other things, not because the Bible, but because the church has enjoined it.” --- ISAAC WILLIAMS, B.D., “Plain Sermons on the Catechism,” Vol. I, pages 334-336. “There is no recorded word of Christ, there is no word of any of the apostles, which tells how we should keep Sunday, or indeed that we should keep it at all. It is disappointing, for it would make our task much easier if we could point to a definite rule, which left us no option but simple obedience or disobedience. . . . There is no rule for Sunday observance, either in Scripture or history.” --- DR. STEPHEN, Bishop of Newcastle, N.S.W., in an address reported in the Newcastle Morning Herald, May 14, 1924. From the Moody Bible Institute: “The Sabbath was binding in Eden, and it has been in force ever since. This fourth commandment begins with the word ‘remember,’ showing that the Sabbath already existed when God wrote the law on the tables of stone at Sinai. How can men claim that this one commandment has been done away with when they will admit that the other nine are still binding? “Saturday is my day of rest because I generally preach on Sunday, and I look forward to it as a boy does to a holiday. God knows what we need.” --- D.L. MOODY, “Weighed and Wanting,” page 47. Why Do Protestants Keep the Sabbath? So why do Protestants keep the Sabbath? They do so because their mother church -- the Roman Catholic church -- changed the Sabbath to Sunday. The change from the seventh-day Sabbath to the Sunday Sabbath occurred long after the writing of the New Testament. No clear reference to Sunday observance occurs in writing until A.D. 135! The New Testament Church Kept the Sabbath If Jesus wanted the Sabbath to be changed to Sunday, then surely we could find evidence of such a change in the New Testament scriptures. Abolishing or changing one of God’s Commandments is a very serious matter! Certainly such a change would appear in a multitude of passages in the New Testament; and such a radical change in God’s word would be made crystal clear. If the Apostles had abolished the Sabbath law, they would have supported their decision with an abundance of scriptures that demonstrated their authority to make such changes. But there are no scriptures that speak of altering God’s law. Instead, the Bible affirms the Sabbath doctrine, and it teaches people how to keep the spirit of the law as well as the letter of the law. Paul’s Custom Yet, some will argue the Apostle Paul taught the Sabbath had been done away. But once again, there is no scriptural proof Paul released the Church from keeping God’s holy Sabbath. To the contrary, scripture tells us plainly that the Apostle Paul was a Sabbath keeper: “Then Paul as his custom was, went in to them, and for three Sabbaths reasoned with them from the scriptures,” (Acts 17:2). “But when they departed from Perga, they came to Antioch in Pisidia, and went into the synagogue on the Sabbath day and sat down.” (Acts 13:14). “And on the Sabbath day we went out of the city to the river-side, where prayer was customarily made; and we sat down and spoke to the women who met there.” (Acts 16:13). “And he [Paul], went into the synagogue and spoke boldly for three months, reasoning and persuading concerning the things of the kingdom of God.” (Acts 19:8). The meeting places most often mentioned in the book of Acts for Christian gatherings are the temple (Acts 2:46), the synagogue (Acts 9:20), and private homes (Acts 5:42). God’s church frequently met in these places on the Sabbath day. But still, many today will ask: “But didn’t the Resurrection of Christ validate Sunday observance?” Was the Resurrection on Sunday? It is commonly assumed that Jesus Christ died on Friday and was resurrected on Sunday morning. The reasoning then follows that we should now keep the Sabbath on Sunday in honor of the resurrection. It may be shocking for you to learn that this conclusion is not supported in the New Testament record! In fact, none of the Apostles, including the Apostle Paul, taught that the celebration of the Sabbath was to take place on the first day of the week because of a Sunday resurrection. This reasoning, however sincere, is unscriptural. Did Paul Keep the Law? Many ministers in this world persist in their argument, saying Paul taught the Sabbath was part of the ceremonial law that was nailed to the cross. Such a conclusion is a distortion of the truth! Two decades after the death of Jesus Christ, Paul said: “for not the bearers of the law are just in the sight of God, but the doers of the law will be justified.” (Romans 2:13) The Apostle Paul taught Gentile Christians it was their duty to keep the commandments of God. In 1 Corinthians 7:19 Paul tells the members at Corinth (remember Corinth was a predominately Gentile church) “Circumcision is nothing and uncircumcision is nothing, but keeping the commandments of God is what matters.” Paul upheld the law as a standard of right conduct, saying: “Therefore the law is holy, and the commandment holy and just and good” (Romans 7:12). In verse 22 of the same chapter Paul says, “For I delight in the law of God according to the inward man.” Those who rush to the conclusion that faith in Jesus Christ annuls the law are making a grave mistake. Faith in the sacrifice of Jesus Christ is of the utmost importance, but that faith does not abolish the law of God. Paul is very clear about the need to keep the law, as we continue to live by faith: “Do we then make void the law through faith? Certainly not! On the contrary, we establish the law.” (Romans 3:31) In Acts 21, Paul was greeted by James and the other elders as he came to visit the Jerusalem church. Accused by non-Christian Jews of teaching against circumcision and the customs of the Jews, James and the elders at Jerusalem encouraged Paul to pay for four men who were just completing the term of their vow. This was done so that the Jews outside the Church would see that Paul walked orderly, and kept the law. James and the elders would not have asked Paul to do something that was hypocritical. Paul did not pretend to keep the law just to please the Jews. Paul actually kept God’s law in the letter and the spirit. Notice this fact as revealed in Acts 21: 21-24: “…but they have been informed about you [Paul] that you teach all the Jews who are among the Gentiles to forsake Moses, saying that they ought not to circumcise their children nor to walk according to the customs. What then? The assembly must certainly meet, for they will hear that you have come. Therefore do what we tell you: We have four men who have taken a vow. Take them and be purified with them, and pay their expenses so that they may shave their heads, and that all may know that those things of which they were informed concerning you are nothing, but that you yourself also walk orderly and KEEP THE LAW.” Jews Never Accused Paul of Breaking the Sabbath In Acts 24, we find Paul defending himself before the Roman governor Felix. Many Jews were angry about Paul teaching that Gentiles did not need to be circumcised to receive salvation; but they NEVER accused Paul of breaking the Sabbath. Take notice of this important point, it is CRUCIAL! When defending himself before Felix, Paul stated: “But this I confess to you, that according to the Way which they call a sect, so I worshipped the God of my fathers, believing all things which are written in the Law and in the Prophets” (Acts 24:14). The Law and the Prophets taught seventh-day Sabbath observance. Paul believed that the seventh-day Sabbath was binding on all Christians, Jew and Gentile alike. Is the Sabbath Only for the Jews? Now we come to a common misconception. Many believe the Sabbath and the annual Sabbaths (or Holy Days) are Jewish, to be kept by the Jews only. This reasoning concludes with the notion that since many Christians are Gentiles, they do not need to keep the Sabbath. This type of thinking is in error! Jesus Christ claimed He was “Lord of the Sabbath” and that, “the Sabbath was made for man, and not man for the Sabbath” (Mark 2:27,28). Notice what Jesus did NOT say. He did not say, “The Sabbath was made only for the Jews.” He did not say, “The Sabbath will be voided after I die.” He did not say, “The Sabbath can be kept on any day a person chooses.” Instead, He said: “the Sabbath was made FOR MAN.” In Leviticus 23, God inspired Moses to write about the Feasts of the Lord. Notice, He does not call them the Feasts of the Jews, or the Feasts of the Israelites, but the Feasts of the Lord: “Speak to the children of Israel, and say to them: The feasts of the LORD, which you shall proclaim to be holy convocations, these are My feasts.” God calls them, MY Feasts. They belong to Him! They were made for man, but they belong to Him. They do not belong only to the Jews. In verse 3 of Leviticus 23, the first Feast that God mentions is the Sabbath. Yes, the Sabbath is a Feast day. It should be a time of rejoicing! It is God’s day. He owns that day, and has designated it as HOLY. On that day, we do not do our own pleasure. It is a divinely appointed time when we are to honor our God (see Isaiah 58:13). Jews and Gentiles will keep the Sabbath Still, some will say that Gentiles do not need to observe the Sabbath. However, when Jesus Christ returns and sets up His Father’s kingdom, we are told that ALL flesh will worship God on the Sabbath: “And it shall come to pass that from one New Moon to another, And from one Sabbath to another, ALL flesh shall come to worship before Me, says the LORD.” (Isaiah 66:23) “All” means everybody, both Jews and Gentiles. What your church teaches, or what your friends believe will be of no consequence to Him as you stand before Him to give account of your life: “For it is written: ‘As I live, says the LORD, Every knee shall bow to Me, and every tongue shall confess to God.’ So then each of us shall give account of himself to God.” (Romans 14:11-12) The Sabbath and the New Covenant Some theologians argue the Sabbath has been abolished under the terms of what is called the New Covenant. This is a contradiction of what the Bible clearly says. The Sabbath is one of the core commandments of God. And under the terms of the New Covenant, God actually writes His commandments, including the Sabbath command, in our minds and on our hearts. Read what the Bible says regarding the New Covenant: “For this is the covenant that I will make with the House of Israel after those days, says the LORD: I will put My laws in their mind and write them on their hearts; and I will be their God, and they shall be My people.” (Hebrews 8:10) This means that God’s people will be given both a will and a desire to keep God’s laws. Under the New Covenant, the Ten Commandments do not change. There is, however, a change from the Old Covenant to the New Covenant concerning the law. During the time of the Old Covenant, the law of God was written on two tablets of stone and was taught to the people (Deuteronomy 6:13). Under the terms of the New Covenant, the laws are put in the minds and written on the hearts of God’s people: “Behold the days are coming, says the LORD, when I will make a new covenant with the House of Israel and with the house of Judah—But this is the covenant that I will make with the House of Israel after those days, says the LORD: I WILL PUT MY LAW IN THEIR MINDS, AND WRITE IT ON THEIR HEARTS: and I will be their God and they shall be My people.” (Jeremiah 31:31, 33) With these scriptures in mind, it is clear the New Covenant includes Sabbath observance. Sabbath Observance in the Kingdom of God? Isaiah 66:22-23 describes the time in the future when God’s Kingdom will be on this earth. Clearly, this passage informs us of what will take place in that coming Kingdom. Notice that the Sabbath will be the official day of worship in God’s Kingdom: “For as the new heavens and the new earth Which I will make shall remain before Me,’ says the LORD, ‘So shall your descendants and your name remain. And it shall come to pass That from one New Moon to another, and from ONE SABBATH TO ANOTHER, all flesh shall come to worship before Me,’ says the Lord.” (Isaiah 66:23,24) The people who are alive when Christ reigns on the earth will come up to worship in Jerusalem on the weekly and annual Sabbaths. Speaking of the relationship Israel will have with Him, God says, “Likewise the people of the land shall worship at the entrance to this gateway (inner court gateway of the newly built temple), before the LORD on the SABBATHS and the New Moons.” (Ezekiel 46:3) God is consistent (Malachi 3:6). Moses kept the Sabbath, David observed the Sabbath, Nehemiah observed the Sabbath, Christ kept the Sabbath, Paul kept the Sabbath and the people in the Kingdom of God will keep the seventh-day Sabbath. Only God Can Make a Day Holy One argument some make regarding Sabbath observance is that God allows people to unilaterally decide what day they may keep holy to Him, whether that day is Saturday, Sunday, or even Wednesday. Open your Bible and read Genesis 2:2-3: “And on the seventh day God ended His work which He had done, and He rested on the seventh day from all His work which He had done. Then God blessed the seventh day and sanctified it, because in it He rested from all His work which God had created and made.” God is our great Creator. He put His presence into the seventh day of the week, making ONLY that day holy. To sanctify means to set apart for holy use. It is important to note that at creation all the other days of the week were simply numbered: the first day, the second day, the third day, etc. Only the seventh day was given a special title (Exodus 20:8-11). It is the SABBATH DAY. It is actually blasphemous for humans to say that they can make a day -- or anything else -- holy, simply because they are Christians. Only God can make a day holy, by putting His presence into that day. Sabbath Breaking Leads to National Captivity History tells us that God punished the House of Israel by the hand of their enemy, the Assyrian nation, from 721-718 B.C. The people of the northern kingdom of Israel (called the House of Israel) were either killed or deported into slavery (2 Kings 17:20-23). Historians call them the “lost ten tribes of Israel”. Between 604 and 585 B.C. the nation of Judah suffered captivity at the hands of the Babylonians. God allowed this as chastisement for their sins. But why did God allow such a terrible punishment to fall upon His people? Because He was especially furious with them for their practicing of idolatry and their Sabbath breaking. These two sins, above all others, opened the door to all kinds of depravity and lawlessness within the nations. Ezekiel, chapter 20, tells us that God sent the nation of Israel into captivity because they broke His Sabbaths. The Sabbath of God is the sign God uses to identify Him as the one and only true God. The Sabbath is also a sign that identifies who God’s people are. The Prophet Ezekiel was inspired to write: “Moreover I also gave them My Sabbaths, TO BE A SIGN between them and Me, that they might know that I am the LORD who sanctifies them. Yet the House of Israel rebelled against Me in the wilderness; they did not walk in My statutes; they despised My judgments, which if a man does, he shall live by them; and they greatly defiled MY SABBATHS. Then I said I would pour out My fury on them.” (Ezekiel 20:12-13) God’s punishment for Sabbath breaking was to scatter Israel among the Gentiles and disperse them throughout the countries (Ezekiel 20:21,32). God obviously takes Sabbath observance VERY seriously! The so called, “lost tribes of Israel” ended up settling in what we know today as Northwest Europe, in countries such as Switzerland, Finland, Norway, Sweden, France, Holland, Belgium and the British Isles. Many of the lost tribes of Israel reside in these western European countries to this day. The tribe of Manasseh, in time, migrated to the United States. Yes, as fantastic as it sounds, many of the ancestors of the American people were sifted through the nations over the centuries (Amos 9:9), and were finally placed by God in the country we call the United States. But what does this have to do with the Sabbath command? Will God Punish Again for Sabbath Breaking? Shunning idolatry and Sabbath keeping were the two cardinal commandments of God that Israel and Judah stepped on again and again. Furious with them for their flagrant breaking of His laws, God punished the nations with famine, pestilence, war, and eventual captivity at the hands of their enemies. We need to remember that the example of Ancient Israel was written in the Bible for our admonition in the latter days: "Now all these things happened to them as examples, and they were written for our admonition, on whom the ends of the ages have come." (I Corinthians 10:11) What the Sabbath Foreshadows Sin and the consequences of sin plague our world today. When we keep the Sabbath, we look forward to a time when we will live in a better world -- a world without war, disease, crime, and broken families. The Sabbath, as a day of rest, pictures the soon-coming Kingdom of God that is often referred to by God’s people today as The Wonderful World Tomorrow. This period is likened to a rest that prophecies tell us will bring peace to this world (Hebrews 4:9; Isaiah 11:6-9). The Sabbath reminds us of creation but also pictures a new world, a time ahead, when the laws of God will be enforced and respected...a time when the knowledge of God will be taught throughout the earth: “They shall not hurt nor destroy in all My holy mountain, For the earth shall be filled with the knowledge of the LORD, as the waters cover the sea.” (Isaiah 11:9). That’s one of the reasons God calls the Sabbath a delight and not a burden (See Isaiah 58:13). Without the Sabbath, you cannot understand the plan of God. The Sabbath Identifies the True God The Sabbath law is more than a physical law. The Sabbath identifies who the TRUE God is! Note that the Sabbath was a sign by which men might know who God is: “Speak to the children of Israel, saying: ‘Surely My Sabbaths you shall keep, for it is a sign between Me and you throughout your generations, that you may know that I am the LORD who sanctifies you.’” (Exodus 31:13) “Moreover I also gave them My Sabbaths, to be a sign between them and Me, that they might know that I am the LORD who sanctifies them.” (Ezekiel 20:12) There was absolutely no question in the minds of the Jews of Christ’s day as to what day was the Sabbath. The Sabbath was not an arbitrary doctrine they could toss aside or change at whim. Changing the Sabbath was tantamount to their worshipping another god. As we have seen, there is nothing in scripture that states Jesus Christ, Peter, Paul or the New Testament Church changed the Sabbath to another day. As has already been written in this booklet, such a change would have inflamed the Pharisees and Sadducees of Christ’s day! If there had been such a change, scriptures would have stated that religious Jews persecuted God’s Church for changing the Sabbath to Sunday? The Test Commandment Many fail to realize that the Sabbath was the “test commandment” of God. In Exodus 16 we see that God used the Sabbath command to test the children of Israel to see if they would obey Him: “Then the Lord said to Moses, ‘Behold, I will rain bread from heaven for you. And the people shall go out and gather a certain quota every day, that I may test them, whether they will walk in My law or not. And it shall be on the sixth day that they shall prepare what they bring in, and it shall be twice as much as they gather daily.’” (Exodus 16: 4-5) The Israelites’ keeping of the Sabbath served as a litmus test to determine if they would be obedient to the other laws of God: “…that I may test them, whether they will walk in My law or not” (Exodus 16:4). God promised to provide manna six days of the week, but the Israelites were to trust God to provide enough manna the sixth day of the week to feed them on the seventh day also. This was a test of faith and obedience. Sadly, some of the people failed the test: “Six days you shall gather it [manna], but on the seventh day, which is the Sabbath, there will be none. Now it happened that some of the people went out on the seventh day to gather, but they found none. And the LORD said to Moses, ‘How long do you refuse to keep My commandments and My laws.’” (Exodus 16:26-28) God emphasized the importance of keeping the Sabbath on a weekly basis by giving them a double portion of manna on the sixth day of each week. God did not send manna on the seventh day of the week -- it was the day of rest. Conclusion The Sabbath, as has been shown in this booklet, was established by God from the time of creation and is immutable. The Sabbath identifies who the true God is, and is holy to God the Father and His son, Jesus Christ! To change the Sabbath to Sunday would require a decree from God. If such a change had occurred during the New Testament period, it would have been made clear, and would have created a huge uproar among the Jews of the day. However, there isn’t a speck of evidence that the Sabbath was ever changed to Sunday. In fact, the early Christian church was considered by the Roman world to be just another sect of the Jews. The obvious identifying mark of the Jews was that they were Sabbath keepers. Both Jews and Christians kept the Sabbath. Today, many sincere Christians believe that the resurrection of Christ changed Sabbath observance to a Sunday observance. When considering this, we must face the plain truth that the Bible record does not reveal any change of the Sabbath, but, in fact, clearly shows Christ was resurrected on the Sabbath just before sunset, not on Sunday. The complete absence of any debate over the keeping of the Sabbath in the New Testament is proof that the Christian church of the first century continued to observe the seventh-day Sabbath. While it can be said this is an argument from silence, the absence of reference to changing the Sabbath from Saturday to Sunday is so profound, it speaks to the truth that the Apostles never altered the Sabbath command. If you are a professing Christian, you believe that God’s truth is precious! What then will you do with this knowledge regarding the Sabbath? Will you be swayed by the world around you – by the modern-day practices of men? Or will you keep God’s Sabbath at the time He has determined it should be kept? God rewards those who diligently seek Him (Hebrews 11:6). The Sabbath is a test commandment. If you choose to follow God by keeping His Sabbath holy, He will reward you, and bless you in ways you have never imagined! Questions, Comments, and Answers The following is a list of commonly asked questions and answers regarding Sabbath observance: QUESTION: I have always been taught that the law of God was done away after Christ died. If the law is done away, then the Sabbath is no longer in force. Isn’t that True? ANSWER: The idea that the law was somehow done away with in the New Testament is unscriptural. Jesus Christ said: “if you want to enter into life keep the commandments” (Matthew 19:17). Christ observed the Sabbath (Luke 4:16, 31). The Apostle Paul said in Romans 7:12: “Therefore the law is holy, and the commandment holy and just and good.” This includes the Sabbath command. The last book written in the New Testament, the book of Revelation (about A.D. 95), reveals that the commandments of God, including the Sabbath, will be kept by God’s true church just before the return of Jesus Christ. Read Revelation 14:12, where the saints of God are described as, “those who keep the commandments of God and the faith of Jesus.” The Apostle John, at the end of his life, thus verified for us that the commandments of God, including the Sabbath, were still in force. Jesus Christ also informs us that His disciples, at the end time, will be keeping the Sabbath. Just before Christ returns, when armies are surrounding Jerusalem, Christ warns Christians: “And pray that your flight may not be in winter or ON THE SABBATH” (Matthew 24:20). Read it in your Bible! Christ said, “Pray that your flight MAY NOT BE ON THE SABBATH!” Jesus was a seventh-day Sabbath keeper. He could only have been talking about the seventh day of the week -- the day we call Saturday. This proves that right at the very end of this present evil world, God’s people will be keeping the Sabbath. QUESTION: I understand that Christians need only keep the moral laws, such as do not kill and do not commit adultery. The Sabbath law was a physical and ceremonial law only, not a moral law. So, isn’t it true that the Sabbath is no longer binding on Christians today? ANSWER: Contrary to what many Christians believe, the Sabbath command is very much a MORAL law, not just a physical law. Morality concerns itself with actions that are right and wrong. The Ten Commandments define right from wrong, and the Sabbath is one of the Ten Commandments (Exodus 20:10). To work on the Sabbath is a sin. Sin is the violation of the law of God (I John 3:4) -- a transgression of God’s standard of morality. Six days of the week are common days, but the seventh day of the week is holy. That day is to be hallowed, because God puts His presence in that Day, and that day alone. We respect the holiness of the Sabbath by not working on that day, nor seeking our own pleasure -- like playing sports or going to the movies. Instead, we are to spend time honoring God in prayer, studying of His word, and worshipping Him in Church services (Hebrews 10:25). Honoring God is a moral issue! Breaking the Sabbath command is dishonoring God. Dishonoring our Father by stepping on His Sabbath is a TERRIBLE breach of morality. Notice God’s emphasis on the holiness of His Sabbath: “If you turn away your foot from the Sabbath, From doing your pleasure on My HOLY day, And call the Sabbath a delight, The HOLY day of the LORD honorable And shall HONOR Him, not doing your own ways, Nor finding your own pleasure, Nor speaking your own words, Then you shall delight yourself in the LORD; And I will cause you to ride on the high hills of the earth, And feed you with the heritage of Jacob your father Isaiah 58:13-14”. The Promise of God is clear. God will bless you for keeping His Sabbath holy! QUESTION: Isn’t keeping the Sabbath being legalistic, something Christ and the Apostles admonished us not to do? ANSWER: Jesus Christ was not a legalist. To Christ, keeping the Sabbath was not an act of legalism (Luke 4:16). When asked by a rich young ruler, “what good thing shall I do that I may have eternal life?” Jesus said, “If you want to enter into life, keep the commandments” (Matthew 19:17). The commandments, of course, include the Sabbath command. However, you can become a legalist if you think that by law-keeping and good works you can earn your salvation. The most righteous person, the strictest commandment keeper, cannot earn his way into the Kingdom of God through commandment keeping. Eternal life is a gift from God. But it is a gift we cannot have if we do not show respect for the Father’s commandments (Revelation 22:14-15). QUESTION: The Sabbath is not mentioned in any of the lists of do’s or don’t in the New Testament. Doesn’t this imply that the Sabbath command is no longer binding on Christians? ANSWER: You must remember that the Churches mentioned in the New Testament studied from the Old Testament Scriptures (Acts 17:11; I Corinthians 10:11; Luke 16:31). Paul never said the writings of the Law and the Prophets were done away with. To the contrary, he said those writing were, “…profitable for doctrine, for reproof, for correction, for instruction in righteousness” (II Timothy 3:16). Paul was referring to what we call the “Old Testament scriptures” today; at that time there were no other scriptures. Since the Old Testament Scriptures teach the absolute importance of Sabbath observance, it was not necessary to continually restate the importance of Sabbath keeping when it was thoroughly emphasized in books like Exodus, Nehemiah, Jeremiah and Ezekiel. The limited references concerning the Sabbath in the New Testament simply affirm that the New Testament Church, both Jews and Gentiles, kept the Sabbath. Historical records also reveal the first century church members were Sabbath keepers. The change from Sabbath to Sunday came long after the writing of the New Testament. Sunday keeping first entered the church during the reign of Emperor Hadrian about 130 A.D. Also, the Pharisees, who vigorously pressured the Gentiles in the Church to be circumcised (Acts 15), would have aggressively attacked Paul and the other Apostles if they had taught Sunday observance. Yet, there is no recorded attack upon Paul or the other Apostles by the Pharisees regarding changing the Sabbath to Sunday. QUESTION: Does I Corinthians 16:1-2 tell us to take up a collection at Sunday church services? ANSWER: You need to look closely at these verses. This passage does not say that a church service was being held on the first day of the week (Sunday). The New Testament was written over a period of several decades, and nowhere does it say that the Church kept Sunday in place of Saturday as their Sabbath. A collection did take place on the first day of the week, but no religious service was held on that particular Sunday. What was taken up was a special collection (not a weekly collection). The collection was for the Saints in Jerusalem (verses 1, 3). Famine had struck Judea, and the members in Corinth, Macedonia, and Achaia (Acts 11:28-30; Romans 15:25, 26) were asked to lay aside food to be delivered to the members of the Church in Jerusalem. To advance the argument that members were to take up a collection every Sunday based on I Corinthians 16:1-2, is to falsely interpret the clear meaning of scripture. We must guard against reading our personal interpretation into the scriptures. QUESTION: Didn't the New Testament Church break bread every Sunday (Acts 20:7)? ANSWER: It is wrong to assert that every time breaking bread is mentioned in the Bible it is a reference to a religious service like observing the Passover (Luke 24:30, 35; Acts 27:35). “Breaking bread” was an expression that simply meant eating a meal. It is not something that always involves a religious service. Paul had kept the Sabbath with the members at Troas. Paul continued speaking with the people well past midnight, into the early hours of Sunday morning. Owing to the lateness, a young man fell asleep and fell out of the balcony to his death. Paul went over to the young man and raised him to life (Acts 20:9-10). After this healing, Paul stayed with the members until daylight (Sunday morning), eating (breaking bread) and fellowshipping (Acts 20:11). That Sunday morning, just after daybreak, Paul left Troas and walked twenty miles on foot, crossing the peninsula to the city of Assos. Paul actually walked 20 miles on Sunday, something he would not have done on the Sabbath. QUESTION: Doesn’t John mention Sunday as being the Lord’s Day in the Book of Revelation? ANSWER: John said in Revelation 1:10: “I was in the Spirit on the Lord’s Day, and I heard behind me a loud voice, as of a trumpet.” Actually, John never mentions Sunday as being the Lord’s Day in the Book of Revelation at all. The Bible doesn’t define the Lord’s Day as being the first day of the week. Christ tells us plainly that He is the “Lord” of the Sabbath, which is the seventh day of the week (Luke 6:5). The expression “Lord’s day” used in Revelation 1:10 is the only time that expression is used in the Bible. The context of John’s vision had nothing to do with a particular day in the weekly cycle. It is an expression that references a time yet in the future called “the Day of the Lord” (Jeremiah 46:10; Acts 2:20, I Thessalonians 5:2; 2 Thessalonians 2:2). This phrase is not speaking of a single day, but rather end-time events just preceding the return of Jesus Christ as King of Kings. The theme of the book of Revelation deals with the events to occur during the “Day of the Lord”. QUESTION: Galatians 4:9-10 tells us that we do not need to observe “days and months and seasons and years.” Don’t these verses tell us that the Sabbath is no longer to be kept? ANSWER: The converts to whom Paul was writing in this passage were Gentiles. At one time “they had no hope and were without God in this world” (Ephesians 2:12). Hearing the truth, they repented and became part of the Church. Paul was warning the churches of Galatia that false teachers were perverting the gospel and teaching them to fall back into pagan practices. Paul could not have been talking about the Sabbath when using the expression “days, months, and years” because the gentiles never kept the Sabbath before they came into God’s church. How could they go back to something (Sabbath keeping), if they never practiced it in the first place? What they were going back to were their pagan religious observances of “days, months, and years”. Never in the scriptures do we find God inspiring the expression “weak and beggarly elements” as a reference to God’s holy Sabbath or Festival days. “Weak and beggarly elements” was an expression Paul used to define the false religious practices of the gentile mystics and Jewish astrologers. The gentile Christians were tempted to mix the true teachings of Christianity with false beliefs. Paul was warning them against doing so. QUESTION: Isn’t it true that Colossians 2:14-17 reminds Christians that the old Mosaic law was nailed to the Cross. So why do I need to keep the Sabbath? ANSWER: Satan has deceived this world’s churches into the belief that God’s law was done away -- that Jesus, rather than paying the price in human stead for transgressing the law, did away with it -- “nailing it to his cross.” The expression used by Protestants “nailing the law to his cross” can mean only one thing: Christ abolished the law, making it possible for humans to sin with impunity. This is Satan’s teaching. What actually was nailed to the cross was Christ our sin bearer, who took on himself our sins, paying the death penalty in our stead, so that we are freed from the ultimate penalty of sinning…not made free to sin with impunity! Therefore, the fourth Commandment, which requires all men to observe the Sabbath, was not nailed to the cross. QUESTION: Will the Sabbath be kept in the coming Kingdom of God? ANSWER: Isaiah 66:22-23, clearly informs us of what will take place in the coming Kingdom of God. Notice that the Sabbath will be the official day of worship in God’s Kingdom: “For as the new heavens and the new earth Which I will make shall remain before Me,’ says the LORD, ‘So shall your descendants and you name remain. And it shall come to pass That from one New Moon to another, and from ONE SABBATH TO ANOTHER, all flesh shall come to worship before Me’, says the Lord.” (Isaiah 66:23, 24) The people who are alive when Christ reigns on the earth will come to worship in Jerusalem on the weekly and annual Sabbaths. Speaking of the “new covenant” relationship Israel will have with God, God says, “Likewise the people of the land shall worship at the entrance to this gateway [inner court gate way of the newly built temple], before the LORD on the SABBATHS and the New Moons.” (Ezekiel 46:3) QUESTION: I believe in a Sabbath Day but does it really matter what day I keep, as long as I worship God on one day of the week, a day of my choosing? ANSWER: Leviticus 23:2 reveals that the Sabbath is one of God’s appointed feasts: “Speak to the children of Israel, and say to them: ‘The feasts of the LORD, which you shall proclaim to be holy convocations, these are My feasts.’” (Leviticus 23:2) The Sabbath is GOD’S feast, and it is to be observed at a very specific time. Think of it this way: If you have an appointment for a job interview, are you not careful to show up at the appointed time? No potential employer wants a job interviewee showing up late. When you attend a wedding or funeral, isn’t there an APPOINTED time to be present and seated? To be late or to show up on another day for such an important occasion would be considered rude and dishonoring. We are careful to respect our appointments with humans. Yet many ignore God’s command to meet with Him on the day He appoints. If we say we respect God, our actions will follow our words, we will keep holy the day that God chooses. In Mark 2:28 Jesus said, “Therefore, the Son of Man is also Lord of the Sabbath.” Only Jesus Christ and the Father have the authority to fix a particular day of the week as the holy Sabbath. The Sabbath is mentioned over one hundred times in scripture, and not one single reference reveals the Sabbath can be kept on any day other than the seventh day of the week. QUESTION: The Gentiles were not required to keep the Sabbath. I am a Gentile, therefore I am not required to keep the Sabbath, correct? ANSWER: Millions assume the Sabbath is only a “Jewish” holy day not binding upon Christians. If this were the case, we would expect the Apostle to the Gentiles, Paul, to advocate doing away with Sabbath observance. Let’s read what Paul and Barnabas did when they preached to the Gentiles: “But when they departed from Perga, they came to Antioch in Pisidia, and went into the synagogue on the Sabbath day and sat down. And after reading of the Law and the Prophets, the rulers of the synagogue sent to them, saying, ‘Men and brethren, if you have any word of exhortation for the people, say on.’” (Acts 13:14-15) Paul then spoke to them about Jesus Christ. When the Jews left the synagogue, the Gentiles pleaded with them to preach to them again the next Sabbath: “And when the Jews WENT OUT of the synagogue, the Gentiles begged that these words might be preached to them NEXT SABBATH” (Acts 13:42). Paul, the Apostle to the Gentiles, had a golden opportunity right then and there to tell the Gentiles, “you do not need to keep the Sabbath on the seventh day of the week; we can meet together on Sundays.” But Paul never said anything about a Sunday observance! Many years after the crucifixion of Christ, Paul kept the Sabbath on the seventh day of the week: “And Paul, AS HIS MANNER WAS, (meaning custom or habit), went in to them and for three Sabbaths reasoned with them from the Scriptures,” (Acts 17:2). Biblical historians believe the time setting of chapter 17 was somewhere between 59-62 A.D. This means that Paul and the New Testament church, both Jew and Gentile alike, were still observing the Sabbath many years after Christ’s death. This booklet is provided as an educational service and is not to be sold. The 2016-2017 school year was a challenging one for many students and teachers alike. The transition to Common Core State Standards (CCSS) and the implementation of new assessments required significant changes in teaching and learning practices. Despite these challenges, there were also many positive developments that contributed to the success of our students. One of the most significant achievements of the year was the improvement in student performance on the state assessments. While there were still areas where we need to make progress, the overall trend was encouraging. This improvement can be attributed to several factors, including increased focus on literacy and numeracy skills, more effective use of technology in the classroom, and improved collaboration between teachers and administrators. Another highlight of the year was the continued growth of our extracurricular programs. We saw an increase in participation from students across all grade levels, which not only enhanced their academic experience but also helped develop important life skills such as teamwork, leadership, and perseverance. In addition to these successes, we also made strides in addressing some of the challenges faced by our community. For example, we launched a new initiative aimed at supporting families who are struggling with financial difficulties. This program has been well-received and has already had a positive impact on many families. Looking ahead, we remain committed to continuing our efforts to provide a high-quality education for all students. We will continue to monitor student progress closely and make adjustments as needed to ensure that every child has the opportunity to reach their full potential. Thank you for your continued support and partnership in this important work. GOD’S HOLY SABBATH 2 Rome’s Challenge to the Protestants Rome’s Challenge—Why Do Protestants Keep Sunday?? Most Christians assume that Sunday is the biblically approved day of worship. The Roman Catholic Church protests that, indeed, it is not. The Roman Catholic Church itself without any Scriptural authority from God transferred Christian worship from the Biblical Sabbath (Saturday) to Sunday, by the command of the pagan Roman Emperor Constantine in 325 AD; and that to try to argue that the change was made in the Bible is both dishonest and a denial of Catholic authority. If Protestantism wants to base its teachings only on the Bible, it should worship on Saturday. Over one hundred years ago the Catholic Mirror ran a series of articles discussing the right of the Protestant churches to worship on Sunday—exposing their claim that the New Testament taught Sunday keeping to be false. The articles stressed that unless one was willing to accept the authority of the Catholic Church to designate the day of worship, the Christian should observe Saturday, the true Christian Sabbath, as both the Old and New Testaments teach. Those articles are presented here in their entirety. (When this series of articles was written in 1893, there were in the United States perhaps no more than 30,000 Church of God Sabbath-keepers and about an equal number of SDAs. Today, there are more than 13 million Christian Sabbath-keepers in the world, about 3 million are SDA. According to the Bible Sabbath Association, there are over 475 Christian Churches of God—large and small—that observe the seventh-day Sabbath, numbering perhaps 300,000 worldwide with the majority in the United States. [CBCG comments added].) FEBRUARY 24, 1893, the General Conference of Seventh-day Adventists adopted certain resolutions appealing to the government and people of the United States from the decision of the Supreme Court declaring this to be a Christian nation, and from the action of Congress in legislating upon the subject of religion, and remonstrating against the principle and all the consequences of the same. In March 1893, the International Religious Liberty Association printed these resolutions in a tract entitled Appeal and Remonstrance. On receipt of one of these, the editor of the Catholic Mirror of Baltimore, Maryland, published a series of four editorials, which appeared in that paper September, 2, 9, 16, and 23, 1893. The Catholic Mirror was the official organ of Cardinal Gibbons and the Papacy in the United States. These articles, therefore, although not written by the Cardinal’s own hand, appeared under his official sanction, and as the expression of the Papacy to Protestantism, and the demand of the Papacy that Protestants shall render to the Papacy an account of why they keep Sunday and also of how they keep it. The following article (excepting the notes in brackets/minor formatting and section headings for readability and the two [internal] Appendixes) is a reprint of these editorials, including the title on the next page. [From the Catholic Mirror of Sept. 2, 1893](Bold emphasis added throughout). THE CHRISTIAN SABBATH [Catholic Sunday] THE GENUINE OFFSPRING OF THE UNION OF THE HOLY SPIRIT AND THE CATHOLIC CHURCH HIS SPOUSE. THE CLAIMS OF PROTESTANTISM TO ANY PART THEREIN PROVED TO BE GROUNDBLSS, SELF-CONTRADICTORY, AND SUICIDAL Our attention has been called to the above subject in the past week by the receipt of a brochure of twenty-one pages, published by the International Religious Liberty Association, entitled, “Appeal and Remonstrance,” embodying resolutions adopted by the General Conference of the Seventh-day Adventists (Feb. 24, 1893). The resolutions criticize and censure, with much acerbity, the action of the United States Congress, and of the Supreme Court, for invading the rights of the people by closing the World’s Fair on Sunday. The Adventists are the only body of Christians with the Bible as their teacher, who can find no warrant in its pages for the change of the day from the seventh to the first. Hence their appellation, “Seventh-day Adventists.” Their cardinal principle consists in setting apart Saturday for the exclusive worship of God, in conformity with the positive command of God Himself, repeatedly reiterated in the sacred books of the Old and New Testaments, literally obeyed by the children of Israel for thousands of years to this day, and indorsed by the teaching and practice of the Son of God whilst on earth. Per contra, the Protestants of the world, the Adventists excepted, with the same Bible as their cherished and sole infallible teacher, by their practice, since their appearance in the sixteenth century, with the time-honored practice of the Jewish people before their eyes, have rejected the day named for His worship by God, and assumed, in apparent contradiction of His command, a day for His worship never once referred to for that purpose, in the pages of that Sacred Volume. What Protestant pulpit does not ring almost every Sunday with loud and impassioned invectives against Sabbath [Catholic Sunday] violation? Who can forget the fanatical clamor of the Protestant ministers throughout the length and breadth of the land against opening the gates of the World’s Fair on Sunday? The thousands of petitions, signed by millions, to save the Lord’s Day from desecration? Surely, such general and widespread excitement and noisy remonstrance could not have existed without the strongest grounds for such animated protests. And when quarters were assigned at the World’s Fair to the various sects of Protestantism for the exhibition of articles, who can forget the emphatic expressions of virtuous and conscientious indignation exhibited by our Presbyterian brethren, as soon as they learned of the decision of the Supreme Court not to interfere in the Sunday opening? The newspapers informed us that they flatly refused to utilize the space accorded them, or open their boxes, demanding the right to withdraw the articles, in rigid adherence to their principles, and thus decline all contact with the sacrilegious and Sabbath-breaking Exhibition [meaning Sunday]. Doubtless, our Calvinistic brethren deserved and shared the sympathy of all the other sects, who, however, lost the opportunity of posing as martyrs in vindication of the Sabbath observance. They thus became a “spectacle to the world, to angels, and to men,” although their Protestant brethren, who failed to share the monopoly, were uncharitably and enviously disposed to attribute their steadfast adherence to religious principle, to Pharisaical pride and dogged obstinacy. Purpose of Article Our purpose in throwing off this article, is to shed such light on this all-important question (for were the Sabbath question to be removed from the Protestant pulpit, the sects would feel lost, and the preachers be deprived of their “Cheshire cheese”) that our readers may be able to comprehend the question in all its bearings, and thus reach a clear conviction. The Christian world is, morally speaking, united on the question and practice of worshiping God on the first day of the week. The Israelites, scattered all over the earth, keep the last day of the week sacred to the worship of the Deity. In this particular, the Seventh-day Adventists (a sect of Christians numerically few) have also selected the same day. [Note: There have always been seventh day Sabbath-keepers in the world since the First Century AD (other than the Seventh Day Adventists (SDA’s)). Today, not only do SDA’s number in the millions, but there are thousands of churches, groups and home fellowships that keep a Saturday Sabbath.] Israelites and Adventists both appeal to the Bible for the divine command, persistently obliging the strict observance of Saturday. The Israelite respects the authority of the Old Testament only, but the Adventist, who is a Christian, accepts the New Testament on the same ground as the Old: viz., an inspired record also. He finds that the Bible, his teacher, is consistent in both parts, that the Redeemer, during His mortal life, never kept any other day than Saturday. The Gospels plainly evidence to him this fact; whilst, in the pages of the Acts of the Apostles, the Epistles, and the Apocalypse, not the vestige of an act canceling the Saturday arrangement can be found. The Adventists, therefore, in common with Israelites, derive their belief from the Old Testament, which position is confirmed by the New Testament, indorsed fully by the life and practice of the Redeemer and His apostles’ teaching of the Sacred Word for nearly a century of the Christian era. Numerically considered, the Seventh-day Adventists form an insignificant portion of the Protestant population of the earth, but, as the question is not one of numbers, but of truth, and right, a strict sense of justice forbids the condemnation of this little sect without a calm and unbiased investigation; this is none of our funeral. The Protestant world has been, from its infancy, in the sixteenth century, in thorough accord with the Catholic Church, in keeping “holy,” not Saturday, but Sunday. The discussion of the grounds that led to this unanimity of sentiment and practice of over 300 years, must help toward placing Protestantism on a solid basis in this particular, should the arguments in favor of its position overcome those furnished by the Israelites and Adventists, the Bible, the sole recognized teacher of both litigants, being the umpire and witness. If however, on the other hand, the latter furnish arguments, incontrovertible by the great mass of Protestants, both cases of litigants, appealing to their common teacher, the Bible, the great body of Protestants, so far from clamoring, as they do with vigorous pertinacity for the strict keeping of Sunday, have no other [recourse] left than the admission that they have been teaching and practising what is Scripturally false for over three centuries, by adopting the teaching and practice of what they have always pretended to believe an apostate church, contrary to every warrant and teaching of sacred Scripture. To add to the intensity of this Scriptural and unpardonable blunder, it involves one of the most positive and emphatic commands of God to His servant, man: “Remember the Sabbath day, to keep it holy.” No Protestant living today has ever yet obeyed that command, preferring to follow the apostate church referred to than his teacher the Bible, which, from Genesis to Revelation, teaches no other doctrine, should the Israelites and Seventh-day Adventists be correct. Both sides appeal to the Bible as their “infallible” teacher. Let the Bible decide whether Saturday or Sunday be the day enjoined by God. One of the two bodies must be wrong, and, whereas a false position on this all-important question involves terrible penalties, threatened by God Himself, against the transgressor of this “perpetual covenant,” we shall enter on the discussion of the merits of the arguments wielded by both sides. Neither is the discussion of this paramount subject above the capacity of ordinary minds, nor does it involve extraordinary study. It resolves itself into a few plain questions easy of solution: 1. Which day of the week does the Bible enjoin to be kept holy? 2. Has the New Testament modified by precept or practice the original command? 3. Have Protestants, since the sixteenth century, obeyed the command of God by keeping “holy” the day enjoined by their infallible guide and teacher, the Bible? And if not, why not? To the above three questions we pledge ourselves to furnish as many intelligent answers, which cannot fail to vindicate the truth and uphold the deformity of error. [From the Catholic Mirror of Sept. 9, 1893] “But faith, fanatic faith, one wedded fast to some dear falsehood, hugs it to the last.” —Moore. Conformably to our promise in our last issue, we proceed to unmask one of the most flagrant errors and most unpardonable inconsistencies of the Bible rule of faith. Lest, however, we be misunderstood, we deem it necessary to premise that Protestantism recognizes no rule of faith, no teacher, save the “infallible Bible.” As the Catholic yields his judgment in spiritual matters implicitly, and with the unreserved confidence, to the voice of his church, so, too, the Protestant recognizes no teacher but the Bible. All his spirituality is derived from its teachings. It is to him the voice of God addressing him through his sole inspired teacher. It embodies his religion, his faith, and his practice. The language of Chillingworth, “The Bible, the whole Bible, and nothing but the Bible, is the religion of Protestants,” is only one form of the same idea multifariously convertible into other forms, such as “the Book of God,” “the Charter of Our Salvation,” “the Oracle of Our Christian Faith,” “God’s Text-Book to the race of Mankind,” etc. It is, then, an incontrovertible fact that the Bible alone is the teacher of Protestant Christianity. Assuming this fact, we will now proceed to discuss the merits of the question involved in our last issue. Recognizing what is undeniable, the fact of a direct contradiction between the teaching and practice of Protestant Christianity—the Seventh-day Adventists excepted—on the one hand, and that of the Jewish people on the other, both observing different days of the week for the worship of God, we will proceed to take the testimony of the teacher common to both claimants, the Bible. The first expression with which we come in contact in the Sacred Word, is found in Genesis 2:2 “And on the seventh day He [God] rested from all His work which He had made.” The next reference to this matter is to be found in Exodus 20, where God commanded the seventh day to be kept, because He had himself rested from the work of creation on that day; and the sacred text informs us that for that reason He desired it kept, in the following words; “wherefore, the Lord blessed the seventh day and sanctified it.” (1) Again we read in chapter 31, verse 15: “Six days you shall do work; in the seventh day is the Sabbath, the rest holy to the Lord”; sixteenth verse: “it is an everlasting covenant,” “and a perpetual sign,” “for in six days the Lord made heaven and earth, and in the seventh He ceased from work.” [Note: Scriptures quoted throughout these editorials are from the Douay, or Catholic, Version of the Bible.] Saturday Always the Sabbath In the Old Testament, reference is made one hundred and twenty-six times to the Sabbath, and all these texts conspire harmoniously in voicing the will of God commanding the seventh day to be kept, because God Himself first kept it, making it obligatory on all as “a perpetual covenant.” Nor can we imagine any one foolhardy enough to question the identity of Saturday with the Sabbath or seventh day, seeing that the people of Israel have been keeping the Saturday from the giving of the law, A.M. 2514 to A.D. 1893, a period of 3383 years. With the example of the Israelites before our eyes today, there is no historical fact better established than that referred to; viz., that the chosen people of God, the guardians of the Old Testament, the living representatives of the only divine religion hitherto, had for a period of 1490 years anterior to Christianity, preserved the weekly practice, the living tradition of the correct interpretation of the special day of the week, Saturday, to be kept “holy to the Lord,” which tradition they have extended by their own practice to an additional period of 1893 years more, thus covering the full extent of the Christian dispensation. We deem it necessary to be perfectly clear on this point, for reasons that will appear more fully hereafter. The Bible—the Old Testament—confirmed by the living tradition of a weekly practice for 3383 years by the chosen people of God, teaches, then, with absolute certainty, that God had, Himself, named the day to be “kept holy to Him.”—that the day was Saturday, and that any violation of that command was punishable with death. “Keep you My Sabbath, for it is holy unto you; he that shall profane it shall be put to death; he that shall do any work in it, his soul shall perish in the midst of his people.” Ex 31:14. [Note: In other words, the people of Israel (made up of 12 tribes—one of which is Judah, which the term “Jew” comes from) anciently maintained the correct day of the Sabbath—and the Jews (who did not lose their identity) to this day STILL keep the correct time of God’s Sabbath given to them through Moses! Time has not been “lost”—we know that Saturday IS God’s Sabbath Day!] It is impossible to realize a more severe penalty than that so solemnly uttered by God Himself in the above text, on all who violate a command referred to no less than one hundred and twenty-six times in the old law. The ten commandments of the Old Testament are formally impressed on the memory of the child of the Biblical Christian as soon as possible, but there is not one of the ten made more emphatically familiar, both in Sunday School and pulpit, than that of keeping “holy” the Sabbath day. Having secured the absolute certainty the will of God as regards the day to be kept holy, from His Sacred Word, because He rested on that day, which day is confirmed to us by the practice of His chosen people for thousands of years, we are naturally induced to inquire when and where God changed the day for His worship; for it is patent to the world that a change of day has taken place, and inasmuch as no indication of such change can be found within the pages of the Old Testament, nor in the practice of the Jewish people who continue for nearly nineteen centuries of Christianity obeying the written command, we must look to the exponent of the Christian dispensation; viz., the New Testament, for the command of God canceling the old Sabbath, Saturday. Investigating the Sabbath in the New Testament We now approach a period covering little short of nineteen centuries, and proceed to investigate whether the supplemental divine teacher—the New Testament—contains a decree canceling the mandate of the old law, and, at the same time, substituting a day for the divinely instituted Sabbath of the old law, viz., Saturday; for, inasmuch as Saturday was the day kept and ordered to be kept by God, divine authority alone, under the form of a canceling decree, could abolish the Saturday covenant, and another divine mandate, appointing by name another day to be kept “holy,” other than Saturday, is equally necessary to satisfy the conscience of the Christian believer. The Bible being the only teacher recognized by the Biblical Christian, the Old Testament failing to point out a change of day, and yet another day than Saturday being kept “holy” by the Biblical world, it is surely incumbent on the reformed Christian to point out in the pages of the New Testament the new divine decree repealing that of Saturday and substituting that of Sunday, kept by the Biblicals since the dawn of the Reformation. Examining the New Testament from cover to cover, critically, we find the Sabbath referred to sixty-one times. We find, too, that the Saviour invariably selected the Sabbath (Saturday) to teach in the synagogues and work miracles. The four Gospels refer to the Sabbath (Saturday) fifty-one times. In one instance the Redeemer refers to Himself as “the Lord of the Sabbath,” as mentioned by Matthew and Luke,$^{(2)}$ but during the whole record of His life, whilst invariably keeping and utilizing the day (Saturday), He never once hinted at a desire to change it. His apostles and personal friends afford to us a striking instance of their scrupulous observance of it after His death, and, whilst His body was yet in tomb, Luke (23:56) informs us: “And they returned and prepared spices and ointments, and rested on the sabbath day according to the commandment ... but on the first day of the week, very early in the morning, they came, bringing the spices they had prepared.” The “spices” and “ointments” had been prepared Good Friday evening, because “the Sabbath drew near.” (Verse 54.) This action on the part of the personal friends of the Saviour, proves beyond contradiction that after His death they kept “holy” the Saturday, and regarded the Sunday as any other day of the week. Can anything, therefore, be more conclusive than the apostles and the holy women never knew any Sabbath but Saturday, up to the day of Christ’s death? [Note $^{(2)}$: It is also referred to in Mark 2:28.] We now approach the investigation of this interesting question for the next thirty years, as narrated by the evangelist, St. Luke, in his Acts of the Apostles. Surely some vestige of the canceling act can be discovered in the practice of the Apostles during that protracted period. But, alas! We are once more doomed to disappointment. Nine times do we find the Sabbath referred to in the Acts, but it is the Saturday (the old Sabbath). Should our readers desire the proof, we refer them to chapter and verse in each instance. Acts 13:14, 27, 42, 44. Once more, Acts 15:21; again, Acts 16:13; 17:2; 18:4. “And he [Paul] reasoned in the synagogue every Sabbath, and persuaded the Jews and Greeks”; thus the Sabbath (Saturday) from Genesis to Revelation!!! Thus, it is impossible to find in the New Testament the slightest interference by the Saviour or his Apostles with the original Sabbath, but on the contrary, an entire acquiescence in the original arrangement; nay a plenary indorsement by Him, whilst living; and an unvaried, active participation in the keeping of that day and not [any] other by the apostles, for thirty years after His death, as the Acts of the Apostles has abundantly testified to us. [Note (3): This should be eight.] Hence the conclusion is inevitable; viz., that of those who follow the Bible as their guide, the Israelites and Seventh-day Adventists have exclusive weight of evidence on their side, whilst the Biblical Protestant has not a word in self-defense for his substitution of Sunday for Saturday. [From the Catholic Mirror of Sept. 16, 1893.] When his satanic majesty, who was “a murder from the beginning,” “and the father of lies,” undertook to open the eyes of our first mother, Eve, by stimulating her ambition, “You shall be as gods, knowing good and evil,” his action was but the first of many plausible and successful efforts employed later, in the seduction of millions of her children. Like Eve, they learn too late, alas! the value of the inducements held out to allure her weak children from allegiance to God. Nor does the subject matter of this discussion form an exception to the usual tactics of his sable majesty. Over three centuries since, he plausibly represented to a large number of discontented and ambitious Christians the bright prospect of the successful inauguration of a “new departure,” by the abandonment of the Church instituted by the Son of God, as their teacher, and the assumption of a new teacher—the Bible alone—as their newly fledged oracle. The sagacity of the evil one foresaw but the brilliant success of this maneuver. Nor did the result fall short of his most sanguine expectations. A bold and adventurous spirit was alone needed to head the expedition. Him his satanic majesty soon found in the apostate monk, Luther, who himself repeatedly testifies to the close familiarity that existed between his master and himself, in his “Table talk,” and other works published in 1558, at Wittenberg, under the inspection of Melancthon. His colloquies with Satan on various occasions are testified to by Luther himself—a witness worthy of all credibility. What the agency of the serpent tended so effectually to achieve in the garden, the agency of Luther achieved in the Christian world. “Give them a pilot to their wandering fleet, Bold in his art, and tutored to deceit; Whose hand adventurous shall their helm misguide To hostile shores, or ‘whelm them in the tide.” As the end proposed to himself by the evil one in his raid on the church of Christ was the destruction of Christianity, we are now engaged in sifting the means adopted by him to insure his success therein. So far, they have been found to be misleading, self-contradictory, and fallacious. We will now proceed with the further investigations of this imposture. [Note (4): Of course, one would expect a Catholic to demonize someone such as Luther, a person who fought for reforms in the church. If Luther had continued his reforms by accepting the Bible’s Sabbath day, papists would not now be taunting “Protestants” with the inconsistency of professing to accept the Bible alone yet following the traditions of the Catholic Church in regards to God’s day of worship.] Did Jesus Change the Sabbath Day? Having proved to a demonstration that the Redeemer, in no instance, had, during the period of His life, deviated from the faithful observance of the Sabbath (Saturday), referred to by the four evangelists fifty-one times, although He had designated Himself “Lord of the Sabbath,” He never having once, by command or practice, hinted at a desire on His part to change the day by the substitution of another and having called special attention to the conduct of the apostles and the holy women, the very evening of His death, securing beforehand spices and ointments to be used in embalming His body the morning after the Sabbath (Saturday), as St. Luke so clearly informs us (Luke 24:1), thereby placing beyond peradventure, the divine action and will of the Son of God during [His physical] life [on the earth] by keeping the Sabbath steadfastly; and having called attention to the action of His living representatives after his death, as proved by St. Luke; having also placed before our readers the indisputable fact that the apostles for the following thirty years (Acts) never deviated from the practice of their divine Master in this particular, as St. Luke (Acts 18:4) assures us: “And he [Paul] reasoned in the synagogues every Sabbath [Saturday], and persuaded the Jews and the Greeks.” The Gentile converts were, as we see from the text, equally instructed with the Jews, to keep the Saturday, having been converted to Christianity on that day, “the Jews and the Greeks” collectively. Having also called attention to the texts of the Acts bearing on the exclusive use of the Sabbath by the Jews and Christians for thirty years after the death of the Saviour as the only day of the week observed by Christ and His apostles, which period exhausts the inspired record, we now proceed to supplement our proofs that the Sabbath (Saturday) enjoyed this exclusive privilege, by calling attention to every instance wherein the sacred record refers to the first day of the week. References to Sunday after Resurrection of Christ The first reference to Sunday after the resurrection of Christ is to be found in St. Luke’s Gospel, chapter 24, verses 33-40, and St. John 20:19. [Note: Luke 24:33-40 reads “And they rose up the same hour, and returned to Jerusalem, and found the eleven gathered together, and them that were with them. Saying, ‘The Lord is risen indeed, and hath appeared to Simon.’ And they told what things were done in the way, and how he was known of them in breaking of bread. And as they thus spake, Jesus himself stood in the midst of them, and saith unto them, ‘Peace be unto you.’ But they were terrified and affrighted, and supposed that they had seen a spirit. And he said unto them ‘Why are ye troubled? and why do thoughts arise in your hearts? Behold my hands and my feet, that it is I myself: handle me, and see; for a spirit hath not flesh and bones, as ye see me have.’ And when he had thus spoken, he shewed them his hands and his feet.” (King James Version)] [Note: John 20:19 says “Then the same day at evening, being the first day of the week, when the doors were shut where the disciples were assembled for fear of the Jews, came Jesus and stood in the midst, and saith unto them, ‘Peace be unto you.’ ” (KJV)] The above texts themselves refer to the sole motive of this gathering of the part of the apostles. It took place on the day of the resurrection (Easter Sunday)[according to Catholic tradition], not for the purpose of inaugurating “the new departure” from the old Sabbath (Saturday) by keeping “holy” the new day, for there is not a hint given of prayer, exhortation, or the reading of the Scriptures, but it indicates the utter demoralization of the apostles by informing mankind that they were huddled together in that room in Jerusalem “for fear of the Jews,” as St. John, quoted above, plainly informs us. The second reference to Sunday is to be found in St. John’s Gospel, 20th chapter, 26th to 29th verses: “And after eight days, the disciples were again within, and Thomas with them.” The resurrected Redeemer availed Himself of this meeting of all the apostles to confound the incredulity of Thomas, who had been absent from the gathering on Easter Sunday evening. This would have furnished a golden opportunity to the Redeemer to change the day in the presence of all His apostles, but we state the simple fact that, on this occasion, as on Easter day, not a word is said of prayer, praise, or reading of the Scriptures. The third instance on record, wherein the apostles were assembled on Sunday, is to be found in Acts 2:1: “The apostles were all of one accord in one place.” (Feast of Pentecost—Sunday.) Now, will this text afford to our Biblical Christian brethren a vestige of hope that Sunday substitutes, at length, Saturday? For when we inform them that the Jews had been keeping this Sunday for 1500 years, and have been keeping it for eighteen centuries after the establishment of Christianity, at the same time keeping the weekly Sabbath, there is not to be found either consolation or comfort in this text. Pentecost is the fiftieth day after the Passover, which was called the Sabbath of weeks, consisting of seven times seven days; and the day after the completion of the seventh weekly Sabbath day, was the chief day of the entire festival, necessarily Sunday. [The count for Pentecost does not begin with the Passover day, but it begins with the first day of the week during the Feast of Unleavened Bread, making Pentecost always fall on a Sunday.] What Israelite would not pity the cause that would seek to discover the origin of the keeping of the first day of the week in his festival of Pentecost, that has been kept by him yearly for over 3,000 years? Who but the Biblical Christian, driven to the wall for a pretext to excuse his sacrilegious desecration of the Sabbath, always kept by Christ and His apostles, would have resorted to the Jewish festival of Pentecost for his act of rebellion against his God and his teacher, the Bible? Once more, the Biblical apologists for the change of day call our attention to the Acts, chapter 20, verses 6 and 7: “and upon the first day of the week, when the disciples came together to break bread,” etc. To all appearances, the above text should furnish some consolation to our disgruntled Biblical friends, but being Marplot, we cannot allow them even this crumb of comfort. We reply by the axiom: “Quod probat nimis, probat nihil”—“What proves too much, proves nothing.” Let us call attention to the same Acts 2:46: “And they, continuing daily in the temple, and breaking bread from house to house,” etc. Who does not see at a glance that the text produced to prove the exclusive prerogative of Sunday, vanishes into thin air—an ignis fatuus—when placed in juxtaposition with the 46th verse of the same chapter? What Biblical Christian claims by this text for Sunday alone the same authority, St. Luke, informs us was common to every day of the week: “And they, continuing daily in the temple, and breaking bread from house to house.” One text more presents itself, apparently leaning toward a substitution of Sunday for Saturday. It is taken from St. Paul, 1 Cor. 16:1, 2: “Now concerning the collection for the saints,” “On the first day of the week, let every one of you lay by him in store,” etc. Presuming that the request of St. Paul had been strictly attended to, let us call attention to what had been done each Saturday during the Saviour’s life and continued for thirty years after, as the book of Acts informs us. The followers of the Master met “every Sabbath” to hear the word of God; the Scriptures were read “every Sabbath day.” “And Paul, as his manner was to reason in the synagogue every Sabbath, interposing the name of the Lord Jesus Christ,” etc. Acts 18:4. What more absurd conclusion that to infer that reading of the Scriptures, prayer, exhortation, and preaching, which formed the routine duties of every Saturday, as had been abundantly proved, were overslaughed by a request to take up a collection on another day of the week? In order to appreciate fully the value of this text now under consideration, it is only needful to recall the action of the apostles and holy women on Good Friday before sundown. They brought spices and ointments after He was taken down from the cross; they suspended all action until the Sabbath “holy to the Lord” had passed, and then took steps on Sunday morning to complete the process of embalming the sacred body of Jesus. Why, may we ask, did they not proceed to complete the work of embalming on Saturday?—Because they knew well that the embalming of the sacred body of their Master would interfere with the strict observance of the Sabbath, the keeping of which was paramount; and until it can be shown that the Sabbath day immediately preceding the Sunday of our text had not been kept (which would be false, inasmuch as every Sabbath had been kept), the request of St. Paul to make the collection on Sunday remains to be classified with the work of the embalming of Christ’s body, which could not be effected on the Sabbath, and was consequently deferred to the next convenient day; viz., Sunday, or the first day of the week. The Adversary Warns You! Having disposed of every text to be found in the New Testament referring to the Sabbath (Saturday), and to the first day of the week (Sunday); and having shown conclusively from these texts, that, so far, not a shadow of pretext can be found in the Sacred Volume for the Biblical substitution of Sunday for Saturday; it only remains for us to investigate the meaning of the expressions “Lord’s Day,” and “day of the Lord,” to be found in the New Testament, which we propose to do in our next article, and conclude with apposite remarks on the incongruities of a system of religion which we shall have proved to be indefensible, self-contradictory, and suicidal. [From the Catholic Mirror of Sept. 23, 1893] “Halting on crutches of unequal size, One leg by truth supported, one by lies, Thus sidle to the goal with awkward pace, Secure of nothing but to lose the race.” In the present article we propose to investigate carefully a new (and the last) class of proof assumed to convince the Biblical Christian that God had substituted Sunday for Saturday for His worship in the new law, and that the divine will is to be found recorded by the Holy Ghost in apostolic writings. We are informed that this radical change has found expression, over and over again, in a series of texts in which the expression, “the day of the Lord,” or “the Lord’s day,” is to be found. The class of texts in the New Testament, under the title “Sabbath,” numbering sixty-one in the Gospels, Acts, and Epistles; and the second class, in which “the first day of the week,” or Sunday, having been critically examined (the latter class numbering nine); and having been found not to afford the slightest clue to a change of will on the part of God as to His day of worship by man, we now proceed to examine the third and last class of texts relied on to save the Biblical system from the arraignment of seeking to palm off on the world, in the name of God, a decree for which there is not the slightest warrant or authority from their teacher, the Bible. References to “Day of the Lord” or “Lord’s Day” The first text of this class is to be found in the Acts of the Apostles 2:20: “The sun shall be turned into darkness, and the moon into blood, before that great and notable day of the Lord shall come.” How many Sundays have rolled by since that prophecy was spoken? So much for that effort to pervert the meaning of the sacred text from the judgment day to Sunday! The second text of this class is to be found in 1 Cor. 1:8: “Who shall also confirm you unto the end, that you may be blameless in the day of our Lord Jesus Christ.” What simpleton does not see that the apostle here plainly indicates the day of judgment? The next text of this class that presents itself is to be found in the same Epistle, chapter 5:5: “To deliver such a one to Satan for the destruction of the flesh, that the spirit may be saved in the day of the Lord Jesus.” The incestuous Corinthian was, of course, saved on the Sunday next following!! How pitiable such a makeshift as this! The fourth text, 2 Cor. 1:13,14: “And I trust ye shall acknowledge even to the end, even as ye also are ours in the day of the Lord Jesus.” Sunday or the day of judgment, which? The fifth text is from St. Paul to the Philippians, chapter 1, verse 6: “Being confident of this very thing, that He who hath begun a good work in you, will perfect it until the day of Jesus Christ.” The good people of Philippi, in attaining perfection on the following Sunday, could afford to laugh at our modern rapid transit! We beg to submit our sixth of the class; viz., Philippians, first chapter, tenth verse: “That he may be sincere without offense unto the day of Christ.” That day was next Sunday, forsooth! Not so long to wait after all. The seventh text, 2 Peter 3:10: “But the day of the Lord will come as a thief in the night.” The application of this text to Sunday passes the bounds of absurdity. The eighth text, 2 Peter 3:12: “Waiting for and hastening unto the coming of the day of the Lord, by which the heavens being on fire, shall be dissolved,” etc. This day of the Lord is the same referred to in the previous text, the application of both of which to Sunday next would have left the Christian world sleepless the next Saturday night. We have presented to our readers eight of the nine texts relied on to bolster up by text of Scripture the sacrilegious effort to palm off the “Lord’s day” for Sunday, and with what result? Each furnishes prima facie evidence of the last day, referring to it directly, absolutely, and unequivocally. The ninth text wherein we meet the expression “the Lord’s day,” is the last to be found in the apostolic writings. The Apocalypse, or Revelation, chapter 1:10, furnishes it in the following words of John: “I was in the Spirit on the Lord’s day”; but it will afford no more comfort to our Biblical friends than its predecessors of the same series. Has St. John used the expression previously in his Gospel or Epistles? The Adversary Warns You! —Emphatically, NO. Has he had occasion to refer to Sunday hitherto? —Yes, twice. How did he designate Sunday on these occasions? Easter Sunday was called by him (John 20:1) “the first day of the week.” Again, chapter twenty, nineteenth verse: “Now when it was late that same day, being the first day of the week.” Evidently, although inspired, both in his Gospel and Epistles, he called Sunday “the first day of the week.” On what grounds, then, can it be assumed that he dropped that designation? Was he more inspired when he wrote the Apocalypse, or did he adopt a new title for Sunday, because it was now in vogue? A reply to these questions would be supererogatory especially to the latter, seeing that the same expression had been used eight times already by St. Luke, St. Paul and St. Peter, all under divine inspiration, and surely the Holy Spirit would not inspire St. John to call Sunday the Lord’s day, whilst He inspired Sts. Luke, Paul, and Peter, collectively, to entitle the day of judgment “the Lord’s day.” Dialecticians reckon amongst the infallible motives of certitude, the moral motive of analogy or induction, by which we are enabled to conclude with certainty from the known to the unknown; being absolutely certain of the meaning of an expression, it can have only the same meaning when uttered the ninth time, especially when we know that on the nine occasions the expressions were inspired by the Holy Spirit. Nor are the strongest intrinsic grounds wanting to prove that this, like its sister texts, containing the same meaning. St. John (Rev. 1:10) says “I was in the Spirit on the Lord’s day”; but he furnishes us the key to this expression, chapter four, first and second verses: “After this I looked and behold a door opened in heaven.” A voice said to him: “Come up hither, and I will show you the things which must be hereafter.” Let us ascend in spirit with John. Whither?—through that “door in heaven,” to heaven. And what shall we see?—“The things that must be hereafter,” chapter four, first verse. He ascended in spirit to heaven. He was ordered to write, in full, his vision of what is to take place antecedent to, and concomitantly with, “the Lord’s day,” or the day of judgment; the expression “Lord’s day” being confined in Scripture to the day of judgment exclusively. We have studiously and accurately collected from the New Testament every available proof that could be adduced in favor of a law canceling the Sabbath day of the old law, or one substituting another day for the Christian dispensation. We have been careful to make the above distinction, lest it might be advanced that the third (6) commandment was abrogated under the new law. Any such plea has been overruled by the action of the Methodist Episcopal bishops in their pastoral 1874, and quoted by the New York Herald of the same date, of the following tenor: “The Sabbath instituted in the beginning and confirmed again and again by Moses and the prophets has never been abrogated. A part of the moral law, not a part or tittle of its sanctity has been taken away.” The above official pronouncement has committed that large body of Biblical Christians to the permanence of the third commandment under the new law. [Note (6): In their catechisms, Catholic enumeration of Exodus 20, the Sabbath commandment is the third of the Ten Commandments.] We again beg to leave to call the special attention of our readers to the twentieth of “the thirty-nine articles of religion” of the Book of Common Prayer; “It is not lawful for the church to ordain anything that is contrary to God’s written word.” CONCLUSION The Adversary Warns You! We have in this series of articles, taken much pains for the instruction of our readers to prepare them by presenting a number of undeniable facts found in the word of God to arrive at a conclusion absolutely irrefragable. When the Biblical system put in an appearance in the sixteenth century, it not only seized on the temporal possessions of the Church, but in its vandalic crusade stripped Christianity, as far as it could, of all the sacraments instituted by its Founder, of the holy sacrifice, etc., retaining nothing but the Bible, which its exponents pronounced their sole teacher in Christian doctrine and morals. Chief amongst their articles of belief was, and is today, the permanent necessity of keeping the Sabbath [Catholic Sunday] holy. In fact, it has been for the past 300 years the only article of the Christian belief in which there has been a plenary consensus of Biblical representatives. The keeping of the Sabbath constitutes the sum and substance of the Biblical theory. The pulpits resound weekly with incessant tirades against the lax manner of keeping the Sabbath [Catholic Sunday] in Catholic countries, as contrasted with the proper, Christian, self-satisfied mode of keeping the day in Biblical countries. Who can ever forget the virtuous indignation manifested by the Biblical preachers throughout the length and breadth of our country, from every Protestant pulpit, as long as yet undecided; and who does not know today, that one sect, to mark its holy indignation at the decision, has never yet opened the boxes that contained its articles at the World’s Fair? These superlatively good and unctuous Christians, by conning over their Bible carefully, can find their counterpart in a certain class of unco-good people [the scribes and Pharisees] in the days of the Redeemer, who haunted Him night and day, distressed beyond measure, and scandalized beyond forbearance, because He did not keep the [seventh day] Sabbath in as straight-laced manner as themselves. Protestants Have Never Kept God’s Sabbath They hated Him for using common sense in reference to the day, and He found no epithets expressive enough of His supreme contempt for their Pharisaical pride. And it is very probably that the divine mind has not modified its views today anent the blatant outcry of their followers and sympathizers at the close of this nineteenth century. But when we add to all this the fact that whilst the Pharisees of old kept the true Sabbath, our modern Pharisees, counting on the credulity and simplicity of their dupes, have never once in their lives kept the true Sabbath which their divine Master kept to His dying day, and which His apostles kept, after His example, for thirty years steward, according to the Sacred Record. The most glaring contradiction, involving a deliberate sacrilegious rejection of a most positive precept, is presented to us today in the action of the Biblical Christian world. The Bible and the Sabbath [Catholic Sunday] constitute the watchword of Protestantism; but we have demonstrated that it is the Bible against their Sabbath [Protestant Sunday]. We have shown that no greater contradiction ever existed than their theory and practice. We have proved that neither their Biblical ancestors nor themselves have ever kept one Sabbath day in their lives. The Israelites and Seventh-day Adventists [and Sabbath keeping churches of God] are witnesses of their weekly desecration of the day named by God so repeatedly, and whilst they have ignored and condemned their teacher, the Bible, they have adopted a day kept by the Catholic Church. What Protestant can, after perusing these articles, with a clear conscience, continue to disobey the command of God, enjoining Saturday to be kept, which command his teacher, the Bible, from Genesis to Revelation, records as the will of God? The history of the world cannot present a more stupid, self-stultifying specimen of dereliction of principle than this. The teacher demands emphatically in every page that the law of the Sabbath be observed every week, by all recognizing it as “the only infallible teacher,” whilst the disciples of that teacher have not once for over three [now four] hundred years observed the divine precept! That immense concourse of Biblical Christians, the Methodists, have declared that the Sabbath has never been abrogated, whilst the followers of the Church of England, together with her daughter, the Episcopal Church of the United States, are committed by the twentieth article of religion, already quoted, to the ordinance that the Church cannot lawfully ordain anything “contrary to God’s written word.” God’s written word enjoins His worship to be observed on Saturday absolutely, repeatedly, and most emphatically, with a most positive threat of death to him who disobeys. All the Biblical sects occupy the same self-stultifying position which no explanation can modify, much less justify. How truly do the words of the Holy Spirit apply to this deplorable situation! “Iniquitas mentita est sibi”—“Iniquity hath lied to itself.” Proposing to follow the Bible only as teacher, yet before the world, the sole teacher is ignominiously thrust aside, and the teaching and practice of the Catholic Church—“the mother of abomination,” when it suits their purpose so to designate her—[they have] adopted, despite the most terrible threats pronounced by God Himself against those who disobey the command, “Remember to keep holy the Sunday As Day of Worship Is Catholic Creation Before closing this series of articles, we beg to call the attention of our readers once more to our caption, introductory of each; viz., 1. The Christian Sabbath [Catholic Sunday], [is] the genuine offspring of the union of the Holy Spirit with the Catholic Church His spouse. 2. The claim of Protestantism to any part therein proved to be groundless, self-contradictory, and suicidal. The first proposition needs little proof. The Catholic Church for over one thousand years before the existence of a Protestant, by virtue of her divine mission, changed the day from Saturday to Sunday. We say by virtue of her divine mission, because He who called Himself the “Lord of the Sabbath,” endowed her with His own power to teach, “he that heareth you, heareth Me”; commanded all who believe in Him to hear her, under penalty of being placed with “heathen and publican”; and promised to be with her to the end of the world. She holds her charter as teacher from Him—a charter as infallible as perpetual [which is a lie]. The Protestant world at its birth found the Christian Sabbath [Catholic Sunday] too strongly entrenched to run counter to its existence; it was therefore placed under the necessity of acquiescing in the arrangement, thus implying the [Catholic] Church’s right to change the day, for over three [now four] hundred years. The Christian Sabbath [Catholic Sunday] is therefore to this day, the acknowledged offspring of the Catholic Church as spouse of the Holy Ghost, without a word of remonstrance from the Protestant world. Let us now, however, take a glance at our second proposition, with the Bible alone as the teacher and guide in faith and morals. This teacher most emphatically forbids any change in the day for paramount reasons. The command calls for a “perpetual covenant.” The day commanded to be kept by the teacher has never once been kept, thereby developing an apostasy from an assumedly fixed principle, as self-contradictory, self-stultifying, and consequently as suicidal as it is within the power of language to express. Nor are the limits of demoralization yet reached. Far from it. Their pretense for leaving the bosom of the Catholic Church was for apostasy from the truth as taught in the written word. They adopted the written word as their sole teacher, which they had no sooner done than they abandoned it promptly, as these articles have abundantly proved; and by a perversity as willful as erroneous, they accept the teaching of the Catholic Church in direct opposition to the plain, unvaried, and constant teaching of their sole teacher in the most essential doctrine of their religion, thereby emphasizing the situation in what may be aptly designated “a mockery, a delusion, and a snare.” [EDITORS’ NOTE (Written by Michael Scheifler) — It was upon this very point that the Reformation was condemned by the Council of Trent. The Reformers had constantly charged, as here stated, that the Catholic Church had “apostatized from the truth as contained in the written word.” “The written word,” “The Bible and the Bible only,” “Thus saith the Lord,” were their constant watchwords; and “the Scripture, as in the written word, the sole standard of appeal,” was the proclaimed platform of the Reformation and of Protestantism. “The Scripture and tradition.” “The Bible as interpreted by the Church and according to the unanimous consent of the Fathers,” was the position and claim of the Catholic Church. This was the main issue in the Council of Trent, which was called especially to consider the questions that had been raised and forced upon the attention of Europe by the Reformers. The very first question concerning faith that was considered by the council was the question involved in this issue. There was a strong party even of the Catholics within the council who were in favor of abandoning tradition and adopting the Scriptures only as the standard of authority. This view was so decidedly held in the debates in the council that the pope’s legates actually wrote to him that there was “a strong tendency to set aside tradition altogether and to make Scripture the sole standard of appeal.” But to do this would manifestly be to go a long way toward justifying the claims of the Protestants. By this crisis there was developed upon the ultra-Catholic portion of the council the task of convincing the others that “Scripture and tradition” were the only sure ground to stand upon. If this could be done, the council could be carried to issue a decree condemning the Reformation, otherwise not. The question was debated day after day, until the council was fairly brought to a standstill. Finally, after a long and intensive mental strain, the Archbishop of Reggio came into the council with substantially the following argument to the party who held for Scripture alone: “The Protestants claim to stand upon the written word only. They profess to hold the Scripture alone as the standard of faith. They justify their revolt by the plea that the Church has apostatized from the written word and follows tradition. Now the Protestant claim, that they stand upon the written word only, is not true. Their profession of holding the Scripture alone as the standard of faith is false. PROOF: The written word explicitly enjoins the observance of the seventh day as the Sabbath. They do not observe the seventh day but reject it. If they do truly hold the scripture alone as their standard, they would be observing the seventh day as is enjoined in the Scripture throughout. Yet they not only reject the observance of the Sabbath enjoined in the written word, but they have adopted and do practice the observance of Sunday, for which they have only the tradition of the Church. Consequently the claim of ‘Scripture alone as the standard,’ fails; and the doctrine of ‘Scripture and tradition’ as essential, is fully established, the Protestants themselves being judges.” [The Archbishop of Reggio (Gaspar [Ricciulli] de Fosso) made his speech at the last opening session of Trent, (17th Session) reconvened under a new pope (Pius IV), on the 18th of January, 1562 after having been suspended in 1552.—J. H. Holtzman, Canon and Tradition, published in Ludwigsburg, Germany, in 1859, page 263, and Archbishop of Reggio’s address in the 17th session of the Council of Trent, Jan. 18, 1562, in Mansi SC, Vol. 33, cols. 529, 530. Latin.] There was no getting around this, for the Protestants’ own statement of faith—the Augsburg Confession, 1530—had clearly admitted that “the observation of the Lord’s day” had been appointed by “the Church” only [meaning the Catholic Church]. The argument was hailed in the council as of Inspiration only; the party for “Scripture alone,” surrendered; and the council at once unanimously condemned Protestantism and the whole Reformation as only an unwarranted revolt from the communion and authority of the Catholic Church; and proceeded, April 8, 1546, “to the promulgation of two decrees, the first of which, enacts under anathema, that Scripture and tradition are to be received and venerated equally, and that the deutero-canonical [the apocryphal] books are part of the canon of Scripture. The second decree declares the Vulgate to be the sole authentic and standard Latin version, and gives it such authority as to supersede the original texts; forbids the interpretation of Scripture contrary to the sense received by the Church, ‘or even contrary to the unanimous consent of the Fathers,’” etc. (7) [Note: (7): See the proceedings of the Council; Augsburg Confession; and Encyclopaedia Britannica, article “Trent, Council of.”] This was the inconsistency of the Protestant practice with the Protestant profession that gave to the Catholic Church her long-sought and anxiously desired ground upon which to condemn Protestantism and the whole Reformation movement as only a selfishly ambitious rebellion against the Church authority. And in this vital controversy the key, the chieftest and culminative expression, of the Protestant inconsistency was in the rejection of the Sabbath of the Lord, the seventh day, enjoined in the Scriptures, and the adoption and observance of the Sunday as enjoined by the Catholic Church. And this is today the position of the respective parties to this controversy. Today, as this document shows, this is the vital issue upon which the Catholic Church arraigns Protestantism and upon which she condemns the course of popular Protestantism as being “indefensible,” “self-contradictory, and suicidal.” (end of editor’s note) Should any of the reverend parsons, who are habituated to howl so vociferously over every real or assumed desecration of that pious fraud, the Bible Sabbath, think well of entering a protest against our logical and Scriptural dissection of their mongrel pet [that Sunday keeping is taught in the Bible], we can promise them that any reasonable attempt on their part to gather up the disjecta membra of the hybrid, and to restore to it a galvanized existence, will be met with genuine cordiality and respectful consideration on our part. But we can assure our readers that we know these reverend howlers too well to expect a solitary bark from them in this instance. And they know us too well to subject themselves to the mortification which a further dissection of this antisciptural question would necessarily entail. Their policy now is to “lay low,” and they are sure to adopt it. APPENDIX I These articles are reprinted, and this leaflet is sent forth by the publishers, because it gives from an undeniable source and in no uncertain tone, the latest phase of the Sunday-observance controversy, which is now, and which indeed for some time has been, not only a national question with the leading nations, but also an international question. Not that we are glad to have it so; we would that Protestants everywhere were so thoroughly consistent in profession and practice that there could be no possible room for the relations between them and Rome ever to take the shape which they have now taken. But the situation in this matter is now as it is herein set forth. There is no escaping this fact. It therefore becomes the duty of the International Religious Liberty Association to make known as widely as possible the true phase of this great question as it now stands. Not because we are pleased to have it so, but because it is so, whatever we or anybody else would or would not be pleased to have. It is true that we have been looking for years for this question to assume precisely the attitude which it has now assumed, and which is so plainly set forth in this leaflet. We have told the people repeatedly, and Protestants especially, and yet more especially have we told those who were advocating Sunday laws and the recognition and legal establishment of Sunday by the United States, that in the course that was being pursued they were playing directly into the hands of Rome, and that as certainly as they succeeded, they would inevitably be called upon by Rome, and Rome in possession of power too, to render to her an account as to why Sunday should be kept. This, we have told the people for years, would surely come. And now that it has come, it is only our duty to make it known as widely as it lies in our power to do. It may be asked, Why did not Rome come out as boldly as this before? Why did she wait so long? It was not for her interest to do so before. When she should move, she desired to move with power, and power as yet she did not have. But in their strenuous efforts for the national, governmental recognition and establishment of Sunday, the Protestants of the United States were doing more for her than she could possibly do for herself in the way of getting governmental power into her hands. This she well knew and therefore only waited. And now that the Protestants, in alliance with her, have accomplished the awful thing, she at once rises up in all her native arrogance and old-time spirit, and calls upon the Protestants to answer to her for their observance of Sunday. This, too, she does because she is secure in the power which the Protestants have so blindly placed in her hands. In other words, the power which the Protestants have thus put into her hands she will now use to their destruction. Is any other evidence needed to show that the Catholic Mirror (which means the Cardinal and the Catholic Church in America) has been waiting for this, than that furnished on page 21 of this leaflet? Please turn back and look at that page, and see that quotation clipped from the New York Herald in 1874, and which is now brought forth thus. Does not this show plainly that that statement of the Methodist bishops, the Mirror, all these nineteen years, has been keeping for just such a time as this? And more than this, the Protestants will find more such things which have been so laid up, and which will yet be used in a way that will both surprise and confound them. This at present is a controversy between the Catholic Church and Protestants. As such only do we reproduce these editorials of the CATHOLIC MIRROR. The points controverted are points which are claimed by Protestants as in their favor. The argument is made by the Catholic Church; the answer devolves upon those Protestants who observe Sunday, not upon us. We can truly say, “This is none of our funeral.” If they do not answer, she will make their silence their confession that she is right, and will act toward them accordingly. If they do answer, she will use against them their own words, and as occasion may demand, the power which they have put into her hands. So that, so far as she is concerned, whether the Protestant answer or not, it is all the same. And how she looks upon them henceforth is clearly manifested in the challenge made in the last paragraph of the reprint articles. There is just one refuge left for the Protestants. That is to take their stand squarely and fully upon the “written word only,” “the Bible and the Bible alone,” and thus upon the Sabbath of the Lord. Thus acknowledging no authority but God’s, wearing no sign but His (Eze. 20:12, 20), obeying His command, and shielded by His power, they shall have the victory over Rome and all her alliances, and stand upon the sea of glass, bearing the harps of God, with which their triumph shall be forever celebrated. (Revelation 18, and 15:2-4.) It is not yet too late for Protestants to redeem themselves. Will they do it? Will they stand consistently upon the Protestant profession? Or will they still continue to occupy the “ indefensible, self-contradictory, and suicidal” position of professing to be Protestants, yet standing on Catholic ground, receiving Catholic insult, and bearing Catholic condemnation? Will they indeed take the written word only, the Scripture alone, as their sole authority and their sole standard? Or will they still hold the “indefensible, self-contradictory, and suicidal” doctrine and practice of following the authority of the Catholic Church and of wearing the sign of her authority? Will they keep the Sabbath of the Lord, the seventh day, according to Scripture? Or will they keep the Sunday according to the tradition of the Catholic Church? Dear reader, which will YOU do? APPENDIX II Since the first edition of this publication was printed, the following appeared in an editorial in the Catholic Mirror of Dec. 23, 1893: “The avidity with which these editorials have been sought, and the appearance of a reprint of them by the International Religious Liberty Association, published in Chicago, entitled, ‘Rome’s Challenge: Why Do Protestants Keep Sunday?’ and offered for sale in Chicago, New York, California, Tennessee, London, Australia, Cape Town, Africa, and Ontario, Canada, together with the continuous demand, have prompted the Mirror to give permanent form to them, and thus comply with the demand. “The pages of this brochure unfold to the reader one of the most glaringly conceivable contradictions existing between the practice and the theory of the Protestant world, and unsusceptible of any rational solution, the theory claiming the Bible alone as teacher, which unequivocally and most positively commands Saturday to be kept ‘holy,’ whilst their practice proves that they utterly ignore the unequivocal requirements of their teacher, the Bible, and occupying Catholic ground for three centuries and a half, by the abandonment of their theory, they stand before the world today the representatives of a system the most indefensible, self-contradictory, and suicidal that can be imagined. “We feel that we cannot interest our readers more than to produce the ‘Appendix’$^{(8)}$ which the International Religious Liberty Association, and ultra-Protestant organization, has added to the reprint of our articles. The perusal of the Appendix will confirm the fact that our argument is unanswerable, and that the only recourse left to the Protestants is either to retire from Catholic territory where they have been squatting for three centuries and a half, and accepting their own teacher, the Bible, in good faith, as so clearly suggested by the writer of ‘Appendix,’ commence forth-with to keep the Saturday, the day enjoined by the Bible from Genesis to Revelation; or, abandoning the Bible as their sole teacher, cease to be squatters, and a living contradiction of their own principles, and taking out letters of adoption as citizens of the kingdom of Christ on earth—His Church—be no longer victims of self-delusive and necessary self-contradiction. [Note: $^{(8)}$ At the close of this editorial, Appendix I of this pamphlet was reprinted in full.] “The arguments contained in this pamphlet are firmly grounded on the word of God, and having been closely studied with the Bible in hand, leave no escape for the conscientious Protestant except the abandonment of Sunday worship and the return to Saturday, commanded by their teacher, the Bible, or, unwilling to abandon the tradition of the Catholic Church, which enjoins the keeping of Sunday, and which they have accepted in direct opposition to their teacher, the Bible, consistently accept her in all her teachings. Reason and common sense demand the acceptance of one or the other of these alternatives; either Protestantism and the keeping of Saturday, or Catholicity and the keeping of Sunday. Compromise is impossible.” The Biblical Truth About Sunday-Keeping Sunday, the first day of the week, is purported to be the Christian day of worship. It is commonly taught and believed today that Jesus Christ and the original 12 apostles (and especially the apostle Paul) taught that Christians are no longer required to observe the Fourth Commandment—to keep the seventh-day Sabbath holy. It is alleged that commandment-keeping—and in particular the Sabbath commandment—was “nailed to the cross.” Thus, it is claimed that Sunday is now the “Christian Day of Worship.” Is this claim true? Can such a teaching be proven from the inspired Word of God, the Holy Scriptures? The answer is a resounding no! The truth is, Sunday-keeping cannot be supported by the Scriptures. Are you willing to believe the Word of God—or will you simply accept the teachings of men as more important than the biblical teachings of God? If you believe that Sunday worship is Christian—and if you believe that God’s inspired Word, the Holy Scriptures, actually teaches Sunday keeping—then search the Scriptures again. You will not find: 1. One text that says that the Sabbath was ever changed from the seventh to the first day of the week. 2. One text where the first day of the week is ever called a holy day. 3. One text where we are told to keep the first day of the week. 4. One text that says that Jesus ever kept the first day. 5. One text where the first day is ever given any sacred title. 6. One text that tells us to keep the first day in honor of the resurrection of Jesus Christ. 7. One text that affirms that any of the apostles ever kept the first day as the Sabbath. 8. One text from any apostolic writing that authorizes Sunday observance as the Sabbath of God. 9. One text where it says it was customary for the Church to observe, or meet on, the first day of the week. 10. One text where we are told not to work on the first day of the week. 11. One text where any blessings are promised for observing Sunday. 12. One text where any punishment is threatened for working on Sunday. 13. One text that says the seventh day is not now God’s Sabbath day. 14. One text where the apostles ever taught their converts to keep the first day of the week as a Sabbath. 15. One text that says the seventh-day Sabbath is abolished. 16. One text where the first day is ever called the Lord’s Day. 17. One text where the first day was ever appointed to be kept as the Lord’s Day. 18. One text that says that the Father or the Son ever rested on the first day of the week. 19. One text that says that the first day of the week was ever sanctified and hallowed as a day of rest. 20. One text that says that Jesus, Paul or any other of the apostles taught anyone to observe the first day of the week as the Sabbath. 21. One text that calls the seventh day the “Jewish Sabbath” or one text that calls Sunday the “Christian Sabbath.” 22. One text authorizing anyone to abrogate, abolish or set aside God’s Holy Sabbath and observe any other day. (Adapted from the Bible Sabbath Association, Fairview, Oklahoma.) The Biblical Truth About Sabbath-Keeping Sunday, the first day of the week, is almost universally observed today by “professing Christians.” Yet, the Bible teaches that the only day that is holy to God is the seventh day of the week, called the Sabbath day in the Word of God. The Roman calendar used today in the United States shows the seventh day of the week as Saturday. Throughout Europe, however, calendars have been changed to show Sunday as the seventh day of the week. In spite of that change, Saturday remains the true biblical Sabbath day, holy to God. The Bible clearly commands: “Remember the Sabbath day to keep it holy. Six days you shall labor and do all your work. But the seventh day is the Sabbath of the LORD your God…” (Ex. 20:8-10). Here are 36 profound reasons from Scripture why we should be observing the seventh day Sabbath today, as the weekly day of worship to God: 1. In the beginning God created the Sabbath day (Gen. 2:3). 2. God rested from His labors on the seventh day (Gen. 2:2). 3. The Sabbath was made for man, that is, for all mankind (Mark 2:27). 4. God blessed the seventh day because, on it, He rested from the work of His creation (Gen. 2:2; Ex. 20:11). 5. God blessed the seventh day and named it the Sabbath (Ex. 20:10-11). 6. God not only blessed the seventh day, He also sanctified it—that is, made it holy by His presence and declaration (Gen. 2:3). 7. There is no record in all the Scriptures that God ever removed His blessing from the Sabbath and placed it upon another day of the week. 8. God’s people kept the Sabbath before the Ten Commandments were given at Mount Sinai (Ex. 16:22-26). 9. God ordained that man should keep the Sabbath (Ex. 20; Heb. 4:3-9). 10. God forbade work on the Sabbath day even in harvest time (Ex. 34:21). 11. God promised the Gentiles, those of all nations, a blessing if they kept the Sabbath (Isa. 56:2). 12. God promised to bless anyone who keeps the Sabbath (Isa. 56:2). 13. Nowhere in the Bible do we find a command to observe any other day of the week as holy, as a substitute or replacement for the seventh-day Sabbath. 14. God calls the Sabbath His holy day (Ex. 20:10; Lev. 23:2-3; Isa. 58:13; Mk. 2:28). 15. The keeping of the Sabbaths, weekly and annually, is a sign between God and His people (Ex. 31:12-17). 16. The Sabbath commandment, one of the longest of the ten, is given to God’s people so that they might show their love and obedience towards God (Ex. 20:8-11; Deut. 5:12-15; Matt. 22:37-40). 17. Jesus kept and observed the Sabbath as a habit, which expressed His love and obedience toward God the Father (Lk. 4:16). 18. Jesus Christ is Lord of the Sabbath—and as such, the Sabbath is the TRUE LORD’S DAY (Mk. 2:28; Isa. 58:13; Matt. 12:8). 19. Jesus Christ recognized the Sabbath commandment as binding (Matt. 12:12; 5:17-18; Mk. 3:4). 20. Jesus Christ kept His Father’s commandments, which included the seventh-day Sabbath (John 15:10; 8:29; 5:46-47). 21. The Sabbath was observed at the time of the crucifixion (Lk. 23:56). 22. The observance of the Sabbath was Paul’s practice years after the crucifixion (Acts 17:2). 23. Paul recognized and observed the Sabbath during his ministry, about AD 45 (Acts 13:27). 24. Paul taught the Gentiles on the Sabbath day, at their own request (Acts 13:42). 25. Paul preached to an entire city on the Sabbath day (Acts 13:44). 26. Paul attended a prayer meeting on the Sabbath day, when no synagogue was available (Acts 16:13). 27. It was Paul’s custom to preach Jesus Christ on the Sabbath day (Acts 17:2-3). 28. At Corinth, Paul preached every Sabbath for eighteen months (Acts 18:1-4, 11). 29. James recognized the seventh-day Sabbath many years after the resurrection of Christ (Acts 15:21). 30. The seventh-day Sabbath will be observed during the Millennium (Isa. 66:23). 31. The apostle Paul made it clear that the day of rest, the seventh-day Sabbath, was to be observed as a holy day (Heb. 4:4-9). 32. The sanctity of the seventh day was never transferred by Jesus Christ, nor by the apostles, to the first day of the week. Neither was it changed by Jesus’ resurrection—for Christ rose “in the end of the Sabbath” and not on Sunday (Matt. 28:1-6). 33. Sabbath-keeping is a requirement for eternal life—as the Christian must be keeping all of God’s Ten Commandments (Matt. 19:17; Rev. 22:14). 34. The seventh-day Sabbath remains as the day of rest for God’s people (Heb. 4:9). 35. Jesus warned that in the end time, as the great tribulation is beginning, we should pray that we would not have to flee on the Sabbath (Matt. 24:20). 36. The sign of God’s people in the end time is that they would be keeping the commandments of God (Rev. 12:17; 14:12). (Adapted from the Bible Sabbath Association, Fairview, Oklahoma.) www.thelastword.com Reprinted 2008 Copyright expired Public Domain Material
November 2022 The Monthly Newsletter of the Willamette Aerostat Society Volume 24, Number 11 You are invited to the WAS Christmas Party! December 3, 2022 2:00 PM The Loflin’s Home 35392 Gore Drive Albany, OR There are more details on page 4. We are looking forward to seeing you! Table of Contents - S/T Report Page 3 - Happenings Page 4 - Christmas Party Page 4 - Please Vote Pages 4 - WAS Lives On Page 5 - A/C of the Year Page 5 - WWBS Page 6-7 - WWBS Photos Pages 7-8 - Kong’s Poem Page 9 - WAS Application Page 10 2022 WAS Officers President: Shari Gale Vice President: Marianne LeDoux Secretary/Treasurer: Dale Justice Activities Director: Sallie Loflin Web Master: Cory Miller Others: Newsletter Editor: Shari Gale WAS website: http://www.wasballoon.info Email: firstname.lastname@example.org Willamette Aerostat Society General Meeting in the Garmin building at the Salem Airport Saturday, October 29, 2022 Present: Shari Gale, President & Newsletter Editor Marianne LeDoux, Vice President (on zoom) Dale Justice, Secretary/Treasurer Sallie Loflin, Activities Director and 16 additional members (6 of them on Zoom). 1. The October 29, 2022 meeting was called to order at 2:04 p.m. by Shari. 2. Moved by Edie Stoaks, seconded by Roger Rollman, to approve the minutes of the May 21, 2022 meeting as printed in the June, 2022 WAS Newsletter. Motion passed. 3. Treasurer’s report – from Dale, as of October 28, 2022. 2022 Members 58 (35 memberships paid) Checking $524.58 Savings 105.00 Total $629.58 Expenditure: $215.09 for renewal of the web site. 4. Correspondence – None 5. Regulatory news – The FAA released its Notice of Proposed Rule Making (NPRM) concerning Class 2 Medical requirements in November, 2021. The comment period will be 60 days after publication in the Federal Register, which has apparently not happened yet. The regulation should be released by May, 2023. There is another NPRM about drones in the system. Larry Simburger had some input on that subject. 6. Events – Any upcoming events will be published in the AeroStats newsletter. The last 3 days of the Walla Walla Balloon Stampede were canceled due to wind and rain. 7. Old Business – Some Members have membership credit for 2023 and beyond. Please verify before renewing. 8. New Business – 1. Nominations for 2023 officers were held, since they must be made before the November newsletter is published. The election will be held at the Christmas party in December. Ballots will be emailed to all current members and must be in the hands of the Executive Committee prior to or at the December meeting. The following slate was nominated: President: Sallie Loflin Vice President: Norma Ashley Secretary/Treasurer: Larry Simburger The ballot will allow other qualified candidates to be written in. 2. The annual Christmas Party (and meeting) will be held on December 3 at 2:00 p.m. at Jack and Sallie Loflin’s residence this year. Other details will be in the November newsletter. 9. Shari thanked Jack and Sallie for their help getting the meeting place and setting up the Zoom connection again. Shari adjourned the meeting at 3:09 p.m. Respectfully submitted, Dale Justice, Secretary /signed/dtj/10-30-2022 Same WAS Christmas Party, New Location — The Loflin’s Home! The WAS Christmas Party will be here before you know it. It is set for Saturday, December 3rd at 2:00 PM. The Loflin’s have generously offered to open their home to all WAS members. Their address is 35392 Gore Drive, Albany, Oregon. As always, there will be a potluck. WAS will supply the meat course. The club will also provide soft drinks and water. Members are asked to bring the following based on your last name: - A-K = dessert - L-N = salad or side dish - O-Z = main dish You have the option to participate in the gift exchange or not. It’s strictly up to you. If you want to participate, bring a wrapped present, one per person or one per family. The value should be around $15.00. After dinner, numbers will be given to every participant. One gift = one number. The person holding #1 will pick a wrapped gift. The person holding #2 has the choice of taking person #1’s gift or opening a new one. If a gift is taken from someone that person may take a new gift or take a gift from someone else. A gift is only allowed to be taken three times. After that it is “frozen.” Confused? Don’t worry, you will have lots of people willing to point out a gift is “frozen.” That’s part of the fun. The number one rule, of course, is to have fun. Your ballooning family is looking forward to hanging out with you during this festive season. See you at the party! It’s November. It’s Time to Vote! If you have not already voted for the 2022 WAS Executive Committee, now is the time to do it. The current slate of officers is listed below. No one is opposing them, but you can write in someone else if you choose. The candidates are: - Sallie Loflin for President - Norma Ashley for Vice President - Larry Simburger for Secretary/Treasurer. - Write-in candidate (just be sure to list the office). Send Dale Justice an email at email@example.com or you can use snail mail (Dale Justice, 2902 E. 2nd St., Unit 76, Newberg, OR 97132) to indicate your preferences. Results will be announced at the WAS Christmas Party on December 3, 2022. It’s time to renew your WAS membership for 2023 Join WAS Today! You will find an application on page 10. Simply fill it out, write a check and mail it in to Dale Justice. His information can be found at the bottom of the form. You have the option to bring the application and your check to the WAS Christmas Party on December 3rd. The electronic renewal payment option is not currently working, but hopefully it will be up and running soon. And WAS lives on! For a few months it seemed as though WAS would fade away, but circumstances aligned just right at the October/November meeting. Sallie Loflin volunteered to become WAS president, Norma Ashley is willing to be vice president and Larry Simburger will take on the secretary/treasurer job. Now it is up to you. Your vote is necessary. You can write-in a candidate other than those three people. An email asking for your vote will be sent out in the next few weeks. You can also vote via paper ballot at the December WAS Christmas Party. The winners will be announced at the party. Cory Miller has agreed to continue as the WAS webmaster and Shari Gale will continue as the newsletter editor. A huge thank you goes to Sallie, Norma and Larry for ensuring that WAS will live for another day (year). 2022 Aeronaut/Crew of the Year Awards The Willamette Aeronaut Society’s Aeronaut of The Year Award and Crew of The Year are annual awards presented to individuals who have made a significant contribution to the Sport of Ballooning during the past year. The Award process is as follows: - Nominations, complete with a description of why the Award should be given, are received from the General Club Membership by the Executive Committee; - Nominations are reviewed for appropriateness as defined in the Aeronaut/Crew of The Year Procedures. - The Award is presented during a General Meeting, or other appropriate occasion. It is time to consider nominees for the WAS 2022 awards. Please consider accomplishments that your fellow Aeronauts (Pilots and Crew) made during the year 2022 and nominate those you feel have made a significant contribution to the Sport of Ballooning. Any WAS Member is eligible for nomination. In addition, when significant contributions by others have been made, by someone outside of WAS, they may also be considered. Nominations should include a description of the Nominee’s accomplishments. Nominations should be sent, or e-mailed, to Dale Justice at firstname.lastname@example.org no later than November 28, 2022 in order to be considered. The oldest balloon rally in the Pacific Northwest is the Walla Walla Balloon Stampede. It’s been active since 1974! There were two years in a row that the rally could not be held due to Covid-19. We were all very excited to see it happen this year. Lots of WAS members attended. Walla Walla is worth a five-hour drive. On Wednesday the Kid’s Day tether went perfectly. About a dozen balloons took up load after load of children who were eager to get a “real” ride in a hot air balloon. The skies were blue and the winds were light. By the end of the morning there were a lot of happy, satisfied children in Walla Walla. Taking advantage of the good weather while they could, several balloons chose to fly Wednesday afternoon. We were invited to fly with them, but we got the message as we sat in Joe’s LaFiesta Restaurant in Pendleton, Oregon. Tim had a beer in his hand as he read the message. We decided to go out anyway. We said good-bye to Joe and zoomed to town, checked into our motel room, and then headed out to the park. We could not fly, of course, but we could greet people, help launch a balloon or two and loan out our aircraft radios. Cheri White was in town with her Columbia REA balloon. She repeatedly boxed back to the park. The other Sherry White, the one who lives in Walla Walla, flew with her son, Derek. He is working with his mother helping her get her commercial certificate. They landed at Garrison School, but school was already out for the day. The kids did not get a double dose of ballooning after all. Thursday was Media Day. The weather was extremely variable. Tim landed at about 1 mph with the winds heading west. As we were setting up to take the balloon down the winds shifted 180 degrees, but still at about 1 mph. Since he’d flown right up to the road on the west, it was much easier to take the balloon down in an easterly direction. That was the last time Mother Nature was good to us. As it turned out this was the last flight announcement for long time announcer Jim Bock’s whose voice floated over Walla Walla. After 40 years Jim has called an end to his career. It just won’t be the same without hearing his voice boom out his signature phrase “Walla Walla Balloo-o-on STAMPEDE,” as only Jim can say it. His huge hugs will be missed as well. I hope he will miss us so much that he will wander out to the launch field next year anyway. We had all looked at the forecasts. We knew the whole weekend looked iffy, but we kept hoping things would change for the better. They didn’t. The winds at tree top level on Friday were “sporty.” We knew waiting for it to change would not make a difference. In fact, rally organizer, Laurie Spencer, made the tough call to cancel the entire weekend. Later she sent out an email to all the registered pilots that said in part, “Having to cancel the event was a gut wrenching one, but I know it was the right one. The potential damage to your balloons, chase vehicles getting stuck in the mud, tearing up the grass in Tietan Park and driving through soggy farmland to retrieve your aircraft all factored into the decision to not fly.” The City of Walla Walla welcomes the balloons, but has told Laurie they do not want ruts left in the park. The hard rain that came down on Friday and Saturday meant ruts would happen if a vehicle drove on the grass. Waiting for a turn in the weather on Sunday was just not a way to stay on the good side of the Walla Walla Parks Department. Then there was landowner relations to consider. Doing drag Rally organizer, Laurie Spencer, had to stand on a chair in order to be taller than retiring announcer, Jim Bock. Jim will be greatly missed. Photos on this page by Shari Gale. Continued on page 6 landings across a farmer’s field and then compounding it by driving across that field is a good way to turn a hearty welcome into a red zone. I commend the LaQuinta Inn and Suites for allowing a refund if pilots/crew checked out early. A lot of motels/hotels would not do that. I was impressed with their positive attitude. When Laurie asked the manager to extend that offer to us, she did not hesitate. I hope we will be back at the LaQuinta next year. They deserve our business. I, also, have heard that the primary sponsor for the rally, Columbia REA, whole heartedly supported this decision. They did not want the pilots to feel like they were being “held hostage.” Instead they wanted everyone to look forward to flying in Walla Walla next year. That’s exactly how I feel. I look forward to being part of the Balloon Stampede in 2023. It will be our 42nd year. We’ve made lasting friends that feel more like family and the whole valley just feels like home. That’s Derek White flying alongside his mother, Sherry White, over downtown Walla Walla Thursday morning. Thursday afternoon, after Scott Shields landed back at the launch field he offered this little boy a chance to try out the burner. This kid was so excited. His eyes lit up and he did not hesitate to climb in the basket with Scott. The balloon on the left is a radio controlled balloon. It was made to look like Stampede founder Bill Lloyd’s balloon “Columbia.” It was made and operated by Justin Anderson. Kong Was a Poet There was a memorial service for Jeff “Kong” Shields on Saturday, October 22, 2022 in Walla Walla. He suddenly passed away on June 21, 2021, but this was the first time a memorial service was able to be held in his hometown. We’d known Kong for years, but did not know he loved to write poetry. Here’s a poem that Kong wrote which was given to everyone attending the memorial. The Spirit By Jeff “Kong” Shields The air is crisp and the sky is clear and the winter sun has yet to appear ‘oer the mountain tops that guard so well the sleeping town in which I dwell. Yards of colored lifeless fabric lay on the undisturbed white snow the quiet is shattered, the colors spring to life as the mountain tops begin to glow. Larger and higher it grows as joy wells up inside, the joy of seeing an old dear friend in which I can confide. The flame is lit and the cold white snow melts beneath the fire and a spirit rises to stand on its own in multicolored attire. And as the sun breaks over the mountain tops, a Grand Illusion stands alone straining to break its earthly bounds and leave the world below. Once again the dragons breath spits flames of transparent blue, and we are lifted, this spirit and I, above the earthbound few. We are once again, the spirit and I, as we rise into the sky completely at peace with the world around, a purely natural high. And as we drift above our home, the town begins to stir they stare up at this wondrous sight their gaze we do deter. The beauty of the flight overwhelms us now, as we traverse time and space, we have eluded earthly troubles and everyday problems that we face. The pressures and pitfalls of earthly life have no bearing upon us here. The wicker is a sanctuary and here there is no fear. Enveloped in a peaceful feeling deep within our soul we know that we are better able to cope with life’s tides ebbs and flows. We are past the snowcapped houses now the town is far behind below are vast white fields of sleeping wheat and ice-covered highway lines. The time has come and oh how sad To find a place to land we would rather fly on forever but our journey has to end. The wicker creaks and the fabric stirs as we touch the frozen ground our earthbound friends are close behind they approach without a sound. After saying farewell I pull the line and there is a hated sound and Grand Illusion once standing tall falls slowly to the ground. The spirit dies a quiet death and part of me dies too, but we will be reborn again another day quite soon. The snow is covered with bright colors again and the spirit’s life is gone I pop the cork and drink a toast to one of which I have grown so fond. But the spirit and I, we live in each other and we will escape again up in the air when the weather’s fair to talk and play on the wind. (copied as received) Willamette Aerostat Society Mission Statement - To promote the sport of Hot Air Ballooning - To educate new balloonists and the public - To embody safety in all aspects of Ballooning - To do all we can to support and encourage land owner relations - To support our fellow balloonists and crews personally and in our sport To obtain Member Contact information, send an e-mail to the Secretary/Treasurer. For Privacy reasons, AeroStats will not publish member contact information without their express permission. Contact and Submissions Submissions of articles and photographs are encouraged and welcome! The editorial staff reserves the right to determine the suitability of a submission for inclusion in the newsletter. Please email your pictures, articles, and comments to: email@example.com Advertising Policy Club member's ballooning related or event information is published on a space available basis at no charge. Business Advertising by Club members is considered Commercial Advertising, subject to fees shown below. Material must be submitted in computer word processing format with pictures in JPG format. AeroStats reserves the right to decline publishing submitted information. Commercial Advertisement Space Rates Full Page — $30 1/2 Page — $20 1/4 Page — $15 Business Card — $10 Ads will be published for 3 consecutive months, or until withdrawn, for the fee shown above. The publishing of advertising in AeroStats does not imply an endorsement of the ad or its contents. Text and images will be printed as submitted by advertisers. Front Cover: Laurie Spencer lifted off for an afternoon flight on Thursday, October 20, 2022 from Tietan Park during the Walla Walla Balloon Stampede. Photo by Shari Gale. Waiver AeroStats is a monthly publication of the Willamette Aerostat Society. WAS welcomes you to reprint material from this newsletter by individuals or balloon club organizations for their personal or organization use. We ask that you credit WAS, AeroStats and the author in any reuse of newsletter material. Commercial use of material (articles or images) for any reason is prohibited without the express written consent from the Willamette Aerostat Society. Material to be considered for publication should be mailed or e-mailed to the Newsletter Editor at firstname.lastname@example.org Publication deadline is the 2nd Saturday of each month. AeroStats reserves the right to deny publication of submitted material for any reason. Material published in AeroStats does not imply endorsement by WAS, its officers, newsletter editor, or its members of an event. Nor does it imply agreement with opinions, comments, or endorsement of any product.
Mining vehicle and method for its energy supply The invention relates to a mining vehicle (1) and to a method for its energy supply. The mining vehicle (1) has a carriage (3), driving equipment (4) for moving the carriage (3) and at least one mining work device (2). The mining vehicle (1) has a connection (23) for supplying the mining work device (2) from the electrical network (20) of the mine (18) and an energy source (25) for supplying energy to the driving equipment (4). The energy source (25) is charged by using a generator (33), and the mechanical energy arranged to rotate the generator (33) is obtained from the electrical network (20) of the mine (18), whereby the electric energy from the electrical network (20) of the mine (18) is transformed into mechanical energy, which is arranged to rotate the generator (33). FIG. 1 Description BACKGROUND OF THE INVENTION [0001] The invention relates to a mining vehicle and to a method for the energy supply of a mining vehicle. [0002] In mines, rock drilling rigs and other mining vehicles are used to perform operations according to the work cycles of the mining work devices at pre-planned work sites. After the necessary tasks, according to the work cycle, such as borehole drilling, have been performed, the mining vehicle is moved to the next work site and a new work cycle is started. In underground mines, in particular, mining vehicles are generally used in which the driving energy for the operations according to the work cycles is electricity from an electrical network of the mine. By contrast, transfer drives between work sites are performed by means of driving energy obtained by using a combustion engine, typically diesel engine, whereby electric cables or the like do not restrict the transfer drives. However, exhaust gases and noise from a combustion engine cause problems in mines. In addition, a combustion engine requires a lot of space on the carriage of the vehicle, and necessitates regular maintenance. A combustion engine also has adverse effects on the fire safety of the mine, since it has hot surfaces and it is also necessary to store and handle flammable fuel in the vehicle and mine. [0003] Mining vehicles that are continuously connected to the electrical network of the mine are also used in mines. The mining vehicles then have an electric motor, and typically an electric motor with a constant rotation speed is used. The power required by the work phase may then be adjusted with hydraulic components, and the electric motor obtains the electric current and load power defined by the energy consumption of the work phase from the electrical network of the mine. Further, the movement of the mining vehicle is then typically bound to the electrical network or at least to a cable connected thereto and coiled in the mining vehicle or at the fixed electrical network. [0004] Publication US 7 053 568, for example, presents a battery-driven mining vehicle. The publication describes, in particular, the use and positioning of a battery and alternating current motors as components of drive transmission. [0005] Publication US 5 293 947 presents a mining vehicle that receives its electric supply from an overhead busbar system. The mining vehicle also has a switch for selecting whether the energy used by the mining vehicle is taken from the electrical network or from an auxiliary energy source, such as battery or diesel motor, in the mining vehicle. When the energy is taken from the auxiliary energy source, the mining vehicle can be moved short distances without connecting the mining vehicle to the overhead electrical network. [0006] Application WO 2010/061058 discloses a mining vehicle which is connected to an external electrical network at a work site. An energy storage of the vehicle is charged during the work cycle defined by an excavation plan, when the vehicle is at the work site. After this work cycle is done, electricity obtained from the energy storage is used in a transfer drive. BRIEF DESCRIPTION OF THE INVENTION [0007] It is an object of the present invention to provide a new type of mining vehicle and a method for its energy supply. [0008] The invention is characterised by the features of the independent claims. Embodiments of the invention are presented in the dependent claims. [0009] In the presented solution a mining vehicle has a carriage, driving equipment for moving the carriage and at least one mining work device. The mining vehicle further has a connection for supplying the mining work device from an electrical network of the mine and an energy source for supplying energy to the driving equipment. The energy source is charged by using a generator, and the mechanical energy arranged to rotate the generator is obtained from the electrical network of the mine, whereby the electric energy from the electrical network of the mine is transformed into mechanical energy, which is arranged to rotate the generator. This provides an electrical isolation between the electrical network of the mine and the generator, whereby an isolation transformer or any other electric means for performing a galvanic isolation is avoided. Thus, the number of components used in the mining vehicle can be minimized. Furthermore, the voltage of the mining work device must be adapted to conform to the voltage of the electrical network of the mine. As for the voltages of the generator and the energy source, it is sufficient that they conform to each other; their voltages do not have to be adapted to conform to the voltage of the electrical network of the mine. [0010] In an embodiment, the energy from the electrical network of the mine is first transformed into kinetic energy, the kinetic energy is transformed into pressure energy and the pressure energy is thereafter transformed into kinetic energy to rotate the generator. The mining vehicle may comprise a hydraulic system for the pressure energy. The hydraulic system drives the mining work device and may also be connected to the driving equipment. The mining vehicle may comprise a hydraulic pump that is supplied from the energy source, and this hydraulic pump may be used as a hydraulic motor for rotating the generator for charging the energy source. [0011] According to an embodiment, during full power drilling, energy is supplied to the mining work device both from the electrical network of the mine and from the energy source of the mining vehicle. [0012] According to another embodiment, an electrical motor supplied from the electrical network of the mine and providing the hydraulic pressure for the mining work device and the electrical motor supplied from the energy source are provided with means for determining their temperature, whereby the motors are used for supplying the maximum power until their maximum temperature is reached. When the maximum temperature has been reached, their power is lowered to prevent the exceed of their maximum temperature. [0013] According to another embodiment, during charging, the mining vehicle is connected to the electrical network of the mine and it does not move. [0014] The mining vehicle comprises one or more of the following mining work devices: a rock drilling machine, bolting machine, shotcreting device, scaling device, injection device, blasthole charger, measuring device, or drilling, sealing and propellant feeding equipment used in small-charge excavation. The rock drilling machine may be a face drilling device, or a device used in production hole drilling, that is a long-hole drilling device that drills boreholes in fan shape. The mining work device is an actuator used in handling undetached rock and performs several consecutive operations according to a given work cycle. Typically, several similar operations are done with the mining work device at one work site. These operations may be defined in an excavation plan, such as a drilling plan, charging plan, or corresponding mining plan. The mining work device is normally arranged on a boom with which the device is moved during the work cycle. On the other hand, the mining work device may be arranged on a corresponding support or support structure in a mining vehicle, which supports the device during its work cycle. BRIEF DESCRIPTION OF THE FIGURES [0015] Some embodiments of the invention will be described in more detail in the attached drawings, in which Figure 1 is a schematic side representation of a mining vehicle, in this case a rock drilling rig, and Figure 2 is a diagram of an energy supply arrangement of a mining vehicle. [0016] In the figures, some embodiments of the invention are shown simplified for the sake of clarity. Similar parts are marked with the same reference numbers in the figures. DETAILED DESCRIPTION OF THE INVENTION [0017] Figure 1 shows a rock drilling rig that is one example of a mining vehicle 1 equipped with one or more mining work devices 2. The rock drilling rig comprises a carriage 3 that may be moved by means of drive equipment 4. The drive equipment 4 comprises one or more drive motors 5 and one or more power transmission means 6 for transmitting drive power to one or more wheels 7. The drive power transmission may comprise a mechanical gear system and mechanical power transmission members or, alternatively, the drive power transmission may be hydraulic or electric. There may be one or more booms 8 arranged on the carriage 3, and the boom may be equipped with a mining work device 2. In the embodiment shown in Figure 1, the first boom 8a is a drilling boom, at the outermost end of which there is a rock drilling unit 9 comprising a feed beam 10, along which a rock drilling machine 11 can be moved by means of a feed device 12. The rock drilling machine 11 may comprise a percussion device 13 for generating impact pulses on a tool and a rotating device 15 for rotating the tool 14 around its longitudinal axis. There may be several of these drilling booms 8a in the rock drilling rigs. By way of example, a second boom 8b is shown to comprise a bolting device 16, with which rock bolts can be arranged in pre-drilled boreholes to support the excavated rock cavern. In the embodiment of Figure 1, a third boom 8c is equipped with a measuring device 17 for measuring drilled boreholes. Other alternative mining work devices 2 include injection devices used in feeding sealing material into rock, shotcrete processing device, scaling equipment, devices used in small-charge excavation, and devices for feeding explosives. [0018] The mining vehicle 1 is run in accordance with the excavation plan of the mine 18, or a corresponding plan drafted in advance, to a work site 19 where the mining work device 2 performs operations according to the work cycle, the performance of which takes a relatively long time. For instance, the work cycle of a rock drilling machine may include drilling several boreholes defined in the drilling plan at the work site 19. Further, the drilling of each borehole typically consists of several work phases, such as collaring, actual drilling, changing extension rods and drill bits, and dismantling extension rod equipment after drilling. Performing a drilling work cycle at a work site 19 may take several hours, sometimes even an entire work shift. Correspondingly, charging, bolting, measuring, and injecting are often quite time-consuming operations. Generally, the use of a mining work device 2 has to do with drilling a borehole or further processing a finished hole. This then means handling undetached rock. [0019] Figure 1 further shows that the mine 18 has an electrical network 20 that may be fixedly constructed, or it may consist of a modifiable network. The electrical network 20 is typically a three-phase alternating current network. When the mining vehicle 1 is at the work site 19, its mining work device 2, hydraulic system and any necessary auxiliary systems are driven mainly by electrical energy obtained from an external electrical network. The mining vehicle 1 may be connected to the electrical network 20 with one or more connection cables 21. The connection cable 21 may be arranged on a reel 22 and it may be equipped with a suitable connector 23 that may be connected to the supply terminal of the electrical network 20. Alternatively, the reel 22 and cable 21 may be arranged in the mine 18, and the connection cable 21 is connected to the mining vehicle 1. The mining vehicle 1 is equipped with a connecting device 24, through which the electricity supplied from the electrical network 20 is connected to different devices of the mining vehicle 1. [0020] The mining vehicle 1 is also equipped with at least one energy source 25. The energy source 25 may be a battery, a supercapacitor or their combination, for example, or any other suitable energy source that may be charged by a generator. [0021] Figure 2 shows very schematically some parts of the mining vehicle. [0022] An electric motor 26 is connected to the electrical network 20. The electric motor 26 rotates a hydraulic pump 27. [0023] Figure 2 schematically shows the channels of the hydraulic system 28. The hydraulic system 28 is shown in a simplified manner, as are valves 29a - 29c. Naturally, the hydraulic system may be more complicated and instead or in addition to the valves 29a - 29c, the hydraulic system 28 may comprise other valves such as three-way valves or four-way valves etc. [0024] Reference numeral 30 denotes supplying hydraulic pressure to a mining work device 2. Correspondingly, reference numeral 31 denotes supplying hydraulic pressure to a hydraulic system of the driving equipment, such as steering and braking. [0025] When a mining work device 2 is used, the electric motor 26 rotates the hydraulic pump 27 which provides hydraulic pressure. The valve 29a is open and the valve 29b is closed such that hydraulic pressure is supplied as denoted by arrow A. [0026] The energy source 25 is connected by an inverter 32 to an electric motor 33. The electric motor 33 rotates a hydraulic pump 34. For example during full power drilling, it is possible to supply energy also from the energy source 25 to the mining work device 2, whereby a boost mode is achieved. In that case, the valve 29c is closed and the valves 29b and 29a are open, whereby the hydraulic pressure is supplied as denoted with arrows A and B. [0027] During the boost mode, the load of the electric motor 26 may be lowered by simultaneously supplying energy to the mining work device by rotating also the electric motor 33, or both electric motors 26 and 33 are loaded in order to supply even more than a normal amount of energy to the mining work device. [0028] When the power requirement of the mining work device 2 during the work cycle is low, it is possible to supply the hydraulic pressure according to arrow C in Figure 2. This stage may be called a charging mode. During the charging mode, the valve 29b is open and the valves 29a and 29c may be closed. During the charging mode, the valve 29a may also be open, whereby hydraulic pressure is supplied as denoted with arrows C and A. [0029] At this stage, the hydraulic pressure is used for rotating the hydraulic pump 34, which thereby acts as a hydraulic motor. In that case, the hydraulic pump 34 may be a gear pump which can act as a hydraulic motor. The hydraulic pump 34 rotates the electric motor 33, which thereby acts as a generator. An electric motor 33 acting as a generator charges the energy source 25 through the inverter 32. [0030] The valves may be on-off valves and correspondingly one or more of the valves may be proportional valves. In one embodiment, at least the valve 29b is a proportional valve. This embodiment provides the feature that during the boost mode or during the charging mode, for example, the hydraulic flow may be easily controlled. In another embodiment, the valves 29a and 29b are proportional valves, and in a further embodiment, all the valves are proportional valves. Proportional valves provide more versatile control systems. [0031] Instead of a gear pump, it is possible to use a separate hydraulic pump for providing hydraulic pressure and a separate hydraulic motor for rotating the electric motor 33 with hydraulic pressure obtained from the hydraulic system 28. It is also possible to use a separate electric motor for rotating the hydraulic pump and a separate generator for charging the energy source 25. [0032] Correspondingly, instead of the shown electric motor 26 and the hydraulic pump 27, it is possible to use a separate or specific hydraulic pump for providing a hydraulic pressure for charging the energy source 25, and a separate electric motor for rotating this hydraulic pump. [0033] The hydraulic pumps may be fixed or variable pumps. As discussed above, the hydraulic pump 34 may be a gear pump. The hydraulic pump 34 may as well be a piston pump. Also other pump types are possible. [0034] During the driving mode, energy is supplied from the energy source 25 to the driving equipment. During driving the mode, the valve 29c is open and the valve 29b is closed. Thus, the hydraulic pressure is supplied as denoted with arrow D. [0035] The system may also be provided such that the generator 33 is rotated by a pneumatic motor. Pressurized air may be supplied to the pneumatic motor from a compressor or even from a pneumatic system of the mine. [0036] It is also possible to provide the generator 33 on the same shaft as the electric motor 26, whereby the electric motor 26 and the generator 33 are mechanically connected. Thereby, the electric motor 26 of the hydraulic power pack directly rotates the generator 33. [0037] However, by using the hydraulic system between the connection for supplying the mining work device from the electrical network of the mine and the generator 33 for supplying electric energy from the electrical network of the mine for rotating the generator 33, the need for additional components is minimized. [0038] Figure 2 also schematically shows a control unit 35 that controls the equipment of the mining vehicle 1. The electric motor 26 and, correspondingly, the electric motor 33 may be provided with temperature sensors 36 that determine the temperature of the electric motors 26 and 33. The temperatures of the electric motors 26 and 33 are supplied to the control unit 35 and thereby the control unit 35 is used for controlling the electric motors 26 and 33 such that they are used for supplying the maximum power until their maximum temperature is reached. When the maximum temperature has been reached, their power is lowered to prevent the exceed of their maximum temperature. [0039] In the described system, the co-efficient of efficiency of the electric motors 26 and 33 may be controlled to be on a high level by using the control unit 35. [0040] The described system provides the possibility for rapid charge. For rapid charge the electric motor per generator 33 is preferably a high-speed motor that is able to exceed 5 000 rounds per minute. During rapid charge, for example, the control unit 35 controls the motors 26 and 33 such that they are used for supplying the maximum power until their maximum temperature is reached. [0041] Proportional valves can be controlled by the control unit 35 to achieve a desired amount of oil flow to different circuits of the hydraulic system. It is also possible to control the angle of the variable pump. Then the pump will deliver only the amount of flow that is needed. [0042] All in all, the described system provides good dynamics for the charge. Furthermore, the control of the system is rather simple. [0043] The solutions described in this specification may also be used when excavating tunnels. Tunnels are excavated in rounds. The work site is the face of the tunnel where boreholes are drilled and charged. Before the round is exploded, the rock drilling rig is moved away from the face to a safe point. After the explosion and after the exploded rock has been removed, the rock drilling rig is driven from the safe point back to the face of the tunnel to drill another round. Tunnels are excavated in rounds, which means that a new drilling site, that is new work site, is at a distance corresponding to the length of the round from the previous drilling site, that is previous work site. The transfer drive is then from the previous work site via the safe point to the next work site. [0044] It should be mentioned that in this specification, a mine refers to underground mines and opencast mines. Further, the method and mining vehicle may be used at contract work sites, for example when excavating different rock facilities. Therefore, a contract work site may also be considered a type of mine. At contract work sites, an external electrical network may be modifiable, such as an aggregate on a movable carriage. [0045] In some cases, the features described in this specification may be used as such, regardless of other features. On the other hand, the features described in this specification may also be combined to provide various combinations as necessary. [0046] The drawings and the related description are only intended to illustrate the idea of the invention. The invention may vary in its details within the scope of the claims. Claims 1. A mining vehicle having a carriage, driving equipment for moving the carriage, at least one mining work device, a connection for supplying the mining work device from the electrical network of the mine, an energy source for supplying energy to the driving equipment, a generator for charging the energy source and means for transforming electric energy into mechanical energy, whereby electric energy from the electrical network of the mine is transformed into mechanical energy and arranged to rotate the generator. 2. A mining vehicle as claimed in claim 1, comprising means for transforming electric energy into kinetic energy, means for transforming kinetic energy into pressure energy and means for transforming the pressure energy again into kinetic energy to rotate the generator. 3. A mining vehicle as claimed in claim 1 or 2, comprising a hydraulic system between said connection and the generator for supplying electric energy from the electrical network of the mine for rotating the generator. 4. A mining vehicle as claimed in claim 2 or 3, wherein the means for transforming pressure energy into kinetic energy comprises a hydraulic pump that is supplied from the energy source, and the hydraulic pump is used as a hydraulic motor for rotating the generator for charging the energy source. 5. A mining vehicle as claimed in claim 4, wherein the hydraulic pump is a gear pump. 6. A mining vehicle as claimed in claim 4, wherein the hydraulic pump is a piston pump. 7. A mining vehicle as claimed in any one of the preceding claims, wherein the generator is a high-speed motor for providing rapid charge for the energy source. 8. A method for the energy supply of a mining vehicle, the method comprising charging an energy source of a mining vehicle, and the mining vehicle comprising a carriage, driving equipment for moving the carriage, at least one mining work device, a connection for supplying the mining work device from the electrical network of the mine, the energy source for supplying energy to the driving equipment and a generator for charging the energy source, whereby the method comprises transforming electric energy supplied from the electrical network of the mine into mechanical energy and arranging the mechanical energy to rotate the generator. 9. A method as claimed in claim 8, comprising transforming electric energy from the electrical network of the mine into kinetic energy, transforming the kinetic energy into pressure energy, transforming the pressure energy again into kinetic energy and arranging the kinetic energy to rotate the generator. 10. A method as claimed in claim 8 or 9, wherein the energy source is charged by using rapid charge such that during rapid charge the temperature of at least one charging device is measured and the device is controlled to supply its maximum power until its maximum temperature is reached. FIG. 1 FIG. 2 ## DOCUMENTS CONSIDERED TO BE RELEVANT \| Category \| Citation of document with indication, where appropriate, of relevant passages \| Relevant to claim \| CLASSIFICATION OF THE APPLICATION (IPC) \| \|----------\|--------------------------------------------------------------------------------\|------------------\|----------------------------------------\| \| X \| US 2011/224859 A1 (PIPPONEN JUHA [FI] ET AL) 15 September 2011 (2011-09-15) * abstract * * paragraph [0011] - paragraph [0013] * * paragraph [0042] - paragraph [0043] * * paragraph [0049] - paragraph [0049] * * figures 1-3 * \| 1-10 \| INV. B60L1/00 B60L3/00 B60L3/04 B60L9/04 B60L11/00 B60L11/18 B60L9/24 \| \| X \| US 2010/219007 A1 (DALUM JOSEPH THOMAS [US] ET AL) 2 September 2010 (2010-09-02) * abstract * * paragraph [0016] - paragraph [0023] * * paragraph [0056] - paragraph [0057] * * paragraph [0085] - paragraph [0095] * * paragraph [0136] - paragraph [0137] * * figures 1,11,17 * \| 1-10 \| \| \| X \| WO 2011/109050 A2 (GEN ELECTRIC [US]; BASTIEN BERTRAND [US]) 9 September 2011 (2011-09-09) * abstract * * paragraph [0025] - paragraph [0026] * * paragraph [0028] - paragraph [0030] * * figures 1-7 * \| 1,2,7-10 \| \| ### TECHNICAL FIELDS SEARCHED (IPC) - B60L - B60K --- The present search report has been drawn up for all claims --- Place of search: The Hague Date of completion of the search: 29 January 2014 Examiner: Törgyekes, Szabolcs --- CATEGORY OF CITED DOCUMENTS - T: theory or principle underlying the invention - E: earlier patent document, but published on, or after the filing date - D: document cited in the application - L: document cited for other reasons - X: particularly relevant if taken alone - Y: particularly relevant if combined with another document of the same category - A: technological background - O: non-written disclosure - P: intermediate document - &: member of the same patent family, corresponding document This annex lists the patent family members relating to the patent documents cited in the above-mentioned European search report. The members are as contained in the European Patent Office EDP file on. The European Patent Office is in no way liable for these particulars which are merely given for the purpose of information. \| Patent document cited in search report \| Publication date \| Patent family member(s) \| Publication date \| \|---------------------------------------\|------------------\|-------------------------\|------------------\| \| US 2011224859 A1 \| 15-09-2011 \| AU 2009321556 A1 \| 14-07-2011 \| \| \| \| CA 2743947 A1 \| 03-06-2010 \| \| \| \| CN 102227857 A \| 26-10-2011 \| \| \| \| EP 2356730 A1 \| 17-08-2011 \| \| \| \| FI 20086134 A \| 27-05-2010 \| \| \| \| JP 2012510014 A \| 26-04-2012 \| \| \| \| RU 2011126150 A \| 20-01-2013 \| \| \| \| US 2011224859 A1 \| 15-09-2011 \| \| \| \| WO 2010061058 A1 \| 03-06-2010 \| \| US 2010219007 A1 \| 02-09-2010 \| US 2010219007 A1 \| 02-09-2010 \| \| \| \| US 2013096754 A1 \| 18-04-2013 \| \| WO 2011109050 A2 \| 09-09-2011 \| AU 2010347224 A1 \| 20-09-2012 \| \| \| \| CA 2791556 A1 \| 09-09-2011 \| \| \| \| DE 112010005345 T5 \| 27-12-2012 \| \| \| \| EA 201290728 A1 \| 30-04-2013 \| \| \| \| US 2011301794 A1 \| 08-12-2011 \| \| \| \| WO 2011109050 A2 \| 09-09-2011 \| For more details about this annex: see Official Journal of the European Patent Office, No. 12/82 REFERENCES CITED IN THE DESCRIPTION This list of references cited by the applicant is for the reader's convenience only. It does not form part of the European patent document. Even though great care has been taken in compiling the references, errors or omissions cannot be excluded and the EPO disclaims all liability in this regard. Patent documents cited in the description - US 7053568 B [0004] - US 5293947 A [0005] - WO 2010061058 A [0006]
School of Business and Management TechTalk The science of Connecting World Christ Business Analytics Club Organizational Structure Dr. Durgansh Sharma Dr. Tarun Kumar Singhal Aaditya Aggarwal Student Coordinator Yashwin Anand Student Coordinator V Mohitha Media and Design Akansha Prakash Content Editor Connecting the Dots: You can’t connect the dots looking forward; you can only connect them looking backward. It would help if you trusted that the dots would somehow connect in your future. This approach has made all the difference in business strategy. This article shall highlight the five most important steps toward joining the dots in the organization’s data. 1. Know your customer’s touchpoints to re-visit the business strategy 2. Aggregation of the touchpoints using consolidation through data collections tools 3. Develop digital transformation with the center of excellence 4. Put data on an operational front 5. Discover the paradigm shift Faculty Coordinators Dr. Durgansh Sharma Dr. Tarun Kumar Singhal \| Page \| Title \| Author \| \|------\|----------------------------------------------------------------------\|----------------------\| \| 05 \| YouTube: The Dawn of a New Television Era? \| Yashwin Anand \| \| 06 \| AI, Philosophy and Religion \| Aaditya Aggarwal \| \| 07 \| Stereotypes of Tech-Savvy People \| Akansha Prakash \| \| 08 \| Electric Vehicles: A Blessing in Disguise or an Undefined Threat \| V Mohitha \| \| 10 \| Facebook: Build to Bring the World Closer \| Yashwin Anand \| \| \| Netflix – The New Face of the TV Industry \| Maria Iqbal \| \| 11 \| Top 10 Data Science Courses Which Can Boost Your Career \| \| \| 13 \| C-BAC (Christ Business Analytics Club) \| \| Digital video is the most popular form of social media among 18-44-year-olds, with an estimated 4.5 billion global users and projected advertising expenditures of $37 billion by 2022 across all platforms of video sharing. YouTube, which receives over 1 billion hours of video viewing per day, accounts for roughly a quarter of the projected advertising expenditure. As a result, YouTube is one of the most popular communication channels, with a large budget set aside for marketing communications aimed at the aforementioned age group. YouTube is the second most popular search engine in the world, the third most visited website, and the primary video content consumption and creation platform. Its massive popularity among social media users is due to its free membership, uploading, and/or viewing of content. Every month, approximately 1.5 billion people use YouTube, with two-thirds of them being between the ages of 18 and 44; more than 400 hours of video are uploaded per minute, 1 billion hours of video content are watched per day, and more than 50% of YouTube content is viewed on mobile devices. The growth and explosion of video marketing is undeniable, with major social media platforms like Facebook, Twitter, and Instagram focusing on video-first strategies. It's easy to see why brands are spending more money than ever before on video content and advertising on YouTube. Thus, as a marketer, one might want to know how his efforts are yielding measurable outcomes. This is where YouTube Analytics comes to the rescue. Its effectiveness as a marketing communication platform can be measured by the number of click-through view rates, completed video views and/or shares, and number of comments and likes. Thus, with ever increasing technology businesses are now far closer than ever to customers. The emerging social media and their implications are unparalleled not only for society but also for how businesses are promoted. Hence, it goes without saying that YouTube is a platform with a huge potential not just for business but also for pressing social issues to be supported, helped and solved. Machine learning and other artificial intelligence (AI) techniques have a lot of success with scientific and technical tasks like predicting how protein molecules fold and recognizing faces in a crowd. So, how much can AI advise us about philosophy and religion? There have been numerous English translations of all major religious texts available but there is little evidence that their quality has been maintained. For example, translations of songs and poems not only break rhythm and rhyming patterns but can also result in the loss of semantic information. We can begin by analyzing English translations of the Bhagavad Gita, an ancient Hindu text originally written in Sanskrit, using deep learning AI methods. This can be done using a deep learning-based language model called BERT. Through this, we can study the sentiment (emotions) and semantics (meanings) in the translations. Despite huge variations in vocabulary and sentence structure, we can find that the patterns of emotion and meaning were broadly similar in each case. This paves the way for AI-based technologies that can be used to compare translations and assess sentiment in a variety of texts. We are expecting more from technology and less from each other as a society, according to Sherry Turkle, an MIT psychologist and author of Alone Together. "All of us are now techies. There's a shift in power and a new level of respect since we're so reliant on these folks." University of Washington psychology professors has concluded that this person is likely to be a 'geeky', computer-obsessed individual who lacks interpersonal skills, as well as a male. Her research team discovered that the stereotype of a computer nerd discourages women from seeking careers in the field. Because of the influence of cultural stereotypes on job choices, increasing the number of women in computer science may be dependent on changing the perception of who belongs in the field. "Oh, no, [computer science] isn't for me..." I don't have code dreams as they do." – Carnegie Mellon University female student The quote above depicts how prejudices about people in a discipline can have a significant impact on academic decisions. This student may have the ability to be a good computer scientist, but her perceptions about computer scientists—that they "dream in code"—leave her wondering if she belongs in the field. In this paper, we focus on computer science, a topic that is growing in importance in the United States in terms of job growth and compensation, as well as in molding the future. Despite the field's popularity and influence, women are still underrepresented in computer science. Women anticipate a career in computer science to a lesser extent than men across all age groups in the United States and many other nations. Gender disparities in computer science not only result in women missing out on lucrative and influential careers, but they also risk depriving society of the benefits that diverse perspectives can provide. Another cliché is that computer scientists are fascinated with computers and programming to the expense of all other interests. This imagined undivided focus is reflected in claims that computer scientists were "born coding" or "dream in code." Both male and female undergraduates stereotype computer scientists as having an "obsession with machines" and being "myopically concentrated [on computers]...to the exclusion of all else." Computer scientists, like other scientists, are stereotyped as "smart," "geniuses," and "logical." The widespread perception of computer scientists as nerds or geeks reinforces the idea that they are intelligent. This link between computer science and "nerdiness" is widely promoted in American media, and it is endorsed by male and female undergraduates as well as high school pupils in the United Kingdom. Even when no true inequalities exist, both male and female students perceive males in computer science to have a better GPA than girls in the area, and women have less confidence in their computer aptitude than men. As a result, some women, even those who are qualified to enter the area, may believe they are not cognitively equivalent to those currently working in the sector and may be hesitant to do so. Although the current dot-com boom has burst, its impact on the kind of students drawn to computer science at institutions across the country appears to be here to stay. Only a third of computer science majors define themselves as "geeks," according to a recent study by academics Christine M. Pearson of the University of North Carolina and Mike M. Yang of Temple University. This is a considerable decrease from only a few years ago. Short-sleeved shirts and pencil protectors in the pockets of prototypical techno-nerds are hard to come by these days. Indeed, walking around campus and seeing a range of students on their way to the computer science department is not difficult. This transformation is steadily being incorporated into the collective psyche, as anybody can witness. A pasty, willowy student in a goofy shirt, face concealed under bangs and glasses may no longer be the first image that comes to mind when you think of a computer science major. Many image experts admit it: 'Computer Scientist = Geek' is no longer a word association game. According to observers, computer science has degeeked. Many people expect that the recent trend of less nerdy, more well-rounded, and overall more user-friendly students will help to repair the computer science major's tarnished image. Electric vehicles, one of the most burning topics, have become the talk of the town in recent times. It has become the wave of the future with the expectations of a cleaner environment and lesser costs to the consumers as some of the advantages added to its credit. As stated in the common idiom, “Every coin has two sides”, the swing of Electric Vehicles does not only have a brighter side to it in lieu of the advantages it imparts to its users but also possesses certain disadvantages which can cause greater harm to the consumers. In this article, we have tried to identify the problems associated with EVs and suggested their possible solutions as a reasonable man of society. We believe that the power source in the EVs is a potential risk to the lives of the users and also the other people in proximity to them therefore keeping in mind the dynamic nature of the environment and its take on EVs, some possible solutions have been enunciated further in the article. An Ola e-scooter was seen emitting smoke before being ruined in flames in Pune. Last year, Okinawa and Pure EV e-scooters caught fire, as did other incidents of electric buses catching fire around other parts of the world. The problem seems to be the power source of the electric vehicle which portrays a risk and manufacturers are developing equivalent safety features to lessen the risks. Manufacturers have to consent to the particular rules and regulations, carefully designed to ensure that the majority of the features are safe for the users of the vehicle. Puneet Jain, CEO of a lithium-ion battery manufacturing company, Natural Battery Technologies, told BusinessLine, “the chemistry of lithium-ion batteries is such that the electrolytes and even the lithium metal in itself is very flammable. And if they’re not operated at the right parameters and temperatures, they can actually catch fire. In short, EVs driven by lithium batteries are at the risk of catching fire, but not any more than the risk of an internal combustion engine (ICE) or a petrol vehicle catching fire”. Lithium-ion batteries are combustible and can easily catch fire, it has battery cells that can induce short-circuiting if it is damaged. However, lithium-ion batteries have a lower risk of damage than gasoline in conventional vehicles. To reduce the risk of external damage or short circuit, EV batteries are generally hemmed in by a protective cooling envelope filled with coolant liquid. In addition, despite external cooling, all EVs are aligned rather than one huge lithium-ion battery pack to prevent damage from any malfunction. According to Jain, customers are expecting more mileage in EVs, so OEMs (Original Equipment Manufacturers) are opting for larger batteries. When attempting to include a larger battery into the scooters, however, size concerns arise. “So, some of the battery manufacturers try to work around these limited spaces with creative designs. However, these designs may turn out to be faulty, because the battery needs its space, proper thermal protection and cooling provisions. This could result in a little riskier battery designs,” he added. A similar statement was also made by MD and Founder, Ipower Batteries Pvt Ltd, Vikas Aggarwal, who said: “The most prominent reason for EVs catching fire is that the battery went into a thermal runaway. This could happen because the battery is not designed according to the vehicle’s requirement of capacity, current and appropriate BMS (battery management system).” Commenting on the impact on customers, “It surely will hamper the confidence of the consumer, but on a positive note, consumers will start asking the right questions before buying an EV.” said Suhas Rajkumar, CEO & Founder, of Simple Energy. Also, it is believed that the Ola scooter catching fire will have a negative outlook from the customers as it is one of the leaders in e-mobility. However, this incident probably will not affect the sales negatively. It is leading to an increase in knowledge and awareness in customers about potential casualties in EVs, which could initiate better development of EVs and sales prospects. Vikrant Singh, Co-founder and Chief Technology Officer at BatX Energies (a li-ion battery manufacturer) stated, “Customers should ask for an intelligent battery management system that has up to three layers of security – ambient temperature adaptability, voltage and current control along with thermal management control, fire protection and cybersecurity. A strong BMS has multiple sensors, modules and fuses designed to prevent short circuits, ground faults and thermal runaway.” Traditional batteries, such as NMC (Nickel, Manganese, Cobalt), will be phased out in the coming years in favor of more stable technologies with higher energy density, better heat tolerance, and proper thermal runways systems, such as LFP (Lithium Iron Phosphate), Solid State, Blade batteries, and so on.” The relevant incidents can be easily prevented with the help of analytics Solutions: Sensors: sensors accelerate processes and make them more accurate. It will collect and process the EV’s data in real-time. EV App: the reason behind the fire incidents is still unknown as it happened abruptly. Creating an app specifically for the EV and connecting it with the vehicle, where the sensors would play the part of identifying the temperature and condition of the EV and would immediately notify the user in the app if the vehicle seems to be in an abnormal or an alarming state. Alarm: the alarm system would be installed in the EV, its purpose is to alert the people or surroundings to keep away from the vehicle in case it is in a damaging state. The user would be notified and will have the option to press “alarm” in case he/she is away from the vehicle and is not in a state to notify the police or anyone nearby to stay away from the vehicle. Whenever any product sees high levels of competition, the winner is usually the customer. However, in the race to dominate the rapidly growing e2W space, with staggered production and rushed developmental cycles, the one who pays the ultimate price is, alas, also the customer. Facebook: Build To Bring the World Closer By Yashwin Anand Social media platforms offer a rich source of information for reaching out to a wide range of people who would otherwise be difficult to locate. In the social media landscape, Facebook is by far the most powerful player. The number of active Facebook users has increased dramatically over the last decade, from 145 million in 2008 to more than 2.3 billion in 2018. Approximately two-thirds of adults in the United States use Facebook as of 2018. Today, 75% of Facebook users log on at least once a day and spend an average of 50 minutes per day on the site, where they find entertainment, read news, communicate with friends and family, and exchange social support. Facebook is the most advanced form of direct marketing, allowing users to reach their target market for free or at a low cost. Facebook has enormous marketing potential due to its local and global nature, advanced applications, and unstoppable growth. It allows users to announce the message they want to convey to others in a variety of ways. Furthermore, Facebook's emergence as a marketing platform has ushered in a new era of personalized and targeted advertising. As a result, Facebook advertising has grown in popularity. The central pillar for how businesses can effectively use Facebook is Facebook Analytics, which gives users the ability to make informed marketing decisions based on a large pool of customer data. Users' age, location, and gender, as well as their interests, are all provided by users who interact with your posts and content, allowing you to truly understand your target demographic and tailor your strategy to their needs. Lower communication costs, personalized and targeted advertising, immediate feedback from customers, word-of-mouth referrals, and a positive influence on buyer behaviour are all advantages of marketing on Facebook for businesses. Therefore, Facebook is considered an appealing platform for Internet marketing and online advertisers due to its sheer number of active users as well as the level of activity on this social networking website by each user. Netflix – The New Face of the TV Industry By Maria Iqbal Netflix is the world's largest subscription-based Internet television network, offering custom-tailored on-demand streaming video services to over 40 million members in over 40 countries. The company, which has 2045 full-time employees and is located in Los Gatos, California, was founded in 1997 and had annual revenue of $3.61 billion in 2012. Netflix's meteoric rise began in September 1999, when it announced the monthly subscription model, which was based on flat-fee unlimited rentals with no due dates, late fees, shipping and handling fees, or per-title rental fees. Netflix is primarily a repository of content, encompassing both pre-existing and original movies, documentaries, and television series. Subscribers can watch any programme on whatever device they want at any time for a set monthly cost. The company's quick rise, is far from coincidental. In truth, Netflix's capacity to adapt well to the precise trends influencing the market environment at any given time is a fair result. In order to stand out from its competitors, Netflix caters to its dynamically changing customer needs, constantly studies their customer segment and offer more valuable prepositions to meeting those demands. 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This course for data professionals covers data wrangling, mathematical computing, data visualization, web scraping, and many more. 10. Introduction to Data Science Specialization at Coursera One of the top trending data science courses at Coursera helps to launch a successful career in data science to implement applications and use cases through multiple data science tools, data science problems, SQL statements, and many more. We are BBA students specializing in Business Analytics who came up with the form of our quarterly digital newsletter. We provide exclusive in-depth articles on the most pressing issues in business IT. The purpose of Christ Business Analytics Cell is to spread the word that learning analytics has the potential to alter the way we assess the impact and results in learning settings, allowing providers to develop new methods of achieving excellence in teaching and learning. 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Vascular suite Redefining the outcome of vascular treatment Defining the future of Image Guided Therapy Innovative solutions across the health continuum At Philips, we’re here to support you in providing optimal care to your patients. Across the health continuum, we cover the full range of consumer and patient needs, from living healthily, to being diagnosed and treated for an illness, to recovery or chronic care at home. We look across the health continuum because when it comes to health, it’s the only way you can see. The areas of diagnosis and treatment are the focus of Philips Image Guided Therapy. They account for 70% of all healthcare costs, and this landscape is rapidly evolving. The expansion of interventional procedures and the development of new technologies continue to open up new possibilities and applications. This in turn opens the way for more targeted diagnosis and new, more complex treatment options. Clinical demands are getting more specific. So are we. During an interventional procedure you are focused on making the best decisions you can for each patient. Each patient and each disease has very specific challenges, complexities, and needs. As the number of procedures and patients goes up, you can see the need for better forms of image guidance and interventional devices for effective treatment and decision making. At the same time, optimized workflows are key to improving efficiency. That’s why we created clinical suites; a flexible portfolio of integrated technologies, devices and services for a broad range of interventional procedures. Each of our clinical suites offers specific image guided therapy solutions to provide more choice and flexibility for exceptional care. So you can be confident in your performance and in the fact your patients are receiving exceptional care. Together we aim to create the future of image guided therapy. Key benefits • Making therapy simpler, more informative, and less invasive to promote confident decisions • Supports standardization and consistency of vascular lab workflow to save time, money and reduce variability • Excellent visibility at ultra low X-ray dose levels for a comprehensive range of clinical procedures with ClarityIQ technology. As a physician, you are confronted with an increasingly demanding and diverse landscape – inside or outside your treatment room. To treat the growing epidemic of peripheral artery diseases, we see a clear need for standardization of endovascular treatment strategies. Real-time guidance is imperative during the procedure in selecting the correct vessel, device and pathway, but also to precisely position devices to improve clinical outcomes and expand adoption of these interventions. For aortic disease, radiation exposure and contrast medium are a concern for elderly and otherwise frail patients. These procedures are lengthy and often unpredictable. Shorter procedures could reduce contrast medium and radiation exposure. The Vascular suite has been designed to support diverse peripheral, aortic, visceral, arterial, and venous procedures. From restoring vessel patency and implanting a device to treating an aneurysm or occlusion – Vascular suite enables clinicians to deliver fast, effective, and simplified procedures. Based upon the Azurion platform, Vascular suite supports increased confidence in decision-making and deployment of devices through dedicated interventional tools and a rich portfolio of relevant devices. The tools provide remarkably detailed insights into anatomy, pathology, and perfusion during each phase of procedures as you decide, guide, treat, and confirm. Workflow innovations can support interventional teams in dramatically reducing overall procedure time and our technology enhances staff and patient safety by managing radiation and contrast dose efficiently. With the Vascular suite, you have the innovations at hand that empower you to redefine outcomes for your vascular patients. Peripheral artery disease Focusing on standardization to redefine PAD outcomes The number of people living with diabetes continues to climb, bringing peripheral artery disease (PAD) and critical limb ischemia (CLI) interventions to epidemic levels. Today patients with PAD and CLI have more options, including endovascular interventions and below the knee procedures. This is in part due to new devices that are designed to make treatment more durable and facilitate retreatment – aspiring to leave nothing behind. To standardize this fast evolving landscape, the medical community and manufacturers are working towards the creation of evidence to answer clinical dilemma’s and define novel guidelines. Philips participates actively to further standardization of CLI procedures from both the imaging and device perspectives. Our Vascular suite provides workflow options, dedicated interventional tools, and relevant vascular devices to support high levels of standardization and redefine outcomes for your PAD patients. They support each step of your procedure – as you decide, guide, treat, and confirm. With the ever-growing number of PAD patients, Azurion offers a number of workflow innovations designed to help vascular teams work efficiently and consistently, while maintaining a single-minded focus on the patient and keeping radiation dose low during peripheral vascular interventions: - ClarityIQ technology Excellent visibility at ultra-low X-ray dose levels for a comprehensive range of clinical procedures with ClarityIQ technology. - TSM and FlexVision Pro CT patient information from external source (e.g. PACS database) readily at hand and controllable at table side. - Zero Dose Positioning Helps you manage dose by positioning the system or table on Last Image Hold so you can prepare your next run without using fluoroscopy. - Roadmap Pro SmartMask provides a continuous real-time visualization of the leg as you navigate to the region of interest, making efficient use of iodinated contrast media and radiation dose. - TSM and FlexVision Pro Gives you full control of all system inputs including intravascular ultrasound (IVUS) and CX50 vascular ultrasound at tableside to save time and unnecessary walking in and out of the sterile area. Peripheral artery disease Effective guidance in treatment and decision making Decide Live X-ray guidance Live X-ray guidance with ClarityIQ technology creates high definition images of vessels with exceptional vascular detail to support precise treatment strategies, navigation, and follow-up. Intravascular ultrasound (IVUS) Identifying the correct vessel to treat is the goal during treatment planning. IVUS cross-sectional images complement angiography and helps clinicians assess the presence and extent of disease, plaque geometry, and morphology. CX50 ultrasound system Premium image quality Ultrasound at table side to support determination of device location in relation to vessel structure. Guide 3D image guidance 3D Image guidance provides an intuitive and continuous 3D roadmap based on existing CTA and MRA dataset or a 3D rotational angiography volume acquired in the angio suite overlayed on a live X-ray image. It provides insight into the exact position of the guide wire and catheter within the vessel during navigation. It offers a high level of precision thanks to real-time compensation for gantry, table, and small patient movements. Philips IGT Devices During treatment, you have to decide if it is safe to treat the lesion, and size and type of device should be used, and where to place the stent for best long term patency. Philips IGT Devices provides a portfolio of peripheral device solutions that allow you to personalize treatment decisions for each patient. SmartPerfusion How do you know if you have done enough? SmartPerfusion enables you to obtain stable, reliable, and instant information of the foot perfusion while the patient is still on the table, to assess treatment effect. This image analysis software provides functional information about tissue perfusion based on a digital subtraction angiography (DSA). Compare perfusion characteristics in multiple regions of interest at different moments to quantify the effects of revascularization during and immediately after the procedure. Advanced guidance supports standardized comparisons. A burning clinical need When it comes to performing CLI procedures, there are no guidelines for the optimal treatment approach.$^3$ Restoring vessel patency has not been shown to be a reliable predictor for clinical outcome – e.g., wound healing or less pain.$^4$$^5$ Conversely, wound healing is known to also occur in patients that were not treated endovascularly.$^5$ SmartPerfusion imaging technology provides interventionalists with an objective understanding of the impact of their treatment to help determine the outcome of perfusion procedures. Advanced guidance supports standardized comparisons and automated functions simplify clinical adoption. Key benefits - Supports determination of treatment endpoint$^6$ - Supports physicians to assess treatment effect by providing instant perfusion parameter changes - Seamless and automated guidance - Standardize pre- and post comparison runs through guided positioning A usability study showed 92% of the users believe SmartPerfusion supports them in defining the endpoint of the treatment. “SmartPerfusion angiography is a huge help in deciding when to end endovascular treatments.” Prof. Jae Kyu Kim, MD & Nam Yeol Yim, MD – Chonnam National University Hospital, South Korea A usability study showed 93% of users agree that SmartPerfusion has all the functions and capabilities for perfusion imaging. SmartPerfusion assists the physician in visualizing the perfusion changes beyond conventional DSA imaging. - The total contrast distribution of a DSA run is displayed in one color coded image - Easily visualize the redistribution of arterial flow to the region of interest through time density curve. - Visualizes the restoration of blood flow to multiple regions of interest Guided positioning for standardization of pre-and post-comparison runs Efficient workflow by easy alignment of foot anatomy pre- and post-procedure (including magnification) Easy run selection Full table side control via TSM Smart comparison Evaluate perfusion characteristics in multiple regions of interest on one single image. Facilitate clinical interpretation of the image with Dynamic Perfusion. Compare perfusion characteristics in the micro and macro circulation pre-, peri- and post-intervention. Instant overview created automatically – shows all functional parameters, pre- and post-comparison, in one screen (including graph). Case: Balloon Angioplasty of the Tibioperoneal truncus Patient: • 92 year old male • Diabetes • Non healing ulcer dig2 Treatment: • Balloon angioplasty of the Tibioperoneal truncus (3 mm balloon) A usability study showed 92% of the users believe SmartPerfusion supports them in defining the endpoint of the treatment. No significant differences between pre and post DSA runs other than slightly faster inflow on post. Significant increase in contrast passage, as demonstrated by: - larger Area under Curve (a) - higher Peak density (b) - shorter time to peak (c) Considering the different parameters, the overall perfusion in the foot has increased, which is not clear based on the pre and post DSA’s. The color coded image also shows faster inflow in the post run. Case: Balloon Angioplasty of the distal Posterior Tibial Artery. Patient: - 55 year old male - Diabetic - Critical Limb Ischemia Recent amputation of the 3rd toe, bad healing of the wound. Posterior tibial artery occluded and fibular (peroneal) artery is fragile but without significant stenoses. Treatment: - Balloon Angioplasty of the distal part of the Posterior Tibial Artery. - Peroneal Artery is too fragile to treat The forefoot is supplied with more blood after treatment. Posterior Tibial Artery (PTA) shows more and faster flow after treatment. Stealing effect in Dorsalis Pedis Artery (DPA), based on pre and post comparison. Considering the whole forefoot, the perfusion characteristics have improved. Faster flow and more flow going through the PTA after treatment. Stealing effect confirmed by drop in peak density in the DPA after treatment. See clearly, treat optimally Philips offers advanced visualization and specialized therapies that enable clinicians to tailor treatments in even the most complex patients. Choosing the best path forwards starts by seeing clearly. IVUS provides the visualization guidance essential for assessing clinical challenges quickly and precisely to guide treatment decisions. The Philips portfolio of therapeutic devices offers the versatility needed to treat the majority of PAD cases, including complex lesions. See clearly critical lesion characteristics Vessel size Guides device sizing to ensure precise wall apposition, drug delivery, and placement Plaque morphology Understand plaque type and severity to help guide proper device selection Plaque geometry Visualize plaque burden location for precise treatment Guidewire position Confirm true lumen or sub-intimal guidewire location Treat optimally with versatility Crossing - Quick-Cross catheter - Cross your toughest lesions - Pioneer Plus catheter Vessel prep - Turbo-Elite laser atherectomy - Prepare multiple lesion morphologies, locations and characteristics, including CTOs, ISR, thrombus, calcium, neo-intimal hyperplasia, mixed morphologies and ostial lesions - Turbo-Power laser atherectomy - Phoenix atherectomy - AngioSculpt scoring balloon Definitive treatment - Stellarex drug-coated balloon - Treat lesions without leaving metal behind Successful Treatment of a Calcified CTO Operator/Facility S. Jay Mathews, M.D., M.S. Interventional Cardiology Bradenton Cardiology Center Case History • 59 year old male patient • Diabetic and hypertensive Angiography • Presented with a heavily calcified total occlusion of the Left Common femoral Artery approximately 40–60 mm in length • Reconstitution via collateral filing at the proximal SFA Intervention • Successfully crossed the lesion using a 7.0 x 45 cm Terumo sheath, a 0.035” x 260 Glidewire (Stiff), and a Quick-Cross Extreme Catheter • After crossing the lesion the 0.035” guidewire was removed and distal flow was documented • The distal tip of an 0.018” X 300 (V-18) wire was positioned at the “Hunters canal.” • Turbo-Power was then advanced to the lesion • Four lasing trains across the total occlusion while rotating the device during advancement and retraction at the following energy settings: – 1st Pass: 60 / 40 – 2nd Pass: 60 / 60 – 3rd Pass: 60 / 80 – 4th Pass: 60 / 80 • Post lasing a 7.0 x 40 mm AngioSculpt was utilized • Post intervention showed less than 5% residual stenosis Case: Atherectomy and DEB of Anterior Tibial Artery. Patient: • 66 year old male • Lesion in distal Anterior Tibial Artery, Rutherford 4 Treatment: • Atherectomy and DEB of Anterior Tibial Artery No significant differences appear from the DSA runs or the 2D Perfusion images. The SmartPerfusion quantitative analysis shows a strong improvement in perfusion – increased time to peak (a), area under the curve (b) and peak density (c) – which was unclear from DSA, nor from the color-coded images alone. Aortic disease Targeting efficiency to redefine aortic outcomes Endovascular treatments of aortic diseases are becoming longer and addressing more complex anatomy. Radiation and contrast medium usage are a concern, specifically for elderly and health-impaired patients. Contrast-induced nephropathy (CIN), in particular, has been associated with an increase in complications and prolonged hospital stay.\textsuperscript{9} At the same time, modular stents are replacing expensive tailored stents to increase availability and cost-effectiveness of suitable grafts. Integrated imaging modalities are driving higher precision in treatment planning, guidance, and follow-up. In this dynamic area, there is a clear need for imaging technologies which improve accuracy, efficiency, and patient safety. Our Vascular suite offers premium workflow improvements and dedicated interventional tools to improve procedural efficiency and redefine outcomes for your patients with aortic disease. Workflow options that optimize lab performance and dose management - Flexible workspots Allow team members to access all information from any workspot to save time, improve consistency, and decrease delays. - ClarityIQ technology Excellent visibility at ultra low X-ray dose levels for a comprehensive range of clinical procedures with ClarityIQ technology. - Zero Dose Positioning Helps you manage dose by positioning the system or table on Last Image Hold so you can prepare your next run without using fluoroscopy. - TSM and FlexVision Pro CT patient information from external source (e.g. PACS database) readily at hand and controllable at table side. - FlexVision Pro Gives you full control of all system inputs including intravascular ultrasound (IVUS) and CX50 vascular ultrasound at tableside to save time and unnecessary walking in and out of the sterile area. - Hybrid OR solution featuring FlexArm This innovative surgical environment offers unmatched procedural flexibility and ease of use, while meeting the highest standards for surgical infection control and hygiene. - ProcedureCards Select the EVAR ProcedureCard and the system is set-up the way you want. Hospital specific protocols and/or checklists can be added to ProcedureCards and displayed on monitors. With Azurion a breakthrough in workflow improvement has been realized, resulting in proven efficiency. Aortic disease Superior care in Aortic procedures Decide VesselNavigator Pre-operative CTA or MRA imported into VesselNavigator Guide Live X-ray guidance with ClarityIQ technology Each patient has unique requirements when it comes to choosing the right device. 2D DSA with ClarityIQ technology generates high definition images of vessels with outstanding vascular detail to support precise treatment strategies, navigation, and follow-up. CX50 ultrasound system A realistic visualization of vasculature is required to effectively access the arterial system. Our integrated CX50 ultrasound system provides premium quality images of the radial artery and veins to support radial access interventions. Treat Intravascular ultrasound (IVUS) IVUS cross-sectional images compliment angiography and helps clinicians assess the presence and extent of disease, plaque geometry, and morphology. VesselNavigator The goal during aortic procedures is to place endovascular stentgrafts, quickly and precisely, while using minimal radiation and contrast. VesselNavigator provides an intuitive and continuous 3D roadmap to guide you through vasculature during the entire procedure. This reduces the need for a contrast enhanced run to create a conventional roadmap. One study showed an average of 170 ml contrast reduction during endovascular repair of complex aortic aneurysms with the use of VesselNavigator CTA image fusion guidance. A reduction in average procedure time from 6.3 to 5.2 (1.1) hours during FEVAR/BEVAR with VesselNavigator CTA image fusion guidance has been shown in a recent study. Confirm Live X-Ray guidance XperCT Dual With aortic repair, the detection and management of endoleaks is important while the patient is still on the table. XperCT Dual can visualize endoleak morphology. XperGuide enables percutaneous access for treatment with needle path planning and live fluoro overlay for placement. VesselNavigator allows image fusion of existing CTA or MRA vascular anatomical information with X-ray, to serve as a live 3D roadmap. VesselNavigator real-time navigation VesselNavigator can be used for any type of endovascular procedure. It is especially beneficial for complex and tortuous vasculature where it is challenging to accurately navigate and place stents or for procedures where contrast use should be minimized. Contrast medium usage and procedure efficiency VesselNavigator’s roadmap covers the entire MR or CT volume, so you can navigate through the entire vessel without needing to make contrast runs at each step of the procedure. A study of 23 patients$^1$ has shown to reduce average contrast medium usage from 235 to 65 ml (72%) during endovascular repair of complex aortic aneurysms with the use of Philips CTA image fusion guidance. No intraprocedural contrast agent injection was required to create a roadmap. Besides reducing contrast, VesselNavigator can reduce procedure time significantly. A study of 62 patients$^2$ showed an average reduction in procedure time from 6.3 to 5.2 hours during FEVAR/BEVAR procedures with the use of Philips CTA image fusion guidance. Key benefits - Supports navigation through complex vessel structures, enhancing clinical outcomes - A pre-acquired CTA or MRA reduces the need for contrast enhanced runs - CTA Image Fusion Guidance may lead to shorter procedure times - Intuitive and easy to use with step-by-step workflow guidance "After one month of usage, we have passed the point where the clinical value of VesselNavigator outweighs the investment we made." Prof. Dr. F. Vermassen, University Hospital Ghent. VesselNavigator provides three dimensional views of vasculature that allow you to easily define the right projection angle$^2$ for optimal navigation and stent placement. With the use of ring markers you can easily indicate the ostia and landing zones. \| Patient Details \| Procedure Details \| \|-----------------\|-------------------\| \| 69Y/M, Endovascular aortic aneurysm repair \| Contrast medium: 36 ml Air Kerma: 410 mGy Fluoro time: 11 min Procedure time: 45 min Courtesy of Prof. Dr. M. Schermerhorn \| \| 70Y/M, Endovascular repair of juxtarenal abdominal aortic aneurysm \| Contrast medium: 115 ml Air Kerma: 2165 mGy Fluoro time: 57 min Procedure time: 2:14 hours Courtesy of Prof. Dr. M. Schermerhorn \| \| 71Y/M, lower left peripheral in stent restenosis \| Contrast medium: 40 ml Air Kerma: 86 mGy Fluoro time: 7 min Procedure time: 1:30 hours Courtesy of Prof. Dr. F. Vermassen \| Less movements with full tableside control Azurion’s advanced capabilities like FlexVision Pro and TSM Pro allow full tableside control. This reduces the necessity for team members to leave the sterile exam room area during procedures. In the first Azurion lab performance study the medical team reduced their movements by 29%. With Azurion, performance and superior care become one Reduction of procedure time by 17% with Philips Azurion in independently verified study with more than 770 procedures$^{12}$ The Interventional Vascular Department of St. Antonius Hospital, a leading interventional institution, has faced the challenge of increasingly complex procedures, unpredictable demand, and growing patient waiting time. When the time came to replace one of their existing labs, their goal was to invest in a solution that would help them improve quality of care, maximize workflow efficiency and drive staff and patient satisfaction. After installing Azurion, the interventional vascular department of St. Antonius Hospital achieved a: - 12% reduction in patient preparation time - 17% reduction in procedure time - 28% reduction in post-procedure lab time - 44% increase in usage of supporting software tools - 25% reduction in planned cases finished after normal working hours - 29% reduction in staff movement between exam and control room - 77% usage of instant parallel working for interventional procedures Full flexibility and patient access Our solutions are based on continuous input and collaborations with stakeholders across the clinical spectrum. Our most recent survey\textsuperscript{13} of surgeons around the globe identified their key requirements for a Hybrid OR. The Azurion Hybrid OR with its two unique FlexArm and FlexMove gantry options has been developed to meet these critical issues. Optimal use of space Major equipment is mounted on the ceiling, the preferred location for OR equipment. Both the FlexArm and FlexMove gantries have a compact design, developed to maximize use of OR space and help maintain a clean floor. Easy full body patient coverage Team members can work at both sides of the table, and the patient can be accessed at any location from head to toe. The imaging system can be easily moved away from the table as needed. Azurion’s gantry flexibility also helps to reduce and even eliminate table pivoting or panning which can enhance patient experience and improve catheter control and intubation. Positioning flexibility and clean floor Imaging and surgery equipment can be easily positioned for different teams and procedures without touching the floor. The FlexArm C-arm has a 270-degree range of movement to further increase staff and equipment positioning freedom without compromising projection freedom. Workflow without compromise The anesthesiologist can stand at the head of the table, and other team members can stand in their preferred working positions for a variety of open and minimally invasive procedures. During radial access and multiple access cases, the transversal movement of the gantries allows you to work in the most ergonomic position. The Azurion 7 C20 FlexArm benefits diverse procedures Figure 1: Peripheral procedures - Unrestricted access over full legs with C-arm positioned at 135° - Flexibility to position the system on right or left side - Ergonomic view of display monitor Figure 2: Peripheral procedures with legs at head end - Full accessibility around foot end to position additional equipment (ultrasound, atherectomy device, etc.) and/or whenever pedal access is needed - Ergonomic view of display monitor for ultrasound images, FlexSpot images, etc. - 3D tools can be used from both sides of the table Figure 3: Shunt procedures - Excellent shunt access with patient-centered imaging - Ergonomic view of display monitor - Ample space to position additional equipment when needed The Azurion 7 C20 FlexMove parking and stand by position Figure 7: Parking position - Park system outside treatment area - During open surgery procedures - During patient preparation - At end of procedure Figure 8: Standby position - Full patient access with C-arm in stand by position during open surgery phase - Easy to bring in the C-arm whenever needed without disturbing room set-up Figure 4: EVAR procedures - Optimal working position for both anesthesia and physicians - No need to move the table for sedated patients - Lead screens can be easily positioned at table side Figure 5: FEVAR procedures - Flexibility to put the system at patient right side to support optimal working position for anesthesiologist and physicians - No need to move the table for sedated patients - Both physicians have a good view of the display monitor Figure 6: FEVAR procedures with brachial access - Excellent brachial access with patient-centered imaging - C-arm can be easily maneuvered from brachial access position to aortic position without hampering workflow Dedicated solutions to efficiently support your case mix Azurion 7 C20 FlexArm - Staff and equipment positioning freedom - Improved workflow for multiple patient access points - Enhanced patient care due to reduced table and patient movement - Make efficient use of lab/OR space Azurion 7 C20 FlexMove - Positioning flexibility and clean floor - Easy full body patient coverage - Free Laminar Airflow field - Extended parking options Azurion 7 C20 - Efficient workflow with Procedure Cards, Parallel Working and Checklists and Protocols - Broad portfolio of advanced workflow options like FlexVision Pro and TSM Pro - Full-body coverage - Superior imaging with ClarityIQ and MRC200+ X-ray tube Azurion 3 F15 - Perfect fit for mixed application use in one room (cardiac/vascular) - Same user interface as the Azurion 7 series provides ease-of-use across the whole platform - Full-body coverage with table swivel - Advanced dose management with DoseWise and MRC200+ X-ray tube Vascular suite solutions We offer a comprehensive range of options and support to help you realize a suite that fits your clinical and budgetary requirements. Our offerings also include advanced education, efficiency programs, and RightFit service agreements. Our image guided therapy Vascular suite is a combination of the Azurion platform, interventional solutions, devices, workflow options, accessories, education, and services. Over the past decade, we have gained extensive experience in integrating advanced X-ray imaging in a surgical environment. Azurion is a breakthrough platform that offers an unparalleled workflow experience for the full spectrum of vascular interventions and surgeries. Combined with our integration partners, advanced imaging, devices portfolio, training and services, we offer a premium room set-up that allows you to optimize performance and deliver superior care to your patients. System platform Azurion 3 F15, 7 C20, 7 C20 FlexArm, 7 C20 FlexMove ClarityIQ technology Vascular products SmartPerfusion VesselNavigator XperCT Dual Open Trajectory XperGuide 3DRA 3D Roadmap SmartPerfusion Vascular devices IVUS Visions PV Pioneer Plus Phoenix Atherectomy Turbo-Power laser Turbo-Elite laser Turbo-Tandem catheter Stellarex DCB AngioSculpt Integrated tools CX50x Matrix ultrasound Xper IM IntelliSpace CV DoseWise Portal DoseAware Integrated tables 1 Fowkes FG, Rudan D, Rudan I, Aboyans V, Denenberg JO, McDermott MM, Norman PE, Sampson UK, Williams LJ, Mensah GA, Criqui MH. Comparison of global estimates of prevalence and risk factors for peripheral artery disease in 2000 and 2010: a systematic review and analysis. Lancet. 2013;382(9901):1329–40. 5 Reekers JA, Koelemay MJW, Marquering A, van Bavel ET. Functional Imaging of the Foot with Perfusion Angiography in Critical Limb Ischemia. Cardiovasc Intervent Radiol. 2016;39:183–9. 10 Tacher V, et al (2013). Image Guidance for Endovascular Repair of Complex Aortic Aneurysms: Comparison of Twodimensional and Three-dimensional Angiography and Image Fusion, J Vasc Interv Radiol. 24(11), 1698–1706. Doi: 10.1016/j.jvir.2013.07.016. 2 S. Jens, Henk A. Marquering, Mark J. W. Koelemay, Jim A. Reekers. Perfusion Angiography of the Foot in Patients with Critical Limb Ischemia: Description of the Technique. Cardiovasc Intervent Radiol. 2015;38(1):201–5. 6 Determination of treatment endpoint is the physicians conclusion on the treatment based on qualitative info (colour coded images) together with other relevant clinical data. 11 Sailer AM, et al (2014). CTA with fluoroscopy image fusion guidance in endovascular complex aortic aneurysm repair. Eur J Vasc Endovasc Surg. 2014 Apr;47(4):349–56. Doi: 10.1016/j.ejvs.2013.12.022. 3 Barshe NR, et. al. Cost-effectiveness in the contemporary management of critical limb ischemia with tissue loss. J Vasc Surg 2012;56:1015–24. 7 Based on a usability study with 15 participants of which 13 interventional radiologists. 12 Results are specific to the institution where they were obtained and may not reflect the results achievable at other institutions. 4 Norgren L, Hiatt WR, Dormandy JA, Nehler MR, Harris KA, Fowkes FGR on behalf of the TASC II Working Group. Inter-Society Consensus for the Management of Peripheral Arterial Disease (TASC II). J Vasc Surg. 2007;45(1)supplement: S5–S67. 8 Reekers JA et al. Functional Imaging of the Foot with Perfusion Angiography in Critical Limb Ischemia. Cardiovasc Intervent Radiol. 2016 Feb;39(2):183–9. doi: 10.1007/s00270-015-1253-6. Epub 2015 Dec 1. 13 Survey Society for Vascular Surgery 2014 (USA) of 303 survey participants. 9 Gutiérrez Castillo DI, San Norberto García EM, Fidalgo Domingos L, Fuente Garrido R, Estévez Fernández I, Vaquero Puerta C [Incidence of contrast induced nephropathy in patients who underwent an aortic endovascular repair. Rev Port Cir Cardiotorac Vasc. 2015 Apr-Jun;22(2):101-107. 14 In some cases, foot/lower leg fixation may be required for proper pre/post comparison.
Was the Space Shuttle Columbia Disaster Caused by a Weapon from an Extraterrestrial Civilization or US Government Weapon Misfire? Did NASA Bury the Evidence? This private study was conducted by David Sereda, UFOlogist after studying 5 photographs taken by amateur astronomer Dr. Peter Goldie (Kings College of London). Goldie was a British Tourist visiting San Francisco during the re-entry of NASA Space Shuttle Mission STS-107 on Feb 1, 2003. What he captured in 5 digital still photographs was so shocking, the San Francisco Chronicle reported that: “The digital image is one of five snapped by the shuttle buff at roughly 5:53 a.m. Saturday as sensors on the doomed orbiter began showing the first indications of trouble. Seven minutes later, the craft broke up in flames over Texas.” Space Shuttle Columbia launched on January 16th, 2003: 9.39am Columbia (Flight STS-107) was the 113th mission! Feb 1, 2003, Space Shuttle Columbia Disaster Events Engineers remain confident in their understanding of the size and weight of the debris seen hitting Columbia’s wing. Analysis determined the impact wouldn’t significantly damage the shuttle or pose a safety issue. “We believe there is something else,” Dittemore said. “It just does not make sense to us that a piece of debris is the root cause for the loss of Columbia and crew.” On February 1st, 2003, at 8am - All vehicle data was lost at 207,135 ft above the Earth at Mach 18.3 (about 12,500 mph) when the Columbia Space Shuttle broke up over north-central Texas. It was about 16 minutes prior to its scheduled landing at Florida’s Kennedy Space Center. Dr. Peter Goldie’s first of 5 digital photos taken in San Francisco, Feb 1, 2003 as the San Francisco Chronicle reported, “The digital image is one of five snapped by the shuttle buff at roughly 5:53 a.m. Saturday as sensors on the doomed orbiter began showing the first indications of trouble. Seven minutes later, the craft broke up in flames over Texas.” The Incoming Missile, Plasma Weapon or alleged Super Lightning Strike appears to come from above and speeds towards the shuttle’s position at the time the shuttle would have been straight ahead of its path. See intersection point. The shuttle is the straight line streak of white. It is travelling from left to right at 12,500 mph, and 207,135 ft above the earth. The photo was taken with a Nikon 800 digital camera while placed on a tripod. Peter Goldie told the SF Chronicle the 5 exposures were taken as 4-6 second exposures. The Time value of the exposure means that the bright source of the shuttle plasma burn would cause a streak over time, plus the length of the burn trail. But notice that just after the incoming weapon, or supposed “Super Lightning Strike” crosses the path of the shuttle, it makes a course correction at 90 degrees very suddenly to chase after the shuttle. Is this behaving like a heat sinking missile? Photos used under the Fair Use Act - Educational Use Only, Copyright Act (title 17, U.S. Code) Dr. Peter Goldie’s second of 5 digital photos taken in San Francisco, Feb 1, 2003. Now this photo poses a real problem. There is no way that a lightning strike could exist in a second exposure of 4-6 seconds with the origination point at the top still in frame. I have done professional photography for over 25 years, and I can tell you that a single lightning strike cannot exist for even a full second, let alone for 5 consecutive exposures of 4-6 seconds each (20-30 seconds of time). According to the physics definition on Time values for lightning, “Most commonly, the lightning current ceases in about a millisecond for a given stroke” (or 1/millionth of a second), or enough to expose only 1 frame of film with a single lightning strike. Here we can see the weapon has made a course correction of 90 degrees, an impossible feat for any missile to do that is travelling faster than the shuttle’s 12,500 mph. It is clearly gaining on the shuttle and spiraling right towards the head of the shuttle precisely, as we will see on the next photo taken by Peter Goldie. I have also examined lightning strikes on video, which I shot myself on a Canon XL-1. This video camera shoots at 30 frames per second. In the editing bay, I rarely saw lightning on more than 1 or 2 frames out of 30 frames per second. This also makes the NASA theory that what we are seeing in this photo is Super Lightning. Dr. Peter Goldie’s Third of 5 digital photos taken in San Francisco, Feb 1, 2003. Again, how could a lightning strike survive even 3 frames of exposure? At this point, we are at between 12 and 18 seconds from the first picture that Dr. Peter Goldie took. It is not lightning. According to the San Francisco Chronicle article, Peter Goldie said “the estimated exposure time -- about four to six seconds on the automatic Nikon 880 camera. It was mounted on a tripod, and the shutter was triggered manually.” Manual triggering means there is a time lapse between each picture. Lightning? How stupid does NASA think we are? Notice here that the weapon or missile strikes the shuttle Columbia between 12 and 18 seconds (plus time between pictures) after the first photo was taken. Perhaps this is 25 seconds later. At the point of intersection or strike, the shuttle brightens considerably meaning it is discharging explosive or kinetic energy. According to the SF Chronicle, “The photographer requested that his name not be used and said he would not release the image to the public until NASA experts had time to examine it.” Late Tuesday, NASA dispatched former shuttle astronaut Tammy Jernigan, now a manager at Lawrence Livermore Laboratories, to the San Francisco home of the astronomer to examine his digital images and to take the camera itself to Mountain View, where it was to be transported by a NASA T-38 jet to Houston this morning.” Photos used under the Fair Use Act - Educational Use Only, Copyright Act (title 17, U.S. Code) Dr. Peter Goldie’s Fourth of 5 digital photos taken in San Francisco, Feb 1, 2003. This photo clearly shows a color difference between the weapon (violet) and the shuttle (blue white). The color was reported in the SF Chronicle article as “In the critical shot, a glowing purple rope of light corkscrews down toward the plasma trail, appears to pass behind it, then cuts sharply toward it from below. As it merges with the plasma trail, the streak itself brightens for a distance, then fades. ‘It certainly appears very anomalous,’ said Jernigan. ‘We sure will be very interested in taking a very hard look at this.’” If we look closely here, we can see that the weapon was intending on striking the shuttle. It does not stray from its course and course correction on striking the shuttle. There is also no continuation after it strikes the shuttle. The question is: what kind of a weapon is this? Who or what fired it? Was it a misguided weapons test from the Department of Defense Star Wars? Was it Russian? If so, would they strike at the shuttle and engage the United States in a clear Act of War? No way! Photos used under the Fair Use Act - Educational Use Only, Copyright Act (title 17, U. S. Code) Dr. Peter Goldie’s Fourth of 5 digital photos taken in San Francisco, Feb 1, 2003. This photo is not as the previous images, which were taken off a TV screen when Peter Goldie’s photos appeared in a national Geographic TV special on the Shuttle Columbia accident. This is a direct Digital image, which was posted on the internet. 5 photos puts us at 20-30 seconds of exposure time after the first shot, plus time between manual exposures by Peter Goldie. There is no way a lightning strike could remain on 2, let alone all 5 photographs. In this photo, we can clearly see that the weapon has struck the shuttle and does not travel any more. It has reached its target. But the shuttle does not explode to pieces immediately. Therefore, this could not be a missile carrying an explosive. It would have to be some kind of advanced weapon. Photos used under the Fair Use Act - Educational Use Only, Copyright Act (title 17, U. S. Code) The Question Arises: If an Amateur Astronomer shot photos of the space shuttle being struck by this advanced weapon, the military must have better images or even photography of the event. Their imagery is classified. Air Force imagery confirms Columbia wing damaged BY CRAIG COVAULT AVIATION WEEK & SPACE TECHNOLOGY/aviationnow.com PUBLISHED HERE WITH PERMISSION Posted: February 7, 2003 High-resolution images taken from a ground-based Air Force tracking camera in southwestern U.S. show serious structural damage to the inboard leading edge of Columbia’s left wing, as the crippled orbiter flew overhead about 60 sec. before the vehicle broke up over Texas killing the seven astronauts on board Feb. 1. According to sources close to the investigation, the images, under analysis at the Johnson Space Center in Houston, show a jagged edge on the left inboard wing structure near where the wing begins to intersect the fuselage. They also show the orbiter’s right aft yaw thrusters firing, trying to correct the vehicle’s attitude that was being adversely affected by the left wing damage. Columbia’s fuselage and right wing appear normal. Unlike the damaged and jagged left wing section, the right wing appears smooth along its entire length. The imagery is consistent with telemetry. A Study on the Velocity of the Fastest Missiles on Earth versus the speed of the Weapon chasing and striking the Shuttle Columbia. According to NASA, at the time of the incident of the supposed “Super Lighting Strike,” the Shuttle is travelling at 12,500 mph. As you will see, no missile on earth, other than ICBMs (Nuclear Missiles) could travel faster than the shuttle and catch up to it and strike it. The Velocity of the fastest non-nuclear Missiles on Earth: Tomahawk Land Attack Missile (TLAM) is a long-range, all-weather, subsonic cruise missile: speed 550 mph. AGM-88 High speed Anti Radiation Missile (HARM) is an air-to-surface tactical missile designed to seek out and destroy enemy radar-equipped air defense systems. Speed 760 mph. The FIM-92 Stinger is a passive surface-to-air missile. The FIM-92B can attack aircraft at a range of up to 15,700 feet (4800 m) and at altitudes between 600 and 12,500 feet (180 and 3800 m). Maximum speed of Mach 2.2 (750 m/s) = approximately 1,500 mph. AIM-9 Sidewinder maximum speed mach 2.5. The Evolved Sea Sparrow Missile maximum Speed Mach 4 = 2,800 mph. Range 27 nautical miles. AIM-120 Advanced Medium-Range Air-to-Air Missile, or AMRAAM = Mach 4. RIM-116 Rolling Airframe Missile (RAM) is a small, lightweight, infrared homing surface-to-air missile in use by the United States Navy, German Navy, Hellenic Navy, and South Korean Navy. Mach 2. The Velocity of the fastest Nuclear Missiles on Earth: The ICBM: The LGM-30 Minuteman is a United States nuclear missile, a land-based intercontinental ballistic missile (ICBM). As of 2006, it is the only land-based ICBM in service in the United States. Approximately 15,000 mph (Mach 23, or 24,000 km/h, or 7 km/s). At $7 million each, we don’t fire these at UFOs. The Trident missile, named after the trident, is a submarine-launched ballistic missile (SLBM) which is armed with nuclear warheads and is launched from SSBNs, nuclear-powered ballistic missile submarines. Trident missiles are carried by fourteen active US Navy Ohio class submarines and, with British warheads, four Royal Navy Vanguard class submarines. Speed 18,000 mph. Cost $31 million each. A Comparative Study on the Weapon that struck the Shuttle Columbia: Using the Goldie photos (4-6 second exposures), I would estimate that the weapon was fired at the shuttle head on. At the point of the course correction, we can measure the difference in speed between the weapon and the shuttle. I estimate that if the shuttle is traveling at 12,500 mph, from the point of the course correction, it took the weapon between 10 and 15 seconds to catch up to and strike the shuttle. The shuttle is travelling at approximately 3.5 miles per second. The Minuteman missile, at 15,000 mph travels at 4.16 Miles Per Second. The Trident Missile, at 18,000 mph, travels at 5 miles per second. The Trident Missile is 1.5 miles per second faster than the shuttle. Could the Trident missile have even caught up to the shuttle in 10 to 15 seconds from the point of the course correction? In 10 seconds, the Trident could travel 50 miles. In 10 seconds the shuttle would travel 35 miles. That is a difference of 15 miles in 10 seconds that the Trident would have to gain on the shuttle. It would take 3 seconds for the Trident to gain those 15 miles. We are not looking at a missile trying to target the shuttle: Had the Shuttle Columbia been struck by an ICBM, there would have been a huge explosion. There is no large explosion upon impact, rather a brightening or plasma effect. The astronauts were still alive at this point, and in contact with Houston Control. It took another 6.5 minutes for the shuttle to break apart. What kind of weapon could do this? Lasers: Pulsed Lasers - The problem with Pulsed Lasers and Microwave radiation lasers is that they are not able to change direction like the Weapon that is chasing and striking the Shuttle. We could not be dealing with something like this. Was the Weapon part of a Star Wars or SDI test that went wrong? From Wikipedia: The Strategic Defense Initiative (SDI), commonly called Star Wars after the popular science fiction movies of the time, was proposed by U.S. President Ronald Reagan on March 23, 1983[1] to use ground-based and space-based systems to protect the United States from attack by strategic nuclear ballistic missiles. Though it was never fully developed or deployed, the research and technologies of SDI paved the way for some Anti-ballistic missile systems of today. The Strategic Defense Initiative Organization (SDIO) was set up in 1984 within the United States Department of Defense to the Strategic Defense Initiative. Under the administration of President Bill Clinton in 1993, its name was changed to the Ballistic Missile Defense Organization (BMDO) and its emphasis was shifted from national missile defense to theater missile defense, i.e. from global to regional coverage. The Most Advanced Weapons for SDI so far have not attained a high enough success rate to be in practical use: Project Brilliant Pebbles has some characteristics of the kind of weapon used: Brilliant Pebbles was a non-nuclear system of satellite-based, watermelon-sized,[17] mini-missiles designed to use a high-velocity kinetic warhead.[18] It was designed to operate in conjunction with the Brilliant Eyes sensor system and would have detected and destroyed missiles without any external guidance. The project was conceived in November 1986.[19] John H. Nuckolls, director of Lawrence Livermore National Laboratory from 1988 to 1994, described the system as “The crowning achievement of the Strategic Defense Initiative”. The technologies developed for SDI were used in numerous later projects. For example, the sensors and cameras that were developed for Brilliant Pebbles became components of the Clementine mission and SDI technologies may also have a role in future missile defense efforts.[20] Though regarded as one of the most capable SDI systems, the Brilliant Pebbles program was canceled in 1994 by the BMDO.[21] However, it is being reevaluated for possible future use by the MDA. From Wikipedia: Kinetic projectiles Could the Shuttle Columbia have been targeted by a Kinetic Weapon from Space? The characteristics are similar. Some projectiles do not contain an explosive charge (such as shells). They are termed kinetic projectile, kinetic energy weapon or kinetic penetrator. The classic kinetic energy weapon is the bullet. Among projectiles which do not contain explosives are railguns, coilguns, mass drivers, and kinetic energy penetrators, in addition to smaller weapons such as bullets. All of these weapons work by attaining a high muzzle velocity (hypervelocity), and collide with their objective, releasing kinetic energy. Some kinetic weapons for targeting objects in spaceflight are anti-satellite weapons and anti-ballistic missiles. Since they need to attain a high velocity anyway, they can destroy their target with their released kinetic energy alone; explosives are not necessary. Compare the energy of TNT, 4.6 MJ/kg, to the energy of a kinetic kill vehicle with a closing speed of 10 km/s, which is 50 MJ/kg. This saves costly weight and there is no detonation to be done at the right time, but on the other hand it requires a more accurate hit. If the Shuttle Columbia was targeted by a US Military Kinetic weapon, the question is why? Also, does the United States have them in place on military satellites today? The problem with these weapons is that there seems to be no evidence that they are heat seeking, and course correctional like the weapon that struck the shuttle Columbia. Final Analysis: It does not appear that Reagan’s Star Wars or SDI is advanced enough at this time to have developed the type of weapon used against the Shuttle Columbia. I therefore have no other option but to charge that Extraterrestrial UFO craft may have been involved in the incident. Engineers remain confident in their understanding of the size and weight of the debris seen hitting Columbia’s wing. Analysis determined the impact wouldn’t significantly damage the shuttle or pose a safety issue. “We believe there is something else,” Dittemore said. “It just does not make sense to us that a piece of debris is the root cause for the loss of Columbia and crew.” It was not debris, or a true malfunction. There is clear evidence here that something beyond earth technology was responsible. Unless we can provide evidence that a kinetic weapon of this type and specifications is in the hands of the Russians or the Chinese in space, we have no other course. David Sereda Jan 2nd, 2007
Textural Effects Tactile Infusion Thematic Thread Awaken your senses with the down-to-earth comfort, soft textures and bulky yarns of Textural Effects in modular planks and broadloom. This elegant collection features soft organic groundcover visuals with added tactility and humanity to sustain all types of spaces. The two plank styles were inspired by woven fabric and handcrafts: Thematic Thread, a tweed pattern with an irregular loomed fabric quality and Tactile Infusion, a larger scale with a cozy, sweater-like textural aesthetic. The broadloom version also offers two versions: Moss Moderne, an organic natural texture that coordinates with our Lichen planks and Matte Finish, a more precise and classic loop texture that evokes nubby boucle fabrics. Cover: Tactile Infusion 967 Granite (Random Installation) Mohawk Group Tactile Infusion 739 Diorite, Thematic Thread 739 Diorite, 667 Olivine, Secoya 878 Woodland (Basketweave Installation) Mohawk Group is proud to be the first manufacturer to create a Living Site, a facility dedicated to the future and bettering our planet. Located in Virginia’s Shenandoah Valley this “Living Site” platform ensures that more than 300 carpet tile products manufactured in Glasgow meet the stringent requirements of the Living Product Challenge, petal certified flooring solutions by the International Living Future Institute. Textural Effects has a net positive impact for people and the environment through the following innovations in materials, manufacturing and community involvement. PLACE PETAL Responsible & Habitat Impacts We are committed to improving the Eco region of our Glasgow, VA plant by maintaining two National Wildlife Federation Certified Habitats and an apiary, as well as being a founding member of Businesses for the Bay. Through conservation easements, we protect lands rich with diverse habitats ensuring healthy, livable communities for generations to come. ENERGY PETAL Energy Footprint Conducting life cycle assessments to determine the energy footprint of the product and implementing measures to reduce energy. WATER PETAL Water Footprint and Net Positive Water Saving more water than is used to create the product by multiple water conservation and restoration projects in communities. Routinely evaluating the water footprint through life cycle assessments to ensure water savings. HEALTH & HAPPINESS PETAL The Red List Achieving third party verified Declared Red List Free status for all of our Living Products. Transparent Material Health A detailed material health assessment up to 100ppm is conducted for materials and processes that make our Living Products to ensure worker and consumer safety. Human Thriving Providing Glasgow, VA, employees with rich connections to the natural world and continual on-site health and wellness support. Implementing SHINE initiative challenges for our plant employees. MATERIALS PETAL Responsible Industry Advocating for sustainable resource extraction and fair labor practices within our industry. Net Positive Carbon Creating pathways for Net Positive Carbon products through carbon sequestration and conservation of forests. EQUITY PETAL Ethical Supply Chain Evaluating the supply chain through social hotspot database to demonstrate compliance with ethical standards and identify social risks. Equitable investment Mohawk’s partnership with Susan G Komen began in 2001. Since inception, we have donated over $5 million dollars to support the fight against breast cancer. Social Co-Benefits Creating partnership for social co-benefits as part of our handprint initiatives with focus on social equity such as installation of smartflower™ Solar systems at STEM schools and installation of low flow showerheads in HBCUs. BEAUTY PETAL Beauty + Spirit Using biophilic design and global collaborative partnerships to create all new Living Products, helping to enrich our connection to the natural world. Inspiration & Education Educating the public about how the products achieved Living Product Challenge Certification through open houses, mill tours, webinars, social media and other avenues. The carpet is made from 100% recycled polyester and is available in a range of colours and patterns, including solid colours, stripes, and geometric designs. The carpet is also available in different thicknesses and weights to suit different applications. The carpet is easy to clean and maintain, making it ideal for high-traffic areas such as offices, schools, and hospitals. It is also durable and long-lasting, with a low pile that reduces the risk of wear and tear. The carpet is manufactured using sustainable practices, with a focus on reducing waste and minimizing environmental impact. The carpet is also certified by the Green Label Plus programme, which ensures that it meets strict environmental standards. Overall, the carpet is a versatile and practical choice for any interior design project, offering a range of benefits in terms of sustainability, durability, and ease of maintenance. Tactile Infusion 968 Concrete, Thematic Thread 968 Concrete (Herringbone Installation) Opposite: Thematic Thread 989 Charcoal, Bolder 925 Pebble (Monolithic Installation) Building upon the trusted Duracolor promise with over 100 million yards installed since 1992, new Duracolor Tricor delivers unsurpassed stain resistance, colorfastness, durability, color clarity and enhanced soil performance. Carpet made with Duracolor Tricor is recyclable, easy to maintain and features inherent stain resistance with water-only stain removal. FOREVER STAIN FREE - The high-performance shape of the modified delta improves resilience and reduces surface wear of carpet - Duracolor® Tricor Fiber has a negative charge that repels 99% of negatively charged, common staining substances - Single Triangular Hole provides the best soil hiding capability and controlled light diffusion for clearer, brighter colors - 96% of all common stains removed with just water - Passes AATCC Test Method 175 combined with pre-abrasion meeting GSA requirements for stain resistance FOREVER BEAUTIFUL - Unsurpassed colorfastness to light and atmospheric contaminants so colors won’t fade - Unmatched design flexibility without compromising color retention or stain resistance FOREVER SUSTAINABLE - Made with a minimum of 30% recycled content** - No Chemicals required: 96% of all common stains clean with just water - Declare Red List Free: Duracolor fiber is Declare Red List Free in accordance with the Living Building Challenge - Lasts Longer: Product life is extended, reducing the impact to your bottom line and to the environment - Recyclable through Mohawk’s ReCover Program * See Mohawk Group official warranty documents for further details at mohawkgroup.com **Recycled content claim third party verified by SCS Global Services Bold, contemporary aesthetics of hardwood and polished concrete gain new versatility in the Hot & Heavy Collection of loose-lay enhanced resilient tile. Secoya explores warm and cool tones of richly grained hardwood visuals in a substantial 9” x 59” plank. Bolder grounds spaces with deep taupes and grays in a polished concrete visual and hefty 36” x 36” tile. The oversize format of both styles provides striking visual impact as well as rapid installation in large, open-concept spaces. FEATURES - Mottled concrete and hardwood visuals create stunning and unique installations - Oversized 36” x 36” tiles and 9”x 59” planks install over large areas quickly - 5mm overall thickness and 20 mil commercial wear layer for superior durability - M-Force™ Ultra Enhanced Urethane finish for stain and wear resistance - Twice as thick as traditional ERT for seamless transition with Mohawk Group carpet tiles - Non-skid backing keeps tiles in place HEATHERED HUES CARPET FIBER Textural Effects’ urban fabric aesthetic is created with Heathered Hues, Mohawk Group’s new high performance color yarn system available in both Duracolor® Tricor and ColorStrand technologies. This highly sustainable, solution dyed fiber creates high styling and vivid color for all market segments, projects and budgets. Heathered Hues fiber is textured and blended in a desirable palette of warm and cool neutrals with vibrant color accents. Heathered yarns provide visual texture and dimension when tufted, allowing for a variegated wool-like appearance for warmth and sophistication. Designed to do more with less, the yarn is dematerialized for a low environmental impact, and no water is used in production. ECOFLEX™ NXT CARPET TILE BACKING EcoFlex™ NXT is a polyolefin carpet tile backing that is up to 40% lighter than similar competitive products, making it easier to install and less expensive to ship. It also incorporates a minimum of 46% pre-consumer/post-industrial recycled content. For full details, visit the technical resources section at mohawkgroup.com Specifications Textural Effects Collection Tactile Infusion, Thematic Thread Carpet Plank DESIGN \| Size \| 12" x 36" (.3048m x .9144m) \| \|-----------------------\|-----------------------------\| \| Surface Appearance \| Textured Patterned Loop \| \| Fiber Type \| Duracolor® Tricor Premium Nylon \| \| Dye Method \| Solution Dyed \| \| Installation Methods \| Tactile Infusion Half-Lap / Plank Half-Lap / Herringbone \| \| \| Thematic Thread Monolithic / Half-Lap / Brick Ashlar / Random / BasketWeave / Plank Half-Lap / Monolithic Stepping / Random / Herringbone \| \| Colors Available \| 9 \| PERFORMANCE \| Construction \| Tufted \| \|-----------------------\|-------------------------------\| \| Gauge \| 1/12" (47.00 rows per 10cm) \| \| Stain Release Technology \| Permanent, Built into the Fiber \| \| GSA Stain Release Rating \| Passes \| \| Soil Release Technology \| EcoSentry Soil Protection \| \| Backing Material \| EcoFlex™ NXT \| \| Flammability \| ASTM E 648 - Class 1 (Glue Down) \| \| Smoke Density \| ASTM E 662 - Less than 450 \| \| Static Propensity \| AATCC - 134 Under 3.5 KV \| SUSTAINABILITY \| Certification \| Living Product Challenge Petal Certified; Declared Red List Free \| \|-----------------------\|------------------------------------------------------------------\| \| Indoor Air Quality \| Green Label Plus Certified #1171 Gold \| SERVICE Warranties Lifetime Limited Carpet Tile Warranty, Lifetime Limited Duracolor Stain Warranty, Lifetime Static Installation Instructions: Mohawk Group warrants its adhesives for the life of the original installation only when a Mohawk Group style (product) is installed. Mohawk’s floor preparation procedures must be followed to ensure that the substrate has been prepared properly. Failure to use Mohawk Group adhesives or to follow Mohawk’s floor preparation procedures will void all lifetime adhesive warranties. Please contact your local Sales Representative for installation guidelines. These patterns may have inherent characteristics which may result in pattern run off and/or pattern appearance variations at the seams or tile edges and/or lighter pattern areas. These characteristics are inherent in the patterns and are not manufacturing defects. Consideration to these characteristics should be given when selecting an installation method. Chair pads are recommended under office chairs with roller casters to preserve appearance retention, act as a deterrent toward delamination and to prevent premature or accelerated wear. Walk-off tiles from the Tuff Stuff II Collection are recommended at entryways to reduce soiling. Mohawk Group is providing this architect folder for the purpose of promoting our commercial business. This folder and its samples shall remain the property of Mohawk Group. Color may vary from dye lot to dye lot. Substitution of material may be made due to improved technology, supply limitations or other factors. The performance of this product is not affected by such variations. For current and complete specifications please visit www.mohawkgroup.com recover 877-3RE-CYCL Produced with recycled materials Mohawk Group 160 South Industrial Blvd. Calhoun, GA 30701 800.854.6637 mohawkgroup.com © 2023 Mohawk Group
CIGNA CLOSE CARE Individual Plan Together, all the way.™ A HEALTH INSURANCE PLAN SPECIFICALLY DESIGNED WITH YOU IN MIND At Cigna, we are always thinking about the needs of our customers. The Cigna Close Care Plan has been specifically designed to meet the needs of individuals who want the reassurance of a trusted global health insurer but don’t require global coverage. If you are planning on relocating to a new country and only need your health care covered in that country, as well as temporary trips home to visit family and friends – this is the plan for you. Perhaps you are a student embarking on a new adventure away from home, or looking to enjoy your retirement in a new country, or; you are embarking on an expatriate work assignment. Rest assured, Cigna will cover you comprehensively when you need us most. What’s more, you have the added comfort of our Out of Area Emergency care benefit which covers you for any unexpected medical needs when you are on a short trip outside your area of coverage. You will also have access to our Global Health Assist Service. This is provided by our Clinical Team who offer you expert help and information through your treatment journey and time with Cigna, ensuring you have clinical guidance and support every step of the way. ## CONTENTS \| Section \| Page \| \|------------------------------------------------------------------------\|------\| \| Why choose the Cigna Close Care Plan \| 4 \| \| Why we are your best choice \| 5 \| \| Our Global Health Assist Service \| 6 \| \| Your Cigna Close Care Plan explained \| 7 \| \| How to create your plan \| 8 \| \| How deductible, cost share and out of pocket maximum work \| 9 \| \| Your benefits explained \| 11 \| \| Secure Online Customer Area \| 23 \| \| What you can expect from us \| 24 \| \| We’re waiting to hear from you \| 25 \| WHY CHOOSE THE CIGNA CLOSE CARE PLAN Our mission Our passion and our mission is to help the people we serve to improve their health, wellbeing, and sense of security. Why choose the Cigna Close Care Plan: ➤ You are looking for health insurance, but do not need worldwide coverage ➤ You only require coverage in your country of residence and when you return home for visits ➤ The quality of your local country’s healthcare system does not meet your standards or needs ➤ You want access to our network of trusted hospitals, physicians and other healthcare professionals, allowing you to visit any hospital, medical practitioner or clinic of your choice in many countries ➤ You would like the flexibility to tailor a cost-effective plan to suit your individual needs ➤ Our Customer Care Team is always available to speak with you day and night, 24/7 with multi-language capabilities ➤ Our Global Health Assist Service which is provided by our expert Clinical team, will offer advice, help and guidance throughout your treatment journey and time with Cigna. Cigna’s experience We’ve provided global health insurance for many years. Today we have over 95 million customer relationships in over 200 countries and jurisdictions. Looking after them is an international workforce of 37,000 people, plus a medical network comprising of over 1 million partnerships, including 180,700 behavioral health care professionals, and 13,900 facilities and clinics. Put your health in the right hands - Decision on your application within 24 hours - Flexibility to tailor a plan to suit your needs - Direct billing with a provider in many cases - Access to a hospital, medical practitioner or clinic of your choice (excluding the USA) - Secure online Customer Area where all of your Policy documents will be stored in a central location “CIGNA IS A GREAT OPTION FOR EXPATS AND STUDENTS ABROAD. THERE’S NOTHING BETTER THAN THE PEACE OF MIND WHICH COMES FROM KNOWING YOU’RE COVERED FOR EMERGENCIES AND WHEN YOU VISIT BACK HOME.” Customer Satisfaction Survey, May 2017. With the Cigna Close Care Plan, you will have access to our dedicated team of doctors and nurses who will work hand in hand with you to provide you with the full medical support you deserve. We are dedicated to helping you live a happier, healthier life with our expert level of clinical expertise. Through this service, our Clinical team will offer you: - Medical network/preferred provider information - Help with arranging your hospital visits and navigating the healthcare system - Detailed coverage information of your Cigna Close Care Plan - Personalised support and Case Management throughout your time with Cigna GUARANTEE OF PAYMENT Our Clinical Team can make your treatment journey even easier by issuing a guarantee of payment prior to receiving treatment. This means that we will agree in advance to pay some or all of the cost of a particular treatment which you are due to receive. Where we have approved a guarantee of payment, we will pay the beneficiary, medical practitioner or clinic the agreed amount on receipt of an appropriate request and a copy of the relevant invoice after the treatment has been provided. This provides you with added security enabling you to gain easier access to treatment. COMPLEX CASE MANAGEMENT As you go through treatment, you can find confidence in the fact that if you require treatment which is more complex, our nurses can take over management of the case and provide you with clinical guidance and reassurance through our complex case management. In addition, you will have a dedicated nurse as your main point of contact throughout your entire treatment, allowing you to concentrate on getting better as we liaise directly with the hospitals, medical practitioners and providers for you. CHRONIC CONDITION SUPPORT What’s more, our Global Health Assist Service works with a proactive and personalised approach to manage chronic health conditions. Our qualified nurses from the Clinical team will immediately contact customers suffering from pre-existing conditions or serious illnesses and confirm a personalised and dedicated point of contact for the customer. Even if you have a pre-existing condition which was evident prior to taking out your Cigna Close Care Plan which is excluded from your policy, we can still offer you guidance, support and information to help you control your condition and maintain a healthy lifestyle. YOUR CIGNA CLOSE CARE PLAN EXPLAINED Area of coverage The Cigna Close Care Plan covers you in your country of habitual residence and your country of nationality. This means you only pay for coverage where you need it most, in the country you will be living in and when you return home for temporary visits. Out of Area Emergency cover For additional peace of mind, when you are visiting a location outwith your area of coverage, the Cigna Close Care Plan includes emergency medical coverage. This is covered on an inpatient or daypatient basis, or outpatient basis (if the Outpatient and Wellness Care option has been purchased under the policy) during temporary trips, even if those trips are outside the area of coverage. Coverage is limited to a maximum period of twenty one (21) days per trip and a maximum of forty five (45) days per period of cover for all trips combined. Condition limit Following the diagnosis of a medical condition, your Cigna Close Care Plan has a condition limit of $250,000/€200,000/£165,000 per beneficiary per policy year. This includes all claims paid in relation to the medical condition. For the avoidance of doubt, this excludes any pre-existing conditions. For full details please refer to the list of benefits on page 11. How to create your plan Creating a comprehensive, tailored plan with Cigna is simple. Your Core cover will cover you comprehensively for inpatient and daypatient treatment. In addition, you can select optional benefits, including Outpatient and Wellness Care and Dental Care and Treatment. This enables you the flexibility to create a health insurance plan that suits your unique needs. As well as this, we offer a wide range of cost shares and deductible options on your Core cover and Outpatient and Wellness Care option, allowing you to tailor a plan to suit your budget. The diagram on the next page shows you how the Cigna Close Care Plan works. 1 YOUR CORE COVER Our core plan covers you for essential hospital stays and treatments, including but not limited to: - Surgeon & consultation fees - Hospital accommodation - Cancer treatment Annual benefits Up to the maximum amount per beneficiary per period of cover $500,000 / €400,000 / £325,000 Your area of cover: > Your country of habitual residence and country of nationality 2 ADD OPTIONAL MODULES Outpatient and Wellness Care Outpatient and Wellness Care covers you more comprehensively for outpatient care and medical emergencies that may arise where a hospital admission as a daypatient or inpatient is not required. As well as this, this option will cover you for consultations with specialists and medical practitioners, prescribed drugs and dressings, physiotherapy and osteopathic and chiropractic treatments. You will also be covered for pre-cancer screenings, and adult physical exams. Dental Care and Treatment Maintain your oral health with the Dental Care and Treatment option. This option covers you for a wide range of preventative, routine and major dental treatments. 3 MANAGE YOUR PREMIUM Choose if you would like to add a deductible or cost share. Please see page 9 for a full description and example of how the deductible and cost share work. the voluntary amount you have chosen to pay that’s not covered by your plan. 4 PAY FOR YOUR PLAN You can choose to pay for your premiums on a monthly, quarterly, or annual basis. You can make payments by debit or credit card, or alternatively if you pay annually, you can pay by bank wire transfer. Our wide range of deductible and cost share options allow you to tailor your plan to suit your needs. You can choose to have a deductible and/or cost share on the Core cover and/or Outpatient and Wellness Care option. You will be responsible for paying the amount of any deductible and cost share directly to the hospital, clinic or medical practitioner. We will let you know what this amount is. If you select both a deductible and a cost share, the amount you will need to pay due to the deductible is calculated before the amount you will need to pay due to the cost share. The out of pocket maximum is the maximum amount of cost share any beneficiary must pay per period of cover. The following examples show how the deductible, cost share and out of pocket maximum work. EXAMPLE 1: DEDUCTIBLE (also known as ‘excess’) This is the amount of money you pay towards your medical expenses per period of cover. \| Claim value: \| $1,200 \| \| Deductible: \| $500 \| \| YOU PAY.. \| WE PAY... \| \|-----------\|-----------\| \| Deductible of $500 \| $700 \| WHAT THIS MEANS FOR YOU... You only pay the deductible amount and we pay the rest. EXAMPLE 2: COST SHARE AND OUT OF POCKET MAXIMUM AFTER DEDUCTIBLE (when your cost share after deductible amount is under the out of pocket maximum) Cost share is the percentage of every claim you will pay. Out of pocket is the maximum amount you would have to pay in cost share per period of cover. \| Claim value: \| $5,000 \| \| Deductible: \| $0 \| \| 20% cost share: \| $1,000 \| \| Out of pocket maximum: \| $2,000 \| \| YOU PAY.. \| WE PAY... \| \|-----------\|-----------\| \| The 20% cost share of $1,000 \| $4,000 \| WHAT THIS MEANS FOR YOU... Your cost share is 20% of $5,000 ($1,000). This is less than your out of pocket maximum, so you pay $1,000 and we cover the rest. Please note: ⚠️ The deductible, cost share after deductible, and out of pocket maximum is determined separately for each beneficiary and each period of cover. EXAMPLE 3: COST SHARE AND OUT OF POCKET MAXIMUM AFTER DEDUCTIBLE (when your cost share after deductible amount is over the out of pocket maximum) Cost share is the percentage of every claim you will pay. Out of pocket is the maximum amount you would have to pay in cost share per period of cover. \| Claim value: \| $20,000 \| \| Deductible: \| $0 \| \| 20% cost share: \| $4,000 \| \| Out of pocket maximum: \| $2,000 \| YOU PAY.. The out of pocket maximum of $2,000 WE PAY... $18,000 WHAT THIS MEANS FOR YOU... Your cost share is 20% of $20,000 ($4,000). This is more than your out of pocket maximum, so you only pay $2,000 and we cover the rest. EXAMPLE 4: DEDUCTIBLE, COST SHARE AND OUT OF POCKET MAXIMUM AFTER DEDUCTIBLE (when your cost share after deductible amount is under the out of pocket maximum) Cost share is the percentage of every claim you will pay. Out of pocket is the maximum amount you would have to pay in cost share per period of cover. \| Claim value: \| $20,000 \| \| Deductible: \| $375 \| \| 20% cost share: \| $3,925 \| \| Out of pocket maximum: \| $5,000 \| YOU PAY.. The deductible of $375 and the cost share of $3,925 WE PAY... $15,700 WHAT THIS MEANS FOR YOU... After you paid your deductible of $375, your cost share is 20% of $19,625 ($3,925). This is not more than your out of pocket maximum, so you pay the $3,925 towards satisfying the out of pocket maximum for the cost share (and the initial $375 deductible that you paid at the outset) and we cover the rest. ⚠️ Please note: The deductible, cost share after deductible, and out of pocket maximum is determined separately for each beneficiary and each period of cover. The Core cover is your essential cover inpatient, daypatient and accommodation costs, as well as cover for cancer, mental health care and much more. All amounts apply per beneficiary and per period of cover (except where otherwise noted). LIST OF BENEFITS INPATIENT AND DAYPATIENT BENEFITS Area of Coverage - The area of coverage is limited to your country of habitual residence and country of nationality. - USA coverage is included if the country of habitual residence is the USA. - USA nationals can choose to purchase USA coverage (if the policyholder does not elect to purchase USA coverage, then beneficiaries do not have coverage on visits home). - USA area of coverage is not permitted if either of the options above do not apply. YOUR OVERALL LIMIT \| Annual benefit - maximum per beneficiary per period of cover. \| \|---------------------------------------------------------------\| \| This includes claims paid across all sections of inpatient and daypatient benefits. \| \| $500,000 \| €400,000 \| £325,000 \| \| Condition limit \| \|-----------------\| \| Up to the maximum amount per period of cover. \| $250,000 \| €200,000 \| £165,000 This is the annual amount we will pay towards all costs of treatment following the diagnosis of a condition. This includes all claims paid across inpatient, daypatient and outpatient in relation to the primary condition. This applies to each beneficiary per period of cover. Important notes - We will only pay up to the maximum amount in aggregate per period of cover as detailed in the list of benefits. - The costs do not include any evacuation or repatriation services. - Any further costs directly related to the medical condition, that exceed the benefit limit, will not be covered by us. - In determining when this limit has been reached, our medical team will take into account and review all of the relevant medical treatment and care received. - We will only pay for outpatient costs if the Outpatient and Wellness Care option has been selected, with the exception of certain benefits which include outpatient treatment as part of your Core cover. Out of area emergency cover Up to the maximum amount per period of cover. $40,000 \| €29,600 \| £26,600 Emergency inpatient, daypatient and outpatient medical treatment during temporary trips outside your country of habitual residence or country of nationality. This is limited to 21 days per trip and a maximum of 45 days per policy year. Emergency outpatient treatment is included up to $2,500/€1,850/£1,650. This is only available if you have selected the Outpatient and Wellness Care option. Please refer to Policy Rules clause 10.6 for terms relating to this overall benefit limit. Hospital charges for: Nursing and accommodation for inpatient and daypatient treatment and recovery room. \| Paid in full for a semi-private room \| \|-------------------------------------\| \| We will pay for nursing care and accommodation whilst a beneficiary is receiving inpatient or daypatient treatment; or the cost of a treatment room while a beneficiary is undergoing outpatient surgery, if one is required. \| \| We will only pay these costs if: \| \| • it is medically necessary for the beneficiary to be treated on an inpatient or daypatient basis; \| \| • they stay in hospital for a medically appropriate period of time; \| \| • the treatment which they receive is provided or managed by a specialist; and \| \| • they stay in a semi-private room with shared bathroom. \| \| If a hospital’s fees vary depending on the type of room which the beneficiary stays in, then the maximum amount which we will pay is the amount which would have been charged if the beneficiary had stayed in a standard semi-private room with shared bathroom or equivalent. \| \| If the treating medical practitioner decides that the beneficiary needs to stay in hospital for a longer period than we have approved in advance, or decides that the treatment which the beneficiary needs is different to that which we have approved in advance, then that medical practitioner must provide us with a report, explaining: how long the beneficiary will need to stay in hospital; the diagnosis (if this has changed); and the treatment which the beneficiary has received, and needs to receive. \| Hospital charges for: - operating theatre. - prescribed medicines, drugs and dressings for inpatient or daypatient treatment. - treatment room fees for outpatient surgery. \| Paid in full \| \|-------------\| \| Operating theatre costs: \| \| We will pay any costs and charges relating to the use of an operating theatre, if the treatment being given is covered under this policy. \| \| Medicines, drugs and dressings: \| \| We will pay for medicines, drugs and dressings which are prescribed for the beneficiary whilst he or she is receiving inpatient or daypatient treatment. \| \| Medicines, drugs and dressings which are prescribed for use at home will be covered under the limits of the prescribed drugs and dressing limit in the Outpatient and Wellness Care benefits (unless they are prescribed as part of cancer treatment). \| Intensive care: - intensive therapy. - coronary care. - high dependency unit. \| Paid in full \| \|-------------\| \| We will pay for a beneficiary to be treated in an intensive care, intensive therapy, coronary care or high dependency facility if: \| \| • that facility is the most appropriate place for them to be treated; \| \| • the care provided by that facility is an essential part of their treatment; and \| \| • the care provided by that facility is routinely required by patients suffering from the same type of illness or injury, or receiving the same type of treatment. \| Surgeons’ and Anaesthetists’ fees \| Paid in full \| \|-------------\| \| We will pay for inpatient, daypatient or outpatient costs for: \| \| • surgeons’ and anaesthetists’ surgery fees; and \| \| • surgeons’ and anaesthetists’ fees in respect of treatment which is needed immediately before or after surgery (i.e. on the same day as the surgery). \| \| We will only pay for outpatient treatments received before or after surgery if the beneficiary has cover under the Outpatient and Wellness Care option (unless the treatment is given as part of cancer treatment). \| ### Specialists’ consultation fees - We will pay for regular visits by a specialist during stays in hospital including intensive care by a specialist for as long as is required by medical necessity. - We will pay for consultations with a specialist during stays in a hospital where the beneficiary: - is being treated on an inpatient or daypatient basis; - is having surgery; or - where the consultation is a medical necessity. ### Kidney Dialysis \| Amount \| Currency \| \|--------\|----------\| \| $5,000 \| €3,700 \| \| £3,325 \| \| - Treatment for kidney dialysis will be covered if such treatment is available in the beneficiary’s country of habitual residence. We will pay for this on an inpatient, daypatient, or outpatient basis. - We will not pay for kidney dialysis treatment outside the beneficiary’s area of coverage unless it is covered under the terms of the out of area emergency cover benefit. ### Pathology, radiology and diagnostic tests (excluding Advanced Medical Imaging) - Where investigations are provided on an inpatient or daypatient basis. - We will pay for: - blood and urine tests; - X-rays; - ultrasound scans; - electrocardiograms (ECG); and - other diagnostic tests; where they are medically necessary and are recommended by a specialist as part of a beneficiary’s hospital stay for inpatient or daypatient treatment. ### Advanced Medical Imaging (MRI, CT and PET scans) \| Amount \| Currency \| \|--------\|----------\| \| $2,500 \| €1,850 \| \| £1,650 \| \| - Up to the maximum amount shown per period of cover. - We will pay for the following scans if they are recommended by a specialist as a part of a beneficiary’s inpatient, daypatient or outpatient treatment: - magnetic resonance imaging (MRI); - computed tomography (CT); and/or - positron emission tomography (PET); - We may require a medical report in advance of a magnetic resonance imaging (MRI) scan. ### Physiotherapy and complementary therapies \| Amount \| Currency \| \|--------\|----------\| \| $2,000 \| €1,480 \| \| £1,330 \| \| - Up to the maximum amount shown per period of cover. - Where treatment is provided on an inpatient or daypatient basis. - We will pay for treatment provided by physiotherapist and complementary therapists; (acupuncturists, homeopaths, and practitioners of Chinese medicine) if these therapies are recommended by a specialist as part of the beneficiary’s hospital stay for inpatient or daypatient treatment (but is not the primary treatment which they are in hospital to receive). Rehabilitation Up to 30 days and the maximum amount shown per period of cover. - We will pay for rehabilitation treatments (physical, occupational and speech therapies), which are recommended by a specialist and are medically necessary after a traumatic event such as a stroke or spinal injury. - If the rehabilitation treatment is required in a residential rehabilitation centre we will pay for accommodation and board for up to 30 days for each separate condition that requires rehabilitation treatment. In determining when the 30 days limit has been reached: - we count each overnight stay during which a beneficiary receives inpatient treatment as 1 day; and - we count each day on which a beneficiary receives outpatient and daypatient treatment as 1 day. Subject to prior approval being obtained, prior to the commencement of any treatment, we will pay for rehabilitation treatment for more than 30 days, if further treatment is medically necessary and is recommended by the treating specialist. Important notes - We will only pay for rehabilitation treatment if it is needed after, or as a result of, treatment which is covered by this policy and it begins within 30 days of the end of that original treatment. - All rehabilitation treatment must be approved by us in advance. We will only approve rehabilitation treatment if the treating specialist provides us with a report, explaining: i) how long the beneficiary will need to stay in hospital; ii) the diagnosis; and iii) the treatment which the beneficiary has received, or needs to receive. Hospice and palliative care Up to the maximum amount shown per lifetime. - If a beneficiary is given a terminal diagnosis, and there is no available treatment which will be effective in aiding recovery, we will pay for hospital or hospice care and accommodation, nursing care, prescribed medicines, and physical and psychological care. Internal prosthetic devices/surgical and medical appliances Up to the maximum amount shown per period of cover. - We will pay for internal prosthetic implants, devices or appliances which are put in place during surgery as part of a beneficiary’s treatment. - A surgical appliance or a medical appliance can mean: - an artificial limb, prosthesis or device which is required for the purpose of or in connection with surgery; - an artificial device or prosthesis which is a necessary part of the treatment immediately following surgery for as long as required by medical necessity; or - a prosthesis or appliance which is medically necessary and is part of the recuperation process on a short-term basis. ### External prosthetic devices/surgical and medical appliances Up to the maximum amount shown per period of cover. - We will pay for external prosthetics, devices or appliances which are necessary as part of a beneficiary’s treatment (subject to the limitations explained below). - We will pay for: - a prosthetic device or appliance which is a necessary part of the treatment immediately following surgery for as long as is required by medical necessity; or - a prosthetic device or appliance which is medical necessary and is part of the recuperation process on a short-term basis. - We will pay for an initial external prosthetic device for beneficiaries aged 18 or over per period of cover. We do not pay for any replacement prosthetic devices for beneficiaries who are aged 18 and over. - We will pay for an initial external prosthetic device and up to 2 replacements for beneficiaries aged 17 or younger per period of cover. - By an external ‘prosthetic device’, we mean an external artificial body part, such as a prosthetic limb or prosthetic hand which is medically necessary as part of treatment immediately following the beneficiary’s surgery or as part of the recuperation process on a short-term basis. ### Local ambulance services Paid in full - Where it is medically necessary, we will pay for a local road ambulance to transport a beneficiary: - from the scene of an accident or injury to a hospital; - from one hospital to another; or - from their home to a hospital. - We will only pay for a local road ambulance where its use relates to treatment which a beneficiary needs to receive in hospital. Where it is medically necessary. - This policy does not provide cover for mountain rescue services. - Cover for a medical evacuation or repatriation is not available. ### Emergency inpatient dental treatment - We will cover dental treatment in hospital after a serious accident, subject to the conditions set out below. - We will pay for emergency dental treatment which is required by a beneficiary while they are in hospital as an inpatient, if that emergency inpatient dental treatment is recommended by the treating medical practitioner because of a dental emergency (but is not the primary treatment which the beneficiary is in hospital to receive). - This benefit is paid instead of any other dental benefits the beneficiary may be entitled to in these circumstances. Treatment for mental health conditions and disorders treatment Up to the maximum amount shown per period of cover. Subject to the limits explained below we will pay for the treatment of mental health conditions and disorders on an inpatient, daypatient or outpatient basis. Important notes - We will not pay for the treatment and diagnosis of addictions (including alcoholism) or any facilities specialised in addictions treatments. - For treatment of mental health conditions and disorders, we will only pay for evidence-based, medically necessary treatment and which is recommended by a medical practitioner. - We will pay for up to a combined maximum total of 60 days of treatment for mental health conditions and disorders in any 1 period of cover, including a maximum of 30 days of inpatient treatment. - We will pay for up to a combined maximum total of 90 days of treatment for mental health conditions and disorders in any 5 year period of cover. For example, if a beneficiary uses 30 days of mental health treatment in 1 period of cover and 60 days of mental health treatment in the following period of cover, we will not pay for any further mental health treatment for the next 3 consecutive years of cover. - In determining when these 30, and 90 day limits have been reached: - we count each overnight stay during which a beneficiary received inpatient treatment as 1 day; and - we count each day on which a beneficiary received outpatient and daypatient treatment as 1 day. - We will not pay for prescription drugs or medication prescribed on an outpatient basis for any of these conditions, unless you have purchased the Outpatient and Wellness Care option. Cancer care Following a diagnosis of cancer, we will pay for costs for the treatment of cancer if the treatment is considered by us to be active treatment and evidence-based treatment. This includes chemotherapy, radiotherapy, oncology, diagnostic tests and drugs, whether the beneficiary is staying in a hospital overnight or receiving treatment as a daypatient or outpatient. We do not pay for genetic cancer screening. Deductible (various) A deductible is the amount which you must pay before any claims are covered by your plan. \| $0 / €0 / £0 \| $375 / €275 / £250 \| $750 / €550 / £500 \| $1,500 / €1,100 / £1,000 \| $3,000 / €2,200 / £2,000 \| $7,500 / €5,500 / £5,000 \| $10,000 / €7,400 / £6,650 \| Cost share after deductible and out of pocket maximum Cost share is the percentage of each claim not covered by your plan. The out of pocket maximum is the maximum amount of cost share you would have to pay in a period of cover. The cost share amount is calculated after the deductible is taken into account. Only amounts you pay related to cost share contribute to the out of pocket maximum. First, choose your cost share percentage: 0% / 10% / 20% / 30% Next, choose your out of pocket maximum: $2,000 or $5,000 €1,480 or €3,700 £1,330 or £3,325 The following pages detail the optional benefits available to add to your Core Cover. You can choose to add any of the optional benefits as you wish, to build a plan that suits your needs. Outpatient and Wellness Care covers you more comprehensively for outpatient care and medical emergencies that may arise where a hospital admission as a daypatient or inpatient is not required. As well as this, this benefit will cover you for consultations with specialists and medical practitioners, prescribed drugs and dressings, physiotherapy and osteopathic and chiropractic treatments. You will also be covered for pre-cancer screenings, and routine adult physical exams. YOUR OVERALL LIMIT \| Annual benefit - maximum per beneficiary per period of cover \| $5,000 €3,700 £3,325 \| \|-------------------------------------------------------------\|---------------------------------------------------------------\| This includes claims paid across all sections of Outpatient and Wellness Care. YOUR STANDARD MEDICAL BENEFITS Consultations with medical practitioners and specialists Up to the maximum amount shown per period of cover. $100/€75/£65 per visit. Up to 8 visits per year. - We will pay for consultations or meetings with a medical practitioner which are necessary to diagnose an illness, or to arrange or receive treatment up to the maximum number of visits shown in the benefit table. - We will pay for non-surgical treatment on an outpatient basis, which is recommended by a specialist as being medically necessary. Pathology, radiology and diagnostic tests (excluding Advanced Medical Imaging) Up to the maximum amount shown per period of cover. $1,000 €740 £665 - We will pay for the following tests where they are medically necessary and are recommended by a specialist as part of a beneficiary’s outpatient treatment: - blood and urine tests; - X-rays; - ultrasound scans; - electrocardiograms (ECG); and - other diagnostic tests (excluding advanced medical imaging). Physiotherapy Up to the maximum amount shown per period of cover. $1,000 €740 £665 - We will pay for physiotherapy treatment on an outpatient basis that is medically necessary and restorative in nature to help you to carry out your normal activities of daily living. The treatment must be carried out by a properly qualified practitioner who holds the appropriate license to practice in the country where the treatment is received. This excludes any sports medicine treatment. - We will require a medical report and treatment plan prior to approval. ### Osteopathy and chiropractic treatment Up to the maximum amount shown per period of cover. - $100/€75/£65 per visit. Up to 8 visits per year. We will pay up to a combined maximum total of 8 visits in any 1 period of cover for osteopathy and chiropractic treatment which is evidence-based treatment, medically necessary and recommended by a treating specialist, if a medical practitioner recommends the treatment and provides a referral. The treatment must be carried out by a properly qualified practitioner who holds the appropriate license to practice in the country where the treatment is received. This excludes any sports medicine treatment. We will require a medical report and treatment plan prior to approval. ### Acupuncture, Homeopathy and Chinese medicine Up to a combined maximum of 15 visits per period of cover. - $100/€75/£65 per visit. Up to 15 visits per year. We will pay for a combined maximum total of 15 consultations with acupuncturist, homeopaths and practitioners of Chinese medicine for each beneficiary in any 1 period of cover, if those treatments are recommended by a medical practitioner. The treatment must be carried out by a properly qualified practitioner who holds the appropriate license to practice in the country where the treatment is received. We will require a medical report and treatment plan prior to approval. ### Prescribed drugs and dressings Up to the maximum amount shown per period of cover. - $500 €370 £330 We will pay for prescription drugs and dressings which are prescribed by a medical practitioner on an outpatient basis. ### Rental of durable equipment Up to the maximum of 45 days per period of cover. - $1,500 €1,100 £1,000 We will pay for the rental of durable medical equipment for up to 45 days per period of cover, if the use of that equipment is recommended by a specialist in order to support the beneficiary’s treatment. We will only pay for the rental of durable medical equipment which: - is not disposable, and is capable of being used more than once; - serves a medical purpose; - is fit for use in the home; and - is of a type only normally used by a person who is suffering from the effect of a disease, illness or injury. ### Adult vaccinations Up to the maximum amount shown per period of cover. - $250 €185 £165 We will pay for certain vaccinations and immunisations that are clinically appropriate, namely: - Influenza (flu); - Tetanus (once every 10 years); - Hepatitis A; - Hepatitis B; - Meningitis; - Rabies; - Cholera; - Yellow Fever; - Japanese Encephalitis; - Polio booster; - Typhoid; and - Malaria (in tablet form, either daily or weekly). ### Dental accidents Up to the maximum amount shown per period of cover. - If a beneficiary needs dental treatment as a result of injuries which they have suffered in an accident, we will pay for outpatient dental treatment for any sound natural tooth/teeth damaged or affected by the accident, provided the treatment commences immediately after the accident and is completed within 30 days of the date of the accident. - In order to approve this treatment, we will require confirmation from the beneficiary’s treating dentist of: - the date of the accident; and - the fact that the tooth/teeth which are the subject of the proposed treatment are sound natural tooth/teeth. - We will pay for this treatment instead of any other dental treatment the beneficiary may be entitled to under this policy, when they need treatment following accidental damage to a tooth or teeth. - We will not pay for the repair or provision of dental implants, crowns or dentures under this part of this policy. ### Well child tests $1,000 €740 £665 - Payable for children at appropriate age intervals up to the age of 6. - We will pay for well child routine tests at any of the appropriate age intervals (birth, 2 months, 4 months, 6 months, 9 months, 12 months, 15 months, 18 months, 2 years, 3 years, 4 years, 5 years and 6 years) and for a medical practitioner to provide preventative care consisting of: - evaluating medical history; - physical examinations; - development assessment; - anticipatory guidance; and - appropriate immunisations and laboratory tests; for children aged 6 or younger. - We will pay for 1 visit to a medical practitioner at each of the appropriate age intervals (up to a total of 13 visits for each child) for the purposes of receiving preventative care services. - In addition, we will pay for: - 1 school entry health check, to assess growth, hearing and vision, for each child aged 6 or younger; and - diabetic retinopathy screening for children over the age of 12 who have diabetes. ### Child immunisations $1,000 €740 £665 - We will pay for the following vaccinations and immunisations as appropriate, for children aged 17 or younger: - DPT (Diphtheria, Pertussis and Tetanus); - MMR (Measles, Mumps and Rubella); - HIB (Haemophilus influenza type b); - Polio; - Influenza; - Hepatitis B; - Meningitis; and - Human Papilloma Virus (HPV). ### Annual eye and hearing test for children aged 15 and younger Paid in full - We will pay for the following routine tests for children aged 15 or younger: - 1 eye test; and - 1 hearing test. ### Routine adult physical examination Up to the maximum amount shown per period of cover. - We will pay for 1 routine adult physical examination (including but not limited to: height, weight, bloods, urinalysis, blood pressure, lung function etc.) for persons aged 18 or older. ### Pap smear Up to the combined maximum amount shown per period of cover. - We will pay for 1 papanicolaou test (pap smear) for female beneficiaries. ### Prostate cancer screening Up to the combined maximum amount shown per period of cover. - We will pay for 1 prostate examination (prostate specific antigen (PSA) test) for male beneficiaries aged 50 or over. ### Mammograms for breast cancer screening Up to the combined maximum amount shown per period of cover. - We will pay for: - Aged 35-39: 1 baseline mammogram for asymptomatic women. - Aged 40-49: 1 mammogram for asymptomatic women every 2 years. - Aged 50 or older: 1 mammogram each year. ### Bowel cancer screening Up to the combined maximum amount shown per period of cover. - We will pay for 1 bowel cancer screening for beneficiaries aged 55 or older. ### Bone densitometry Up to the combined maximum amount shown per period of cover. - We will pay for 1 scan to determine the density of the beneficiaries bones. ### Deductible (various) A deductible is the amount which you must pay before any claims are covered by your plan. \| Amount \| $0 / $150 / $500 / $1,000 / $1,500 \| \|--------\|----------------------------------\| \| \| €0 / €110 / €370 / €700 / €1,100 \| \| \| £0 / £100 / £335 / £600 / £1,000 \| ### Cost share after deductible and out of pocket maximum Cost share is the percentage of each claim not covered by your plan. The out of pocket maximum is the maximum amount of cost share you would have to pay in a period of cover. The cost share amount is calculated after the deductible is taken into account. Only amounts you pay related to cost share contribute to the out of pocket maximum. First, choose your cost share percentage: - 0% / 10% / 20% / 30% Next, choose your out of pocket maximum: - $3,000 - €2,200 - £2,000 Maintain your oral health with the Dental Care and Treatment option. This option covers you for a wide range of preventative, routine and major dental treatments. YOUR OVERALL LIMIT \| Annual benefit - maximum per beneficiary per period of cover. \| $750 €550 £500 \| \|---------------------------------------------------------------\|------------------\| YOUR STANDARD DENTAL BENEFITS Preventative dental treatment After the beneficiary has been covered on this option for 3 months. - We will pay for the following preventative dental treatment recommended by a dentist after a beneficiary has had Dental Care and Treatment cover for at least 3 months: - 2 dental check-ups per period of cover; - X-rays, including bitewing, single view, and orthopantomogram (OPG); - scaling and polishing including topical fluoride application when necessary (2 per period of cover); - 1 mouth guard per period of cover; - 1 night guard per period of cover; and - fissure sealant. Routine dental treatment After the beneficiary has been covered on this option for 3 months. - We will pay treatment costs for the following routine dental treatment after the beneficiary has had Dental Care and Treatment cover for at least 3 months (if that treatment is necessary for continued oral health and is recommended by a dentist): - root canal treatment; - extractions; - surgical procedures; - occasional treatment; - anaesthetics; and - periodontal treatment. Major restorative dental treatment After the beneficiary has been covered on this option for 12 months. - We will pay treatment costs for the following major restorative dental treatments after the beneficiary has had Dental Care and Treatment cover for at least 12 months: - dentures (acrylic/synthetic, metal and metal/acrylic); - crowns; - inlays; and - placement of dental implants. - If a beneficiary needs major restorative dental treatment before they have had the Dental Care and Treatment option for 12 months, we will pay 50% of the treatment costs. SECURE ONLINE CUSTOMER AREA As a Cigna customer you will have access to a wealth of information wherever you are in the world through your secure online Customer Area. Here you will be able to effectively manage your policy including; - View your policy documentation, including your Certificate of Insurance and Cigna ID cards for all the beneficiaries covered under your plan - Check the policy rules that apply to your policy - Check your coverage for you and your beneficiaries - Submit claims online - Search for healthcare facilities and professionals near your location - View our quarterly customer magazine In addition to your Cigna Close Care Plan, there are a few more things you might like to know about us and the service you can expect as a customer of Cigna. Comprehensive welcome pack Once you have joined Cigna, we will send your policy documents electronically within twenty four (24) hours. Your policy documents are all available in your secure online Customer Area. Please read through all your policy documents when you receive them and make sure you check the details of your policy on the certificate of insurance. You will need to show your Cigna ID card when you require treatment so your doctor knows who you are (it’s not used for payment). It also has all the contact numbers you’ll need. You can view and print your Cigna ID card in your secure online Customer Area. Getting treatment Prior approval should be obtained from us for all treatment. This will help ensure your claims are covered under the policy. Our Customer Care Team will help you find a high quality hospital or doctor near you. Wherever possible, we will pay them directly, saving you the inconvenience of paying for your treatment yourself and claiming a refund later. On the rare occasion you do pay for treatment yourself, we’ll aim to process your claim within five (5) working days after receiving all necessary documentation. The Customer Guide in your welcome pack will tell you everything you need to know about getting treatment and making a claim. --- Your policy documents include the following: - Customer Guide How your plan works and your guide to the benefits. - Policy Rules The terms and conditions, general exclusions and definitions of your policy in one handy booklet. - Certificate of Insurance A record of the plan you chose, the premium and what and who it covers. - ID Card Proof of your identity and cover for when you need treatment. Important note: This document serves only as a reference and does not form part of a legal contract. The information herein is believed accurate as of the date of publication and is subject to change. This material is intended for informational purposes only and contains a partial and general description of benefits. We recommend that you examine your (product) policy in detail to be certain of precise terms, conditions and coverage. Coverage and benefits are available except where prohibited by applicable law. “Cigna” and the “Tree of Life” logo are registered service marks of Cigna Intellectual Property, Inc., licensed for use by Cigna Corporation and its operating subsidiaries. All products and services are provided by or through such operating subsidiaries, and not by Cigna Corporation. Such operating subsidiaries include Cigna Life Insurance Company of Europe S.A.–N.V., Cigna Europe Insurance Company S.A.–N.V. and Cigna Worldwide General Insurance Company Limited. © 2017 Cigna Cigna Close Care Plan Sales Brochure Broker 07/2017
BST BioScience Trends Volume 8, Number 4 August, 2014 www.biosciencetrends.com BioScience Trends is one of a series of peer-reviewed journals of the International Research and Cooperation Association for Bio & Socio-Sciences Advancement (IRCA-BSSA) Group and is published bimonthly by the International Advancement Center for Medicine & Health Research Co., Ltd. (IACMHR Co., Ltd.) and supported by the IRCA-BSSA and Shandong University China-Japan Cooperation Center for Drug Discovery & Screening (SDU-DDSC). BioScience Trends devotes to publishing the latest and most exciting advances in scientific research. Articles cover fields of life science such as biochemistry, molecular biology, clinical research, public health, medical care system, and social science in order to encourage cooperation and exchange among scientists and clinical researchers. BioScience Trends publishes Original Articles, Brief Reports, Reviews, Policy Forum articles, Case Reports, News, and Letters on all aspects of the field of life science. All contributions should seek to promote international collaboration. Editorial Board Editor-in-Chief: Masatoshi MAKUUCHI Japanese Red Cross Medical Center, Tokyo, Japan Co-Editors-in-Chief: Xue-Tao CAO Chinese Academy of Medical Sciences, Beijing, China Rajendra PRASAD University of Delhi, Delhi, India Arthur D. RIGGS Beckman Research Institute of the City of Hope, Duarte, CA, USA Chief Director & Executive Editor: Wei TANG The University of Tokyo, Tokyo, Japan Managing Editor: Munehiro NAKATA Tokai University, Hiratsuka, Japan Senior Editors: Xunjia CHENG Fudan University, Shanghai, China Yoko FUJITA-YAMAGUCHI Tokai University, Hiratsuka, Japan Nia HE Fudan University, Shanghai, China Kiyoshi KITAMURA The University of Tokyo, Tokyo, Japan Misao MATSUSHITA Tokai University, Hiratsuka, Japan Takashi SEKINE The University of Tokyo, Tokyo, Japan Yasuhiro SUGAWARA The University of Tokyo, Tokyo, Japan Web Editor: Yu CHEN The University of Tokyo, Tokyo, Japan Proofreaders: Curtis BENTLEY Roswell, GA, USA Christopher HOLMES The University of Tokyo, Tokyo, Japan Thomas R. LEBON Los Angeles Trade Technical College, Los Angeles, CA, USA Editorial Office Pearl City Koishikawa 603, 2-4-5 Kasuga, Bunkyo-ku, Tokyo 112-0003, Japan Tel: +81-3-5840-8764 Fax: +81-3-5840-8765 E-mail: email@example.com Editorial Board Members Girdhar G. AGARWAL (Lucknow, India) Takahiro HIGASHI (Tokyo, Japan) Mark MEUTH (Sheffield, UK) Koji TANAKA (Tsu, Japan) Hirotugu AIGA (Geneva, Switzerland) De-Xing HOU (Kagoshima, Japan) Satoko NAGATA (Tokyo, Japan) John TERMINI (Duarte, CA, USA) Hidechika AKASHI (Tokyo, Japan) Sheng-Tao HOU (Ottawa, Canada) Miho OBA (Odawara, Japan) Usa C. THISYAKORN (Bangkok, Thailand) Moazzam ALI (Geneva, Switzerland) Yong HUANG (Ji'ning, China) Xianjun QU (Ji'nan, China) Toshihumi TSUKAHARA (Nomi, Japan) Ping AO (Shanghai, China) Hirofumi INAGAKI (Tokyo, Japan) John J. ROSSI (Duarte, CA, USA) Kohjiro UEKI (Tokyo, Japan) Hisao ASAMURA (Tokyo, Japan) Masamine JIMBA (Tokyo, Japan) Carlos SAINZ-FERNANDEZ (Santander, Spain) Masahiro UMEZAKI (Tokyo, Japan) Michael E. BARISH (Duarte, CA, USA) Kimitaka KAGA (Tokyo, Japan) Yoshihiro SAKAMOTO (Tokyo, Japan) Junming WANG (Jackson, MS, USA) Boon-Huat BAY (Singapore, Singapore) Ichiro KAI (Tokyo, Japan) Erin SATO (Shizuoka, Japan) Ling WANG (Shanghai, China) Yasunasa BESSHO (Nara, Japan) Kazuhiro KAKIMOTO (Osaka, Japan) Takehito SATO (Isehara, Japan) Xiang-Dong Wang (Boston, MA, USA) Generoso BEVILACQUA (Pisa, Italy) Kiyoko KAMIBEPPU (Tokyo, Japan) Akihito SHIMAZU (Tokyo, Japan) Hisashi WATANABE (Tokyo, Japan) Shiuan CHEN (Duarte, CA, USA) Haidong KAN (Shanghai, China) Zhifeng SHAO (Shanghai, China) Lingzhong XU (Ji'nan, China) Yuan CHEN (Duarte, CA, USA) Bok-Luel LEE (Busan, Korea) Ri SHO (Yamagata, Japan) Masatake YAMAUCHI (Chiba, Japan) Naoshi DOHMAE (Wake, Japan) Mingjie LI (St. Louis, MO, USA) Judith SINGER-SAM (Duarte, CA, USA) Aitian YIN (Ji'nan, China) Zhen FAN (Houston, TX, USA) Shixue LI (Ji'nan, China) Raj K. SINGH (Dehradun, India) George W-C. YIP (Singapore, Singapore) Ding-Zhi FANG (Chengdu, China) Ren-Jang LIN (Duarte, CA, USA) Junko SUGAMA (Kanazawa, Japan) Xue-Jie YU (Galveston, TX, USA) Yoshiharu FUKUDA (Ube, Japan) Daru LU (Shanghai, China) Hiroshi TACHIBANA (Isehara, Japan) Benny C-Y ZEE (Hong Kong, China) Rajiv GARG (Lucknow, India) Hongzhou LU (Shanghai, China) Tomoko TAKAMURA (Tokyo, Japan) Yong ZENG (Chengdu, China) Ravindra K. GARG (Lucknow, India) Duan MA (Shanghai, China) Tadatoshi TAKAYAMA (Tokyo, Japan) Xiaomei ZHU (Seattle, WA, USA) Makoto GOTO (Tokyo, Japan) Francesco MAROTTA (Milano, Italy) Shin'ichi TAKEDA (Tokyo, Japan) (as of August 2014) Demin HAN (Beijing, China) Yutaka MATSUYAMA (Tokyo, Japan) Sumihito TAMURA (Tokyo, Japan) David M. HELFMAN (Daejeon, Korea) Qingyue MENG (Beijing, China) Puay Hoon TAN (Singapore, Singapore) Review 192 - 201 Semantic Web technologies for the big data in life sciences. Hongyan Wu, Atsuko Yamaguchi Brief Report 202 - 205 A novel EGFP-expressing nude mice with complete loss of lymphocytes and NK cells to study tumor-host interactions. Kumiko Gotoh, Ryusho Kariya, Kouki Matsuda, Shinichiro Hattori, Kulthida Vaeteewoottacharn, Seiji Okada Original Articles 206 - 211 Pathological changes in primary cilia: A novel mechanism of graft cholangiopathy caused by prolonged cold preservation in a rat model of orthotopic liver transplantation. Hongwei Lu, Jiahong Dong, Yafei Zhang, Chonghui Li, Qiang Yu, Wei Tang 212 - 216 Migration of breast cancer cells into reconstituted type I collagen gels assessed via a combination of frozen sectioning and azan staining. Kyohei Fukuda, Yo Kamoshida, Taisuke Kurokawa, Mioto Yoshida, Yoko Fujita-Yamaguchi, Munehiro Nakata 217 - 226 Ferulic acid combined with astragaloside IV protects against vascular endothelial dysfunction in diabetic rats. Yonghui Yin, Fanghua Qi, Zhenhua Song, Bo Zhang, Jialin Teng 227 - 234 A simple, rapid, economical, and practical method for the determination of efavirenz in plasma of Chinese AIDS patients by reverse phase high-performance liquid chromatography with ultraviolet detector. Kang Yin, Xianmin Meng, Ping Dong, Tianran Ding, Li Shen, Li Zhang, Renfang Zhang, Weimin Cai, Hongzhou Lu Case Report 235 - 239 A case of advanced lung cancer with malignant pericardial effusion treated by intrapericardial Cinobufacini injection instillation. Tao Sun, Yuhua Zhang, Yang Shen, Kaiwen Hu, Minghuan Zuo Letter 240 - 241 Japan’s emerging challenge for child abuse: System coordination for early prevention of child abuse is needed Kenzo Takahashi, Hideyuki Kanda, Nagisa Sugaya Guide for Authors Copyright Semantic Web technologies for the big data in life sciences Hongyan Wu, Atsuko Yamaguchi Database Center for Life Science, Research Organization of Information and Systems, Japan. Summary The life sciences field is entering an era of big data with the breakthroughs of science and technology. More and more big data-related projects and activities are being performed in the world. Life sciences data generated by new technologies are continuing to grow in not only size but also variety and complexity, with great speed. To ensure that big data has a major influence in the life sciences, comprehensive data analysis across multiple data sources and even across disciplines is indispensable. The increasing volume of data and the heterogeneous, complex varieties of data are two principal issues mainly discussed in life science informatics. The ever-evolving next-generation Web, characterized as the Semantic Web, is an extension of the current Web, aiming to provide information for not only humans but also computers to semantically process large-scale data. The paper presents a survey of big data in life sciences, big data related projects and Semantic Web technologies. The paper introduces the main Semantic Web technologies and their current situation, and provides a detailed analysis of how Semantic Web technologies address the heterogeneous variety of life sciences big data. The paper helps to understand the role of Semantic Web technologies in the big data era and how they provide a promising solution for the big data in life sciences. Keywords: Big data, Semantic Web technologies, life-science databases 1. Introduction Data deluge in the life sciences The life sciences field is entering an era of big data with the breakthroughs of science and technology. Moore's law shows that computers double in speed and halve in size every 18 months (1). A similar trend is observed for hard disks (2) and networks (3). The exponential growth of scientific instruments has resulted in an exponentially growing amount of scientific data (4). Until recent years, Moore's law kept outpacing the generation of biological sequence data by its growth in storage and processing capacity. This trend has remained true for approximately 40 years and was not broken until the completion of the Human Genome Project in 2003. From 2005, the sequencing output doubling rate decreased to 5 months because of the development of Next-Generation Sequencing technologies (NGS) (5). Since 2008, genomics data are outpacing Moore's Law by a factor of 4 (6). The 1,000 Genomes Project (7), which involves sequencing and cataloging human genetic variations, has deposited 2 times more raw data into GenBank (http://www.ncbi.nlm.nih.gov/genbank/) at National Center for Biotechnology Information (NCBI) during its first 6 months than all the previous sequences deposited in the last 30 years (5). In the last five years, more scientific data have been generated than in the entire history of mankind (8). Figure 1 illustrates the GenBank and Whole Genome Shotgun (WGS) statistics up to February 2014. Human DNA comprises approximately 3 billion base pairs with a personal genome representing approximately 100 gigabyte (GB) of data (6). Two nanopore sequencing platforms (GridION™ and MinION™) (9), reported in February 2012, are capable of delivering ultra-long sequencing reads (~100 kb) with additionally higher throughput and much lower cost. Sequencing a human genome has decreased in cost from $10,000 in 2007 to $1,000 in 2012 (10) and is likely to drop below $100 per genome in the next decade (11). In the third decade of the 21st century, it has been estimated that 1 billion people will be sequenced and that approximately 3,000 petabyte (PB) (1 PB is approximately equivalent to $10^6$ GB) of storage will be needed. Grossman et al. predicated that... we would be in an era of ubiquitous sequencing within a few years, in which genome sequencing would become routine for both research and clinical applications (11). Many other kinds of life science big data are being produced at high speed as well as genomics data. Functional magnetic resonance imaging or functional MRI (fMRI) is a functional neuroimaging procedure using MRI technology that measures brain activity by detecting associated changes in blood flow. This technique generates complex data sets: ~100,000 locations, measured simultaneously hundreds of times, resulting in billions of pairwise relations, collected in multiple experimental conditions, and from dozens of participants per study (12). Other data, including Computerized Tomography (CT) Scan data, epidemic data, Electronic Health Records (EHR) system data, patient behavior and sentiment data etc., are also being generated and gathered at a fast pace. Big data-related projects and activities More and more big data-related projects and activities are being performed in the world. The Genome 10K project ([http://www.genome10k.org](http://www.genome10k.org)) aims to assemble a genomic zoo, which will be a collection of DNA sequences representing the genomes of 10,000 vertebrate species, approximately one for every vertebrate genus. The 1001 Genomes Project ([http://www.1001genomes.org](http://www.1001genomes.org)), launched at the beginning of 2008, has the goal of discovering the whole-genome sequence variation in 1,001 strains of the reference plant Arabidopsis thaliana. The 1K Insect Transcriptome Evolution (1KITE) Project ([http://www.1kite.org](http://www.1kite.org)) aims to study the transcriptomes of more than 1,000 insect species encompassing all recognized insect orders. The ENCyclopedia of DNA Elements (ENCODE) project ([http://www.genome.gov/10005107](http://www.genome.gov/10005107)) aims to identify all functional elements in the human genome sequence. ENCODE generated more than 15 terabyte (TB) of raw data, and the data analysis consumed the equivalent of more than 300 years of computing time. The Cancer Genome Atlas (TCGA) ([http://cancergenome.nih.gov/](http://cancergenome.nih.gov/)) began as a three-year pilot in 2006 with an investment of $50 million each from the National Cancer Institute (NCI) and National Human Genome Research Institute (NHGRI), confirming that an atlas of changes could be created for specific cancer types. The European life-science infrastructure for biological information (ELIXIR) ([http://www.elixir-europe.org/](http://www.elixir-europe.org/)) unites Europe's leading life science organizations in managing and safeguarding the massive amounts of data being generated every day by publicly funded research. ELIXIR aims to provide the facilities necessary for life science researchers, from bench biologists to cheminformaticians, to make the most of the rapidly growing store of information about living systems. Tohoku University Tohoku Medical Megabank Organization ([http://www.megabank.tohoku.ac.jp/english/](http://www.megabank.tohoku.ac.jp/english/)) was founded to establish an advanced medical system to foster the reconstruction from the Great East Japan Earthquake. The organization will develop a biobank that combines medical and genome information during the process of rebuilding the community medical system and supporting health and welfare in the Tohoku area. Approximately 60 PB of data representing 1.5 million genomic and medical pieces of information is predicted to be acquired. In China, Beijing Genomics Institute (BGI) and their publishing partner BioMed Central, a leader in scientific data sharing, announced the launch of a new journal, GigaScience, which publishes large-scale biological research in a unique format ([http://www.genomics.cn/en/news/show_news?nid=99134](http://www.genomics.cn/en/news/show_news?nid=99134)). Big data issues Life sciences data are continuing to grow in not only size but also variety and complexity with great speed. The role of genome sequencing in the life sciences is the tip of the iceberg. To investigate the complex systematic effects of drugs and other chemical compounds on biological systems and to validate a hypothesis in drug discovery, we require the data on diseases, compounds, genes, targets, side effects, and metabolic pathways, as well as from the clinic and other sources (13). These data reside in a number of different data sources, such as GenBank (14), Genome Sequence DataBase (GSDB) (15), SWISS-PROT (16), European Molecular Biology Laboratory (EMBL), Online Mendelian Inheritance in Man (OMIM) (17), and many others (18). Data sources can store different data types in different formats (19); for example, flat file (e.g., tab-delimited file), sequence file (e.g., FASTA), structure file... (e.g., Protein Structure File (PSF)), Extensible Markup Language (XML) file (e.g., KGML–Kyoto Encyclopedia of Genes and Genomes (KEGG) Markup Language for describing graph objects), and database management systems (DBMSs). Even for the same data type, data formats in different sources are often incompatible. In addition, new data formats are being invented along with the development of new technologies (20), such as Sequence Alignment/MAP (SAM) (21) and Genome Variation Format (GVF) (22). To ensure that big data has a major influence in the life sciences, comprehensive data analysis across multiple data sources and even across disciplines is indispensable. For example, research on the neurodegenerative disease Alzheimer's disease (AD) spans the disciplines of psychiatry, neurology, microscopic anatomy, neuronal physiology, biochemistry, genetics, molecular biology, and bioinformatics (23). A series of combination and integration problems such as data, terminologies, knowledge, and service integration must be solved first (24). Eliminating the inconsistency of data and terms as well as finding and meaningfully combining information in the vast majority of data all require knowing the exact semantics of the data (25). The increasing volume of data generated by new technologies at an unprecedented rate and the heterogeneous complex varieties of data are two principal issues mainly discussed in life science informatics (26). In the remainder of this paper, we provide insight into how the Semantic Web technologies address the heterogeneous variety of life sciences big data. We also present a survey of the state-of-the-art development of every technology and some related projects. Finally, we summarize the challenges and problems that we have to face now and in the future. 2. Semantic Web technologies The ever-evolving next-generation Web, characterized as the Semantic Web (27), is an extension of the current Web, aiming to provide information for not only humans but also computers to semantically process data. Berners-Lee et al. (27) believed that this form of Web content that was meaningful to computers would unleash a revolution of new possibilities. The following introduces a series of the Semantic Web technologies. 2.1. Resource Description Framework (RDF) The RDF (28) is a model for representing information about resources on the World Wide Web. The RDF model identifies items with Web identifiers (called Uniform Resource Identifiers, or URIs) and encodes data in the form of subject, predicate, and object (with the whole usually referred to as a "triple"). The subject is a URI or blank node. The object is a URI or string literal. The predicate specifies the relationship between the subject and object and is also represented by a URI. For example, in the KEGG database the breast cancer gene hsa:675 encodes the Homo sapiens protein with the number 119395734 in NCBI Protein database. This gene is the same as gene ENSG00000139618 in Ensemble database. This could be expressed as two triples: "<hsa:675> <encodes> <protein:119395734>". "<hsa:675> <owl:sameAs> <ENSG00000139618>". The relationship among these three resources: hsa:675, protein:119395734, and ENSG00000139618, in three databases is established. Similar to how any document expressed in HyperText Markup Language (HTML) can be linked to any other document expressed in HTML, the information expressed in RDF can be connected to any other information expressed in RDF (26). However, with respect to HTML, a linked resource must be a whole document, whereas with RDF, any information defined as a resource can be linked together. RDF is expressive with the simple triple format. The Semantic Web integrates not only resources that are themselves built or represented using RDF but also those resources that can be mapped to RDF (29). 2.2. SPARQL Protocol and RDF Query Language (SPARQL) SPARQL is an RDF query language (30). A SPARQL endpoint is a conformant SPARQL protocol service as defined in the SPROT (SPARQL Protocol for RDF) specification. A SPARQL endpoint enables users (human or other) to query a knowledge base via the SPARQL language. SPARQL 1.1 specification, produced by the SPARQL Working Group on 21 March 2013, defines the syntax and semantics of the SERVICE extension, which allows a query author to direct a portion of a query to a particular SPARQL endpoint. The results are returned to the federated query processor and are combined with results from the rest of the query (31). The growing number of SPARQL query services offer data consumers an opportunity to merge data distributed across the Web. However, SPARQL query is still in its infancy, and its service provider tends to change its endpoint in the development stage. The site (32) monitors the availability of some SPARQL endpoints. Table 1 summarizes the main current available SPARQL endpoints in the life sciences. 2.3. Ontology Semantic heterogeneities arise at the entry level where different terms are used for the same things or the same terms are used for different things. Ontology describes the types of entities in the world and how they are related. The RDF model enables a link between two resources. Ontology strengthens and implements the link by specifying the semantics of terminology systems in a well-defined and unambiguous manner (33, Table 1. List of some available biomedical SPARQL endpoints - Allie: http://allie.dbcls.jp/ - Bio2RDF: - HGNC: http://hgnc.bio2rdf.org/sparql - GO: http://go.bio2rdf.org/sparql - PharmGKB: http://cui.pharmgkb.bio2rdf.org/sparql - Pubmed: http://pubmed.bio2rdf.org/sparql - BioGateway: http://www.semantic-systems-biology.org/biogateway/querying - Cell Cycle Ontology: http://www.semantic-systems-biology.org/cco/queryingeco/sparql - HDP: http://healthdata.tw.rpi.edu/sparql - Linked Food: http://www.linkedfood.org:8890/sparql/ - Linked Life Data: http://linkedlifedata.com/sparql - myExperiment: http://rdf.myexperiment.org/sparql - NCBO: http://sparql.bioontology.org/ - Neuroscience Information Framework: http://rdf-stage.neuinfo.org/ - The EBI RDF platform: - BioModels: http://www.ebi.ac.uk/rdf/services/biomodels/sparql - BioSamples: http://www.ebi.ac.uk/rdf/services/biosamples/sparql - ChEMBL: http://www.ebi.ac.uk/rdf/services/chembl/sparql - Expression Atlas: http://www.ebi.ac.uk/rdf/services/atlas/sparql - Reactome: http://www.ebi.ac.uk/rdf/services/reactome/sparql - UniProt: http://beta.sparql.uniprot.org/ 34). Ontology provides a shared understanding of data, services and processes and has thus far played a role in the semantic integration of databases (35). The OWL Web Ontology Language (OWL) (36) is designed for use by applications that need to process the content of information instead of just presenting information to humans. By providing additional vocabulary along with formal semantics, OWL facilitates a greater machine interpretability of Web content than that supported by XML and RDF. Consider the following simple example (37): (i) frog and Amphibian are two classes, and both have an is-a property; (ii) there is a restriction in which Frog is a subclass of Amphibian; and (iii) Herry is one example of a Frog class. We can simplify the model as "<Frog> <rdfs:subClassOf> <Amphibian>" and "<Herry> <is-a> <Frog>", and then we can infer that "<Herry> <is-a> <Amphibian>". By including descriptions of classes, properties and their examples, the OWL formal semantics specifies how to derive its logical consequences, i.e., facts not literally present in the ontology but entailed by the semantics. These entailments may be based on a single document or multiple distributed documents that have been combined using defined OWL mechanisms (http://www.w3.org/TR/owl-guide/). In this way, RDF enables the data publisher to explicitly state the nature of the connection (38). In contrast, HTML links typically only indicate that two documents are related in some way without showing the nature of the relationship. Together with RDF Schema (39), which provides a data-modeling vocabulary for RDF data, OWL offers a standard, machine-processable means of describing relationships between RDF statements, e.g., that one property is an rdfs:subPropertyOf of another. The life sciences are flourishing with ontologies to enable the data in distributed sources to be shared and analyzed. The Open Biological and Biomedical Ontologies (OBO) Foundry (http://www.obofoundry.org/) is a collaborative experiment involving developers of science-based ontologies who are establishing a set of principles for ontology development, with the goal of creating a suite of orthogonal interoperable reference ontologies in the biomedical domain. The ontologies developed by them include biological process, cellular component, chemical entities of biological interest, molecular function ontology and so on. The Ontology Working Group of the Health Care and Life Sciences (HCLS) is to facilitate creation, evaluation and maintenance of "core vocabularies and ontologies to support cross-community data integration and collaborative efforts". The Gene Ontology (GO) project (http://www.geneontology.org/) is a collaborative effort of Gene Ontology Consortium, to address the need for consistent descriptions of gene products in different databases. The Micro Array Gene Expression Data (MGED) Ontology (40) describes Microarray data and experiments. Biological Pathway Exchange (BioPAX) is an ontology for biological pathway data. National Center for Biomedical Ontology's (NCBO) BioPortal (https://bioportal.bioontology.org/) contains URLs for concepts from almost 300 biomedical ontologies and reference terminologies. BioPortal is a convenient tool that can be used to identify public ontologies that best map to the entities in biomedical and clinical data sets. Ontobee (http://www.ontobee.org/) aims to facilitate ontology data sharing, visualization, query, integration, and analysis. Several web services have been developed to efficiently use the existing ontologies. The Ontology Lookup Service (OLS, http://www.ebi.ac.uk/ontology-lookup/) provides a web service interface to query multiple ontologies from a single location with a unified output format. To support ontology production based on existing resources, the OntoFinder/OntoFactory system (http://ontofinder.dbcls.jp/) aims to provide non-computer experts with an easy interface to assist ontology selection and term selection from BioPortal, until a user produces his/her seed ontology. Ontologies have been widely applied and play an important role in the life science field. Gene Set Enrichment Analysis (GSEA) (41) utilizes GO to determine whether an a priori defined set of genes shows significant, concordant differences between two biological states. Great efforts have been paid on how to design a good ontology system and use it in data integration and automated reasoning. The pathway data sharing in the BioPAX community standard (42) and cross-product extensions of the Gene Ontology (43) use ontology to verify the consistency of a data model. Multiple ontologies have been integrated (44). Formal approaches to ontology research and their potential impact on biomedical applications and analyses have been summarized (45). 2.4. Linked data Similar to how the idea to add, search, and automatically discover documents in the world stimulated the Web’s explosive growth, the same principles of linking, and therefore ease of discovery, can be applied to data on the Web (38). Different from a key word search, linked data make automated reasoning about data possible by using semantic technologies. We are moving from the era of “data on the web” to an era of “web of data (linked data)” (46). Linked data try to create the Web into a giant global database. The term Linked Data refers to a set of best practices for publishing and interlinking structured data on the Web. Tim Berners-Lee in his Design Issues introduced four Linked Data principles (47): (i) Use URIs as names for things. (ii) Use HTTP URIs to allow people to look up those names. (iii) When an individual looks up a URI, provide useful information using recommended standards (e.g., RDF and SPARQL). (iv) Include links to other URIs so that more things can be discovered. Hypertext Transfer Protocol (HTTP) URIs provide a simple way to create globally unique names and a means to access information describing the identified entity. The RDF model enables the establishment of RDF links between data. A SPARQL query facilitates the retrieval of the data of interest across the distributed sources. Linked Data has gained significant uptake in the life sciences. The HCLS group works on the Linking Open Drug Data (LODD) project (http://www.w3.org/wiki/HCLSIG/LODD), which provides linked RDF data exported from several data sources such as ClinicalTrials.gov, DrugBank (http://www.drugbank.ca/), and DailyMed (http://dailymed.nlm.nih.gov/dailymed/about.cfm). In particular, the Bio2RDF project has interlinked more than 30 widely used data sets (48), including the Universal Protein Resource (UniProt), KEGG, the Chemical Abstracts Service (CAS), PubMed, and Gene Ontology. Linking Open Data (http://www.w3.org/wiki/SweoIG/TaskForces/CommunityProjects/LinkingOpenData), a W3C Semantic Web Education and Outreach (SWEO) community project, aims to publish existing open license datasets as Linked Data on the Web to interlink things between different data sources. In Figure 2 the pink corner shows the life science data of the Linking Open Data (LOD) Project Cloud Diagram. ![Figure 2. The lower right corner of the Linking Open Data cloud diagram ([Internet] [cited July 18, 2014], Linking Open Data cloud diagram, by Richard Cyganiak and Anja Jentzsch. Available from http://lod-cloud.net/). The pink part illustrates the life sciences data.](image-url) Table 2. Popular triple stores \| Name \| Language \| Cluster \| Inference \| Available at \| \|---------------\|------------\|---------\|----------------------------\|------------------------------------------------------------------------------\| \| 4store \| C \| Yes \| No \| http://www.4store.org/ \| \| Bigdata \| Java \| Yes \| RDFS and limited OWL inference \| http://www.bigdata.com/ \| \| Mulgara \| Java \| Yes \| RDFS and limited OWL \| http://www.mulgara.org/ \| \| OWLIM \| Java \| Yes \| RDFS, OWL 2 RL and OWL 2 QL \| http://www.ontotext.com/owlim \| \| Virtuoso \| C \| Yes \| limited RDFS and OWL \| http://virtuoso.openlinksw.com/dataspace/doc/dav/wiki/Main/ \| \| AllegroGraph \| Common Lisp\| Yes \| RDFS and limited OWL \| http://franz.com/agraph/allegrograph/ \| \| Apache Jena \| Java \| Yes \| RDFS, OWL \| http://jena.apache.org/ \| \| RDF-3X \| C++ \| No \| No \| https://www mpi-inf.mpg.de/~neumann/rdf3x/ \| \| Sesame \| Java \| Yes \| RDFS \| http://www.openrdf.org/ \| Life science has 40 datasets with more than 3 billion triples, accounting for 9.60% of all data. 2.5. Triple store Life and health science communities have made remarkable progress as early adopters of Semantic Web technologies. A triple store is a database for the storage and retrieval of triples. The UniProt knowledge base (49) connects more than 150 molecular biology and chemoinformatics databases and integrates, interprets, and standardizes data from numerous resources to achieve the most comprehensive catalog of protein sequences and functional annotations. As another example, the Protein Data Bank Japan (PDBj) (50) accepts and processes PDB entries that are deposited mainly from Asian and Oceanic researchers and maintains a centralized archive of macromolecular structures in collaboration with other Worldwide Protein Data Bank (wwPDB) members, including the Research Collaboratory for Structural Bioinformatics (RCSB) PDB (51), the Biological Magnetic Resonance Bank (BMRB) (52) in the US, and the Protein Data Bank Europe (PDBe) (53) in Europe. DNA Data Bank of Japan (DDBJ) (54) contains approximately 8 billion triples, a number that will likely increase. Whether RDF stores can meet the needs of a biological database provider, such as loading, querying, and scaling the data efficiently, will be a major concern. The triple store benchmark is a benchmark for evaluating the performance of storage systems, such as load cost, query performance and scalability. The Benchmark can be classified into a synthetic data benchmark and a real data benchmark. The Lehigh University Benchmark (LUBM) (55) and the Berlin SPARQL Benchmark (BSBM) (56) are two often-used general benchmarks, and they use a data generator to produce synthetic e-commerce knowledge data. Cell Cycle Ontology (57) and BioBenchmark Toyama 2012 (58) uses real biological data. BioBenchmark Toyama evaluated five triple stores, 4store (59), Bigdata (60), Mulgara (61), Virtuoso (62), and OWLIM-SE (63), with five biological data sets, Cell Cycle Ontology, Abbreviation/Long Form Search in Life Sciences (Allie), PDBj, UniProt, and DDBJ, ranging in size from approximately 10 million to 8 billion triples. Table 2 lists some popular triple stores according to their implemented language, inference ability and the presence of support for running in clusters. 4store was used in cell cycle ontology. Mulgara was used as an internal triple store in DDBJ. OWLIM-SE has been applied as a UniProt triple store. Virtuoso shows good performance in BSBM and DBpedia SPARQL Benchmark. Bigdata is a complete free open source triple that performs averagely well in BSBM, supports most inference functions and runs in both single node and cluster modes and could be a potentially good candidate to customize one's own triple store. 2.6. Triple store in the cloud To address such large-scale data management and analysis, Semantic Web services necessitate the adoption of advances in high performance computing (64), such as cloud computing (65,66). Cloud computing has been proposed as a promising technology to solve both the economic and efficiency problems caused by the data explosion. Users do not need to purchase and install their own local expensive servers, and cloud computing vendors prepare all the computing resources and infrastructures as on-demand services. Users need only to pay the rental fee for the resources they have used in the cloud, which saves much money as the users pay by use instead of provisioning for peak (high-end sources purchased only for dealing with tough but few tasks). The most important benefit is that cloud computing greatly facilitates the sharing of analysis pipelines and data between researchers. According to the level of resources to be shared, cloud computing can be divided into four categories (67): Data as a Service (DaaS), Software as a Service (SaaS), Platform as a Service (PaaS), and Infrastructure as a Service (IaaS). DaaS provides on-demand access to up-to-date public data that can be accessed and used through the Internet. SaaS provides online software services in publicly accessible servers. PaaS provides a platform that enables users to develop, test and deploy their applications in the cloud. IaaS provides virtualized resources, including hardware and software, through the Internet. Cloud computing provides big data in the life sciences field with good storage space, web services and development platforms. The ability to address big data studies on cloud-based triple stores is drawing more attention. Apache Cassandra (68) is a cloud database with linear scalability. CumulusRDF (69) is an RDF store on a cloud-based architecture, licensed under the GNU Affero General Public License. The current version uses Apache Cassandra as a storage backend. CumulusRDF supports a SPARQL1.1 endpoint and allows for fast queries of 1 billion triples on 16 nodes (70). Apache HBase is an open source, horizontally scalable, row consistent, low latency, random access data store. HBase has a proven track-record for scaling out to clusters containing approximately 1,000 nodes. It has been implemented as two versions: Jena-HBase (71), using Jena as the SPARQL query engine, and Hive+HBase, a SQL-like data warehousing tool that allows for querying using MapReduce (72). MapReduce is a programming model and an associated implementation for processing and generating large data sets. MapReduce is highly fault tolerant and scalable and can run on clusters with thousands of machines, facilitating its wide use as a cloud programming framework in bioinformatics (67). The projects (72-76) focused on developing large-scale RDF stores using the MapReduce paradigm. Fensel et al. (77) focused on web-scale data analysis and reasoning. Stratustore (78) is an RDF store that uses Amazon’s SimpleDB as an RDF store back-end in combination with Jena’s API. It is an open source project. The results show that its performance is not competitive with other RDF stores such as Virtuoso when using 20 simultaneous Stratustore instances. The throughput of the system also increases as the number of Stratustore instances grows. Bugiotti et al. used SimpleDB to store RDF files in the Amazon Simple Storage Service (S3) and used Amazon SimpleDB to store the index (79). Dydra (80) relied on the Amazon EC2 infrastructure, providing a SPARQL endpoint to query the data stored. SHARD (81), a Berkeley Software Distribution (BSD) licensed open source project, is a proof-of-concept high-performance, low-cost distributed computing technology to develop a highly scalable triple-store built on Hadoop and Hadoop Distributed File System (HDFS). Accumulo (82) is an open-source, distributed, column-oriented store model. Rya (83) uses Accumulo as a storage backend. The evaluation (83) showed that, in most cases, Rya outperforms existing distributed RDF solutions. 3. Challenge Semantic Web technologies were not born for big data. As the basis for Semantic Web technologies, RDF was originally designed as a metadata data model in 1997, providing interoperability between applications that exchange machine-understandable information on the Web. Six joint documents (Primer, Concepts, Syntax, Semantics, Vocabulary, and Test Cases) superseded the W3C RDF Recommendation and described updates to the syntax and a more detailed model in 2004. In 2014 RDF Schema 1.1, as well as more representation formats such as JSON-LD, was introduced. The introduction of vocabulary, semantics, formal syntax, and rich representation formats made RDF evolve into a general-purpose language for representing information on the Web. The introduction of vocabulary and semantics (such as RDF Schema (RDFS), OWL, etc.) laid a foundation for dealing with the variety problem of big data in life sciences. Take wwPDB as an example. wwPDB is a collection of the experimentally determined 3D structures of biopolymers and their complexes. Metadata such as Functional Keywords, Biological source and Total molecular weight of an entry are encoded into RDF data directly, while the corresponding detailed structure information of the entry is encoded into URI links as a resource. Therefore the detailed information, such as atom model, can be retrieved from the linked file, "<PDBo:link_to_pdbml_extatom rdf:resource="ftp://ftp.wwpdb.org/pub/pdb/data/structures/all/XML-extatom/lgofextatom.xml.gz"/>" for the entry 1GOF in the PDBj database. Compared with relational database systems, RDF is more flexible for defining metadata with the current vocabulary. In the following statements, owl:DatatypeProperty defines a data type property instance metadata "datablockName". rdfs:domain indicates that the subjects of such property must belong to a "datablock" class, and the property itself should be a "string" Class. ```xml <owl:DatatypeProperty xmlns:xsd="http://www.w3.org/2001/XMLSchema" rdf:ID="datablockName"> <rdfs:domain rdf:resource="#datablock"/> <rdfs:range rdf:resource="http://www.w3.org/2001/XMLSchema#string"/> </owl:DatatypeProperty> ``` According to the priority or importance of the data, one can choose to encode the information into the RDF model to do further analysis or act as search tags, or only include the detailed information into a linked file. By temporarily omitting the data file and concentrating on the metadata, the search or analysis can be reduced to a more effective space. Likewise Semantic web technologies can effectively manage the metadata of various kinds of data, such as videos and images, thus providing a good solution for the famous variety problem of big data. On the other hand, the other two Vs, velocity and volume, are still posing a big challenge for Semantic Web technologies. SPARQL 1.1, proposed in 2013, facilitates the distributed RDF data query, and is promising for enabling a global big database. However, some kinds of practical problems are hindering the query efficiency, such as some SPARQL endpoints do not support SPARQL 1.1 yet; no Vocabulary of Interlinked Datasets (VoID) for Semantic Web Integrator and Query Engine (SemWIQ) (84), Web of Data Query Analyzer (WoDQA) (85), and SPARQL Endpoint Federation Exploiting VOID Descriptions (Splendid) framework (86); no service description for DARQ system (87) and so on. Specifications and guidance about what artifacts a SPARQL endpoint is obliged to offer are needed to make a federated query responsive. A lot of effort has also been put into the research of triple store. Wu et al. in the BioBenchmark (58) show that a single Virtuoso 6.4 and OWLIM-SE 5.1 node can deal with 8 billion triples well. BSBM V3.1 also proves that Virtuoso 7 can handle 150 billion triples with 8 machines. At the same time distributed RDF systems based on Hadoop and other cloud platforms, as mentioned in Section 2.6, are also being developed rapidly. It still needs a great effort to effectively manage petabyte and even bigger data. Data integration is a typical application of Semantic Web technologies in life sciences. TogoTable uses database identifiers (IDs) in the table as a query key for searching. Because TogoTable (88) uses RDF, it can integrate annotations from not only the reference database to which the IDs originally belong, but also externally linked databases via the LOD network. TogoGenome (http://togogenome.org/) is a Semantic Web-based genome database collection. Neurocommons project (89) uses Semantic Web technology for assembling and querying biomedical knowledge from multiple sources and disciplines. However, the concept of big data, especially big data in the life sciences, is still in its infancy. Personal data, such as a personal genome, personalized medicine, and clinical data (e.g., electronic health records), are mostly still in an embryonic stage and located in the local data warehouses of their specific organizations. Effective-enough data processing platforms are needed to provide enough incentives for biological organizations to publish and share their data. More importantly, the platform or systems must ensure data security in a collaborative environment and not risk medical privacy (24). S3QL provides a permission control mechanism that allows the users to protect their data by specifying contextual minutia (90). Cloud security solutions include the use of better security systems with advanced encryption algorithms and proper signing of Service level agreements (91). Private and hybrid clouds are being built to ensure data safety (92). Similar problems exist in the LOD project. In addition, maintaining semantics links in a dynamic big data era is another difficult problem for LOD. Big data in the life sciences requires a high level of knowledge of both biology and computer science. Big data technologies, such as cloud-based applications, are based on parallel processing. Until now, few bioinformatics tools have been designed to run in parallel (6), a process that requires a high level of computational know-how. By contrast, ontology design, data analysis, hypothesis building and validation, and many other problems need specialized biological knowledge. Despite these difficulties the flexibility on metadata, the development of distributed and cloud-based triple store systems, and the improvement of federated query systems facilitate Semantic Web technologies as a promising solution for the big data in life sciences, with great efforts and collaboration from the computer and biological community. 4. Conclusions Big data poses a great challenge for the life sciences. To address the heterogeneous variety of life scientific big data, a series of Semantic Web technologies provides a promising solution. RDF, SPARQL, triple store and ontology facilitate the integration and analysis of heterogeneous multi-disciplinary data. Linked data turns the Web into a giant global database. Triple store in the cloud takes full advantage of cloud services to address the exponential growth of biological data. 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Hybrid cloud and cluster computing paradigms for life science applications. BMC bioinformatics. 2010; 11(Suppl 12):S3. (Received April 7, 2014; Revised July 18, 2014; Revised August 4, 2014; Accepted August 12, 2014) A novel EGFP-expressing nude mice with complete loss of lymphocytes and NK cells to study tumor-host interactions Kumiko Gotoh, Ryusho Kariya, Kouki Matsuda, Shinichiro Hattori, Kulthida Vaeteewoottacharn, Seiji Okada* Division of Hematopoiesis, Center for AIDS Research, Kumamoto University, Kumamoto, Japan. Summary Enhanced green fluorescent protein (EGFP) expressing Balb/c nude mice strain with Rag-2 and Jak3 double mutants (Nude-R/J-EGFP mice) was established to improve the take rate of human tumors and to distinguish tumor and host cells. EGFP was ubiquitously expressed in all organs including the brain, lung, liver, heart, kidney, spleen, and gastrointestinal tract in Nude-R/J-EGFP mice. The mice showed complete loss of T lymphocytes, B lymphocytes, and NK cells, indicating a higher take rate of human tumor xenograft. M213-mCherry, an mCherry expressing the cholangiocarcinoma cell line, was successfully detected and tumor vessels derived from the host were clearly identified with fluorescence imager. Thus, dual-color fluorescence imaging visualizes the tumor-host interaction by non-invasive in vivo fluorescent imaging in Nude-R/J-EGFP mice. These finding suggests that Nude-R/J-EGFP mice are becoming a powerful tool to investigate human tumor-host interactions. Keywords: Enhanced green fluorescence protein (EGFP), nude mice, NK cells, fluorescence imaging, xenotransplantation 1. Introduction Human cancer xenograft models of immunodeficient mice are widely used in oncology research (1). Athymic nude mice, Seid mice, and NOD/Scid mice have been used for this purpose. Since nude mice lack T cells but retain functional B cells and NK cells, they show limited growth of human tumors and tumor cell lines (2,3). However, they are still commonly used because their lack of fur facilitates tumor implantation and assessment (4,5). In particular, recent advances of in vivo fluorescent technologies enable us to detect fluorescence-expressing tumor cells inside mice without fur. In addition, several fluorescence protein-expressing transgenic mice have been established to distinguish tumor cells from host cells (6-9). Thus, fluorescence protein-expressing severe immunodeficient mice without fur are optimized for in vivo imaging. Recent approaches have involved the use of severe immunodeficient mice with NK defective genetically modified mice (10-13), which markedly improved the efficiency of xenotransplantation. We have previously generated Rag-2/Jak3 double-deficient mice with a Balb/c genetic background (Balb/c R/J mice) (14). These mice showed a lack of mature T and B lymphocytes and NK cells, and showed high efficiency of human hematopoietic stem cell (HSC) and peripheral blood mononuclear cell (PBMC) transplantation, and human tumor xenograft (15). Based on these findings, we established an enhanced green fluorescent protein (EGFP)-expressing Balb/c nude mice strain with Rag-2 and Jak3 double mutants (Nude-R/J-EGFP mice) and evaluated them for use in fluorescence bio-imaging. 2. Materials and Methods 2.1. Mice Transgenic C57/BL6-EGFP mice were obtained from Prof. Masaru Okabe (Osaka University, Osaka, Japan). C57/BL6-EGFP mice express EGFP under the control of chicken β-actin promoter and cytomegalovirus enhancer (16). Balb/c-EGFP mice were established by crossing C57/BL6-EGFP mice with the Balb/c strain... for 10 generations. Balb/c-EGFP Rag-2\textsuperscript{−/−}Jak3\textsuperscript{−/−} mice were then established by crossing Balb/c Rag-2\textsuperscript{−/−} Jak3\textsuperscript{−/−} mice (14) and Balb/c-EGFP mice. Finally, Balb/c-EGFP nude Rag-2\textsuperscript{−/−}Jak3\textsuperscript{−/−} mice (referred to as Nude-R/J-EGFP mice) were established by crossing Balb/c-EGFP Rag-2\textsuperscript{−/−}Jak3\textsuperscript{−/−} mice and Balb/c nude mice, and were housed and monitored in our animal research facility according to institutional guidelines. The mice were maintained by mating nu/nu males with nu/+ females as nu/nu females cannot feed infants (17). The nude (18), Rag-2 (19) and Jak3 (20) mutations were genotyped using a previously described PCR method using genomic DNA extracted from tail tissue. EGFP mice were detected with Ultra violet lamp. All experimental procedures and protocols were approved by the Institutional Animal Care and Use Committee of Kumamoto University. 2.2. Cell lines The human cholangiocarcinoma cell line, KKU-M213, was cultured in Dulbecco's modified Eagle’s medium (DMEM; Wako Pure Chemical, Osaka, Japan) supplemented with 10% (v/v) heat-inactivated fetal bovine serum (JRH Bioscience, Lenexa, KS, USA), 100 u/mL penicillin and 100 μg/mL streptomycin (21). mCherry-transfected KKU-M213 (M213-mCherry) was established with pmCherry-N1 Vector (Clontech, Mountain View, CA, USA) and the transfection reagent Lipofectamine 2000 (Invitrogen, Carlsbad, CA, USA) according to the manufacturer's instructions. Transfected cells were selected in medium containing neomycin (G418; Carbiochem, Darmstadt, Germany), followed by limiting dilution to isolate stable clones. 2.3. Flow cytometry Mouse spleen cells were stained with DX5-APC (pan NK marker), mCD122 (IL-2Rβ)-PE, mCD19-PE, and mCD3-Pacific Blue (eBiosciences, San Diego, CA, USA), and analyzed using LSR II (BD Biosciences, San Diego, CA, USA) to detect murine lymphocytes (14). Data were analyzed with FlowJo (Tree Star, San Carlos, CA, USA). 2.4. Xenograft mouse model Eight-ten-week-old Nude-R/J-EGFP mice were subcutaneously inoculated with M213-mCherry ($6 \times 10^6$ cells) suspended in 100 μL phosphate-buffered saline (PBS) in both flanks. On day 16, xenotransplanted mice were euthanized and imaged with an \textit{in vivo} imaging system. 2.5. Image acquisition We confirmed that organs and cells obtained from nude-R/J-EGFP mice could be visualized fluorescently. In brief, after euthanizing Nude-R/J-EGFP mice, internal organs were placed on a tray and imaged using an Maestro \textit{in vivo} fluorescence imaging system (Cambridge Research & Instrumentation, MA, USA). For M213-mCherry inoculated mice, euthanized nude-R/J-EGFP mice were placed on a tray and imaged using a Nuance multispectral imaging system (Cambridge Research & Instrumentation). 3. Results and Discussion In the present study, we developed and characterized nude mice with ubiquitously expressed EGFP and complete loss of lymphocytes and NK cells on a Balb/c background (Nude-R/J-EGFP mice). The generated Nude-R/J-EGFP mice survived and bred well under specific pathogen-free conditions. Green fluorescence expression can be readily detected by the naked eye under fluorescent light in nude-R/J-EGFP and clearly detected in Nude-R/J-EGFP using a hand-held UV lamp (Figure 1A). Almost all internal organs showed green fluorescence under the imaging instrument (Figure 1B). The expression of EGFP in spleen cells was confirmed with flow cytometry (Figure 2A). To confirm the predicted immunophenotype of Nude-R/J-EGFP mice, single-cell suspensions from spleen cells were labeled with fluorescent antibodies against mouse DX-5 (pan NK marker), CD122 (IL-2Rβ), CD3 (T cell marker) and CD19 (B cell marker). In contrast to wild-type mice, no B (CD19 positive) and T (CD3 positive) lymphocytes or NK cells (DX-5 and CD122 double-positive cells) were detected in Nude-R/J-EGFP mice as expected (14) (Figure 2B). The fluorescence of Nude-R/J-EGFP mice (green) and subcutaneously transplanted M213-mCherry ![Figure 1. EGFP expression of the Nude-R/J-EGFP mice.](image) (A) Nude-R/J-EGFP mice, visualized in daylight or using a handheld UV lamp (left: Nude-R/J-EGFP mice, right: Nude mice). (B) Internal organs showing strong EGFP expression in the heart, lung, kidney, liver, brain, spleen, and gastrointestinal tract using a fluorescence imaging system. obtained from patients have been successfully transplanted into nude mice, because nude mice lack mature T cells, but retain B cells and NK cells. To overcome this weakness, several attempts have been made to develop more immunodeficient mice such as beige-nude, CBA/N nude and hairless scid mice (22, 23). However, significant NK activity remains in these mice. Recent advances in developmental engineering have enabled to develop immunodeficient mice with complete loss of NK cells, such as NOD/Scid/commonγc− (NOG and NSG) mice (24), NOD/Scid/Jak3−/− mice (13), Balb/c Rag-2−/commonγc− mice (11), Balb/c Rag−/−/Jak3−/− mice (7, 4), which markedly improved the efficiency of xenotransplantation. In addition, several immunodeficient mice expressing fluorescence protein have been developed to optimize in vivo imaging (7, 9). These mice are very useful to distinguish host cells and transplanted human tumor cells (25). However, the level of immunodeficiency is not sufficient for transplantation of human cells in nude based mice (7). NOD/Scid based mice are sufficient for human cell transplantation; however, their fur prevented precise assessment of tumor size and detection of fluorescence subcutaneously and within the body (9). Newly generated Nude-R/J-EGFP mice have favorable attributes for in vivo bio-imaging, i.e. high immunodeficiency with NK deficiency, being hairless, and expressing EGFP, indicating that Nude-R/J-EGFP mice are optimized for human cancer xenotransplantation and detection using a Nuance multispectral imaging system. In summary, we established an EGFP-expressing Balb/c nude mice strain with Rag-2 and Jak3 double mutants (Nude-R/J-EGFP mice) and showed that Nude-R/J-EGFP mice are optimal for human tumor engraftment and non-invasive in vivo fluorescent imaging. Acknowledgements We thank I. Suzu and S. Fujikawa for providing technical assistance and K. Tokunaga and Y. Endo for secretarial assistance. This work was supported in part by a Health and Labour Science Research Grant from the Ministry of Health, Labour and Welfare of Japan (H25-AIDS-I-002), an A-STEP grant from Japan Science and Technology Agency (No. 221Z00712), and Grants-in-Aid for Science Research (No. 21107522 and 21591209) from the Ministry of Education, Science, Sports, and Culture of Japan. References 1. Sausville EA, Burger AM. Contributions of human tumor xenografts to anticancer drug development. Cancer Res. 2006; 66:3351-3354, discussion 3354. 2. Taghian A, Budach W, Zietman A, Freeman J, Gioiosio D, Ruka W, Suit HD. Quantitative comparison between the transplantability of human and murine tumors into the subcutaneous tissue of NCr/Sed-nu/nu nude and severe combined immunodeficient mice. Cancer Res. 1993; 53:5012-5017. 3. Carreno BM, Garbow JR, Kolar GR, Jackson EN, Engelbach JA, Becker-Hapak M, Carayannopoulos LN, Piwnica-Worms D, Linette GP. 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Potential utility of eGFP-expressing NOG mice (NOG-EGFP) as a high purity cancer sampling system. J Exp Clin Cancer Res. 2012; 31:55. 9. Niclou SP, Danzeisen C, Eikesdal HP, Wiig H, Brons NH, Poli AM, Svendsen A, Torsvik A, Enger PO, Terzis JA, Bjerkvig R. A novel eGFP-expressing immunodeficient mouse model to study tumor-host interactions. FASEB J. 2008; 22:3120-3128. 10. Yahata T, Ando K, Nakamura Y, Ueyama Y, Shimamura K, Tamaoki N, Kato S, Hotta T. Functional human T lymphocyte development from cord blood CD34+ cells in nonobese diabetic/Scid-scid, IL-2 receptor gamma null mice. J Immunol. 2002; 169:204-209. 11. Traggiai E, Chicha L, Mazzucchelli L, Bronz L, Pillarretti JC, Lanzavecchia A, Manz MG. Development of a human adaptive immune system in cord blood cell-transplanted mice. Science. 2004; 304:104-107. 12. Ishikawa F, Yasukawa M, Lyons B, Yoshida S, Miyamoto T, Yoshimoto G, Watanabe T, Akashi K, Shultz LD, Harada M. 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(Received April 9, 2014; Revised July 10, 2014; Revised August 1, 2014; Accepted August 2, 2014) Pathological changes in primary cilia: A novel mechanism of graft cholangiopathy caused by prolonged cold preservation in a rat model of orthotopic liver transplantation Hongwei Lu\textsuperscript{1,2}, Jiahong Dong\textsuperscript{2,}, Yafei Zhang\textsuperscript{1}, Chonghui Li\textsuperscript{2}, Qiang Yu\textsuperscript{2}, Wei Tang\textsuperscript{3} \textsuperscript{1}Department of General Surgery, Second Affiliated Hospital, Xi'an Jiaotong University, Xi'an, Shanxi, China; \textsuperscript{2}Department of Hepatobiliary Surgery, Chinese PLA General Hospital, Beijing, China; \textsuperscript{3}Hepato-Biliary-Pancreatic Surgery Division, Artificial Organ and Transplantation Division, Department of Surgery, Graduate School of Medicine, The University of Tokyo, Tokyo, Japan. Summary To study the impairment of cholangiocyte primary cilia caused by prolonged cold preservation and its correlation with graft cholangiopathy after orthotopic liver transplantation (OLT). Subjects were 60 male Wistar rats that were divided into 2 groups: a control group ($n = 30$) receiving a donor liver preserved for 1 h and a study group ($n = 30$) receiving a donor liver preserved for 12 h. A two-cuff method was used to establish the OLT model, and the hepatic artery and bile ducts were reconstructed using stents. Samples were collected 2, 8, and 16 weeks after surgery, and 5 samples were collected from each group at each time point. Serum biochemical indicators were measured, morphological changes in intrahepatic bile ducts and cholangiocyte primary cilia were observed using an optical microscope and scanning electronic microscope, respectively, and the ciliary marker ($\alpha$-tubulin) and membrane proteins (PC-1, TRPV4, and P2Y\textsubscript{12}) were detected using immunofluorescence analysis and Western blotting. In the study group, phlogocytes infiltrated around bile ducts and bile ducts proliferated markedly at 8 weeks. At 16 weeks, the biliary structures were indistinct and some bile ducts disappeared, a large amount of collagen was deposited, numerous phlogocytes infiltrated around ducts, some biliary epithelial cells (BECs) were deformed or dead, and primary cilia disappeared. In the control group, the intrahepatic bile ducts and BECs were nearly intact and the primary cilia were present. In the study group, the expression of $\alpha$-tubulin, polycystin-1 (PC-1), TRPV4, and P2Y\textsubscript{12} in bile ducts disappeared completely after 8 weeks. In the control group, expression of the marker and proteins decreased at 2 weeks and increased slightly after 8 weeks. These results suggest that the study group had dysfunctional primary cilia at the start of OLT and that this dysfunction was irreversible. In the control group, the primary cilia defects and subsequent biliary injury were temporary. Thus, prolonged cold preservation of a donor liver may cause graft cholangiopathy by altering the integrity and functions of cholangiocyte primary cilia. Keywords: Liver transplantation, cold preservation, primary cilium, graft cholangiopathy 1. Introduction Graft cholangiopathy (GC) produces non-anastomotic strictures and intrahepatic bile duct dilation in the biliary tree of a graft and may be associated with the formation of biliary sludge or gallstones. Primary pathological manifestations of GC in the biliary tree are bile duct loss and cholestasis. Major risk factors for GC are ischemia/reperfusion injury, immune response, and cytotoxic injury (1,2). Biliary epithelial cell (BEC) defects caused by cold preservation are the direct cause of biliary complications after liver transplantation (3). The pathophysiological modification of BECs lining the biliary tree is the pathologic basis of GC. Each intrahepatic BEC contains... a primary cilium (4). The primary cilia that extend from the apical plasma membrane of BECs into the bile duct lumen are ideally positioned to detect changes in bile flow, composition, and osmolality, i.e., to be sensory organelles that may control cholangiocyte functions such as ductal bile formation (5-7). The primary cilia can sense a traumatic physical or chemical stimulus and they participate in the process of repairing injury (8). The primary cilia function as a result of membrane proteins such as polycystin-1 (PC-1), PC-2, TRPV4, P2Y\textsubscript{12}, and fibrocystin (9,10). An OLT model was created to verify whether or not prolonged cold preservation would cause GC by damaging the structures and functions of primary cilia. 2. Materials and Methods 2.1. Animal model Male inbred Wistar rats (6-8 weeks old, 220-250 g, Vital River Laboratory Animal Technology Co. Ltd, Beijing, China) were used as donors or recipients, and care was provided according to the guidelines of the Institutional Animal Care and Use Committee. All animals were kept in a temperature-controlled environment with a 12-h light-dark cycle and were allowed free access to food and water 12 or 4 h before surgery. Sixty rats were randomly divided into 2 groups. In the study group $(n = 30)$, the donor livers were preserved for 12 h. In the control group $(n = 30)$, the donor livers were preserved for 1 h. The donor liver was preserved with University of Wisconsin (UW) solution at 4°C after \textit{in situ} perfusion. After hepatectomy of the recipient’s liver, the donor liver was implanted in an orthotopic position. The anhepatic time in the recipient was kept to less than 15 min. After completion of the end-to-end anastomosis between the suprahepatic inferior vena cava of the recipient and the donor, the portal vein was reconstructed with the cuff technique, the liver was reperfused, circulation to the intrahepatic inferior vena cava was re-established with another cuff, and the hepatic artery and bile ducts were reconstructed using stents. All samples were collected 2, 8, and 16 weeks after surgery, and 5 samples were collected from each group at each time point. 2.2. Serum biochemical testing Total bilirubin (TBIL), alkaline phosphatase (ALP), and gamma glutamyl transpeptidase (GGT) are considered to be markers of BEC injury after liver transplantation (11). Serum concentrations of TBIL, ALP, and GGT were measured with an automatic biochemistry analyzer (Glamour 6000, UV-VIS METROLAB S.A., Buenos Aires, Argentina). 2.3. Histopathological observation Liver tissues were fixed in formaldehyde and embedded in paraffin and then cut into 3-5-$\mu$m sections. After deparaffinization, the tissues were stained with hematoxylin and eosin (HE) for histopathologic evaluation using an optical microscope (Olympus BX41, Tokyo, Japan). 2.4. Scanning electron microscopy (SEM) Samples for SEM were fixed in 2.5% glutaraldehyde for 24 h, dehydrated with a graded ethanol series, and critical-point dried in CO\textsubscript{2}. The dried samples were mounted on aluminum and sputter-coated with gold and they were then examined under a scanning electron microscope (Hitachi S-4300, Tokyo, Japan). 2.5. Immunofluorescence analysis Immunofluorescence microscopy was performed with a Zeiss LSM 510 confocal microscope with a 100-Pan-Apochromat 1.4-nm oil objective (Carl Zeiss, Inc., Thornwood, NY, USA). Liver samples were frozen at –20°C and cut into 8-$\mu$m sections. Samples were then fixed in acetone for 10 min, washed 3 times in phosphate-buffered saline with 0.05% Triton-X, and incubated in 1% bovine serum albumin for 10 min at room temperature. After samples were washed 3 times in phosphate-buffered saline, they were incubated overnight at 4°C with antibodies against acetylated $\alpha$-tubulin, PC-1, TRPV4, and P2Y\textsubscript{12} (1:50, Santa Cruz Biotechnology, Inc.). Afterwards, they were incubated for 1 hour with secondary antibodies (1:50) (Santa Cruz Biotechnology, Inc.). Nuclei were stained with 4-,6-diamidino-2-phenylindole. 2.6. Western blotting of $\alpha$-tubulin, PC-1, TPPV4, and P2Y\textsubscript{12} Samples of the intrahepatic bile ducts were lysed in 1-mL lysis buffer. Equal amounts of sample were separated using SDS-PAGE. Gels were electroblotted with Sartoblot onto polyvinylidene difluoride membranes. The membranes were blocked in Carnation non-fat milk and probed with a 1:200 dilution of the $\alpha$-tubulin, PC-1, TRPV4, P2Y\textsubscript{12} and $\beta$-actin antibodies (Santa Cruz Biotechnology, Inc.) and a 1:1,000 dilution of the second antibody (Rabbit anti-rabbit IgG, Santa Cruz Biotechnology, Inc.). Antigen/antibody complexes were visualized with a chemiluminescence system (Amersham Biosciences, Piscataway, NY, USA) and scanned into images. The relative densities of the bands were analyzed using NIH Image (version 1.61; National Institute of Health, Bethesda, MD, USA). The ratio of target protein to $\beta$-actin served as an index for statistical analysis. 2.7. Statistical analysis Statistical analyses were performed using SPSS version 13.0 system for Windows (SPSS Inc. Chicago, IL, USA). Data are expressed as the mean and standard deviations (SD). Differences were analyzed using analysis of variance (ANOVA). Results were considered significant at $p < 0.05$. 3. Results 3.1. Prolonged cold preservation injured cholangiocytes The control group exhibited inflammation and swelling in cholangiocytes with an increase in serum TBIL, ALP, and GGT at 2 weeks and a gradual return to normal after 8 weeks. In the study group, the cholangiocytes displayed sloughing and necrosis at 2 weeks, and this was accompanied by increasing levels of TBIL, ALP, and GGT. These changes worsened over time (Figure 1, Table 1). 3.2. Prolonged cold preservation injured bile ducts In the control group, the biliary structures in portal area and interlobular ducts were almost normal and bile duct proliferation and phlogocyte infiltration were marked at 2 weeks. These manifestations slowly disappeared prior to 16 weeks. In the study group, numerous phlogocytes infiltrated around bile ducts and bile ducts proliferated markedly at 2 weeks. These manifestations became more marked at 8 weeks. At 16 weeks, the biliary structure was indistinct; some bile ducts in the portal area disappeared and a large amount of collagen was deposited around ducts (Figure 2). 3.3. Prolonged cold preservation injured primary cilia In the control group, some cholangiocytes lost their primary cilia while other cholangiocytes had shortened cilia. Expression of the ciliary marker ($\alpha$-tubulin) and membrane proteins (PC-1, TRPV4, and P2Y$_{12}$) decreased at 2 weeks and increased slightly after 8 weeks. In the study group, the primary cilia were sparse and shorter. Moreover, the primary cilia disappeared. ![Figure 1. Cholangiocyte expression. Control group: There was marked bile duct edema, bile duct proliferation, and phlogocyte infiltration around ducts at 2 weeks (A). Bile duct edema resolved and phlogocyte infiltration decreased while bile duct proliferation remained the same at 8 (B) and 16 weeks (C). Study group: Cholangiocytes swelled and some died, many phlogocytes infiltrated around bile ducts, and bile ducts proliferated at 2 weeks (D). These manifestations became more apparent at 8 weeks (E). Numerous cholangiocytes died, the biliary structure was indistinct, and some bile ducts disappeared at 16 weeks (F).](image) ![Figure 2. Bile duct expression (scanning electron microscopy). Control group: The primary cilia shortened ($\times 5,000$, A). Study group: Most cholangiocytes lost primary cilia. Cholangiocytes with primary cilia had sparse and shorter cilia at 2 weeks ($\times 5,000$, B). Bile ducts proliferated markedly at 8 weeks ($\times 2,000$, C). Cholangiocytes died and were sloughed off and collagen was deposited around ducts at 16 weeks ($\times 5,000$, D).](image) Table 1. Comparison of biochemical indicators in two groups (mean ± s) \| Items \| Control group \| \| Study group \| \| \|-------------\|---------------\|---------------------\|----------------------\|---------------------\| \| \| 2 weeks ($n = 5$) \| 8 weeks ($n = 5$) \| 16 weeks ($n = 5$) \| 2 weeks ($n = 5$) \| 8 weeks ($n = 5$) \| 16 weeks ($n = 5$) \| \| TBIL (μmol/L) \| 14.28 ± 7.9 \| 3.96 ± 1.13$^c$ \| 2.37 ± 0.86$^c$ \| 17.75 ± 8.34$^{ab}$ \| 24.53 ± 7.95$^{ab}$ \| 41.62 ± 14.95$^{ab}$ \| \| ALP (U/L) \| 320.64 ± 36.75 \| 77.35 ± 15.92$^c$ \| 68.63 ± 4.02$^c$ \| 383.67 ± 53.23$^{ab}$ \| 435.87 ± 86.34$^{ab}$ \| 574.56 ± 106.63$^{ab}$ \| \| GGT (U/L) \| 34.72 ± 9.36 \| 5.90 ± 2.58$^c$ \| 6.73 ± 1.60$^c$ \| 46.75 ± 4.93$^{ab}$ \| 61.45 ± 10.52$^{ab}$ \| 78.22 ± 12.05$^{ab}$ \| $^a p < 0.05$, within the same group over time; $^b p < 0.05$, vs. control group at the same time point; $^c p < 0.05$, vs. 2 weeks for control group. and the expression of $\alpha$-tubulin, PC-1, TRPV4 and P2Y$_{12}$ was completely absent after 8 weeks (Figures 2, 3, and 4; Table 2). 4. Discussion The vascular plexus around bile ducts is a unique blood supply for BECs, so they are susceptible to damage as a result of ischemia/reperfusion and immune injury (12,13). That said, BECs are powerful cells because they produce 40% of bile even though they only account for about 4% of all cells in the liver (14,15). During liver transplantation, BECs inevitably suffer ischemia/reperfusion injury and exhibit immunological rejection (16,17). Cold ischemia and reperfusion injury (CIRI) is crucial to estimating graft function after cadaveric donor liver transplantation. However, some marginal donor livers that have been preserved in the cold for a prolonged period must be used because of the scarcity of donors. Use of these livers is associated with a number of biliary problems, such as delayed biliary recovery, ischemic bile duct lesions, and biliary strictures after liver transplantation (18). During transplantation, the bile ducts are susceptible to warm ischemia before they are subsequently preserved, rewarmed, and reperfused (19). Cholangiocytes lining the bile duct wall are weakened by depletion of energy stores. Cholangiocytes are susceptible to CIRI because of the following factors: an increase in oxygen free radicals and depletion of glutathione in cellular stores, the toxic effects of hydrophobic bile salts, and the infiltration of inflammatory cells into the basement membrane and release of inflammatory mediators (20). Therefore, the number of cholangiocytes that detach from the underlining basement membrane and enter bile is related to the duration of cold ischemia (21). Sufficient cellular repair or regeneration to replace the lost cells damaged by CIRI is generally considered necessary for bile duct recovery after liver transplantation and the extent of the cholangiocyte regenerative response is considered to correlate with the degree of injury. The primary cilia may, as sensory organelles, participate in bile formation and bile duct recovery after CIRI. In order to explore the effect of GC on primary cilia ![Figure 3. The expression of $\alpha$-tubulin, PC-1, TRPV4, and P2Y$_{12}$. Control group: The expression of $\alpha$-tubulin (A), PC-1 (B), TRPV4 (C), and P2Y$_{12}$ (D) decreased at 8 weeks. Study group: Expression of $\alpha$-tubulin (E), PC-1 (F), TRPV4 (G), and P2Y$_{12}$ (H) was absent. Immunofluorescence ×200.](image) ![Figure 4. The expression of $\alpha$-tubulin, PC-1, TRPV4, and P2Y$_{12}$ in intrahepatic bile ducts. Study group: 1 (2 weeks), 2 (8 weeks), 3 (16 weeks); Control group: 4 (2 weeks), 5 (8 weeks), 6 (16 weeks).](image) Table 2. Levels of expression of $\alpha$-tubulin, PC-1, and TRPV4 in intrahepatic bile ducts (mean ± s) \| Items \| Control group \| Study group \| \|----------------\|---------------\|-------------\| \| \| 2 weeks ($n = 5$) \| 8 weeks ($n = 5$) \| 16 weeks ($n = 5$) \| 2 weeks ($n = 5$) \| 8 weeks ($n = 5$) \| 16 weeks ($n = 5$) \| \| $\alpha$-tubulin/β-actin \| 1.34 ± 0.58 \| 1.79 ± 0.47 \| 1.71 ± 0.62 \| 0.86 ± 0.62$^{a,b}$ \| 1.14 ± 0.43$^{a,b}$ \| 0.69 ± 0.33$^{a,b}$ \| \| PC-1/β-actin \| 0.87 ± 0.23 \| 0.73 ± 0.29 \| 0.95 ± 0.32 \| 0.42 ± 0.18$^{a,b}$ \| 0.23 ± 0.11$^{a,b}$ \| 0.08 ± 0.04$^{a,b}$ \| \| TRPV4/β-actin \| 0.48 ± 0.18 \| 0.53 ± 0.22 \| 0.64 ± 0.26 \| 0.33 ± 0.11$^{a,b}$ \| 0.17 ± 0.09$^{a,b}$ \| 0.13 ± 0.06$^{a,b}$ \| \| P2Y12/β-actin \| 2.16 ± 0.74 \| 2.53 ± 0.46 \| 2.72 ± 1.14 \| 1.53 ± 0.59$^{a,b}$ \| 0.76 ± 0.48$^{a,b}$ \| 0.64 ± 0.25$^{a,b}$ \| $^a$ $p < 0.05$, within the same group; $^b$ $p < 0.05$, vs. control group at the same time. as a result of prolonged cold preservation, the current study created a rat model of OLT after preserving the donor liver in UW solution at 4°C for 1 or 12 h. This study then observed several indicators over time. The morphology of intrahepatic bile ducts and BECs was markedly altered in the study group in comparison to the control group, although bile duct proliferation did proceed for up to 8 weeks. Cholangiocyte sloughing and necrosis were marked at 16 weeks. These manifestations were accompanied by an increase in serum TBIL, ALP, and GGT. These findings indicated that prolonged cold preservation was responsible for injury to bile ducts and BECs, and this injury was in turn closely associated with GC. However, the question of whether or not powerful organelles like the primary cilia affect GC must be studied further. In the liver, only BECs have cilia. Liver disease caused by defects in ciliary structures and ciliary dysfunction is known as cholangiociliopathy. Cholangiociliopathy includes cystic and/or fibrotic liver diseases such as autosomal dominant polycystic kidney disease (ADPKD, caused by mutations in either PKD1* or PKD2, genes that encode PC-1 and PC-2, respectively), autosomal recessive PKD (ARPKD, caused by mutations in a single gene, PKHD1, that encodes fibrocystin), nephronophthisis (NPHP, caused by mutations in the six NPHP1-6 genes that encode nephrocystins 1-6), Bardet-Biedl syndrome (BBS, caused by mutations in the 12 BBS genes that encode BBS1-12), and Meckel-Gruber syndrome (MKS, caused by mutations in three MKS1-3 genes that encode MKS1 and meckelin) (22,23). In addition, some forms of cholecystopathy such as primary sclerosing cholangitis (PSC) and primary biliary cirrhosis (PBC) may also be forms of cholangiociliopathy. Abnormalities in cilia are involved in the development of some tumors, such as astrocytomas and glioblastomas (24,25). Understanding the key mechanisms that regulate sensation/transduction by cholangiocyte cilia or the phenotypic manifestations of these actions (i.e., the concentrations of intracellular Ca$^{2+}$ and cAMP) should facilitate the development of targeted therapies to prevent or halt these diseases. Indeed, a study recently found that treating PCK rats (an animal model of ARPKD) with octreotide, the synthetic analog of somatostatin, decreased cAMP levels in cholangiocytes, it suppressed hepatic cyst growth, and it reduced hepatic fibrosis (26). Clinical trials are underway to assess this therapeutic approach in humans. The current results indicated that cholangiocyte primary cilia in the study group were irreversibly damaged after surgery. These cilia were quite sparse at 2 weeks and nearly absent at 8 weeks. At 8 weeks, BECs had a normal morphology for the most part. BECs suffered irreversible injury at 16 weeks. In the study group, levels of $\alpha$-tubulin, PC-1, TRPV4, and P2Y$_{12}$ expression in intrahepatic bile ducts decreased markedly starting at 2 weeks. This finding indicates that the primary cilia were dysfunctional at the start of OLT and that this dysfunction was irreversible. In the control group, primary cilia defects and subsequent biliary injury were temporary, suggesting that ciliary abnormalities are part of the pathophysiology of GC. Genes and proteins that play a role in the structure or function of primary cilia may represent new targets for treatment of biliary lesions or reconditioning. Levels of biochemical indicators and bile duct morphology in the study group indicated that prolonged cold preservation of a donor liver can cause GC. Moreover, the current results suggested that prolonged cold preservation resulted in reduced expression of $\alpha$-tubulin, PC-1, TRPV4, and P2Y$_{12}$ in intrahepatic bile ducts, and this was in turn closely associated with GC. The current results suggest that prolonged cold preservation of a donor liver may cause GC by altering the integrity and functions of cholangiocyte primary cilia. This study focused on determining whether injury to the primary cilia is the determining factor for GC as a result of prolonged cold preservation. Although logistically difficult, examining abnormalities in primary cilia as a result of GC would prove interesting. There may be association between those abnormalities and GC, and such an approach would facilitate the study of the mechanisms of the disease and therapies to treat it. Nevertheless, whether or not the morphologically and functionally abnormal primary cilia that were observed lead to GC has yet to be determined. References 1. Chok KSH, Chan SC, Cheung TT, Sharr WW, Chan ACY, Lo CM, Fan ST. Bile duct anastomotic stricture after adult-to-adult right lobe living donor liver transplantation. Liver Transpl. 2011; 17:47-52. 2. Verdonk RC, Buis CI, van der Jagt EJ, Gouw ASH, Limburg AJ, Slooff MJI, Kleibeuker JH, Porte RJ, Haagsma EB. Nonanastomotic biliary strictures after liver transplantation, part 2: Management, outcome, and risk factors for disease progression. Liver Transpl. 2007; 13:725-732. 3. Vajdova K, Smrekova R, Kukan M, Lutterova M, Wsolova L. Bile analysis as a tool for assessing integrity of biliary epithelial cells after cold ischemia-reperfusion of rat livers. Cryobiology. 2000; 41:145-152. 4. Buis CI, Hoekstra H, Verdonk RC, Porte RJ. Causes and consequences of ischemic-type biliary lesions after liver transplantation. J Hepatobiliary Pancreat Surg. 2006; 13:517-524. 5. Wojcicki M, Milkiewicz P, Silva M. Biliary tract complications after liver transplantation: A review. Dig Surg. 2008; 25:245-257. 6. Praetorius HA, Spring KR. Bending the MDCK cell primary cilium increases intracellular calcium. J Membr Biol. 2001; 184:71-79. 7. Liedtke W. Transient receptor potential vanilloid channels functioning in transduction of osmotic stimuli. J Endocrinol. 2006; 191:515-523. 8. Masyuk AI, Gradilone SA, Banales JM, Huang BQ, Masyuk TV, Lee SO, Splinter PL, Stroope AJ, Larusso NF. Cholangiocyte primary cilia function as chemosensory organelles that detect biliary nucleotides via P2Y$_{12}$ purinergic receptors. Am J Physiol Gastrointest Liver Physiol. 2008; 295:725-734. 9. Juric-Sekhar G, Adkins J, Doherty D, Hevner RF. Joubert syndrome: Brain and spinal cord malformations in genotyped cases and implications for neurodevelopmental functions of primary cilia. Acta Neuropathologica. 2012; 123:695-709. 10. Qian Q. Non-random distribution and sensory functions of primary cilia in vascular, smooth muscle cells. J Invest Med. 2008; 56:615-615. 11. Kukan M, Haddad PS. Role of hepatocytes and bile duct cells in preservation-reperfusion injury of liver grafts. Liver Transpl. 2001; 7:381-400. 12. Li S, Stratta RJ, Langnas AN, Wood RP, Marujo W, Shaw BW Jr. Diffuse biliary tract injury after orthotopic liver transplantation. Ann J Surg. 1992; 164:536-540. 13. Strazzabosco M, Fabris L. Functional anatomy of normal bile ducts. Anat Rec. 2008; 291:653-660. 14. Esteller E. Physiology of bile secretion. World J Gastroenterol. 2008; 14:5641-5649. 15. Glaser S, Francis H, Demorrow S, Lesage G, Fava G, Marzioni M, Venter J, Alpini G. Heterogeneity of the intrahepatic biliary epithelium. World J Gastroenterol. 2006; 12:3523-3536. 16. de Rougemont O, Dutkowski P, Clavien PA. Biological modulation of liver ischemia-reperfusion injury. Curr Opin Organ Transplant. 2010; 15:183-189. 17. Rosen HR. Transplantation immunology: what the clinician needs to know for immunotherapy. Gastroenterology. 2008; 134:1789-1801. 18. Buis CI, Verdonk RC, Van der Jagt EJ, van der Hilst CS, Slooff MJ, Haagsma EB, Porte RJ. Nonanastomotic biliary strictures after liver transplantation, part 1: Radiological features and risk factors for early vs. late presentation. Liver Transpl. 2007; 13:708-718. 19. Kukan M, Haddad PS. Role of hepatocytes and bile duct cells in preservation-reperfusion injury of liver grafts. Liver Transpl. 2001; 7:381-400. 20. Schmidt A, Tomasdottir H, Bengtsson A. Influence of cold ischemia time on complement activation, neopterin, and cytokine release in liver transplantation. Transplant Proc. 2004; 36:2796-2798. 21. Chimalakonda AP, Mehvar R. Effects of methylprednisolone and its liver-targeted dextran prodrug on ischemia reperfusion injury in a rat liver transplantation model. Pharm Res. 2007; 24:2231-2238. 22. Fliegauf M, Benzing T, Omran H. When cilia go bad: Cilia defects and ciliopathies. Nat Rev Mol Cell Biol. 2007; 8:880-893. 23. Adams M, Smith UM, Logan CV, Johnson CA. Recent advances in the molecular pathology, cell biology and genetics of ciliopathies. J Med Genet. 2008; 45:257-267. 24. Moser JJ, Fritzler MJ, Rattner JB. Primary cilogenesis defects are associated with human astrocytoma/ glioblastoma cells. BMC Cancer. 2009; 17:448-460. 25. Han YG, Alvarez-Buylla A. Role of primary cilia in brain development and cancer. Curr Opin Neurobiol. 2010; 20:737-747. 26. Masyuk TV, Masyuk AI, Torres VE, Harris PC, Larusso NF. Octreotide inhibits hepatic cystogenesis in a rodent model of polycystic liver disease by reducing cholangiocyte adenosine 3',5'-cyclic monophosphate. Gastroenterology. 2007; 132:1104-1116. (Received May 23, 2014; Revised June 3, 2014; Revised August 9, 2014; Accepted August 12, 2014) Migration of breast cancer cells into reconstituted type I collagen gels assessed via a combination of frozen sectioning and azan staining Kyohei Fukuda, Yo Kamoshida, Taisuke Kurokawa, Mioto Yoshida, Yoko Fujita-Yamaguchi, Munehiro Nakata* Department of Applied Biochemistry, Tokai University, Hiratsuka, Kanagawa, Japan. Summary This study sought to devise a way to assess the infiltration of cancer cells in model stromal tissues. Human breast carcinoma MDA-MB-231 cells were loaded on the surface of a type I collagen gel in the well of 8-well chamber slide and allowed to migrate into the gel. The gel was then subjected to frozen sectioning and staining. Azan staining facilitated satisfactory microscopic observation of cancer cells migrating into the collagen gel. Cell migration was promoted by the presence of fetal calf serum in the gel. In contrast, the proportion of cells remaining on the gel surface increased in the presence of galardin, a matrix metalloproteinase inhibitor. Moreover, the distance of cell migration from the gel surface was significantly shorter depending on the concentration of galardin. Observation of cancer cell migration into reconstituted type I collagen gel with a combination of frozen sectioning and azan staining is a useful way to assess the ability of individual cancer cells to migrate and to evaluate how effectively pharmaceuticals inhibit the first step of invasion. Keywords: Cancer cell invasion, type I collagen, frozen section, azan stain, galardin 1. Introduction Cancer cells that develop in epithelial tissues destroy the basement membrane and invade stromal tissues (1,2). During invasion, some matrix metalloproteinases (MMPs) are involved in the degradation of extracellular matrix components such as type IV collagen in the basement membrane and type I collagen in stromal tissues (3,4). Since cancer cell invasion is an initial stage of metastasis, the ability to observe and control that invasion would benefit cancer research. A Boyden chamber assay is typically used to assess cancer cell invasion by comparing the number of cells on a gel surface to the number that reach the bottom of the gel (5-7). This method is convenient but it does not allow the detailed observation of the invasive characteristics of individual cancer cells. A previous study used time-lapse microscopy to dynamically observe the disappearance of cancer cells from the surface of reconstituted type I collagen gel into the gel (8). Results suggested that the migratory behavior of cancer cells varies depending on their malignancy and that their behavior is unique even when they are members of the same cell population. This previously described method is suited to counting cells disappearing from the gel surface and the Boyden chamber assay is suited to counting cells that reach the bottom of the gel, but neither is suited to observing cells that migrate into the gel. The present study used type I collagen gel as a model of stromal tissue and it prepared frozen sections of that gel in order to microscopically observe cancer cells both on the gel surface and in the gel. Staining to visualize cells in collagen gels and the effects of several pharmaceuticals on cell migration were also investigated. 2. Materials and Methods 2.1. Cells The human breast carcinoma cell line MDA-MB-231 was obtained from the American Type Culture Collection (ATCC; Rockville, MD, USA). The cells were maintained in high-glucose Dulbecco’s modified Eagle’s medium (DMEM; Invitrogen, Carlsbad, CA, USA) containing 10% fetal calf serum (FCS) supplemented with penicillin-streptomycin and 2 mM glutamine. Cells were cultured at 37°C in a 5% CO₂ atmosphere. The cells were harvested after pre-incubation in serum-free medium for 24 h at 37°C and resuspended in the same medium before use. 2.2. Reconstitution of collagen gel Reconstituted type I collagen gel was prepared as described before with some modifications (8). Briefly, a solution of bovine skin type I collagen (Koken, Tokyo, Japan) was diluted to 1 mg/mL in 0.05 M acetic acid and mixed with 10× DMEM and a reconstitution buffer (1 M Hepes buffer, pH 7.4, containing 10 M NaHCO₃) at a ratio of 8:1:1 (v/v, type I collagen solution/DMEM/reconstitution buffer). Two hundred µL of the solution was added to each well of an 8-well chamber slide (Nalge Nunc, Naperville, IL, USA) and the mixture was then incubated at 37°C for 18-20 h to form mature single-layer gels. Bilayer type I collagen gels were prepared as follows. A lower gel was first prepared by mixing 100 µL of 0.1% collagen solution with or without 10% FCS, DMEM, and reconstitution buffer (8:1:1, v/v) in an 8-well chamber slide. Two hundred µL of type I collagen gel without FCS (upper gel) formed on the solidified gel containing 8% FCS, as described earlier. 2.3. Incubation of cells on reconstituted type I collagen gel and frozen sectioning Two hundred and fifty µL of a cell suspension (4 × 10⁵ cells/mL) was loaded onto the reconstituted type I collagen gel in a chamber slide and incubated for 3 h at 37°C in a 5% CO₂ atmosphere. After incubation, the gel surface was rinsed twice with 250 µL of phosphate-buffered saline (PBS) and then DMEM containing 0.1% BSA to remove unbound cells. The gel was subsequently incubated for 18 h at 37°C in a 5% CO₂ atmosphere to allow the cells to migrate into the gel. To investigate the effects of pharmaceuticals such as the matrix metalloproteinase inhibitor galardin (Cosmo Bio Co., Ltd., Tokyo, Japan), type I collagen gels were prepared in the presence of pharmaceuticals of interest. Cells were pre-incubated with the same concentration of the pharmaceuticals for 30 min at 37°C and then allowed to migrate into the gels. After removing the medium on the gel surface, the gel was then mounted with an embedding compound (Tissue-Tek O.C.T. Compound; Sakura Finetechanical, Tokyo, Japan) and frozen at –80°C. The frozen gel was sliced perpendicular to the gel surface with a cryostat in sections with a thickness of 20 µm and the sections were placed on glass slides. 2.4. Azan staining of frozen collagen gel sections Frozen sections of reconstituted type I collagen gel into which cells had migrated were stained using conventional hematoxylin-eosin staining or azan staining that can stain cells and collagen fiber different colors (9,10). For azan staining, the sections were fixed with 20% (v/v) formalin solution for 2 min, soaked in xylene, and then successively immersed in 80% ethanol and 100% ethanol for 3 min each. For metachroming, the sections were immersed in 10% (w/v) potassium dichromate solution containing 10% (w/v) trichloroacetic acid for 10 min and then stained with 0.1% (w/v) azocarmine G (Alfa Aesar, Ward Hill, MA, USA) for 3 h with occasional observation under an optical microscope. After staining with azocarmine G, the sections were soaked in 0.1% (v/v) aniline in 95% (v/v) ethanol for a few seconds and then in 0.1% (v/v) acetic acid in 95% (v/v) ethanol for 1 min. After the sections were rinsed with water, they were immersed in 5% (w/v) phosphotungstic acid solution for 1 h and then stained with aniline blue-orange G solution (Wako Pure Chemical Industries, Osaka, Japan) for 1 h with occasional observation under an optical microscope. The stained sections were mounted and then observed under a microscope (×200 or ×400; BX-51, Olympus, Tokyo, Japan). 2.5. Data processing The distance each cell migrated from the gel surface was measured using at least 5 photographs of microscopic visual fields (× 200) or at least 150 cells. A Mann-Whitney U test was performed with StatMate III software (ATMS, Tokyo, Japan) and a p value less than 0.05 was considered significant. 3. Results 3.1. Enhanced visualization of cells in reconstituted type I collagen gel via azan staining While conventional histochemical staining using hematoxylin-eosin is not suited to identifying the gel surface (Figure 1A), azan staining is often used to distinguish collagen fibers in connective tissues (9,10). Azan staining was thus examined to microscopically observe the cancer cell distribution in frozen sections of reconstituted type I collagen gels. As shown in Figure 1B, azan staining of frozen sections stained cancer cells red and it stained type I collagen fibers blue. This facilitated the microscopic observation of the cancer cell distribution in reconstituted type I collagen gels. 3.2. Promotion of cell migration by FCS Cell migration into reconstituted collagen gels was promoted by using FCS as a chemoattractant. The following 2 types of gels were examined: $i)$ bilayer gels without FCS and $ii)$ bilayer gels with 8% FCS in the lower gel. As shown in Figure 2, the cell morphology changed dramatically and cell migration was promoted in the latter gel system using FCS. In the absence of FCS, 24.1% of cells remained on the gel surface and cells that migrated into the gel were distributed at a median distance of 17.5 µm (8.9, 21.1; $n = 216$) from the gel surface (data not shown). In contrast, the number of cells remaining on the gel surface decreased (11.9%) in the presence of FCS and the distance of migration from the gel surface increased to a median distance of 26.4 µm (15.8, 40.7; $n = 193$) (data not shown). ### 3.3. Cell migration in the presence of galardin During invasion, cancer cells produce MMPs to digest extracellular collagens (4). Galardin is a synthetic MMP inhibitor with a broad spectrum of activity against various MMP species (11,12). Figure 3 shows the distribution of the distance that cells migrated from the gel surface in the presence of lower gel containing 8% FCS for untreated cells and cells treated with various concentrations of galardin. The proportion of cells remaining on the gel surface was 2.9 ± 0.9% in the absence of galardin. This proportion increased to 6.8 ± 0.6% in the presence of 0.1 µM of galardin, to 7.7 ± 1.3% in the presence of 1 µM of galardin, and to 12.4 ± 2.0% in the presence of 10 µM of galardin (data not shown). Some cells migrated a relatively long distance in the presence of galardin but the median distance that cells migrated from the gel surface was significantly shorter than in the absence of galardin: 63.0 ± 2.1% in 0.1 µM of galardin, 57.1 ± 3.7% in 1 µM of galardin, and 45.7 ± 1.2% in 10 µM of galardin ($p < 0.001$). 4. Discussion The present study devised a novel approach to assess the invasive ability of cancer cells. Cells of the human breast carcinoma cell line MDA-MB-231 served as model cancer cells and reconstituted type I collagen gel served as a model of stromal tissue. Cancer cells migrating into the gel were satisfactorily observed using a combination of FCS to promote cell migration on the bilayer gel (Figure 2B) and azan staining of frozen sections of the gel (Figure 1B). This approach allows the observation of cells on the gel surface and cells migrating into the gel. Invasive ability can be assessed based on the proportion of cells migrating into the gel and the distance cells have migrated from the gel surface. The distance of migration can also be used to assessment the invasive ability of an individual cell. Additionally, this approach is suited to observing the promotion of cell migration by chemoattractants (Figure 2) and to assessing the inhibition of cell migration by pharmaceuticals such as galardin. Galardin is a known as MMP inhibitor (11-13) and is reported to prevent invasion and metastasis (14,15) (Figure 3). Recently, various quantitative methods of assessing cell migration and invasion have been reported (8,14-19). Some of these methods facilitate the fluorescence-assisted quantification or real-time observation of migrating cells. The present method involves observation of frozen sections, and this approach would facilitate immunocytochemistry to detect molecular species expressed on the cell surface or released around cells. Cancer cells invading stromal tissues have routes of migration that involves various matrix-degrading metalloproteinases, such as MMPs, and cell adhesion molecules, such as integrins (2,4,20-22). Since most of the previous studies of the migratory ability of cancer cells have mainly dealt with cell populations but not individual cells, a detailed molecular basis for individual characteristics of migratory ability needed to be elucidated. A previous study involving the real-time observation of cancer cell invasion noted that individual cells invaded at different times (8). The present study found that some cells remained on the gel surface while others migrated into the gel a considerable distance from the gel surface (Figure 3), suggesting that migratory ability exhibits individual characteristics. The present approach could be used to examine the individual characteristics of that ability in combination with immunocytochemistry. Carcinoma cell migration and invasion play a role in the initial phase of metastasis, in which cells migrate from a tumor to invade normal stromal tissues and then the circulatory system. Therefore, cells may migrate a long distance in stromal tissues. The present study using a model of stromal tissues suggested that some cells migrated a relatively long distance (Figure 3). In addition, the MMP inhibitor galardin was not very effective at inhibiting the long distance that cells migrated at the concentrations used in this study. Pharmaceuticals that can inhibit this cell migration step would help to prevent metastasis. In conclusion, the present study devised an approach to observe cancer cell migration into reconstituted type I collagen gel via a combination of frozen sectioning and azan staining. This approach is a useful way to assess the ability of individual cancer cells to migrate and to evaluate how effective certain pharmaceuticals are at inhibiting the first step of invasion process. Acknowledgements The authors wish to thank Dr. Keiko Sakai for her valuable input. The authors received a grant-in-aid for research and education from the Tokai University School of Engineering and technical support from the Department of Cell Biology and Histology, Education and Research Support Center, Tokai University School of Medicine. References 1. Hagedorn EJ, Sherwood DR. Cell invasion through basement membrane: the anchor cell breaches the barrier. Curr Opin Cell Biol. 2011; 23:589-596. 2. Valastyan S, Weinberg RA. Tumor metastasis: molecular insights and evolving paradigms. Cell. 2011; 147:275-292. 3. Liotta LA, Thorgeirsson UP, Garbisa S. Role of collagenases in tumor cell invasion. Cancer Metastasis Rev. 1982; 1:277-288. 4. Ennis BW, Matrisian LM. 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(Received August 20, 2014; Accepted August 25, 2014) Ferulic acid combined with astragaloside IV protects against vascular endothelial dysfunction in diabetic rats Yonghui Yin\textsuperscript{1}, Fanghua Qi\textsuperscript{2}, Zhenhua Song\textsuperscript{3}, Bo Zhang\textsuperscript{4}, Jialin Teng\textsuperscript{3,} \textsuperscript{1} Department of Endocrinology, the First Affiliated Hospital of Shandong University of Traditional Chinese Medicine, Jinan, Shandong, China; \textsuperscript{2} Department of Traditional Chinese Medicine, Shandong Provincial Hospital affiliated to Shandong University, Jinan, Shandong, China; \textsuperscript{3} Shandong University of Traditional Chinese Medicine, Jinan, Shandong, China; \textsuperscript{4} Department of Traditional Chinese Medicine and Traumatology, the Affiliated Hospital of Shandong Academy of Medical Sciences, Jinan, Shandong, China. Summary Dysfunction of the endothelium is regarded as an important factor in the pathogenesis of vascular disease in diabetes mellitus (DM). Unfortunately, prevention of the progression of vascular complications of DM remains pessimistic. Ferulic acid and astragaloside IV, isolated from traditional Chinese medicine \textit{Angelica sinensis} and \textit{Radix astragali} respectively, exhibit potential cardio-protective and anti-hyperglycemic properties. In the present study, we investigated the protective effects and underlying mechanism of ferulic acid and astragaloside IV against vascular endothelial dysfunction in diabetic rats. After the diabetic rat model was established using streptozotocin, sixty rats were divided into 6 groups (control, model, ferulic acid, astragaloside IV, ferulic acid + astragaloside IV, and metformin) and treated for 10 weeks. Blood samples were collected to measure levels of hemoglobin A1c (HbA1c), triglyceride (TG), total cholesterol (TC), low density lipoprotein cholesterol (LDL-C), low density lipoproteins (Ox-LDL), alanine aminotransferase (ALT), aspartate aminotransferase (AST) and creatinine (Cr), nitric oxide (NO) and endothelial nitric oxide synthase (eNOS), and abdominal aorta tissue samples were collected for observing histological morphology changes of endothelium and detecting gene and protein expression of nuclear factor-$\kappa$B (NF-$\kappa$B) P65, monocyte chemoattractant protein-1 (MCP-1), and tumor necrosis factor $\alpha$ (TNF-$\alpha$). We found that ferulic acid combined with astragaloside IV was capable of improving the structure of the aortic endothelium wall, attenuating the increase of HbA1c, TG, TC, LDL-C and Ox-LDL, promoting the release of NO and eNOS, and inhibiting over-activation of MCP-1, TNF-$\alpha$, and NF-$\kappa$B P65, without damage to liver and kidney function. In conclusion, ferulic acid combined with astragaloside IV exhibited significant protective effects against vascular endothelial dysfunction in diabetic rats through the NF-$\kappa$B pathway involving decrease of Ox-LDL, increase of NO and eNOS, and activation of NF-$\kappa$B P65, MCP-1 and TNF-$\alpha$. Keywords: Ferulic acid, astragaloside IV, vascular endothelial dysfunction, diabetes mellitus 1. Introduction Diabetes mellitus (DM) is a serious and complex chronic disease, which is dramatically increasing throughout the world. It has reached epidemic proportions worldwide and is associated with a large economic burden. According to a recent report, the number of diabetics is estimated to reach 439 million by 2030 worldwide (1). Diabetics show several complications, especially vascular complications (\textit{e.g.}, coronary insufficiency, cerebrovascular, and peripheral vascular disease), which are the main etiology for a great percentage of morbidity and mortality (2). Patients with DM exhibit complex... vascular changes, such as an accelerated atherosclerosis process and hypercoagulability (3). Atherosclerosis is a major factor that accelerates diabetic vascular complications and vascular endothelial dysfunction is considered to be the earliest detectable abnormality in the process of atherosclerosis (4). Thus, improving vascular endothelial dysfunction plays an important role in DM treatment. It is well-known that hyperglycemia-induced oxidative stress and inflammation play an important role in development of vascular endothelial dysfunction (5). Hyperglycemia stimulates the body to produce a large number of oxygen free radicals and then induces oxidative stress which damages vascular endothelial cells and causes DM vascular complications (6). Low density lipoproteins (Ox-LDL), an important product of oxidative stress, after binding with a specific receptor (Lectin-like OX-LDL receptor-1, LOX-1) on the surface of vascular endothelial cells, activates nuclear factor-kB (NF-κB), and mediates expression of some cytokines or inflammatory molecules including tumor necrosis factor α (TNF-α), intercellular adhesion molecule-1 (ICAM-1), vascular cell adhesion molecule-1 (VCAM-1), as well as monocyte chemoattractant protein-1 (MCP-1) (7,8). These cytokines facilitate the adhesion of neutrophils and monocytes to endothelium affecting production of endothelium-derived nitric oxide (NO), impairing endothelial dependent vasodilation function, inducing inflammatory damage of vascular walls, and initiating atherosclerosis (9). Although drugs and changing life styles have been widely promoted to control the complications of DM, unfortunately, the prevention of the progression of vascular complications in diabetic patients remains pessimistic (3). Therefore, an effective approach to prevent or delay the development and progression of diabetic vascular complications is urgently needed. In recent years, application of traditional Chinese medicines (TCMs) for DM and its related complications has received increasing attention due to their wide availability, low side effects, and proven therapeutic mechanisms and benefits. Many TCMs and their active components have been reported to have anti-hyperglycemic effects, for example Angelica sinensis, Radix astragali, Radix rehmanniae, Panax ginseng* (10,11). Angelica sinensis, which is called Dang-Gui in Chinese, has been mostly used to treat gynecological conditions and anemia for more than two thousand years in East Asia (12). In recent studies, Angelica sinensis and its active components have been shown to have multiple properties including cardio-protective, immune-modulatory, anti-oxidative, anti-inflammatory and so on (13). Ferulic acid (Figure 1A), as one of the major active components of Angelica sinensis, can effectively improve endothelial function in patients with coronary heart disease (14). Radix astragali, which is known as Huang-Qi in Chinese, is traditionally used for treatment of diabetes, cardiovascular diseases, and wound healing, exerting anti-hyperglycemic, antioxidant, anti-inflammatory and immune-modulatory effects (15,16). Recently, some active components isolated from Radix astragali including astragaloside IV (Figure 1B) have been demonstrated to have effects of alleviating glucose intolerance, insulin resistance, and hypertriglyceridemia in DM (16,17). Angelica sinensis combined with Radix astragali composes Dang-Gui-Bu-Xue-Tang which is a classical prescription in traditional Chinese medicine for treating inflammation and ischemic diseases (18). Moreover, Dang-Gui-Bu-Xue-Tang is proposed as a potentially useful adjuvant therapy for patients with insulin resistance and/or patients who wish to increase insulin sensitivity (19). In a word, Angelica sinensis and Radix astragali either used alone or in combination possess effective cardio-protective and anti-hyperglycemic activities. We speculate that ferulic acid combined with astragaloside IV should exhibit effects against vascular complications of DM. Thus, in the present study, we investigated the protective effects of ferulic acid and astragaloside IV against vascular endothelial dysfunction in diabetic rats. Furthermore, the underlying mechanisms for ferulic acid- and astragaloside IV-induced protective effects were investigated. ### 2. Materials and Methods #### 2.1. Chemicals Ferulic acid and astragaloside IV were purchased from Chengdu Kang Bang Biological Technology Co., Ltd., Chengdu, China. Metformin was purchased from Shanghai Squibb pharmaceutical Co., Ltd., Shanghai, China. They were diluted in 55°C normal saline immediately before each experiment. #### 2.2. Reagents High-fat and high-sugar diets were purchased from Shanghai Slac Laboratory Animal Co., Ltd., Shanghai, China. Streptozotocin was purchased from Sigma, St. Louis, MO, USA. Hemoglobin A1c (HbA1c) detection kit, NO kit and endothelial nitric oxide synthase (eNOS) kits were purchased from Nanjing Jiancheng Bioengineering Institute, Nanjing, China. The anti-TNF-α, anti-MCP-1, anti-NF-κB P65, anti-β-actin antibodies and second antibodies were purchased from Santa Cruz Biotechnology (Santa Cruz, CA, USA). Diaminobenzidine (DAB) horseradish peroxidase color development kit was purchased from Beyotime Institute of Biotechnology (Shanghai, China). Ox-LDL, TNF-α, and MCP-1 enzyme-linked immune-sorbent assay (ELISA) kits were purchased from Shanghai Dingguo Technology Co., Ltd., Shanghai, China. TRIzol reagent and SuperScript II First-Strand Synthesis System were purchased from Invitrogen (Grand Island, NY, USA). SYBR Premix Ex TaqTM kit was purchased from TaKaRa Bio Inc., Dalian, China. 2.3. Diabetes rat model and drug administrations Male Wistar rats (Animal experimental center of Shandong University, Jinan, China) weighting approximately 180–220 g were used in this study. They were kept in a room with a 12 h/12 h light/dark cycle and appropriate temperature (22-26°C) and humidity (55%), and given food and water ad libitum. After adaptive feeding for one week with blood glucose measured in the normal range, 60 rats were randomly divided into control group $(n = 10)$ and model group $(n = 50)$. The rats in the control group were fed normal chow diets, while the other rats were fed high-fat and high-sugar diets (containing 10.00% lard, 20.00% sucrose, 10.0% yolk powder, 0.50% sodium cholate and 59.50% normal chow) for 6 weeks. After an overnight fast, the rats in the model group were intraperitoneally injected with streptozotocin (40 mg/kg) and the rats in the control group were intraperitoneally injected with vehicle citrate buffer at a dose of 1 mL/kg. Seventy two hours after injection, tail blood samples were taken to test random blood glucose. Rats with random blood glucose levels > 16.70 mmol/L for three measurements were considered diabetic. Rats proven to be diabetic $(n = 50)$ were randomly assigned to five groups with 10 rats in each group: model group, ferulic acid group, astragaloside IV group, ferulic acid + astragaloside IV group, and metformin group. First, the rats were fasted overnight and blood samples were obtained from tails for biochemical determinations including fasting blood glucose (FBG), triglyceride (TG), total cholesterol (TC), low density lipoprotein cholesterol (LDL-C), alanine aminotransferase (ALT), aspartate aminotransferase (AST), creatinine (Cr) and so on. They were administrated with medications as follows: rats were treated with ferulic acid (50 mg/kg·d), or astragaloside IV (50 mg/kg·d), or ferulic acid (50 mg/kg·d) + astragaloside IV (50 mg/kg·d), or metformin (40.5 mg/kg·d), respectively by intragastric administration (\textit{i.g.}) every day for 10 weeks. Rats in the control group and model group were administered with the same volume of normal saline. Body weight of rats in each group was measured every week and tail blood samples were taken to test FBG every two weeks. All animal experiments were performed in accordance with the guidelines of Shandong University of Traditional Chinese Medicine for the care and use of laboratory animals and approved by the Animal Ethics Review Committee of Shandong University of Traditional Chinese Medicine. 2.4. Blood and tissue sample collection After 10 weeks of drug administration, the rats were fasted overnight, then weighed and anesthetized with 10% chloralhydrate (0.3 g/kg, intraperitoneally). After anesthesia, the rats were fixed, the chest opened to expose the heart, and the aorta was isolated. Blood samples were collected from the apex of the heart, and centrifuged at a speed of 3,000 r/min for 5 min. Serum was removed and aliquots for the respective analytical determinations, was stored at –80°C until analysis. The abdominal aorta was dissected carefully, cleaned of fat and adherent connective tissues. A segment of 15 mm in length was cut and fixed with 4% paraformaldehyde for hematoxylin and eosin (HE) staining and immunohistochemical staining, and a segment of 5 mm in length was cut and stored at –80°C for quantitative real-time RT-PCR and Western blot analysis. 2.5. Blood samples detection According to the manufacture's instructions, the following serum items were detected: First, FPG, TG, TC, LDL-C, ALT, AST and Cr were measured using a fully automatic biochemical analyzer (Olympus, Tokyo, Japan); second, HbA1c was detected to measure long-term blood glucose control; third, concentrations of NO and eNOS in serum were determined by the nitrate reductase method and a colorimetric method respectively. 2.6. HE and immunohistochemistry staining assay To observe the histological morphology changes of the abdominal aorta, HE staining was performed. First, abdominal aorta tissues were fixed with 10% neutral formaldehyde and dehydrated in graded ethanol (85%, 95%, and 100%). After permeation in xylene, they were embedded in paraffin. The paraffin blocks were cut into 2 μm slices, mounted onto glass slides and stained by standard techniques of HE staining according to previous studies. The specimens were examined using a Phenom desktop scanning electron microscope (FEI Company, USA). Immunohistochemistry staining assays were performed to analyze the protein expression of TNF-α, MCP-1, and NF-κB P65. Paraffin-embedded sections (3-5 μm thick) were cut from formalin-fixed abdominal aorta and carried out as described previously (20). First, paraffin sections were de-paraffinized, hydrated, and immersed in 0.3% hydrogen peroxide in methanol for 30 min to block the endogenous peroxidase activity. Second, the sections were incubated in primary antibodies (anti-TNF-α or anti-MCP-1 or anti-NF-κB P65) overnight at 4°C, followed by incubation in anti-mouse secondary antibody for 1 h at room temperature. Third, visualization was carried out using the DAB horseradish peroxidase color development kit, and slides were counter stained in hematoxylin-1. Finally, ten random fields were examined per slice for expression of TNF-α, MCP-1, and NF-κB P65 using an Olympus BX40 microscope at a magnification of ×400. Immunohistochemical results of TNF-α, MCP-1, and NF-κB P65 expression were assessed according to criteria described previously (21). Five fields for each sample were selected randomly for the calculation. The percentage and staining intensity of the positive cells were observed by Image-Pro plus 6.0 to quantify the expression of proteins: (i) Percentage of positive cells was graded on a scale 0-4, indicating 0%, < 10%, 10-50%, 50-80%, and 80-100%, respectively; (ii) Staining intensity of positive cells was graded on a scale of 0-4, indicating colorless, light yellow, brown yellow, and brown, respectively; (iii) The multiplication of percentage scores and staining intensity scores gave the positive rating: 0 means negative (-), 1-4 means weakly positive (+), 5-8 means positive (++), and 9-12 means strongly positive (+++). 2.7. ELISA assay ELISA assays were performed to determine the levels of OX-LDL in serum, and TNF-α and MCP-1 in abdominal aorta tissue, using commercially available kits according to the manufacturer’s instructions. The optical density was measured on a Bio-Rad Model 680 micro plate reader (Bio-Rad Laboratories, Hercules, CA, USA) at 490 nm. 2.8. Quantitative real-time RT-PCR assay Quantitative real-time RT-PCR was used to detect the mRNA expression of factors related to vascular endothelial dysfunction in the abdominal aorta of diabetic rats. First, total RNA was prepared from the abdominal aorta tissues by using TRIzol reagent according to the manufacturer’s instructions. Then, total RNA was reverse-transcribed into cDNA using the SuperScript II First-Strand Synthesis System according to the manufacturer’s directions. In the current study, relative mRNA expression levels for the target genes were determined by using glyceraldehyde 3-phosphate dehydrogenase (GAPDH) as normalization control. The primers for the target genes and GAPDH were shown as follows: TNF-α (198 bp): forward 5'-CTCATTCCTGCTCGTTGG-3', and reverse 5'-CTCCGCTTGGTGTTTT-3'; MCP-1 (131 bp): forward 5'-CTGTCAACGCTCTTGGG-3' and reverse 5'-GCCGACTATTTGGGAT-3'; GAPDH primers (199 bp): forward 5'-ATCGGACGCCTGGTTA-3' and reverse 5'-CGCTCTTGGAAGATGG-3'. Afterwards, according to the protocol of SYBR Premix Ex TaqTM kit, amplification of target genes and GAPDH were conducted in a 20 μL reaction mixture containing 10 μL SYBR (2×), 0.2 μL ROX Dye II, 2.5 μL each forward and reverse primers of each gene, 4 μL cDNA and 0.8 μL ddH₂O using ABI Prism 7500 Detection System (Applied Biosystems, Inc., USA). Thermal cycling parameters consisted of a hot-start at 95°C for 3 min followed by 45 cycles of 95°C for 20 s, 55°C for 15 s and extension at 72°C for 20 s. The analysis of relative gene expression was performed by comparative $2^{\Delta\Delta CT}$ method (22). 2.9. Western blot analysis Western blot analysis was performed to determine the expression of proteins-related to vascular endothelial dysfunction in the abdominal aorta of diabetic rats. The abdominal aorta was incubated with 50 μL RIPA lysis buffer at 4°C for 30 min and then the lysates (30 μg of protein per lane) were fractionated by SDS-PAGE. The proteins were electro-transferred onto polyvinylidene difluoride (PVDF) membranes. The membranes were first incubated in blocking solution (5% skim milk) for 1 h at room temperature and then incubated overnight at 4°C with the first antibodies: anti-TNF-α or anti-MCP-1 or anti- NF-κB P65. After they were washed with TBST (10 mM Tris-HCl, 0.15 M NaCl, 8 mM sodium azide, 0.05% Tween-20, pH 8.0) three times, the membranes were incubated with horseradish peroxidase-conjugated secondary antibodies for 1 h and then again washed with TBST three times. Finally, protein bands were visualized with an enhanced chemiluminescence (ECL) detection system. As an internal control, β-actin was detected with anti-β-actin antibodies. 2.10. Statistical analysis All experiments were performed in triplicate and the results are expressed as mean ± S.D. Statistical analysis was performed with one-way analysis of variance (ANOVA) and the Student’s t-test using SPSS.15.0 software (SPSS Inc., USA). $P < 0.05$ was indicative of a significant difference. 3. Results 3.1. The general condition of rats After treatment for 10 weeks, the rats in the control Table 1. The effects of ferulic acid and astragaloside IV on biochemical indexes and HbA1c of rats \| Group \| FPG (mmol/L) \| HbA1c (%) \| TG (mmol/L) \| TC (mmol/L) \| LDL-C (mmol/L) \| \|------------------------------\|--------------\|-------------\|-------------\|-------------\|----------------\| \| Control \| 5.43 ± 0.23 \| 5.4 ± 0.2 \| 0.85 ± 0.13 \| 1.88 ± 0.10 \| 0.30 ± 0.06 \| \| Model \| 22.28 ± 2.09 \| 14.5 ± 0.6 \| 2.01 ± 0.09 \| 2.79 ± 0.12 \| 5.20 ± 0.12 \| \| Ferulic acid \| 21.64 ± 1.25 \| 14.6 ± 0.5 \| 1.11 ± 0.18\| 2.10 ± 0.19\| 0.32 ± 0.10* \| \| Astragaloside IV \| 12.92 ± 2.94\| 9.5 ± 0.4* \| 1.94 ± 0.11 \| 2.64 ± 0.16 \| 0.65 ± 0.07 \| \| Ferulic acid + Astragaloside IV \| 12.72 ± 2.84 \| 9.2 ± 0.2 \| 1.08 ± 0.16\| 2.38 ± 0.10\| 0.38 ± 0.06 \| \| Metformin \| 7.64 ± 1.06\| 8.9 ± 0.4** \| 0.85 ± 0.13 \| 1.88 ± 0.10 \| 0.50 ± 0.20 \| Data are shown as mean ± S.D. (n = 10). * p < 0.05 and ** p < 0.01 versus Model group after treatment for 10 weeks. Figure 2. The contents of NO (A) and NOS (B) in the serum of diabetic rats. The data represent mean ± S.D. (n = 10). * p < 0.05 and ** p < 0.01 versus Model group. 3.2. The effects of ferulic acid and astragaloside IV on biochemical indexes and HbA1c of rats The effects of ferulic acid and astragaloside IV on biochemical indexes (e.g., FPG, TG, TC, and LDL-C) of diabetic rats are presented in Table 1. Compared to model group, levels of FPG in metformin group (p < 0.01), astragaloside IV group (p < 0.05) and ferulic acid + astragaloside IV group (p < 0.05) decreased significantly. However, there was no significant difference between FPG in the ferulic acid group and the model group (p > 0.05). Compared to the model group, the levels of HbA1c, TG, TC and LDL-C decreased significantly in the ferulic acid + astragaloside IV group (p < 0.01). Compared to the model group, both in the metformin group and astragaloside IV group, levels of HbA1c decreased significantly (p < 0.01) but the levels of TG, TC and LDL-C decreased non-significantly (p > 0.05). Compared to the model group, in the ferulic acid group, levels of TG, TC and LDL-C decreased significantly (p < 0.01) but levels of HbA1c decreased non-significantly (p > 0.05). Taken together, ferulic acid combined with astragaloside IV exhibited a significant effect on decreasing the levels of FPG, HbA1c, TG, TC, and LDL-C. In addition, there was no significant difference between ALT, AST, and Cr before and after treatment with ferulic acid and astragaloside IV (data not shown). 3.3. The effects of ferulic acid and astragaloside IV on NO and eNOS of rats After treatment for 10 weeks, the amount of NO and eNOS in serum were detected. As shown in Figure 2, the amount of NO and eNOS decreased in the model group and drug treatment groups compared to the control group. The amount of NO and eNOS in each drug treatment group (p < 0.05) especially ferulic acid + astragaloside IV group (p < 0.01) were higher than those in the model group. That is to say, compared to the model group, the amount of NO and eNOS in each drug treatment group increased. Moreover, in the ferulic acid + astragaloside IV group, the amount of NO and eNOS increased significantly compared to other treatment groups (p < 0.01). 3.4. The effects of ferulic acid and astragaloside IV on the histological morphology changes of abdominal aorta of rats As shown in Figure 3A, in the control group, the abdominal aorta intima was smooth, endothelial cell integrity was preserved, the single layer was close to the elastic plate and medial thickness was uniform. However, in the model group (Figure 3B), the typical three-layer structure of the aortic wall was not clear, and intimal thickness increased with irregular intima. In the drug treatment groups especially in ferulic acid combined with astragaloside IV group (Figure 3C-3F), the aortic intima was smooth and intimal thickening was less compared with the model group. Progression of aorta intima and endothelial structure were attenuated by ferulic acid and astragaloside IV therapy. In the ferulic acid + astragaloside IV group, as shown in Figure 3E, intima was smooth with little endothelial cell drop, and media smooth muscle cells proliferated with uniform thickness and regular arrangement. 3.5. The effects of ferulic acid and astragaloside IV on the expression of Ox-LDL, MCP-1, TNF-α and NF-κB P65 The expression of Ox-LDL in serum and the expression of MCP-1 and TNF-α in the abdominal aorta tissue were detected by ELISA assays. As shown in Figure 4, compared to the control group, both the expression of Ox-LDL, MCP-1, and TNF-α in the model group and each drug treatment group increased significantly. Furthermore, compared to the model group, the expression of Ox-LDL were significantly inhibited after treatment with ferulic acid single ($p < 0.01$) or ferulic acid combined with astragaloside IV ($p < 0.01$). Compared to the model group, the expression of MCP-1 and TNF-α were significantly inhibited after treatment with ferulic acid and astragaloside IV especially in the ferulic acid + astragaloside IV group ($p < 0.01$). However, the expression of Ox-LDL, MCP-1, and TNF-α was inhibited insignificantly in the metformin group compared to the model group. Taken together, ferulic acid combined with astragaloside IV exhibited the greatest effect on inhibiting the expression of Ox-LDL, MCP-1, and TNF-α compared to only treatment with ferulic acid, astragaloside IV or metformin alone. The mRNA expression of MCP-1 and TNF-α in the abdominal aorta of diabetic rats were detected by quantitative real-time RT-PCR assays. As shown in Figure 5, compared to the control group, the mRNA expression of MCP-1 and TNF-α in the model group and each drug treatment group increased significantly. Furthermore, compared to the model group, the Figure 5. The mRNA expressions of MCP-1 and TNF-α in the abdominal aorta of diabetic rats detected by quantitative real-time RT-PCR assay. The data represent mean ± S.D. (n = 10). p < 0.05 and p < 0.01 versus Model group. Figure 6. The protein expression of TNF-α, MCP-1 and NF-κB P65 in the abdominal aorta of diabetic rats in each group detected by immunohistochemistry staining assay (original magnification ×400). Figure 7. The protein expression of TNF-α, MCP-1, and NF-κB P65 in the abdominal aorta of diabetic rats in each group detected by Western blot analysis. The expression of MCP-1 and TNF-α were significantly inhibited in each drug treatment group especially in the ferulic acid + astragaloside IV group (p < 0.01). Ferulic acid combined with astragaloside IV exhibited the greatest effect on inhibiting the mRNA expression of MCP-1 and TNF-α compared to only treatment with ferulic acid, astragaloside IV or metformin alone. The protein expression of TNF-α, MCP-1, and NF-κB P65 were detected by immunohistochemistry staining and Western blot analysis. As shown in Figure 6 and Figure 7, compared to the control group, the expression of TNF-α, MCP-1, and NF-κB P65 increased significantly. Furthermore, compared to the model group, the levels of TNF-α, MCP-1, and NF-κB P65 were significantly down-regulated in each drug treatment group especially in the ferulic acid + astragaloside IV group. Ferulic acid combined with astragaloside IV exhibited the greatest effect on inhibiting the mRNA expression of MCP-1 and TNF-α compared to other treatment. 4. Discussion Dysfunction of the endothelium is regarded as an important factor in the pathogenesis of vascular disease in DM. In this work, we evaluated the protective effect of ferulic acid and astragaloside IV against vascular endothelial dysfunction in streptozotocin-induced diabetic rats. The major finding of this study was that ferulic acid combined with astragaloside IV was capable of improving the structure of the aortic endothelium wall (Figure 3), attenuating the increase of FPG, HbA1c, TG, TC, LDL-C (Table 1) and Ox-LDL (Figure 4), promoting the release of NO (Figure 2), and inhibiting over-activation of MCP-1, TNF-α, and NFκB P65 (Figures 4-7). Moreover, there was no damage to liver and kidney function after treatment with ferulic acid and astragaloside IV for 10 weeks. In a word, our data contribute in part to elucidate the molecular mechanisms involved in the protective effect of ferulic acid and astragaloside IV against vascular endothelial dysfunction in DM with little side effects. Ferulic acid combined with astragaloside IV might exhibit a significant protective effect against vascular endothelial dysfunction in DM via inhibiting the NF-κB pathway involving a decrease of Ox-LDL, an increase of NO and eNOS, and activation of NF-κB P65, MCP-1, and TNF-α. Hyperglycemia is generally considered as a harmful factor in vascular dysfunction, and the focus has been on tight blood glucose control as a treatment for diabetic patients (3). In the current study, we found that ferulic acid combined with astragaloside IV could effectively reduce the levels of FPG and HbA1c. Dyslipidemia is a major risk factor for atherosclerosis. Reducing high levels of TC, particularly LDL-C, decreases the risk for developing atherosclerosis (23). We found that ferulic acid combined with astragaloside IV could effectively reduce the levels of TG, TC, and LDL-C, and decrease the risk for vascular dysfunction in DM. DM has been known as an oxidative stress disorder which is caused by imbalance between free radical formation and the ability of the body’s natural antioxidants in hyperglycemia (24). Many studies have suggested that oxidative stress plays a key role in the pathogenesis of endothelial dysfunction, insulin resistance, and pancreatic β cell damage and so on in development and progression of DM as well as in complications (25). As a major product of oxidative stress, Ox-LDL induces apoptosis, monocyte adhesion, and reactive oxygen species generation via up-regulating and binding to its receptor LOX-1, and then causes toxicity to the vascular endothelial cells and causes endothelial dysfunction, which is considered to be a driving force in the initiation and development of atherosclerosis. Notably, the toxicity of Ox-LDL is not only damage of vascular endothelial structure, but more important is that Ox-LDL affects the secretion of endothelium-derived vasomotor factors and adhesion factors which leads to endothelial dysfunction (23). NO is an important vasomotor factor and endothelin (ET) is a stronger vasoconstrictor factor, which are secreted by vascular endothelial cells. Keeping balance between the levels of NO and ET is important in the maintenance of vascular endothelium diastolic function (26). Moreover, the production of NO in endothelial cells is mainly regulated by eNOS which is a nitric oxide synthase that generates NO in blood vessels and is involved with regulating vascular tone by inhibiting smooth muscle contraction and platelet aggregation (27). However, the production or activation of eNOS and NO could be reduced in endothelial cells attributed to oxidative stress and the increase of Ox-LDL in DM patients. Thus, regulating the activity of eNOS and promoting NO production might be key targets for prevention of endothelial dysfunction in DM. In the current study, we found that the levels of Ox-LDL were significantly decreased by ferulic acid and astragaloside IV (Figure 4). Furthermore, the activity of eNOS and the amount of NO in serum of diabetic rats were effectively improved after treatment with ferulic acid and astragaloside IV (Figure 2). That is to say, ferulic acid combined with astragaloside IV exhibited a significant protective effect against vascular endothelial dysfunction in DM via decreasing Ox-LDL and increasing NO. Some studies demonstrated that enhanced NF-κB activity is an important factor involved in macro- and microvascular dysfunction in diabetes. It is closely related to DM-associated oxidative stress and inflammation (28). In the state of hyperglycemia-induced oxidative stress, the elevation of free radicals could impair Ca$^{2+}$ translocation and then trigger NF-κB activation, reducing vascular contractibility and modifying some gene expression including cytokines (e.g., IL-6, TNF-α), angiotensin-II and adhesion molecules (e.g., ICAM-1, VCAM-1, and E-selectin) and chemokines (e.g., MCP-1, IL-8) released from vascular endothelial cells and causing endothelial dysfunction (29). Importantly, as well as hyperglycemia, cytokine stimulation (e.g., TNF-α, IL-1β, MCP-1, and ICAM-1) also could activate NF-κB via reactive oxygen species formation. In addition, NF-κB is one of the most important regulators of pro-inflammatory gene expression. In DM models, activation of NF-κB is correlated with an increased of some cytokine pro-inflammatory molecules. NF-κB could lead to or enhance expression of host genes, such as cytokine TNF-αand chemokine MCP-1, inducing inflammatory damage of vascular wall, and then initiating atherosclerosis (30). Thus, NF-κB plays critical roles in the pathophysiology of several process of vascular endothelial dysfunction in DM, and it is plausible that exogenous modulation of NF-κB activation may be effective in developing new therapeutic strategies. In the current study, we found that gene and protein expression of MCP-1, TNF-α, and NF-κB P65 were significantly inhibited by ferulic acid and astragaloside IV (Figures 4-7). That is to say, ferulic acid combined with astragaloside IV exhibited a significant protective effect against vascular endothelial dysfunction in DM via inhibiting the NF-κB pathway. In conclusion, the current study demonstrated that ferulic acid combined with astragaloside IV could effectively reduce the levels of FPG, HbA1c, TG, TC, and LDL-C. 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(Received July 22, 2014; Revised August 4, 2014; Accepted August 5, 2014) A simple, rapid, economical, and practical method for the determination of efavirenz in plasma of Chinese AIDS patients by reverse phase high-performance liquid chromatography with ultraviolet detector Kang Yin\textsuperscript{1,}, Xianmin Meng\textsuperscript{23,}, Ping Dong\textsuperscript{2}, Tianran Ding\textsuperscript{2}, Li Shen\textsuperscript{2}, Li Zhang\textsuperscript{2}, Renfang Zhang\textsuperscript{1}, Weimin Cai\textsuperscript{3}, Hongzhou Lu\textsuperscript{1,} \textsuperscript{1} Department of Infectious Diseases, Shanghai Public Health Clinical Center, Shanghai, China; \textsuperscript{2} Department of Pharmacy, Shanghai Public Health Clinical Center, Shanghai, China; \textsuperscript{3} Department of Clinical Pharmacy and Pharmaceutical Administration, School of Pharmacy, Fudan University, Shanghai, China. Summary This study aimed to develop a reverse phase high-performance liquid chromatographic (RP-HPLC) method for the determination of efavirenz in human plasma and to use it for determining the concentrations of efavirenz in Chinese AIDS patient. A simple mobile phase consisting of 0.01 mol/L NaH\textsubscript{2}PO\textsubscript{4} solution and acetonitrile (38:62, V/V) was pumped at a flow rate of 1.0 mL/min through a reverse phase Diamonsil C\textsubscript{18} column maintained at 30°C. Diazepam was used as an internal standard and monitored with efavirenz at 247 nm. The protein of 100 μL plasma sample was precipitated before 20 μL of the supernatant was directly injected into the column. The linear response over the concentration ranges 0.10–20.0 μg/mL was obtained and the linear regression equations was $Y = 2.2873X - 0.1449$ ($r = 0.9999$). The intra-day and inter-day precisions (1.9-2.6%, 2.2-7.2%, respectively), the relative and absolute recovery (99.3-106.3%, 75.6-80.3%, respectively) met the international standards. Stability of plasma samples were evaluated for short-term (ambient temperature for 16 h) and long-term (-20°C for 30 days) storage conditions and were found to be stable. The mean plasma concentration of efavirenz of the 406 patients was 2.21 ± 1.95 μg/mL, 77.3% of which were within the therapeutic window (1-4 μg/mL), 15.1% were below the window, and 7.6% were over it. In conclusion, the method had advantages of convenience, rapidity, necessary accuracy and precision, high practicality and met the needs for therapeutic drug monitoring and the pharmacokinetic study of efavirenz, especially in underdeveloped countries. For Chinese AIDS patients, it was beneficial to use efavirenz under the guidance of therapeutic drug monitoring. Keywords: Efavirenz, RP-HPLC, plasma concentration, AIDS 1. Introduction Efavirenz, a non-nucleoside reverse transcriptase inhibitor for the treatment of HIV infection, is recommended by WHO as a first-line drug with its excellent therapeutic effect. It has been widely used over the world, especially in underdeveloped countries, such as China and some African countries (1). Efavirenz is mainly metabolized by CYP2B6 enzyme. However, cytochrome P450 2B6 gene exhibits highly degrees of polymorphism (2), which has a great difference in allele frequency among races, thus leading to obvious differences in efavirenz plasma concentration, either among individuals or among races (3-6). In addition, rifampicin and voriconazole, etc., which is often simultaneously used in HIV-infected patients for concurrent diseases, have interactions with efavirenz. and affect efavirenz plasma concentration. Nowadays, many studies have shown that both the therapeutic effect and side effects of efavirenz are related to its plasma concentration (3,4,7-11). The generally accepted therapeutic window of efavirenz is 1-4 μg/mL (steady state trough concentration). A long-time exposure to a lower efavirenz trough concentration may easily lead to virologic failure or virus resistance to efavirenz, while a higher trough concentration may result in a higher risk of side effects and toxicities (7,11,12). A previous research shows that 28.6% of Chinese HIV-infected patients may have efavirenz plasma concentration above 4 μg/mL after taking a standard dose of efavirenz (600 mg, po, qd) (13). If we can monitor the plasma efavirenz concentration of the patients with efavirenz-containing antiretroviral treatment (ART) and adjust the dosage according to the results, a better therapeutic effect as well as a decline of side effects may be achieved (14-16), especially for patients taking rifampicin or voriconazole at the same time. Therefore, we need to develop a method for the quantitative determination of efavirenz in human plasma. Considering the actual situation in under-developed countries, the method must be simple, rapid, economical, and practical, with good accuracy and precision, selectivity, and sensitivity. Up to now, several methods for the determination of efavirenz in plasma using LC-MS (17,18), LC-MS-MS (19,20), MALDI-TOF/IOF (21), HPLC-PAD (22-25), etc., have been published. These methods may not be widely used in underdeveloped countries because of the inaccessibility and high costs of laboratory equipments. On the contrary, reverse phase high-performance liquid chromatographic with ultraviolet detector (RP-HPLC-UV) method is feasible due to its easy accessibility and low cost. Also, many HPLC-UV methods for determination of plasma efavirenz (23,26-31) or simultaneous determination with other drugs such as anti-tuberculosis (anti-TB) agents or other antiretroviral agents (24,32-50) have been reported. In most of these methods, the volumes of plasma used range from 200 to 900 μL (23,26-28,33,34,44-46), which were inapplicable for children due to the scarcity of sample. High-cost, complicated and time-consuming plasma sample pre-treatments such as solid-phase extraction (26,33,34,44-46), liquid-liquid extraction (23,24,27,28,32,35) appeared in some methods. A few of reported methods were difficult to repeat because of the lack of internal standard (26). Moreover, some methods had complicated mobile phase (34,37) or gradient elution (35,40,50), and some had a longer system run time (32,50). Therefore, none of the reported methods met all the requirements mentioned above. In our study we developed a method for plasma efavirenz determination by RP-HPLC with UV detector. In this method, 100 μL sample plasma was precipitated by 200 μL acetonitrile (including internal standard: diazepam) and the supernatant was directly injected into HPLC system without dilution after mixing and centrifugation. Isocratic elution was applied and the detection time was 7.5 min. The reliability and repeatability of this method was further verified by using it to determine efavirenz plasma concentrations in large samples. In a word, our method is simple, rapid, cost-effective, and can be applied in the therapeutic drug monitoring and pharmacokinetics researches on efavirenz, especially in underdeveloped countries. 2. Materials and Methods 2.1. Chemicals Efavirenz standard (99.8% purity) and efavirenz tablet (Stocrin®) were purchased from the Toronto Research Chemicals Inc. (North York, Canada, batch number 5-ABY-15-1) and Merck Sharp & Dohme (South Granville, New South Wales, Australia), respectively. Diazepam (99.5% purity, internal standard) was from the Sigma company (Shanghai, China, batch number 34H0556). Acetonitrile and methanol (HPLC grade) were obtained from Merck KGaA (Darmstadt, Germany), triethylamine and phosphoric acid (HPLC grade) from Tedia Company Inc (Fairfield, USA). NaH₂PO₄ was from Shanghai Clinical Research Center (Shanghai, China). Deionized water was processed through a water purification system (Yiyang Enterprise Development Company, Chongqing, China). 2.2. Chromatographic system The HPLC system, Shimadzu LC-20A (Kyoto Japan), was consisted of column compartment CTO-20A, degasser DGU-20AS, pump CBM-20A, auto-sampler SIL-20AC, and SPD-20AV UV detector. The eluent was monitored at 247 nm. Chromatographic separation was achieved at 30°C using a reverse phase YMC-Pack ODS-A C18 column (C18, 150 mm × 4.6 mm, 5 μm) with a guard column (ZORBAX Eclipse Plus-C18, 150 mm × 4.6 mm, 5 μm, Agilent Technologies, Santa Clara, USA). The mobile phase was consisted of 0.01 mol/L NaH₂PO₄ (containing 0.01 mol/L triethylamine, pH 5.2) and acetonitrile (32:62, V/V), and pumped at a flow rate of 1.0 mL/min. The injection volume was 20 μL (26,28,31,32). 2.3. Selection of study subjects, sample collection, and data collection Chinese AIDS outpatients, aging from 18 to 75 years, with no obvious hepatic or renal dysfunction, receiving efavirenz-containing ART at Shanghai Public Health Clinical Center from January 2012 to January 2013, were recruited to this study. Peripheral bloods (3-5 mL) were drawn 16 h after the last dose, and were put into heparin anticoagulant tubes (51). Plasma samples were heat-inactivated (56°C water bath for 60 min) and stored at -80°C before they were analyzed. Correlated information of the patients was collected, including gender, age, weight, height, hepatic and renal functions, antiretroviral regimen, efavirenz dosage, time of taking medicine, time of blood sample collection, drug combinations and adverse drug reactions (ADR). The study followed the Declaration of Helsinki and ethics approval was granted by the Ethics Committee of Shanghai Public Health Clinical Center. Written informed consent was obtained from each patient. 2.4. Preparation of various solutions NaH$_2$PO$_4$ buffer solution was prepared by dissolving accurately weighed NaH$_2$PO$_4$ (3.1202 g) and triethylamine (2.0238 g) in 2 L ultrapure water and blended well by ultrasonic. The pH value was adjusted to 5.2 using 20% phosphoric acid. The solution was degassed by ultrasonic for 20 min after vacuum filtration before using. Two hundred µg/mL efavirenz stock solution was prepared by dissolving accurately weighed efavirenz standard (10 mg) into a 50 mL mixture of methanol and water (1:1, V/V), and stored at 4°C before using. Working solutions of efavirenz in concentrations of 1, 2, 5, 10, 20, 30, 40, 80, 100, and 160 µg/mL were prepared by diluting stock solution of efavirenz with the mixture of methanol and water (1:1, V/V). The diazepam stock solution (100 µg/mL) was prepared by dissolving accurately weighed diazepam (10 mg) in 100 mL acetonitrile and stored at 4°C. Before sample preparation, 1 µg/mL diazepam working solution was prepared by diluting stock solution with acetonitrile. 2.5. Sample preparation One hundred µL plasma sample was transferred to 2 mL centrifuge tubes and 200 µL of diazepam working solution (acetonitrile with 1 µg/mL diazepam) was added. The mixture was blended for 2 min and was laid aside for 10 min at room temperature, then centrifuged at 15,000 rpm/min for 6 min. Twenty µL of the supernatant was directly injected into HPLC system under the condition described in 2.2. The chromatograms were recorded and concentrations of efavirenz were calculated. 2.6. Statistical methods Descriptive analysis was performed to determine the mean and the standard deviation (mean ± S.D.) for continuous variables such as age, height, body mass index (BMI), and the percentages for categorical variables such as sex. Plasma efavirenz concentrations were showed as mean ± S.D. Statistical analysis was carried out by SPSS 18.0. Normality test of the plasma efavirenz concentrations of different groups was assessed by Kolmogorov-Smirnov method before comparing. Levene's test was applied to determine variance homogeneity. Plasma efavirenz concentrations of multiple groups were compared with single factor analysis of variance. The comparison between two groups was performed with $t$-test if the data comply with the normal distribution. If not, difference tests were done using Mann-Whitney test or Kruskal-Wallis test. Analyses were done two-sided, and the result was considered as significance when the p value was below 0.05. 3. Results 3.1. Chromatographic behavior Figure 1 showed the typical Chromatograms of blank plasma (C), blank plasma spiked with efavirenz and diazepam (B), and plasma sample from a patient following the oral administration of 600 mg efavirenz tablet above two weeks (A). The retention times of efavirenz and diazepam were 6.475 min and 4.535 min, respectively. The peaks of the two components were well separated, whilst no endogenous compounds peak was found beside the peaks of efavirenz and diazepam in blank plasma. The retention times of efavirenz and diazepam from patient’s plasma sample are the same as those from standard substances, with good peak shapes and no interference peaks. 3.2. Drug combination test In clinical practice, efavirenz is often used simultaneously with other drugs such as fluconazole, voriconazole, zidovudine, lamivudine, stavudine, tenofovir, ritonavir, and rifampin, etc. In order to evaluate the effect of these drugs on chromatographic peaks of efavirenz and diazepam, 2 µg/mL standard solutions of above drug were prepared and 20 µL was injected into the HPLC system, respectively. The chromatograms showed that... the drugs above had no interference on the peak of efavirenz and diazepam. 3.3. Linearity Different concentrations of efavirenz (0.10, 0.50, 1.0, 2.0, 4.0, 8.0, 16 μg/mL) were prepared using blank plasma and standard substance. 0.1 mL sample plasma of each concentration was processed according to the sample preparation method and was quantified. According to the chromatography, the concentration of efavirenz (Y) between 0.10 and 16.0 μg/mL had a good linear correlation with the ratio of peak areas of efavirenz and diazepam, and a regression equation was established: $ Y = 2.2873X - 0.1449 $ ($ r = 0.9999 $). The lowest detection limit was 0.027 μg/mL (S/N = 3), while limit of quantification was 0.089 μg/mL (S/N = 10). 3.4. Recovery Varying concentrations of efavirenz quality control samples (0.3, 3.0, and 10.0 μg/mL) were prepared in blank human plasma and extracted as described above. Relative recovery was calculated by comparing the measured concentration according to regression equation with added concentration. Absolute recovery of the efavirenz was determined by comparing the peak area ratio after extraction with those of un-extracted solutions containing same concentrations of efavirenz as in plasma (Table 1). The relative recovery was 99.3-106.3% with RSD ranging from 3.2% to 4.5%, and the absolute recovery was 75.6-80.3% with RSD ranged from 2.8% to 4.8%. 3.5. Accuracy and precision In order to evaluate the accuracy and precision of the method, three different concentrations quality control samples of efavirenz (0.2, 3.0, 10.0 μg/mL) were prepared in blank human plasma and extracted as described above. Intra-day assay accuracy and precision was determined from the analysis of five replicate samples at each of the low, mid and high quality control standards, whereas, inter-day accuracy and precision involved the calculation of the mean values of fifteen samples at each of the low, mid and high quality control standards over three different days (Table 2). The intra-day and inter-day precision was 1.9-2.6% and 2.2-7.2%, respectively. 3.6. Stability 3.6.1. Stability of stock solution Stock solution of efavirenz (200 μg/mL) was taken out at day 1, 15, 30, 45, and 60, and then dissolved in methanol-water (1:1, V/V) at a concentration of 2 μg/mL, while stock solution of diazepam was dissolved in acetonitrile at a concentration of 1 μg/mL, 20 μL of each of which was injected into the HPLC system and determined under the chromatographic condition described in 2.2. The RSD of efavirenz and diazepam was 1.3% and 1.4%, proving the stability of stock solution of efavirenz and that of diazepam within 60 days. 3.6.2. Stability of plasma samples at ambient temperature Three different concentrations samples of efavirenz (0.2, 3.0, 10.0 μg/mL) were prepared in blank human plasma and were laid aside at room temperature. Samples of each concentration were extracted at 0, 2, 4, 8, 16 h and quantified by the HPLC system. The RSD of efavirenz at concentrations of 0.2, 3.0 and 10.0 μg/mL were 6.0%, 3.1% and 2.5%, respectively, proving the stability of plasma samples at ambient temperature in at least 16 h. 3.6.3. Stability at freezing state Three different concentrations samples of efavirenz (0.2, 3.0, 10.0 μg/mL) were prepared in blank human plasma and stored at -20°C. The frozen samples were taken out at day 0, 3, 6, 15, and 30, and processed. The efavirenz concentrations of these samples were determined. The RSD of efavirenz at concentrations of 0.2, 3.0, and ### Table 1. Results of recovery test of efavirenz \| Expected (μg/mL) \| Relative recovery \| Absolute recovery \| \|------------------\|-------------------\|-------------------\| \| \| Mean ± S.D., $ n = 5 $ \| Recovery \| RSD \| Mean ± S.D., $ n = 5 $ \| Recovery \| RSD \| \| 0.30 \| 0.319 ± 0.014 \| 106.3% \| 4.5% \| 0.756 ± 0.021 \| 75.6% \| 2.8% \| \| 3.00 \| 2.978 ± 0.095 \| 99.3% \| 3.2% \| 0.777 ± 0.033 \| 77.7% \| 4.2% \| \| 10.00 \| 10.316 ± 0.384 \| 103.2% \| 3.7% \| 0.803 ± 0.038 \| 80.3% \| 4.8% \| ### Table 2. Results of intra-day and inter-day accuracy and precision test of efavirenz \| Expected (μg/mL) \| Intra-day ($ n = 5 $) \| Inter-day ($ n = 15 $) \| \|------------------\|--------------------------\|--------------------------\| \| \| Mean ± S.D., μg/mL \| Accuracy \| Precision \| Mean ± S.D., μg/mL \| Accuracy \| Precision \| \| 0.30 \| 0.311 ± 0.006 \| 3.7% \| 1.9% \| 0.318 ± 0.023 \| 6.0% \| 7.2% \| \| 3.00 \| 3.070 ± 0.075 \| 2.3% \| 2.4% \| 3.009 ± 0.066 \| 0.3% \| 2.2% \| \| 10.00 \| 10.473 ± 0.267 \| 4.7% \| 2.6% \| 10.337 ± 0.229 \| 3.4% \| 2.2% \| Table 3. Demographic data and ART regimens, and influence on the efavirenz plasma concentrations \| Factors \| Categories \| $ n $ \| Percentage (%) \| Mean ± S.D. (µg/mL) \| $ p $ \| \|------------------\|-----------------------------------\|---------\|----------------\|---------------------\|--------\| \| Gender \| Male \| 364 \| 89.7 \| 2.18 ± 1.89 \| 0.646 \| \| \| Female \| 42 \| 10.3 \| 2.46 ± 2.40 \| \| \| Age \| < 60 \| 374 \| 92.1 \| 2.20 ± 1.96 \| 0.641 \| \| \| ≥ 60 \| 32 \| 7.9 \| 2.31 ± 1.89 \| \| \| BMI \| < 25 \| 105 \| 25.7 \| 2.23 ± 2.32 \| 0.529 \| \| \| ≥ 25 \| 301 \| 74.1 \| 2.20 ± 1.80 \| \| \| ART regimens \| Zidovudine + Lamivudine + Efavirenz \| 224 \| 55.2 \| 2.24 ± 2.05 \| 0.206 \| \| \| Stavudine + Lamivudine + Efavirenz \| 109 \| 26.8 \| 2.27 ± 2.07 \| \| \| \| Tenofovir + Lamivudine + Efavirenz \| 65 \| 16.0 \| 1.95 ± 1.39 \| \| \| \| Others \| 8 \| 2.0 \| 2.53 ± 1.16 \| \| 10.0 µg/mL were 4.3%, 5.2%, and 3.6%, respectively, proving the stability of plasma samples at −20°C in at least 30 days. 3.6.4. Stability of freezing and thawing cycles Three different concentrations samples of efavirenz (0.2, 3.0, 10.0 µg/mL) were prepared in blank human plasma and extracted after three times freezing and thawing cycles. The RSD of efavirenz at concentrations of 0.3, 3.0, and 10.0 µg/mL were 7.7%, 4.1%, and 1.3%, respectively, proving the stability of plasma samples after exposing to three freeze-thaw cycles. 3.6.5. Stability of re-dissolved supernatants at ambient temperature Efavirenz with blank plasma at concentrations of 0.2, 3.0, and 10.0 µg/mL were dealt with according to the method described above. The supernatants were assessed for stability at ambient temperature at hour 0, 3, 6, and 12. The RSD of efavirenz concentration were 5.2%, 4.3%, and 2.0%, respectively, which proved the stability of re-dissolved supernatants in 12 h at ambient temperature. 3.7. Clinical application Four hundred and six plasma samples of Chinese AIDS patients were dealt with and determined. The mean steady state trough concentration of the 406 patients was 2.21 ± 1.95 µg/mL, 77.3% of which were within the therapeutic window (1-4 µg/mL), 15.1% were below the window, and 7.6% were over it. The highest concentration was 14.89 µg/mL, 36 folds as the lowest concentration (0.41 µg/mL). Plasma efavirenz concentrations had no significant difference among the groups ($ p > 0.05 $) divided by the patients’ gender, age, BMI and therapeutic regimen (Table 3). 4. Discussion As mentioned above, although there are many methods for determination of efavirenz in plasma, most of them have high requirements for equipments and technologies, hardly repeated in undeveloped countries. The method established in this paper, by RP-HPLC with UV detector, has a lower requirement for equipments compared to reported methods (17-25). In our method, diazepam was used as internal standard because of its cheapness, accessibility, and well-separated with efavirenz. But patients who take diazepam had to be excluded so as to avoid the interference on the results. For sample pretreatment, 100 µL plasma was mixed with 200 µL acetonitrile (with 1 µg/mL diazepam) to precipitate protein, and the mixture was centrifuged and then the supernatant was directly injected into the HPLC system. In contrast to solid-phase extraction, liquid-liquid extraction (23,24,26-28,32-35,38,44-46), this method has advantages of simplicity, rapidity, economical and low requirement for plasma volume, suitable for pediatric patients. As shown in Figure 1, endogenous substances have no interference on the peak of efavirenz and diazepam, and the column pressure have no obvious rise after the determination of over 400 plasma samples, which indicated that plasma proteins could be precipitated completely in this method. The detection wavelength of 245, 246, 247, 250 nm were used in different methods (26,28,31,33). In our study, 100 µg/mL solution of efavirenz standard were scanned by ultraviolet spectrophotometer ranging from 190-500 nm, and a maximum absorption was achieved at 247 nm with no interference, so 247 nm was chosen as detective wavelength. As to mobile phase, complicated mobile phase and time-wasting gradient elution were reported. In this paper, we finally took 0.01 mol/L NaH₂PO₄ (containing 0.01 mol/L triethylamine, pH 5.2)-acetonitrile (38:62, V/V) as mobile phase after repeated attempts with reference to other reports (26,28,31,32). The addition of diluted phosphoric acid and triethylamine adjusted the pH of the mobile phase, improved the peak shapes of the efavirenz and diazepam. Under the chromatographic conditions described above, the system run time was 7.5 min and efavirenz was well-separated from internal standard diazepam with good peak shapes. The retention times of efavirenz and diazepam were 6.475 min and 4.535 min, respectively. Figure 1 showed that blank plasma samples had no peak near the retention time of efavirenz and diazepam. No endogenous substances or other co-administered drugs such as zidovudine, lamivudine, stavudine, tenofovir, ritonavir, lopinavir, fluconazole, voriconazole, and rifampicin interfered with the chromatogram of efavirenz and diazepam. The standard curve parameters of efavirenz concentrations ranging from 0.10 to 16.0 μg/mL showed a linear relationship between peak area and concentrations. The absolute recoveries of efavirenz at a concentration of 0.3, 3.0, and 10.0 were 75.6%, 77.7%, and 80.3%, while the relative recovery were 106%, 99.3%, and 103%, respectively. The intra-day and inter-day RSD for standards at a concentration of 0.3, 3.0, and 10.0 μg/mL ranged from 1.9 to 2.6% and 2.2 to 7.2%. The lowest detection limit and limit of quantification estimated mathematically from the standard curve equation were 27 ng/mL and 89 ng/mL, respectively. Via the tests on the repetitiveness, accuracy and the stability, supposed this method was reliable. The mean efavirenz concentration of 406 Chinese AIDS patients was 2.21 ± 1.95 μg/mL, which was in accordance with two other published papers related to Chinese patients (13,52), but a little lower than that of Spanish (2.27 μg/mL) (53). Of all the plasma samples, 77.3% were within the therapeutic window of 1-4 μg/mL, 15.1% below 1 μg/mL, and 7.6% over 4 μg/mL, which showed that a considerable proportion of Chinese patients might have a higher risk of treatment failure or ADR. There was no significant difference of plasma efavirenz concentrations among the groups divided according to gender, age, BMI, and ART regimens, which indicated that efavirenz concentrations would not be influenced by demographic backgrounds or regimens in Chinese patients. It had been reported that the main reason leading to wide intra- and inter-individual variability of plasma efavirenz concentrations was the polymorphism of CYP2B6 gene. For example, CYP2B6 516 G>T, a SNP highly related to the concentration of efavirenz, has a high mutation frequency. In Chinese, the mutation frequency of the SNP was at a higher level, 18-35% from different reports (52,54-56). This may well explain part of the difference in plasma efavirenz concentrations in Chinese AIDS patients. Therefore, in virtue of the great difference in pharmacodynamics and pharmacokinetics of efavirenz among races and individuals, the close relationship between therapeutic effects or side effects and its plasma concentration, and the higher prices of efavirenz, the dose of efavirenz should be individualized on the basis of therapeutic drug monitoring for patients with high frequency of CYP2B6, so as to improve therapeutic efficacy, to reduce the incidence of ADR, and to cut public health expenditure. In conclusion, with its simplicity, fastness, accuracy and reliability, the method introduced above is suitable for therapeutic drug monitoring and pharmacokinetic study of efavirenz, especially in economically challenged countries. Chinese AIDS patients, with the great inter-individual difference of plasma efavirenz concentrations, need therapeutic drug monitoring when taking efavirenz. Acknowledgements This work was supported by the 12th Five-year Plan, the People's Republic of China (NO: 2012ZX10001003); the 12th Five-Year Major New Drug Discovery Science and Technology: Technology Platform Construction of anti-HIV drugs clinical evaluation (NO: 2012ZX09303013), the People's Republic of China; and Shanghai municipal natural science foundation (14ZR1434900). We thank all the patients and research assistants for their cooperation. References 1. Bock P, Fatti G, Grimwood A. Comparing the effectiveness of efavirenz and nevirapine for first-line antiretroviral therapy in a South African multicentre cohort. Int Health. 2013; 5:132-138. 2. Ward BA, Gorski JC, Jones DR, Hall SD, Flockhart DA, Desta Z, Gorski JC, Jones DR. The cytochrome P450B6 (CYP2B6) is the main catalyst of efavirenz primary and secondary metabolism: Implication for HIV/AIDS therapy and utility of efavirenz as a substrate marker of CYP2B6 catalytic activity. J Pharmacol Exp Ther. 2003; 306:287-300. 3. 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Summary Malignant pericardial effusion is one of the severe complications in advanced lung cancer patients, seriously affecting the patient's cardiopulmonary function and even life. Pericardial drainage and instillation of anti-neoplastic drugs in the pericardial cavity seems to offer the best chance of controlling pericardial effusion. We reported a case concerning treatment of a 63-year-old man in advanced lung cancer with a large amount of pericardial effusion. We utilized pericardium puncture and drainage combined with instillation of Cinobufacini injection in the pericardial cavity to treat pericardial effusion. After treatment with Cinobufacini injection for two weeks, the patient was followed up in one month to assess effectiveness, quality of life, and safety. We found that the cardiac tamponade symptoms such as difficult breathing, chest distress, and palpitations were significantly relieved. The patient's quality of life was effectively improved with KPS scores increased. We also found that the levels of tumor marker CA-125 in the pericardial effusion decreased (from 340.80 U/mL to 34.85 U/mL) and pericardium B ultrasound showed that the quantity of pericardial effusion reduced significantly (from 2.5 cm to 0.6 cm). Furthermore, there were little gastrointestinal adverse reactions and myelosuppression in the patient after instillation of the Cinobufacini injection. Taken together, this provides a new way for treating cancerous pericardial effusion, especially for patients who cannot tolerate instillation of chemotherapy drugs, and is worthwhile to carry out more standardized studies in the future. Keywords: Cinobufacini injection, malignant pericardial effusion, advanced lung cancer, intrapericardial instillation 1. Introduction Lung cancer is the leading cause of cancer-related mortality in men and women throughout the world and contributes approximately 1.37 million deaths per year worldwide (1). A series of complications occurs in advanced lung cancer, including malignant pleural effusion, pericardial effusion, central airway obstruction, and superior vena cava syndrome, which threatens life and necessitates urgent palliation (2). As one of the most common complications of advanced lung cancer, malignant pericardial effusion often leads to chronic cardiac tamponade and obstinate cardiac insufficiency, seriously affecting the patients' cardiopulmonary function and even life (3). Recently, various approaches have been proposed to prevent occurrence of pericardial effusion: extended drainage, pericardial window, sclerosing local therapy, local and/or systemic chemotherapy, and radiation therapy (4). For advanced lung cancer with pericardial effusion, pericardial drainage and the use of local anti-neoplastic therapy seems to offer the best chance of controlling effusion. Local instillation of anti-neoplastic agents (e.g., cisplatin) is used to cure the metastases rather than simply prevent effusion by drainage with short-term effective rates at 76-100% (5,6). Although local instillation of chemotherapy is extremely effective, there are different levels of digestive tract, liver and kidney damage and blood toxicity reactions and other adverse reactions (6). Thus, it is urgent to look for novel anti-neoplastic agents to treat pericardial effusion. Recently, traditional Chinese medicines have attracted attention as candidates for treating malignant pericardial effusion opening a new research direction. Cinobufacini injection or Huachansu injection, an aqueous extract from the skin and parotid venom glands of the toad (Bufo bufo gargarizans Cantor) that contains Chansu, is a Chinese medicine preparation widely used in clinical cancer therapy in China (7). Cinobufacini injection used alone or in combination with other chemotherapeutic agents (e.g., gemcitabine and oxaliplatin) have significant anticancer activity against many human cancers, such as non-small-cell lung cancer. It can improve the patients’ quality of life and even effectively reduce tumor shrinkage with little toxicity (8). However, there are few reports about treating malignant pericardial effusion by instillation of Cinobufacini injection. In our department, pericardium puncture and pericardial cavity instillation of Cinobufacini injection using indwelling catheter drainage were performed for treating one advanced lung cancer patient with malignant pericardial effusion. The effect was satisfactory with good safety. Now the case report is presented as follows. 2. Case report The patient was a 63-year-old man. Three years ago, he underwent a right lower pulmonary lobectomy because of lung space-occupying lesions according to CT examination results. The post-operative course was uneventful and pathology showed squamous carcinoma. After the operation, the patient received radiotherapy 30 times and six cycles of chemotherapy with regimens of gemcitabine with cisplatin, and the process of radiotherapy and chemotherapy went smoothly. Two years ago, the patient went to Cancer Institute & Hospital, Chinese Academy of Medical Sciences re-checking with chest CT examination and the results showed right side pleural effusion with a new and small amount of pericardial effusion. Since the symptoms including dyspnea, cough, and being flustered was not evident at that time, the patient didn’t accept any systematic therapy for pericardial effusion. A month later, the patient felt that symptoms such as dyspnea, cough, and being flustered became more serious than before, so he came to our hospital for a re-check. We found that the patient had no history of heart failure but was associated with different levels of cardiac tamponade symptoms and signs such as difficulty in breathing, being flustered, coughing repeatedly, orthopnea, distension of the jugular vein, heart enlargement, etc. Chest CT examination showed right side pleural effusion with a large amount of pericardial effusion and the heart B-ultrasound showed that the effusion had a length-diameter more than 2.0 cm (Note: the effusion quantity detected by echocardiography is commonly classified based on the method proposed by Dr. Weitzman (9), a small amount of effusion is defined as the maximum diastole dark space in the pericardial cavity < 1.0 cm while 1.0–1.9 cm for the medium amount of effusion, > 2.0 cm for a large amount of effusion). Furthermore, the level of CA-125 (340.80 U/mL) was extremely increased in the pericardial effusion. At the same time, no acid fast bacilli or toxic symptoms of TB were detected in pericardial effusion. Taken together, according to the patient’s symptoms and signs and auxiliary examinations such as chest CT or pericardium B ultrasound, the diagnosis was clear: the patient showed phase IV advanced lung cancer with a large amount of pericardial effusion. After being diagnosed, the patient was hospitalized in our department many times to improve pericardial effusion. First, the pericardium puncture was guided by ultrasonic probe positioning and a central venous catheter was indwelled for drainage. Briefly, after the puncture point was located by B ultrasound, the needle was inserted into the patient until the effusion was taken out and a guide wire was implanted slowly from the end of the needle puncture, and then the central venous catheter was entered into the pericardial cavity within 10 to 15 cm along with the guide wire, and finally the guide wire was pulled out and the central venous catheter was fixed for continuous drainage. Second, after drainage, the pericardium B ultrasound was performed to confirm if the pericardial effusion had completely drained out (the residual effusion in the pericardial cavity ≤ 0.2 cm), and then 40 mL of Cinobufacini injection was injected into the pericardial cavity. Finally, the catheter was closed and fastened, and the patient was advised repeatedly to change positions in order to ensure a maximum contact area between the drug and the inner pericardial cavity. Treatment took place twice per week with a course every two weeks. After treatment with a Cinobufacini injection course and one month later, the patient was followed up to assess effectiveness, quality of life, and safety. Furthermore, routine physical examinations, lab tests including blood routines, tumor markers in the pericardial effusion such as CA-125 and CEA, and morphologic imaging tests were performed during each follow-up. The response to Cinobufacini injection in treatment of malignant serous membrane cavity effusion was assessed using the WHO criteria (1979) as follows: (i) Complete response (CR): It was defined as effusion disappears entirely maintaining for at least 4 weeks according to clinical examination, chest radiography, CT or echocardiogram; (ii) Partial response (PR): It was defined as effusion reduced by more than 50% maintaining for at least 4 weeks; (iii) No remission (NR): It was defined as effusion beyond control or the effusion Table 1. The results of intrapericardial instillation of Cinobufacini injection for malignant pericardial effusion \| Items \| Before Cinobufacini injection instillation \| After Cinobufacini injection instillation one month later \| \|------------------------------\|--------------------------------------------\|----------------------------------------------------------\| \| Symptoms \| Difficult breathing, chest distress, and palpitations \| Difficult breathing relieved, no chest distress and palpitations \| \| KPS scores \| 50 points \| 80 points \| \| Blood routine \| WBC: 7.3610^9/L (N); RBC: 1.63T/L (L); HGB: 55 g/L (L) \| WBC: 6.5110^9/L (N); RBC: 2.33T/L (L); HGB: 85 g/L (L) \| \| Tumor markers \| CA-125: 340.80 U/mL (H); CEA: 2.07 ng/mL (N); NSE: 1.65 ng/mL (N) \| CA-125: 34.85 U/mL (N); CEA: 2.25 ng/mL (N); NSE: 8.35 ng/mL (N) \| \| Pericardium B ultrasound \| Quantity of pericardial effusion: 2.5 cm \| Quantity of pericardial effusion: 0.6 cm \| Note: N means normal, L means low, and H means high. quantity reduced less than 50% (10). The effective rate was worked out by CR + PR. Quality of life was assessed using Karnofsky performance scale (KPS) scores with a score from 0 to 100, where 0 is dead and 100 is completely normal (11). The safety profile was assessed by recording: adverse events, physical examinations, and lab and imaging tests. The process of pericardium puncture was successful and the patient did not experience any adverse effects including complications of drainage insertion, or infection with indwelling pericardial catheters after puncture. Furthermore, the patient was steady without any discomfort in the process of continuous drainage. After Cinobufacini injection instillation, adverse reactions such as pain, gastrointestinal reactions, shock, infection, hemorrhage, arrhythmia and pulse pause, acute pulmonary edema and heart failure did not occur. After treatment with Cinobufacini injection for two weeks, the patient was followed up one month to assess effectiveness, quality of life, and safety. The treatment outcomes of the patient are summarized in Table 1. The cardiac tamponade symptoms were significantly relieved and symptoms such as difficult breathing, chest distress, and palpitations were eased with KPS scores increased to 80 points. Blood routine examinations showed that there was no myelosuppression with hemoglobin (HGB) increased from 55 g/L to 85 g/L. The levels of tumor marker CA-125 in pericardial effusion decreased from 340.80 U/mL to 34.85 U/mL and the levels of tumor marker CEA were normal. Pericardium B ultrasound showed that the quantity of pericardial effusion was significantly reduced. The maximum diastole dark space in the pericardial cavity decreased from 2.5 cm to 0.6 cm (Figure 1). That is to say, that pericardial effusion was reduced by more than 50% maintaining more than 4 weeks. The clinical response to treatment was PR. 3. Discussion Malignant pericardial effusion is one of the severe complications in advanced lung cancer patients. It often affects circulatory and respiratory functions rapidly causing difficulty in breathing, fluttering, shortness of breath, chest distress, cough, inability to be supine, heart failure and even death. It seriously affects the patient's survival and quality of life (3). Thus, the immediate control of pericardial effusions is mandatory for both survival and an improvement in the performance status and the quality of life of patients. Pericardium puncture and drainage could effectively relieve the above symptoms, however, if only simple pericardial drainage is performed, effusion recurrences can be observed in up to 40% of cases (12). Instillation of cytotoxic chemotherapy drugs in the pericardial cavity is most commonly used, which can kill tumor cells directly and eliminate the effusion. However, because of the limited efficacy of existing chemotherapy drugs, obvious toxicity, and easily relapsed malignant pericardial effusion, patient's quality of life, treatment and prognosis are significantly affected (13). Therefore, it is a big issue or challenge to control the malignant pericardial effusion clinically and an urgent need is to actively seek new efficient low-toxicity drugs. In recent years, many traditional Chinese medicines have been shown to have potent anti-cancer effects and have attracted considerable interest as potential candidates for the development of novel cancer therapeutics. Chansu is a traditional Chinese medicine obtained from the post-auricular and skin glands of Bufo bufo gargarizans Cantor, which has been used to treat conditions like swelling, pain, and heart failure for thousands of years in China and has recently been used for treatment of cancer because of its anticancer effects (14). Cinobufacini, a traditional Chinese medicine containing the water-soluble components of Chansu, exhibits a variety of biological activities, such as anesthetic, anodyne, antimicrobial, cardioactive, and antineoplastic properties (15). Currently, Cinobufacini has been developed into a variety of dosage forms such as tablets, oral solutions, and injections which are approved by the Chinese State Food and Drug Administration (SFDA) and widely used to treat patients with lung, liver, colon, and pancreatic cancers at oncology clinics in China (7,8). It could effectively inhibit cell proliferation, induction of cell differentiation and apoptosis, disruption of the cell cycle, inhibition of cancer angiogenesis, reversal of multi-drug resistance, and regulation of the immune response in cancer cells (14). It also could effectively enhance physical immunity and improve the quality of life with little toxicity in cancer patients. Recently, Cinobufacini injection has been reported to be effective for treating malignant pleural effusions and ascites. Zhang et al. found that symptoms such as cough, chest pain, difficult breathing, and chest distress were significantly relieved and the cancer patients’ quality of life was improved after intrapleural instillation of Cinobufacini injection with little gastrointestinal adverse reactions, myelosuppression and nephrotoxicity (16). Furthermore, Cinobufacini injection in combination with Cisplatin treating malignant pleural effusions by intrapleural instillation exhibited great synergistic action while improving efficiency and reducing the toxicity of Cisplatin (17). Ran reported that Cinobufacini injection in combination with BCG-polysaccharide nucelic acid treating malignant pleural effusions and ascites was effective for improving KPS scores with little adverse reaction (18). Taken together, instillation of Cinobufacini injection might be an effective therapy for malignant pleural effusions and ascites, especially for the patients who could not tolerate instillation of chemotherapy drugs. However, there are few reports on instillation of Cinobufacini injection treating malignant pericardial effusion. In the current study, we utilized pericardium puncture and drainage combined with instillation of Cinobufacini injection in the pericardial cavity to treat one advanced lung cancer patient with malignant pericardial effusion. The effect was satisfactory with good safety. We found that the cardiac tamponade symptoms such as difficult breathing, chest distress, and palpitations were significantly relieved after treatment with Cinobufacini injection. The patient’s quality of life was effectively improved with KPS scores increased. We also found that the levels of tumor marker CA-125 in pericardial effusion decreased and pericardium B ultrasound showed that the quantity of pericardial effusion was significantly reduced. Furthermore, there were little gastrointestinal adverse reactions and myelosuppression in the patient after instillation of Cinobufacini injection in the pericardial cavity. To sum up, the current case report indicates that Cinobufacini injection instillation therapy is likely to become a new option for advanced lung cancer patients. with malignant pericardial effusion. It is easy to perform with little adverse reactions. It can relieve the patient's suffering and improve quality of life. It provides a new way for treatment of cancerous pericardial effusion, especially for patients who cannot tolerate instillation of chemotherapy drugs, and it is worthwhile to carry out clinical observations using a larger group of patients and further standardized studies in the future. Acknowledgements This project was supported by the National Natural Science Fund of China (No. 81373832). References 1. World Health Organization. Cancer, 2013. Http://www.who.int/mediacentre/factsheets/fs297/en/ (Accessed May 23, 2014). 2. Gompelmann D, Eberhardt R, Herth FJ. Advanced malignant lung disease: What the specialist can offer. Respiration. 2011; 82:111-123. 3. Jiang QA, Zhou YD, Cheng GE, Gong FY, Zhang SY, Lang FP, Zhao MH. Clinical observation on pericardial effusion in patients with lung cancer treated by intrapericardial catheterization and infusion of highly agglutinative staphylococcin and cisplatin. Chin Ger J Clin Oncol. 2006; 5:316-318. 4. Lestuzzi C. Neoplastic pericardial disease: Old and current strategies for diagnosis and management. World J Cardiol. 2010; 2:270-279. 5. Imazio M, Adler Y. Management of pericardial effusion. Eur Heart J. 2013; 34:1186-1197. 6. Wu YF, Yu Lei, Wang JW. Advances in medical treatment of malignant pericardial effusion. Oncology Progress. 2007; 5:352-354. 7. Qi F, Li A, Inagaki Y, Gao J, Li J, Kokudo N, Li XK, Tang W. Chinese herbal medicines as adjuvant treatment during chemo- or radio-therapy for cancer. Biosci Trends. 2010; 4:297-307. 8. Meng Z, Yang P, Shen Y, Bei W, Zhang Y, Ge Y, Newman RA, Cohen L, Liu L, Thornton B, Chang DZ, Liao Z, Kurzrock R. Pilot study of huachansu in patients with hepatocellular carcinoma, nonsmall-cell lung cancer, or pancreatic cancer. Cancer. 2009; 115:5309-5318. 9. Weitzman LB, Tinker WP, Kronzon I, Cohen ML, Glassman E, Spencer FC. The incidence and natural history of pericardial effusion after cardiac surgery – an echocardiographic study. Circulation. 1984; 69:506-511. 10. Zhang X, Hu Y, Wang J, Zhang S, Tao H, Jing S, Wu B. Efficacy of recombinant adenoviral human p53 gene in treatment of malignant pleural or peritoneal effusions. Zhongguo Fei Ai Za Zhi. 2013; 16:153-156. 11. Leppert W, Majkowicz M, Forycka M, Mess E, Zduńczyewska A. Quality of life assessment in advanced cancer patients treated at home, an inpatient unit, and a day care center. Onco Targets Ther. 2014; 7:687-695. 12. Martinoni A, Cipolla CM, Civelli M, Cardinale D, Lamantia G, Colleoni M, DeBraud F, Susini G, Martinelli G, Goldhirsh A, Fiorentini C. Intrapericardial treatment of neoplastic pericardial effusions. Herz. 2000; 25:787-793. 13. Prados J, Alvarez PJ, Melguizo C, Rodriguez-Serrano F, Carrillo E, Boulaiz H, Vélez C, Marchal JA, Caba O, Ortiz R, Rama A, Aranega A. How is gene transfection able to improve current chemotherapy? The role of combined therapy in cancer treatment. Curr Med Chem. 2012; 19:1870-1888. 14. Qi F, Li A, Inagaki Y, Kokudo N, Tamura S, Nakata M, Tang W. Antitumor activity of extracts and compounds from the skin of the toad Bufo bufo gargarizans Cantor. Int Immunopharmacol. 2011; 11:342-349. 15. Qi F, Li A, Inagaki Y, Xu H, Wang D, Cui X, Zhang L, Kokudo N, Du G, Tang W. Induction of apoptosis by cinobufacini preparation through mitochondria- and Fas-mediated caspase-dependent pathway. Food Chem Toxicol. 2012; 50:295-302. 16. Zhang LP, Jin J, Zhao YY, Wang M. The curative effect on intrapleural hyperthermic perfusion of Cinobufacini injection plan in the treatment of malignant pleural effusion. Asia-Pacific Traditional Medicine. 2013; 9:174-175. (in Chinese) 17. Chen WM. The clinical observation on Cinobufacini injection in combination with Cisplatin treating malignant pleural effusions by intrapleural instillation. Journal of Clinical Medicine in Practice. 2013; 17:115-116. (in Chinese) 18. Ran ZR. Intracavitary infusion of Cinobufacini injection combined with BCG-polysaccharide nuceic acid or cisplatin in the treatment of malignant pleural and peritoneal effusions. Tumor. 2008; 28:517-519. (in Chinese) (Received April 14, 2014; Revised June 20, 2014; Accepted July 2, 2014) Japan's emerging challenge for child abuse: System coordination for early prevention of child abuse is needed Kenzo Takahashi\textsuperscript{1,}, Hideyuki Kanda\textsuperscript{2}, Nagisa Sugaya\textsuperscript{2} \textsuperscript{1} Graduate School of Public Health, Teikyo University, Tokyo, Japan; \textsuperscript{2} Department of Epidemiology and Public Health, Graduate School of Medicine, Yokohama City University, Kanagawa, Japan. Summary* At the end of 2013, a Japanese newspaper reported that 4,173 children were unidentified or missing in Japan. The article concluded that child abuse was a matter of national concern. In examining the strengths and weaknesses of Japan's welfare system in regard to child abuse, it would seem that a weakness exists with regard to its ambiguity on the roles of different officers who contact suspected cases. Although three types of officer (health, welfare, and police officers) can take charge, child abuse cases might be missed because the division of labor varies between the different types of officer. However, a strength exists in the periodical pediatric health check system that is in place in each of Japan’s 1,742 municipalities. To efficiently implement early intervention for child abuse, it is necessary to rearrange the division of labor among the three types of officers to clarify who should intervene in suspected cases. Keywords: Child abuse, Japan, pediatric health checks Child abuse is a national concern in Japan. The number of child abuse notification cases is increasing (1). The Japanese police report that 32 children were killed by abuse in 2012. Of the 59,919 cases that resulted in notification in 2011, physical abuse accounted for 36.6%, followed by neglect (31.5%), psychological abuse (29.5%), and sexual abuse (2.4%) (2). Worldwide, the estimated number of homicide deaths in children under 15 amounts is approximately 34,000 (3). Gilbert \textit{et al.} report that about 4-16% of children experience physical abuse and that one in ten is neglected or psychologically abused. As for sexual abuse, between 5% and 10% of girls and up to 5% of boys are exposed to penetrative sexual abuse during childhood (4). The difficulty in early detection of child abuse is that it usually occurs behind closed doors in a home environment, and that the main players in the abuse, usually parents, may be unaware that they are committing abuse. In Japan, this is further complicated by the fact that people nearby who suspect child abuse may be reluctant to notify authorities because it tends to be viewed as a family affair. Thus, the true situation of child abuse is likely to be hidden. Those who engage in the management of child abuse view it as a difficult challenge (5). On December 31, 2013, \textit{The Yomiuri Shimbun} (a Japanese newspaper) reported that 4,173 infants were unidentified or missing in Japan, and concluded that child abuse was a matter of concern (6). The article reported that the newspaper had conducted a questionnaire survey targeting all of Japan’s 1,742 municipalities in November 2013. Each municipality notes instances of non-attendance at periodical pediatric health checks; 334 municipalities showed the probable existence of missing infants. Some municipality officers were reported to have conducted home visits to check if the children were brought up in a safe environment. Others reported that they only performed a phone or mail survey and simply asked whether the infants in question were being nurtured properly. The article concluded that Japan has no surveillance system for identifying missing children with regard to cases of possible child abuse. From the above-mentioned article, we see the strengths and weaknesses of Japan's welfare system for children and gain a clue as to how the early prevention of child abuse might be achieved. With regard to early detection, the weakness of Japan’s system is in the ambiguity of the roles of the different types of officer who make contact with suspected child abuse cases. Throughout Japan, three types of officer (police, welfare, and health officers) can, in principle, take charge in cases of child abuse. While health officers take charge in the health service (including through consultation of parents suspected of abuse), welfare officers are generally in charge of managing child abuse cases. Welfare officers collect information on notifications of abuse from neighbors of the families in which child abuse is suspected and hospital staff, including medical doctors. Aside from these points of contact, police officers receive notification in cases where law enforcement might be necessary. The roles for identifying child abuse seem to be deliberate because there is an overlap in the roles of the three types of officer. However, child abuse cases might be missed due to the lack of clear definition. In fact, while the number of notifications has increased year by year, there has not been a corresponding decrease in the number of confirmed child abuse cases. In the Netherlands, pediatricians are trying to detect child abuse among children who present to the emergency department (7). Learning from these practices, Japanese pediatricians are also trying to identify abuse cases at the emergency department and several manuals have been published and circulated (5). However, the efficacy of this type of medical approach has a limitation in that its basic focus is on the detection of physical abuse. We believe that a population-focused approach would be more effective in the early detection of child abuse. A possible avenue for a population-focused approach to child abuse prevention in Japan exists in the periodical pediatric health check system, which is in place in every municipality of Japan. Health checks are provided, free of charge, for children aged 3-4 months, 1.5 years and 3 years (8, 9). All of the target children are registered and health officers at their corresponding municipalities have contact with parents. Thus, it would seem to be relatively easy to monitor attendance of pediatric health checks. Properly utilized, pediatric health checks could provide an innovative and functional avenue for facilitating the early prevention of child abuse. For that purpose, it is necessary to redefine the mandate of the pediatric health check system and to rearrange the division of labor among health officers, welfare officers and police, in order to clarify who should intervene in cases where child abuse is suspected. References 1. Ministry of Health, Labour and Welfare, Japan. Child Abuse Prevention Measures. Ministry of Health, Labour and Welfare, Tokyo, Japan, 2011. 2. Cabinet Office, Japan. White Paper on Children and Young People, 2013. Cabintet Office, Tokyo, Japan, 2013. 3. World Health Organization. Fact Sheet: Child Maltreatment. World Health Organization, Geneva, Switzerland, 2014. 4. Gilbert R, Widom CS, Browne K, Fergusson D, Webb E, Janson S. Burden and consequences of child maltreatment in high-income countries. The Lancet. 2009; 373:68-81. 5. Japan Pediatric Society. The Manual for Child Abuse Management (2nd ed.). Japan Pediatric Society, Tokyo, Japan, 2014. 6. Whereabouts of 4,200 kids in Japan unknown. The Yomiuri Shimbun/Asia News Network. Tokyo, Japan, Dec 31, 2013 (in Japanese). 7. Teeuw AH, Derkx BHF, Koster WA, van Rijn RR. Educational paper: Detection of child abuse and neglect at the emergency room. Eur J Pediatr. 2012; 171:877-885. 8. Nakamura Y. Maternal and Child Health Handbook in Japan. Japan Medical Association Journal. 2010; 53:259-265 (in Japanese). 9. Yoda T, Takahashi K, Yamauchi Y. Japanese trends in breastfeeding rate in baby-friendly hospitals between 2007 and 2010: A retrospective hospital-based surveillance study. BMC Pregnancy Childbirth. 2013; 13:207. (Received June 9, 2014; Revised August 1, 2014; Accepted August 2, 2014) Guide for Authors 1. Scope of Articles BioScience Trends is an international peer-reviewed journal. BioScience Trends devotes to publishing the latest and most exciting advances in scientific research. Articles cover fields of life science such as biochemistry, molecular biology, clinical research, public health, medical care system, and social science in order to encourage cooperation and exchange among scientists and clinical researchers. 2. Submission Types Original Articles should be well-documented, novel, and significant to the field as a whole. 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NO Laughing MATTER A NIGHT OF COMEDY AND ILLUSION BENEFITING THE CHILDREN’S BRAIN TUMOR PROJECT PROGRAM 7:00 PM Cocktail Hour, Kai Brown Coley on Piano 8:00 PM Welcome Brooke Baldwin and Anthony Trimarchi, President, Children’s Brain Tumor Project Foundation 8:10 PM Comedian Regina Decicco 8:20 PM Comedian Jordan Carlos 8:30 PM Dr. Jeffrey Greenfield presents Liz Laugh Love award to Jonathan and Brittany Cogan 8:45 PM Comedian Mark “Jiggy” Jigarian 8:55 PM Comedian Eric D’Alessandro 9:05 PM Dr. Mark Souweidane introduces patient/Comedian Anthony Greco 9:20 PM Research Appeal 9:30 PM Josh The Foodie Magician 10:00 PM Stage Program Concludes OUR BOARD OF DIRECTORS Anthony Trimarchi, Tina Peloquin, Cindy Campbell, Tessa Naso, Emma Hill, Dana MacNaughton, Shirah Dunphy, Kyle Fisher, Kathleen O’Connell. SPECIAL THANKS TO Tara Lipton, Dinner Chair whose tireless efforts ensure the success of this event year after year. Amelia Whitmire, Project Manager Beth Raskin, Event Coordinator Mary Zappulla, Producer OUR HONOREES Jonathan and Brittany Cogan The fifth annual Liz Laugh Love award is being presented to Brittany and Jonathan Cogan, cofounders of the Ellie Ruby Foundation. Brittany and Jonathan Cogan were living the life of ordinary parents until July 18, 2020, when their world was turned upside down. On that day, their 10-month-old daughter, Ellie, was diagnosed with brain cancer. The shock, fear, and disbelief that followed were overwhelming, but instead of letting this devastating news define them, the Cogans turned their tragedy into a mission of hope and support for others. Realizing the prevalence and underfunding of pediatric cancer, Brittany and Jonathan founded The Ellie Ruby Foundation. Their goal is to raise awareness about pediatric cancer, secure funding for critical research, and offer much-needed support to families facing similar challenges. Their efforts radiate strength and compassion, channeling their experience into a powerful vision that has touched the lives of many. One of the first investments they made was in support of Dr. Jeffrey Greenfield’s research at the Children’s Brain Tumor Project, Weill Cornell Medicine. Dr. Greenfield has been part of Ellie’s care team since day one, when he skillfully resected her tumor and cultured her tumor tissue in his lab for further analysis. His team continues to study her tumor tissue today, providing fuel for research into a range of pediatric brain tumors that may improve outcomes for children diagnosed in the future. The Cogans’ dedication to this cause serves as a testament to their resilience and love, proving that even in the face of life-altering adversity, hope and determination can shine through. As they continue to fight for a cure and provide essential support to families in need, Brittany and Jonathan are not only honoring Ellie’s journey but also inspiring others to join them in this vital cause. OUR BENEFICIARIES Dr. Jeffrey P. Greenfield is Professor of Neurological Surgery and Pediatrics and Vice Chairman of Academic Affairs in the Department of Neurological Surgery at Weill Cornell Medicine. He co-founded the Children’s Brain Tumor Project (CBTP) with Dr. Mark Souweidane, where he is also the scientific director. Dr. Greenfield specializes in pediatric neurological surgery and neuroscience. His passion for exploring the biology of pediatric brain tumors drove the CBTP to become one of the earliest adopters of precision medicine approaches for children with pediatric brain tumors. As a result, all children who receive care at Weill Cornell Medicine have their tumors analyzed by a world-class team of scientists to help define a targeted treatment plan. Dr. Greenfield is the Principal Investigator (PI) on a large-scale precision medicine program and PI on the Gift from a Child rapid autopsy donation program. He founded tumor registries for thalamic gliomas and gliomatosis cerebri (two rare and highly invasive gliomas) and directs several other research projects, with particular interests in the pediatric brain tumor microenvironment and pediatric brain tumor immunology. His research has been widely published—he has contributed to more than 100 peer-reviewed publications—and he has received various awards from neurosurgical societies. Dr. Mark M. Souweidane is Professor of Neurological Surgery, Director of Pediatric Neurosurgery, and Vice Chairman of the Department of Neurological Surgery at Weill Cornell Medicine. He also co-directs the CBTP alongside Dr. Greenfield. Dr. Souweidane’s clinical and scholarly contributions have helped define the contemporary fields of minimally invasive endoscopic surgery and direct drug delivery for brain tumors. His passion lies in discovering curative options for children with rare and often inoperable brain tumors through alternative drug delivery approaches. He directs a translational team at the CBTP lab focusing on novel drug delivery techniques for childhood brain tumors. He is the PI for a clinical trial using convection-enhanced delivery (CED) and immuno-radiotherapy as a novel therapeutic approach for children with Diffuse Intrinsic Pontine Glioma (DIPG). In 2017, Dr. Souweidane was selected by the National Cancer Institute (NCI) to serve as the Neurological Surgery Special Expert on its Brain Malignancies Steering Committee (BMSC) and was appointed to the Children’s Oncology Group (COG) CNS Steering Committee. Both Dr. Greenfield and Dr. Souweidane have clinical appointments at the combined pediatric neurosurgery service of NewYork-Presbyterian Hospital (Weill Cornell Medicine and Columbia University Irving Medical Center) as well as at Memorial Sloan Kettering Cancer Center. THE NEED FOR RESEARCH FUNDING Brain cancer is the most fatal of all cancers in children, but funding for pediatric brain cancer research is scarce. The current standard of care for children with brain tumors is often ineffective and causes severe short and long term side effects. At the CHILDREN’S BRAIN TUMOR PROJECT (CBTP), Weill Cornell Medicine, we aim to improve outcomes for children with brain tumors by advancing scientific discovery and clinical research that focuses on targeted therapy, effective drug delivery, and low treatment-related toxicity. Applying research findings to innovative frontline therapies for children with brain tumors can increase the efficacy of treatment while minimizing long-term side effects. We need scientific advances to be adopted into upfront treatment protocols, and at the CBTP we have the talent, technology, and commitment to make that happen. Researching tumor tissue at the molecular level and testing drugs against patient tumors in the lab to evaluate efficacy and determine the ideal drug delivery method prior to administering treatment is critical to saving lives. Yet, this methodology is not standard-of-care, nor is it funded by health insurance. The majority of our financial support comes from family-founded nonprofits and individual donors who have been directly impacted by a pediatric brain tumor diagnosis. We simply can’t continue this life-saving work without the support of our donors, and we thank you. HOW TO MAKE A DONATION 1 - When you checked in, a link was sent to your phone that allows you to login to the event site with a unique code. Here you can quickly and easily donate to the research appeal from your phone via credit card. 2 - There are QR codes posted throughout the venue (and here) that will take you straight to the donation page, where you can also donate by credit card. 3 - Each place-setting includes a postcard that can be filled out with your contact and credit card information (if you do not wish to process online), or an option to pay by check. If you opt to donate through a charitable trust, DAF, or stock transfer, the tax identification number is EIN 46-4537457 and we can follow-up with you post-event. 4 - Donate by personal check. You can fulfill your pledge by checking out at the registration desk before leaving tonight. BROOKE BALDWIN is a TV host, award-winning journalist and bestselling author. Brooke most recently published a bombshell first person essay in Vanity Fair entitled: “Leaving CNN Was How I Found My Voice.” She’s now the author of a Substack entitled “Unraveling, with Brooke Baldwin.” This year Brooke hosted a popular social experiment show on Netflix called The Trust. For more than a decade, Brooke anchored her own live daily news show on CNN and was renowned for her versatility, authenticity, and humanity at the news desk. Brooke is the author of the bestselling book Huddle: How Women Unlock Their Collective Power, redefining the word ‘huddle’ to explore how women lean on one another to provide support, empowerment, inspiration, and the strength to enact meaningful change. Brooke just moved to Los Angeles after a ten year run in New York City. She is a proud graduate of the University of North Carolina at Chapel Hill. IG: @Brooke_Baldwin KAI BROWN-COLEY is a brain cancer patient. He is also on the Autism Spectrum. But first and foremost, he is a fun-loving, kind-hearted, 11-year-old with an invigorating laugh and the gift of music at his fingertips. Since his original diagnosis in 2019, Kai has endured seven surgeries, 38 sessions of radiation, a CAR T-cell clinical trial, numerous physical and occupational therapy sessions, several inpatient hospital stays, and countless doses of medications and IV placements. He has re-learned how to walk, talk, and swallow. Even now, post-treatment, he lives with ongoing nausea and balance issues in addition to the developmental obstacles already in his path due to Autism. Somehow, you will still find him smiling or laughing, and nothing brings him more joy than playing piano. During the pandemic, Kai taught himself via online piano tutorials and has been honing his craft with teachers Michelle Casillas and Ed Pastorini ever since, including composing 50+ original pieces. Over the past two years, Kai has performed at four recitals for Allegria Piano Studio and as a special guest performer at benefits for the Children’s Brain Tumor Foundation, Ronald McDonald House, and Make A Wish Foundation; helping to raise awareness and funding for the fight against pediatric cancer. Tonight, at No Laughing Matter, Kai shares his music in support of the work of his brain surgeon, Dr. Jeffrey Greenfield, and the Children’s Brain Tumor Project. photo credit: Karen Segal REGINA DECICCO is famous for her crowd work and she leverages that talent as she warms up the audience at The View on ABC every day. Regina recently appeared on Sherri Shepherd’s show Sherri as part of her Laugh Lounge segment. For the last three years she has warmed up the audience for NBC’s Rockefeller Center Christmas Tree Lighting. ABC News sent Regina to Philadelphia to warm up both President Joe Biden’s and President Trump’s Town Halls, and she also went to New Hampshire to warm up the audience for the 2020 Democratic Presidential Debate for ABC News. In addition, Regina warmed up the audience for both of Showtime’s Funny Women of a Certain Age television standup specials, starring The Nanny herself Fran Drescher and comedy greats like Caroline Rhea, Lynne Koplitz, and Luenell. Regina has hosted Bloomingdale’s “Make-Up Date” event in Westchester, sharing the stage with TV personality Carson Kressley. At night, you can find Regina performing at the world famous Comedy Cellar in NYC and Gotham Comedy Club. You can sometimes hear Regina on SiriusXM, either as part of The Ladies of Laughter From The Friars Club album or as a guest contributor to The Howard Stern Show. Regina has performed at the “We’ve Got Friends” Annual Golf Classic alongside Whoopi Goldberg, ABC’s Deborah Roberts and DeMarco Morgan and Jericka Duncan of CBS, as well as Broadway’s Sydney James Harcourt; “We’ve Got Friends” is a program that provides hangouts for teens with special needs. IG: @regina.decicco X: @ReginaDeCicco JORDAN CARLOS is a stand up comedian and actor based in New York. He most recently starred in and wrote for the first season of Phoebe Robinson’s “Everything’s Trash” (Freeform). He has also written for “Divorce” (HBO), written and performed on “First Wives Club” (BET) and written/performed for “The Nightly Show With Larry Wilmore” (Comedy Central). He also appears in Black Mirror (Netflix), Nora From Queens (Comedy Central), Party Down (Starz) and the Home Alone reboot on Disney Plus. In addition, Jordan co-hosts the hit podcast “Adulting” on Exactly Right Media with Michelle Buteau. Other notable writing credits include “The White House Correspondents Dinner” (2016) as well as “The Not The White House Correspondents Dinner” with Samantha Bee (2017). On top of this, Jordan hosts a new short-form series called “Elevated Moments” for AMC+ where he digs into insightful, entertaining conversations about iconic movies with his charismatic, film-loving guests. IG: @jordancarlosofficial MARK “JIGGY” JIGARIAN is a comedian from New York City best known for his work touring with the hit television show, Impractical Jokers. Mark has been seen on TruTV, Roku Channel, TBS and Food Network and has his debut stand-up special “Larger Than Life” premiering in 2024. He’s been a featured guest Joker on Season 9 & 10 of Impractical Jokers and toured the world with Joe Gatto from 2022-2024 as special guest on his Night of Comedy theater tour. Other career highlights include performing at a sold-out Madison Square Garden with the Impractical Jokers & Colin Jost part of the New York Comedy Festival. Mark, also known by Jiggy, has also built a following for his ‘off the rails’ livestream cooking/comedy show - Tastes Funny - currently in development for television. Tastes Funny Weekend then followed, blossoming into an annual comedy festival, which Mark produces and performs. The festival is now in its 4th year and attracts fans from around the world. Currently residing in New York City, Mark is also a proud member of the Friars Club. IG: @Jiggycomedy ERIC D’ALESSANDRO is a charismatic New Yorker with an unfiltered sense of humor, a camera, and a knack for storytelling, who has etched his name into the hearts of comedy lovers across the nation. From his early beginnings on YouTube, Eric has steadily crafted a diverse portfolio of work that includes engaging sketches, spot-on celebrity impressions, and comedic covers of popular songs. A viral sensation, Eric’s video “where it was” amassed over 45 million views across platforms, further cementing his status as a digital force. His social media presence extends beyond viral videos, with a loyal fanbase that follows his every move. Forbes acknowledged his ability to engage audiences online and onstage, a testament to Eric’s multifaceted talent. In the realm of podcasts, Eric has shared his wit and humor on various platforms, making waves on Barstool Sports’ KFC Radio, Growing Up Italian, Jeff FM and the Dr. Drew podcast. Eric is a dynamic performer on stage and he shows no signs of slowing down. His first comedy special, which premiered with 800lb Gorilla on December 5, 2023, is now available for streaming on Hulu. As he continues to break barriers and redefine comedy, Eric D’Alessandro remains an unmissable act, whose journey is as exciting as his performances. IG: @ericdalessandro ANTHONY GRECO is a stand-up comedian originally from Long Island, now based in New York City. Anthony is also the coproducer of Thirst Trap Comedy. He can be seen performing stand-up all over the tri-state area, including St. Mark’s Comedy Club, The Stand, and New York Comedy Club. Anthony is also a three-time brain cancer survivor, with all three of his surgeries performed by Dr. Mark Souweidane. He is highly involved with various cancer charities and is a mentor to other young adults newly diagnosed with cancer. Anthony performs his “tumor humor” at clubs throughout the city, where he often jokes about his experience having a brain tumor. Throughout his treatment, Anthony used humor as a vehicle for remaining positive. That sentiment is why the “No Laughing Matter” event resonates so well with Anthony, understanding that sometimes laughter can be a vehicle of healing and unity. IG: @El_Greco JOSH BECKERMAN is The Foodie Magician. A professional entertainer who intertwines magic, mentalism, and comedy around the world. Josh also is out every day and night, eating at restaurants. As the NY Times states, “Go out often enough, and the Foodie Magician will materialize at the edge of your table…” It’s dinner and a show every night of the week. Josh has done many TV appearances, from the The Tonight Show and Late Night With Seth Meyers, to the Today Show and Cooking Channel, and Live with Kelly and Ryan, he is quite the Food Personality. For a healthy dose of food porn, check out Josh’s Instagram, which is constantly updated with mouthwatering images of his latest culinary conquests. IG: @foodiemagician We’re proud to support Children’s Brain Tumor Project Foundation We’re dedicated to helping the communities we serve be healthier in ways big and small. By providing quality, affordable, supportive care, we’re there for what matters. uhccp.com/NY Dr. BRANDT Skincare and the Dr. BRANDT Foundation are honored to support Children’s Brain Tumor Project Foundation in recognizing the inspiring work of The Ellie Ruby Foundation. Dr. BRANDT \| Dr. BRANDT FOUNDATION THE CRISTIAN RIVERA FOUNDATION PROUDLY SUPPORTS DR. MARK SOUWEIDANE’S RESEARCH INTO DIFFUSE INTRINSIC PONTINE GLIOMA THE CRISTIAN RIVERA FOUNDATION “FULL STEAM AHEAD” we can’t stop talking about it UNTIL PEOPLE DO SOMETHING ABOUT IT. MAKE CHILDHOOD CANCER A PRIORITY! Dedicated to curing more children with brain and spine tumors by combining surgical skill with innovative scientific discovery. Dr. Jeffrey Greenfield and Dr. Mark Souweidane founded the Children’s Brain Tumor Project research initiative to address the unmet needs of their patients. We have a single goal: to bring hope to children and their families who are confronted with the diagnosis of a brain or spinal cord tumor. For more information email firstname.lastname@example.org or call 212-746-2363 wellcornell.org CONGRATULATIONS TO OUR FRIENDS AT THE ELLIE RUBY FOUNDATION WHO SHARE THIS CRITICAL MISSION WITH US! Generous Donations Provided By Dr. Brandt Integrative Dermatology RescueMD Bee RX WOW Ethique Goldwell Lafco New York Biore UV Burt's Bees The HAIRedit Curated Collection THE CHILDREN’S BRAIN TUMOR PROJECT (CBTP) FOUNDATION Tonight’s event is hosted by the Children’s Brain Tumor Project Foundation (formerly known as Elizabeth’s Hope), a volunteer-based nonprofit organization dedicated to raising awareness and funding research for rare and inoperable brain tumors. All funds raised exclusively support the research of Drs. Jeffrey Greenfield and Mark Souweidane at Weill Cornell Medicine. EIN 46-4537457. THE CBTP LAB AT WEILL CORNELL MEDICINE OUR MISSION is to improve the outcome for children with brain tumors by advancing scientific discovery and clinical research that focuses on targeted therapy, effective drug delivery, and low treatment-related toxicity. The Children’s Brain Tumor Project (CBTP) lab has a single goal: to bring hope to the children and their families who are confronted with the diagnosis of a rare, sometimes inoperable, and often incurable brain tumor. LEVERAGING NEXT GENERATION APPROACHES It is known that traditional therapies (chemotherapy, surgery and radiation) often fail these children, which is why the CBTP is focused on innovation, attacking pediatric brain tumors from several simultaneous directions in an effort to accelerate progress and save the lives of children. Basic science research lays the foundation for translation into clinical trials with the goal of bringing new treatment options, such as immunotherapies and targeted drugs, from bench to bedside as quickly as possible. Precision medicine offers physicians the ability to quickly identify a brain tumor’s “fingerprints” at the molecular level, allowing for personalized tumor therapy. Alternative drug delivery methods help administer therapy directly to the tumor site, bypassing the blood-brain barrier. In addition, the CBTP is developing methods to track delivered drugs to ensure they stay where intended. CONTACT Children’s Brain Tumor Project Fdn. New York Chapter P.O. Box 1316 New York, NY 10021 email@example.com www.childrensbraintumorproject.org CONTACT Weill Cornell Medicine Department of Neurological Surgery 525 East 68th Street, Box 99 New York, NY 10065 212.746.2763 firstname.lastname@example.org
Chair’s Introduction Welcome to our latest newsletter, the first for some time, as covid continues to blight activities on and off the snow. However, there has been and still is some scope for carefully planned events and trips to take part, as these contributions from club members illustrate. The club has managed to keep its core activities going thanks to the hard work and organisation of the coaching team. And for those booked on the club holiday to Seefeld in February, we remain quietly optimistic that it can go ahead. I hope we can enjoy better times in 2022 and I look forward to seeing you on the tracks - either snow or tarmac- or at another club activity soon. Enjoy reading the newsletter and don’t miss the links to the quiz on the last page! MANY THANKS AND HAPPY NEW YEAR! A Magical Trip to Finland, by Cynthia Thanks to club member Cynthia who sent this lovely piece about her first experience of cross-country skiing. Her trip to Finland led her to YDCCSC. She began an Introductory roller ski course but has had to put it on hold during Covid as she has a vulnerable family member. We hope to see her again very soon. I have enjoyed the start of my beginner’s sessions even though I found it so hard. Thanks must go to Richard’s patience!! I look forward to more at some point in the future, I hope. But I thought I would share where my love of Nordic skiing came from. My trip to the North of Finland above the Arctic circle. We had a 2 centre trip, staying in Saariselka before we moved to Muotka. We had amazing snowfalls and we were so lucky to see the Northern Lights on many occasions. We could pick activities at each centre and took out snowmobiles on day and night safaris. The Muoka Wilderness Lodge was amazing! It was in the heart of a forest with panoramic log cabins. We were also lucky to book an aurora cabin with a glass roof and again we saw the lights. We had the aurora alert each night so we did not miss the light displays – who needs sleep! But one of my favourite times were the daily skiing sessions in the forests. The air was so fresh and the snow so deep. The skiing was on forest tracks which were lit at night. It was beautiful. The ice and snow on the trees were magical, I couldn’t move from the tracks though as I would be stuck in the snow drifts!!! I became hooked and spent most days on the tracks. I did try snowshoes but got stuck in the drifts. Reindeer and husky safaris added to the package of sheer joy. However, the highlight at night had to be the safari with snowmobiles and sledges. We travelled through the forest to a cabin that was waiting for us on high ground, well away from the trees. There was a roaring fire outside and inside to help with the minus 35 degrees! We needed the hot chocolate and nibbles but we were given an amazing display of the northern lights. Once it gets below -10 the number doesn’t really matter. It’s the clothing that counts! An unforgettable experience. We were due to go back but covid came... I enclose a photo which I hope gets to you. But the skis and boots that I am wearing came home with me!! They allowed me to purchase them as it was the end of their season and they realised my joy of attempting to ski!! I think they were trying to encourage me to continue! They are now in my study and come out with any snow I can find at home!! With love and best wishes to all, Cynthia Jackson The following is by Ethan, age 16. He began roller skiing with us in Spring, was successful in several trials for the GB Nordic Team and is now in the Gb Development Squad. My First BBU On-Snow Training Camp, December 2021 in Nordseter, Norway, By Ethan The following is by (Ethan, age 16. He began roller skiing with us in Spring, was successful in several trials for the GB Nordic/Biathlon Team and is now in the GB Development Squad.) Hi everyone, Just an update on my training camp in Nordseter (Norway). I’ve had an amazing and tough week away. It was my first time on snow for cross-country skiing and I loved it. It feels so much different compared to being on roller skis - definitely need to work on my balance as the first few days trying it out I fell over multiple times! At least it didn’t hurt as much as falling on a tarmac track. The coldest day we had was -15C, it was really foggy and all my hair froze. Also on that day we did interval sessions 5 times up the long hill you all warned me about. Later on in the week we went to the Birkebeineren Olympic Biathlon Ski stadium, the tracks there were really nice to ski on and also we saw the Norwegian Biathlon youth team training, so it was good to see who I might be racing against. On the last day of training we did a race around the track (4 laps) and I came 6th out of 15 of us. The race was done to see who could go to the next training camp, in Canada with the Canadian biathlon squad and I was selected to go which is a nice Christmas present! Thanks for all the tips and advice so far, Happy New Year, from Ethan Ski Bounding, Walking and Fartlek, 18th December, Ilkley Moor, by Martin Roscoe What is ski bounding and what are the benefits for cross country skiing and roller skiing? By Martin Roscoe When most beginners go onto snow for the first time, they are surprised how much harder it is than they expected. Harder than Roller skiing and more effort than walking. One reason for this is because cross country skiing is not walking on skis, it is a little more energetic. It is more like jogging. For each stride an extra effort has to be put in to flatten the ski to get grip on the snow. One way to replicate that extra effort is to do ski bounding sessions as we practised on Ilkley Moor. Whilst we were bounding we were making that extra bit of effort to give a flight phase to our action. On cross country skis, that extra effort would be absorbed by the flattening of the ski (which gives you the grip) and there would be less of a flight phase. If you have fibre glass bodied roller skis you should feel a flex in the roller ski as you kick downwards. When bounding, use short poles and concentrate on keeping the hips high rather the dropping too heavily on your poles. Whilst we recovered, we were trying to keep our hand brushing our hips to get our hips moving from side to side to replicate the weight transfer of classic skiing. Alternate stride and glide can’t easily be replicated when walking with poles, because there is no glide phase. However, kick double pole can be practised as can skate 1. This will require a further demonstration, too difficult to put into words. An additional benefit of our session was that it gets you used to having poles in your hands, eventually you forget about them and your actions become more natural. One expression that I use about beginner skiers is that they “pole focused” meaning that their hands and poles dominate and lead the action rather than it being “hip initiated”. For those who ski bounded for the first time I hope you found it useful both for technical purposes and fitness benefit. For those that mist out (weather pun intended), we can always arrange another session. Terms Fartlek, a method of training, where you simply do some faster sections (efforts) and slower sections (recovery). We did 60 seconds effort with 90 seconds recovery. As one gets fitter you generally increase the number of efforts, increase the time of effort or reduce recovery. Or some combination of all three, which leads to a very flexible way to increase workload as you get fitter. Kick, in classic cross country skiing it is the downward force, directed into the ski, to get the ski to grip the snow. Walking, method of human propulsion where unbroken contact with the ground is maintained. Running, method of human propulsion where there is a flight phase to each step. Bounding, a modified form of running where there is a slight emphasis on the flight phase and a slight pause during the contact phase. Ski ganging, moosehoofs or elghuffs (Norwegian), a modified form of bounding to try to replicate action of cross country skiing. Below is an extract taken from XC academy. Here is a video of various dryland ski imitation: https://www.ski-tv.no/langrennsteknikk-ep-9-barmark from ski-TV in Norway. Ski walking without poles, moosehoofs [elghufs in Norwegian], and bounding. You will see moosehoofs at 1:00 into the video. Moosehoofs are often described as lazy bounding. You will notice the skier is using a nice upright athletic body position with a relatively quiet upper body and some bouncing going on in the legs leading to both feet off the ground. No full explosion at this point - we see this later in the video when the skier starts to do full on bounding. Also notice how the arms set the tempo and with moosehoofs the hands do not push past the hip on the follow through, which they may do with the more explosive bounding. Notice the loose hips that are rotating. Finally, notice the foot landing flat in front of the body and pushing off a straight leg and the toe in the back, just as we would in skiing rather than using running motions. Norway Hut to Hut- walking this time! October 2021, by Bill Thompson In the last newsletter I told of my disastrous ski trip to Lapland in March 2020. Poor conditions and weather culminated in a sudden big storm forcing a night in a snowhole. During digging that, I lost my camera and a sat rescue system (buried in minutes in the storm). With Covid, thoughts of going back in Autumn 2020 or in March 2021 to try and recover these were dashed. It was a remote area, so quite likely still there and I could pinpoint the location. Then in Autumn 2021, Norway was on the UK green list, and accepted double vacced visitors. So I went for as 6 day trek to the location. I just had to see for myself for closure. With COVID, fitness was really low; a few walks around the local fields carrying a 10kg rucksack was hardly training! Especially as when packed my rucksack, with 6 days of food, spare clothes, bivvy shelter etc was about 18kg and full to the brim. So, I left a couple of Snicker bars out! But went full of doubts – “what am I doing??” and “I need at least another 2 months fitness”. Access was still an issue. Although Norway was open, Sweden was still closed, so trains were not running between Sweden and Norway. The best route in was train to the tiny station Katterat (no road access). I explored other routes in. One was much longer and harder and had over 1200m ascent over a high rocky mountain pass and so was ruled out - getting rescued on my first day didn’t seem an ideal start! But another route was 9km from the end of a small road, with not much ascent (300m) with what looked like a car service track for most of the way, to a dam. Eventually found that from Narvik I could get two buses and a lift along the track from a friendly mountaineering company based there. This left 3km and 300m ascent in the first afternoon. Thought I might manage that! First hut – just visible on the horizon Some unexpected snow, but nearly there! The first hut was one I had always wanted to visit and it didn’t disappoint. It is close to electricity pylons, so has full electricity – heating, cooking lights; and a full 4G phone signal! Smartest hut I’d been in. The book indicated no one else been there for 5 days. Then on internet, I found the border was open and trains had started again! Next day, bit of a trek (16km) to next hut Cunojavrehytta – another really nice hut I’d been to several times. A little bit of occasional “lost track” and boggy ground, but got there OK and feeling better than hoped – so now my spirits were up! Got settled in to the nice new small hut, fetched water, fire on, tea and relaxed. A good track to Cunojavre- beautiful hut and setting. Then a group of four arrived obviously upset I was there. They claimed to have booked this hut. They were there for one night, having driven to the dam, and were going back next day. With COVID, there was place booking to restrict numbers. I didn’t think it meant booking a whole hut. But with COVID I also preferred not to be sharing the small hut either. So, I moved to the old hut and started again – water, fire etc! Next day was my big day. 13km out to the snowhole, and 13km back to this hut. Although crossing the Swedish border, I had confirmed that this was OK in the mountains but I could not stay in a Swedish hut or town. (Didn’t mention ‘hospital’ I noticed!) So, set off early; route description was 1km to a bridge, turn sharp right, walk 6km around the lake, then up to a Swedish hut. From there, follow a well-marked route up onto the plateau and about 7km to snowhole. Turned right at the bridge and followed a marked track. Great. Went about 1km. Then Nothing! Track stopped, with about 200m of wet boggy marshland in front. Tried going right and left. No track. “Dash it!” (or words to that effect!). Eventually after several bogs, and stream crossings, I hit higher ground going right with a cairned track. This seemed to be on a direct straight line from the hut, not from the bridge. I had now lost a lot of time and was calculating in my head how much daylight I would have. This track would be difficult in the dark. Eventually saw the Swedish hut. Knew time was an issue; I had brought basic safety stuff to bivvy but didn’t want to do that. Then I remembered there was a winter room. It was open! Had a bunk bed, wood fire, and gas stove! Spirits rose! I could carry on, and get back to here for the night! So I set off for my snowhole. There was a long boggy area with a plank walkway, treacherously slippy if wet as I found out! My trousers were now soaked. It was about 4C and breezy. Squelched on! Came to the first hill where in March 2020 I had to haul up my pulk with snowshoes on the icy slope. Still looked uncomfortably steep without snow. At the top, the plateau stretched ahead, but the wind had increased, and then it rained. I considered abandoning, but it all seemed so close now, after such a long wait. Still about 5km to go. Decided to carry on and see what the track and weather would be like. Infact the track was generally OK and the weather settled. Suddenly there it was, about 2.5km in front! The second hill where I had dug in! With 1km to go, I reached a large wide (about 30m) water crossing. Sod it! Managed a lot of rock hopping, to get across reasonably OK. Finally approached the hill, and the spot. But nothing. I felt a bit deflated. But at least I now knew. I sat and had some snacks and water, as I had tended to just push on without stops. Realised that my thoughts of turning back in the blizzard in March 2020 to try to get back to the Swedish hut was fortunately ruled out by me as a bad decision. It was too long and daylight would have gone. Back at the Swedish hut late afternoon I settled in to the winter room. I decided on a rest day (and wash day!) next day but at the Norwegian hut. I found the track did go direct to the hut, where it crossed the wide river on some boulders, not going upstream to the bridge about 1km away. I had decided to buy a GARMIN inreach Mini satellite system. So I was able to get basic weather updates and messages. The long term forecast had been settled all week when I set out. Now I was told there was heavy snow forecast next day! I was now aiming to get to the train station at Katterat, going first to another hut on the way. Next morning, a little snow had fallen, but heavy clouds. So I set off quickly. It did start to snow, quite lightly but settling (about -2C). The track was easy to follow but was rough going. Suddenly spotted what looked like a large Alsation dog sprinting across the track about 100yds in front of me, too quick to get my camera. I later discovered it was a wolf, very rare to see. As I got higher into the pass, the snow got deeper, and the route got more difficult. Also the wind got up, and was in my face and my glasses were useless with snow blowing onto them. I knew there was a shelter hut in the pass, so decided to carry on to that. It was now very tricky crossing large snowy boulder fields covered in snow; not a place to have any accident. Higher in the pass, and the snow is deeper, also has considerable boulder fields, making it tricky. Eventually got to the hut. It was about 2:30. Only about 5km to go to get out of the pass and 1km to the hut. Pushed on, but hit several fast flowing rivers to cross, without adequate boulders, so got wet boots. Eventually realised conditions were too bad, and returned to the shelter hut for the night; slipping and breaking a pole on the way! The short distance left through the pass was very tantalising, but I knew the descent down from the pass was rocky and steep and now snow covered. I decided on safety and to go back to the previous hut. This left a much longer way out, probably involving walking overnight but on good paths. So next morning, I headed back, reversing the boulder fields, with some drifts being thigh deep. I was now going to have a quick stop at the hut for water and food, and carry on all the way back to the first hut, really long day. Then only a few hours sleep to go through the night for the bus at 0630! or miss my flights! Suddenly, near the hut two people appeared. A Norwegian couple were at the hut for the night, going back to their car at the dam the next day. More than happy to give me a lift! In fact, they lived near Lofoten, so were driving through Narvik and could drop me off at my hotel! I nearly laughed for joy! I couldn’t believe my luck. The next day was a beautiful sunrise and a really nice walk out to their car at the dam, with a large herd of reindeer and also clear tracks of the wolf. So, in the end a really great trip, even without getting back my stuff. Two Bike Rides, by Deb 1 Hadrian’s Wall Cycle Route, 96 miles over 3 days. Rob and I have an old motor home and over the past few years this has taken us to some very beautiful parts of the UK which we wouldn’t have otherwise visited. Once we arrive on a site, we don’t move it. Instead, we use local public transport and our bikes to explore. This has meant that we have used our bikes a bit more than previously. But even so, we are very much fair-weather cyclists and we tend to stick to gentle, easy rides. In Summer 2019, Rob and I were staying on a Caravan and Camping club site in Ravenglass, Cumbria and when we cycled up the coast we kept noticing lots of blue route markers and signs referring to the Hadrian’s Wall Cycle route. We had discovered the whole new world of the NCN – The National Cycle Network. We decided there and then that we would love to do more of the Hadrian’s Wall route and over the winter we bought a map and came up with a plan. We would cycle from Carlise to Tynemouth along NCN 72, taking advantage of a car parking spot at our son’s house in Jesmond, Newcastle. The lockdown of Spring 2020 delayed our trip but it did give us lots of free time for daily training sessions using my bike on a fixed stand and this was to pay dividends during our trip. At 7am on a Thursday morning at the beginning September 2020, we cycled down through the quite streets of Newcastle City Centre – panniers full of all weather gear, snacks and other basic essentials - and boarded a train to Carlisle. It was lovely to watch the scenery from the window and know that over the next 3 days we would cycle back with much more time to enjoy it. After a quick breakfast in Carlisle, we began our cycle out of the city to NCN 72. Our route guide said the blue route signs would be obvious from the station. And they were, so we followed them, only to realise we were heading West towards the coast rather than east towards Newcastle. So we had to turn around and start again! We’d notched up an extra 4 miles before we’d begun! How we laughed… Carlisle lies at the halfway point of the Harian’s Wall cycle route which runs from Ravenglass in Cumbria, up the Coast to Bowness on Solway before turning inland to Carlisle and continuing east to Newcastle and then on to Tynemouth. We chose to do the most popular half of the route as logistically it was easier to get to the start and then back to our car and also because this section includes the actual wall. The leg down the West coast to Ravenglass has been added to the cycle route as this was the site of a Roman Fort and is as far South as the Romans got - the remains of a Roman bath house are meters away from the camping site we’d stayed at in 2019. Day one took us along the River Eden and up to Brampton where we sat outside a café for lunch. It felt wonderful to be on our way at last - we felt relaxed but energised and ready for anything. We didn’t know the area at all and were constantly looking from side to side so we didn’t miss anything. We then headed along hilly country lanes and saw impressive sections of the wall near Birdoswald Roman Fort before a long decent into Haltwhistle and our B&B for the night. 36 miles done. We stayed at the Grey Bull- wonderful staff, a secure outbuilding for the bikes and a short walk away from a choice of good pubs. Pie, chips and peas were just what we needed and they tasted wonderful! Haltwhistle was a perfect location for our first night, as it meant that the hilliest part of our route came in the first half day two. As we climbed up ....and up...and up..... from the valley floor towards Vindolandia, I kept telling myself that I would be at the top before lunchtime and it was more or less downhill all the way to the East coast after that. We didn’t go into Vindolandia, a Roman Fort at the highest point of Hadrians Wall, but we had ample chance to see it- and parts of the wall- from the cycle route. A short section just after the fort was so steep that I was forced to stop several times for a rest. Getting started again on such a steep incline was not easy but I did it and I’m proud to say that, even though I stopped for rests, I didn’t walk any of it. My preparation had paid off. The plan was to crack open a large bar of fruit and nut at the highest point of the route (260m) just above Vindolandia, but it was so cold and windy that we stopped just long enough to take a few photographs and then continued with a long and exhilarating decent into Newbrough before tucking into the chocolate. We had hoped for a late morning coffee and cake here but the only place that had served refreshments was closed -so we were very glad that we had packed our own. A few more miles and a few little hills brought us into Hexham and a much needed coffee and sit down in the town centre. And after a tough morning it was good to wander round the town and have a break from cycling. I even managed to buy an old typewriter in an antiques centre and made arrangements with the shop owner to collect it the following day. Not the sort of thing you can fit in a cycle pannier! The route from Hexham to our second overnight stop in Prudhoe was particularly beautiful. It meandered alongside the River Tyne and through beautiful Corbridge before joining an old railway line to our destination – the Wormald House B and B. Again, we had chosen somewhere with a very friendly owner who ensured our bikes were safe, and it was within 100 meters of excellent beer and food. Another 32 miles done. Day 3 was to be our shortest day but didn’t always feel like it- mainly because we were tired and also because some sections just before and after Newcastle were less than scenic. But there were lots of highlights- the off-road section on the old railway line leaving Prudhoe was lovely, riding along the Quayside in Newcastle was very special as we know it so well on foot, and the last few miles around the headland from North Shields to Tynemouth was stunning! The promenade at Tynemouth had been widened in the covid restrictions and it was a treat to cycle along the coast, free of traffic, knowing that we had made it. As we did so we spotted signs for the start of the NCN1- the Coast and Castle route.....and the seed was sewn for our next mini cycle tour. We had loved almost every minute of our journey, from the panoramic hilltop views to coastal beaches, from the lush woodlands and meandering rivers to the bleak moors, from the quiet country villages to the hustle and bustle of Newcastle Quayside, we had so many memories to treasure for years to come. We had had a mini adventure together and it was very special. For me, it brought back memories of inter railing and travelling in Asia when I was younger- though the trips were entirely different in most respects, they all had one thing in common- the sense of travelling. They weren’t holidays, they were journeys, with everything you needed in a back-pack or pannier. Just wonderful! 2 Coast and Castles Cycle Route, 113 miles over 3 days. Again our trip was delayed due to another lockdown and again we made use of a parking space at our sons house. We started our journey on the Quayside at Newcastle at 8 am on a very sunny June morning in 2021. The actual NCN1 cycle route begins at Tynemouth and we hadn’t really factored in this extra 10 miles when making our plans- which meant that we had to cycle 48 miles on day one! But this just meant that we enjoyed our breakfast stop in Tynemouth even more. And our evening meal at the Wellwood Arms B and B in Amble after a very long day on the bike was the BEST EVER!!! Day one saw us cycling by fantastic beaches and through beautiful coastal villages- Seaton Sluice which sounds grim but is stunning, Newbiggin-by-the-sea, Cresswell, Druridge Bay… The sun shone and glinted off the sea and we overdosed on gorgeousness. Even negotiating Blythe, with its cranes and turbine manufacturing yards, was new and interesting. Most of the route was off road- either on designated cycle paths or shared pathways alongside quiet roads. Day two, a mere 28 miles, was mainly on very quiet roads and was just as picturesque. We cycled past our first Castle at Warkworth and made a mental note to return to this beautiful village in the future and then continued through Alnmouth, Bulmer, Howick and Craster. A highlight of the trip was a short stretch along the beach between Boulmer and Howick. It wasn’t the easiest terrain, with lots of sand, grass and stones to negotiate. Our route guide had suggested an alternative road route to avoid this section but we are so glad we chose to stay with the coast as our extra efforts were well rewarded with tiny bays and stunning beaches. Somewhere else to return to one day. Before our overnight stay in Seahouses, we took a detour to Beadnell Bay – somewhere we know well and love - for coffee and cake at our favourite café, followed by a paddle in the sea. It was a hot day and oh so lovely to cool our feet in the rock pools. Then onto Seahouses and the Hornecliffe Guest House which was wonderful and it only a short walk to the harbour, where we sat with a tray of fish and chips as the sun went down. A wonderful end to a wonderful day. The highlights of day three were the views of Bamburgh Castle and the ride onto Holy Island. The NCN routes are all planned to be on either traffic free paths or very quiet roads. Between Bamburg and Holy Island, the busy A1 hugs the coast and for this reason our route took us inland and up into the hills near Belford. This means that you glimpse Holy Island and Lindisfarne Priory for a good couple of hours before you get there! And on several occasions, we were cycling in the opposite direction – slightly soul destroying when your legs are getting tired! But eventually, after a few little hills and a headwind along the causeway, we arrived at Lindisfarne where we took a break on the beach for lunch. Luckily the tide was in our favour and we didn’t need to rush. Between here and Berwick-on-Tweed, the coastline becomes a bit wilder and we were blessed with dramatic views from the cliff top paths and lanes. Descending into the town was a joy as we were cream crackered and looking forward to getting off the bikes and exploring the town. The road became a bit more complicated than our route guide suggested but luckily, we met another couple doing the same route and they used their satnav to guide us across the river and down to our-and their-hotel for the night, the newly refurbished and highly recommended Berwick Premier Inn. Another 37 miles covered. Our son and his girlfriend drove our car up from Newcastle the next morning and we spent the day exploring Berwick-On-Tweed before heading back south. Another lovely ending to a perfect trip. The Hadrian’s Wall route had been a real challenge for us as it was hillier and the longest we’d ever cycled and we loved it because it was our first cycle trip. But the Coast and Castles route, with its beautiful sea and castle views, is the one we would do again. The full route continues into the hills across the border and on to Edinburgh and maybe we will do this section one day. We have booked to do the second half of the Harian’s Wall route, 88 miles from Ravenglass to Carlisle, over 2 days in April 2022. Bring it on! Vasaloppet 2020 - Learning the hard way, by Geoff What was I thinking? I’m not the endurance event guy. Any fitness I’ve had is generally a happy by-product of fun – riding bikes, running or the odd short triathlon. But here I was, lined up i fäders spår in Salen, giddy with excitement waiting for the dawn start of Vasaloppet’s 90k route. I got the cross-country bug on family ski and snowboard trips to Finland. The four of us escaping the lifts and noise, following tracks off into the crisp stillness of the woods in the soft arctic light. It was my idea of heaven. Entering a classic ski race wasn’t really on my radar though, until a chat with a couple of Scandi parents at Sheffield Tri-club Juniors spilled over into weekly meet-ups to roller ski. Before I was really beyond the bambi-legged phase on my roller skis, I’d signed myself up and I was locked in for Vasaloppet 2020 (the unseeded Öppet Spår 90k of course) In between laughing at my spectacular falls, my Danish/Norwegian coaching team of Pia and Ingun would try to impart some technique and fitness advice as I graduated from the cycle track to doubling up on the 16.5k closed road loop by Derwent and Howden dams. I was doing the 33k in about 2 hours – surely I was ready. Nope. After Vasaloppet’s first big climb out of Salen and just about holding it together across a couple of frozen lakes, devoid of snow, I was already a wreck. Temperatures had been too high for any natural snow cover. The tracks were frozen slush that had been trucked-in as part of a valiant effort to allow the event to go ahead. Many entrants had pulled out before the start. 25k in and my abdominals start cramping up like I’ve never encountered before or since. It’s all I can do to repeatedly wince in agony, clench my jaw and keep moving until it eases and I can press on. I attempt to keep pace with a leathery-skinned old gubbe and get taught my biggest lesson. My laboured double polling is no match for his effortless glide. My year on tarmac, not a patch on his years on snow and soon he’s gone. The descents start to come thick and (very) fast. What might’ve been tracks are now 1m wide ice chutes with mounds of frozen slush either side. I know I fell 6 times but only remember the two most spectacular. Risberg spat me into it’s rocky drainage ditch at speed – a miracle I didn’t break bones, skis or poles. I went down so hard on the ice of another nameless slope, I thought I’d never get up again. My target went from a sub 9 hour time to finishing before dark to just finishing in one piece! 10 hours 41 minutes since the excitement of the start and just before the last trace of daylight vanished from Mora’s evening sky, I crossed the famous finish line - exhausted but happy. I knew I’d earned my finishers medal even if I had been more Eddie The Eagle than Dave Ryding I’d love to do it again but I’d like to get some of that leathery old gubbe’s glide first. I’m already feeling the benefit of the coaching I’ve had with Yorkshire Dales Cross Country Ski Club so, who knows, maybe next year? Training hard Crossing the finish line- at last! A Festive Yorkshire Quiz, by Chris P This was compiled by Chris, a keen cyclist, skier and orienteer coach, for his friends before Christmas, hence the outfit..... All locations are in North Yorkshire Click here for the quiz: https://youtu.be/gULdaJzlj8c We will email out the answers at the end of January. WE HOPE YOU’VE ENJOYED THE NEWSLETTER! ALL THE VERY BEST FOR 2022.
Great Neighbors Make Great Neighborhoods Sunset Hills September 2015 Greensboro, North Carolina Annual Neighborhood Events January February March Neighborhood Meeting April Easter Egg Hunt Great American Clean-up May Annual Pig Picking June July July 4th Parade and Picnic August National Night Out September Big Sweep Event October Halloween Party in the Park November December Lighted Christmas Balls Food Drive, Running of the Balls SHNA President’s Column By Carl Phillips Power at the Tennis Courts on Greenway Some of you may have noticed little white flags in the park at the south end of the tennis courts. Those flags mark the underground route of the new electrical supply line. Yes, after 80 years we are finally getting electricity in the park. You may not have realized it but when we have an event in the park that requires electricity our great neighbors to the east of the tennis courts have always allowed us to run extension cords. Once the power box is installed we will no long have to borrow from our neighbors. Based on the projected use of power, Greensboro Parks and Recreation will pay for regular monthly power fees. If we have any unusual power expenses we will pay for power use from our treasury. This all came about mainly due to the wonderful efforts of John Kelly. John knew of the need to have electrical service and also had a vision about possible future use. With his vision in mind he set out to make it happen, (continued on page 3) coordinating efforts with Parks and Recreation, Duke Energy, and the Sunset Hills Neighborhood Association board members. Thanks to John for seeing a need and having the fortitude to make it happen. You are one of the many reasons Sunset Hills is such a great neighborhood. Duke Energy will install the power box on the cement block wall at the tennis courts. The box will remain locked until power is needed. We have yet to determine who will be the keeper of the key, but once we do the information will be shared on the email listserv and also placed on the front of the power box. So, in closing, what needs/ideas do you have for improving our neighborhood? We need your ideas and your willingness to help make them happen. As you know, we are a very small board made up of volunteers. We need neighbors on our board who can make things happen. Check out the list of board members on our website at www.sunsethillsneighborhood.org (or on page 2 of this newsletter) and get involved. There are currently open positions that could use a few minutes of your time. Social Events, Environmental Affairs, Play Group Coordinator, and Easter Egg Hunt Coordinator are some of the groups that need you. Older Adult Participants Needed at UNCG! By Megan I. Jordano The Adult Cognition Lab in the Department of Psychology at UNCG is currently looking for adults aged 60-85 to participate in engaging research on how people learn new things and maintain their cognitive abilities throughout the lifespan. The success of our research projects relies on local community volunteers. Our lab runs a database of volunteers in Greensboro and surrounding areas. If you are interested in volunteering for a study with us, all you need to do is call our lab to see if you are eligible. People are eligible if they are between the ages of 60 and 85 and are in generally good health. Once you have been added to our database, we will call you when we have a new study available. Members of our research team are happy to answer any questions you may have when you call our lab. We run a variety of different studies about learning, memory, and attention. The majority of studies are 2-3 hours long. Our studies involve paper-and-pencil and computerized tasks, although it’s not necessary to have computer skills if you wish to volunteer with us. No medication is involved. Scheduling is flexible. Participants receive $10 for each hour they are scheduled to participate. All testing is done in the Eberhart building at UNCG and we provide free parking. In addition to the compensation we provide, we hope our volunteers enjoy the time they spend volunteering with us. We would love to have you volunteer! If you are interested, or if you have any questions, please contact us at (336) 256-0038 or at firstname.lastname@example.org. If you or someone you know may be interested, more information can be found on our website at http://www.uncg.edu/~d_touron/UNCGAdultCognitionLab.html. We look forward to seeing you in the lab soon! October will soon be here and with it comes COOLER weather and a REALLY COOL BAZAAR at St. Andrew’s Episcopal Church on West Market St. The BAZAAR is, as far as we know, the oldest church bazaar in Greensboro, dating back over seventy years. It began in the old church downtown on Sycamore Street and moved to SUNSET HILLS in 1948. We are very excited to have something new and different, our inaugural Wine Pull. Purchase a cork and win a mystery bottle of wine. The Bazaar is an awesome opportunity for you to purchase gifts for loved ones with the holiday season not far away and to have some really good and hot barbecue sandwiches prepared on site by Sunset Hills resident Sandy Shelton. If you have attended the bazaar in the last three years you probably purchased one of the 150 or so Themed Gift Baskets which have been lovingly prepared by parishioners. You will find Ashley Angel’s Thread Bear Designs, from her store, featuring everything from travel mugs to collegiate gifts. The Big attraction is the Silent Auction with over fifty items that you can bid on up to the closing bell at 1:30. You don’t even have to be present to win. Betty’s Accessories Shop is all about costume jewelry, designer watches, and clothing for the young lady or the young at heart. Former science teacher Mack Baker has gifts in his Wood Crafts Shop for children and adults. We have food available. If you crave good homemade food and soups, we will be selling four varieties of frozen soups for your holiday meals or as gifts and at Nancy’s Edible Treasurers every kind of desert imaginable including pies, cookies, cakes and candies. Yum. In the Unique Boutique all items are lovingly handmade. In our library we have a huge selection of books and DVDs for sale. All have been sorted by categories. Another hot item is the raffle where we will be raffling off a laptop computer and dinner at one of three Quaintance restaurants. The date is Saturday, October 10, at St. Andrew’s from 9:00 a.m. to 2:00 p.m. Mark your Calendar so you don’t miss it. The date is already circled at our house. See you at THE BAZAAR. Did You Know That Sunset Hills Was Once “out in the country”?? By Alan Atwell St. Andrew’s Episcopal Church is nearing the 125th anniversary of its founding back in 1891. The original church was located on Sycamore St. at the site of the current Melvin Municipal Building. In 1941 there were discussions about moving out in the “country” to Sunset Hills. The land was purchased and plans were drawn for a Gothic Stone Church. Not enough money was raised, hence the Georgian Architecture. The current chapel, parish hall and classrooms were opened in 1949. The Reverend Carl Herman was the overseer of the church from 1944 until his retirement in 1977. The church had tremendous growth in the fifties and sixties; the congregation grew to over 600 communicants. On Thanksgiving Day, 1957, Bishop Penick broke ground for the new sanctuary and the cornerstone laying was held on April 27, 1958. Today, our priest is Rev. B. J. Owens. He is a native of Greensboro and attended O.L.G. in his early years. B. J. has been with us almost five years. He and the congregation welcome all residents of Sunset Hills who don’t have a church home, to be our guest at one of our services. Calling all Knitters! Looking for a knitting group to share ideas and good company? Bring your personal knitting projects, or join me in knitting chemo caps and prayer shawls for patients at the Wesley Long Cancer Center. Contact me by email: email@example.com. This lovely model is my daughter, Dianna Potter Walla, knitting designer extraordinaire. www.paper-tiger.net Herford says Attention: All Cats & Dogs! It’s time to clean those pearly whites. Proper dental care helps give your pet a good, long life... preventing mouth infections and loss of teeth. Digital dental radiography enables us to detect early dental disease below the gum line. Bacterial infections in the mouth have a direct line through the bloodstream to your pet’s heart, liver & kidneys. Schedule an appointment for October and receive a 20% DENTAL DISCOUNT University Animal Hospital of Greensboro, LLC CHRISTINE E. HUNT, DVM • CATHERINE M. MARKIJOHN, DVM 1607-B West Friendly Ave. • Greensboro • 279-1003 (At the corner of W. Friendly Ave. & Westover Terrace ext.) www.DrChristineHunt.com Dezree Bass was looking for a house with a garage. The house on Kensington she bought for herself and her mother in 1974 did not have one, but she was “impressed by the neighborhood”. Her house had been built in 1948 and she purchased it from a UNCG librarian and a public school teacher. She also acquired the house plans and blueprints that she will pass on to the next owner. Ms. Bass believes that the builder was the first to live in the house. She also thinks he may have built the houses on either side of her. The librarian remained in Greensboro and came by one day. She was pleased to see what Ms. Bass had done to her former abode. Dezree’s neighbors included many widows; one was Ms. Steve Thompson, who lived at the Kensington-Sylvan corner. One morning Ms. Bass received a call at work from Steve Thompson who knew her as they attended the same church. Ms. Thompson also knew that Dezree’s mother, Mrs. MaryEmma Bass, walked in the morning. Steve asked Ms. Bass if she knew how far her mother walked. Dezree replied that she knew her mother walked, yes, how far, no. Dezree herself walked, but earlier in the morning to allow her to get to work on time. So she wasn’t concerned that her mother was out walking. Reassured and wanting to get to know her walking neighbor, Steve waited for Mrs. Bass to come by, and when she did Ms. Thompson invited her to have a cup of tea. MaryEmma Bass could talk to anyone. (Mrs. Bass subsequently reported she had walked until she saw a cute little church at the end of the road and then decided she would turn around). Neighbors, family and friends looked out for each other, as in the case of Ms. Bass’ next door neighbor, a widow, Mrs. Taylor who kept her yard in meticulous shape. Eventually Mrs. Taylor was convinced that it was time to move to a more supportive situation. Although folks took her for outings, they didn’t bring her by her old house for fear she might get homesick. Her neighbor to the north, Mrs. Gardner, likewise had frequent visits from her relatives who lived in Greensboro and Raleigh. Across the street, the Stiefel family were friends. Dezree recalled that some time after she moved in burglaries were occurring all over Greensboro. Owners of one large house up the street installed bars on the windows and door. Some years later the bars were removed. The police during that time went door to door informing residents how to identify all items in case they were stolen and later found. They also gave out yellow stickers for outside doors. In 1955, on May 5, Ms. Bass was proud to be a part of the opening of the first branch of Home Federal Savings and Loan at 1702 Battleground in the Plaza Shopping Center. She got to know some Sunset Hills neighbors because she worked in a financial institution. To this day when she runs into Mr. Phillips, manager of that first branch, he introduces her as his first secretary who “taught me how to have a secretary”. Ms. Dezree Bass remains very pleased by her selection of Sunset Hills as a place to live. Her mother found the neighborhood congenial, taking to her new location like a duck to water, as Dezree puts it. Dezree appreciates the people she has met and known over the years. Her realtor’s brother, a public school teacher, and mother, a caterer, lived up the street. When they died and the house was sold, Dezree watched the work the new owners did which included redoing the basement but preserving the original coal bin and coal chute. Like our neighborhood spirit, many of our houses today are easily connected to their past. I have been a lifelong walker. I walk because it’s good for my health, physically and mentally. I walk because it is good way to exercise and train our dog. I walk because I find that I see much more of my surroundings than I ever do when I pass by in a car. I walk because I get to meet neighbors and because our dog gets to meet other dogs. I walk year round, including in the rain and snow. It has to be extremely treacherous in the winter or raining heavily for me not to walk. I am also a destination walker, i.e., I walk to get somewhere. I have walked to Friendly Shopping Center, the Bicentennial and Bog Gardens, the Arboretum, restaurants at Walker and Elam, and Downtown Greensboro. I have walked to neighbors’ houses for meetings and social events and to the Mad Hatter and 1618 Seafood Grill (both restaurants are only a few blocks from our home). Unfortunately, Greensboro is not a safe place for pedestrians. It ranks fifth among North Carolina urban areas in pedestrian crashes. Greensboro averages 132 pedestrian crashes per year, twice the rate for Winston-Salem. The City of Greensboro is working on improving pedestrian safety and is participating in the Watch for Me NC, a statewide pedestrian and bicycle campaign to educate and enforce safe practice. We do have the benefit in Sunset Hills and the surrounding neighborhoods (Westerwood, Lindley Park, and College Hill) of having lots of sidewalks which increase the safety for walkers. As a pedestrian, you are vulnerable to serious injury if you are hit by a car. Always walk defensively. The following are some important guidelines for pedestrians: - Look for cars in all directions—including those turning left or right—before crossing the street. You should never assume a driver will stop. - Be careful crossing multiple lanes of traffic. Make sure each lane of traffic is clear before you cross. - Enhance your visibility at night. Walk in well-lit areas and carry a flashlight or wear something reflective, such as stickers or armbands, to be more visible. - Avoid distraction. More and more people are texting or talking on cell phones when they are crossing streets. This diminishes the ability of your two key senses—hearing and seeing—that are used to detect and avoid cars. So particularly when crossing streets, put down the phone for a few seconds. - Be predictable to drivers and follow the rules of the road—obey signs and signals. - Obey all pedestrian traffic signals. - Watch for cars backing up in parking lots; brake lights can mean that a car is about to back up. - Cross the street where you have the best view of traffic. At bus stops, cross behind the bus or at the nearest crosswalk. - Always walk on the sidewalk; if there is no sidewalk, walk facing traffic and as far from the roadway as you can. Safety is a shared responsibility. A few weeks ago, my dog and I were almost hit by a driver who ran the red light at W. Friendly and Radiance. Drivers need to be watchful for pedestrians and bicyclists, drive at slower speeds, avoid distraction, and know the laws regarding when pedestrians have the right-of-way. No driver wants to hit a pedestrian, but it can easily happen if you are speeding, running red lights, or are distracted while you are driving. The following are important guidelines for drivers: - Be prepared to yield to pedestrians in crosswalks. Pedestrians have the right of way in marked crosswalks. - Never pass a vehicle that is stopped for pedestrians. - Before making a turn, be sure the path is clear of any pedestrians. - Slow down in areas where you are likely to find pedestrians, such as near bus stops, schools, and playgrounds. - Look carefully behind your vehicle for approaching pedestrians before backing-up. - Keep an eye out for pedestrians at night that may be walking near or across the road. - Avoid distractions such as food, passengers and using mobile devices. Talking and texting while driving is both dangerous and illegal in many areas. According to a statistical study by Greensboro planners, the city sustained a yearly average of 132 crashes involving pedestrians from January 2007 through December 2011. Since then, city police investigated 143 such accidents during 2012 and 124 in 2013. We need to bring these numbers down to zero. Everyone should be able to walk safely in our neighborhoods. Please do your part as a walker or driver. Experience the Moravian Candle Tea By Randy Furches You are invited to experience the 53rd Annual Candle Tea at the First Moravian Church. Begin in our Sanctuary at 304 S. Elam Avenue in Greensboro where you will enjoy beautiful music and talks on Moravian history. Experience fragrant beeswax candles being made in our Candle Hut. See how the traditional beeswax and tallow candles are still handmade, continuing hundreds of years of craftsmanship. Move on to the New Fellowship Hall where you will find our Putz (a miniature Christmas scene filling the entire performance stage), candle trimming, Moravian stars, pottery, advent wreaths, chicken pies with gravy, gingerbread and other Moravian baked goods, crafts, artists and other special finds. Our Tavern offers a moment from the past where you can enjoy a large fireplace, lively music, Moravian sweet coffee, lemonade and delicious Moravian sugar cake at no charge. Enjoy the beauty of a live nativity and traditional Moravian Brass Band playing a variety of seasonal music. Many say this Candle Tea is the beginning of their celebration of the birth of Jesus Christ. Please join us and make it a tradition for your family too! For a history of the Moravians and, in particular, the history of the church in North Carolina and Greensboro, see the October 2014 Sunset Hills Newsletter online at our website. THE 53rd ANNUAL CANDLE TEA FIRST MORAVIAN CHURCH Friday, December 4th and Saturday December 5th, 2015 304 South Elam Street, 27403 336-272-2196 We at Running with Horses Events are gearing up for year four of the Running of the Balls and we wanted to take a minute to touch base with the residents of Sunset Hills. The date for this year’s event is Saturday night, December 12th. We’ll be capping the event at 2,500 participants again this year. We continue to believe this is the best fit for the neighborhood feel of the race and the logistical realities of the location. We work hard each year to be good stewards with the opportunity this race provides. Some things to look forward to in this year’s event include a longer delay between walkers and runners to assure that ALL runners are clear of the course prior to the walkers starting, a better lit start line and finish line to help with the flow of participants and the introduction of a “Friend of the Running of the Balls” sponsorship level to capitalize on the interest in the race by enabling latecomers to participate at a premium in an effort to raise more money for Second Harvest Food Bank of Northwest North Carolina. A new Running of the Balls website is up and running and registration opened on September 12th. As always, residents and sponsors will be provided with a separate discounted registration to make sure family and friends are guaranteed a spot in the race. Opportunities for in-kind sponsors, financial sponsors, groups and volunteers to be a part of the race are located on the website. Remember that 100% of the financial sponsorships go directly to Second Harvest Food Bank. We’re hoping to break the 1,000,000 meal mark this year and couldn’t have done it without the enthusiastic support of the folks of Sunset Hills. We can’t go far enough to express our gratitude at allowing us to be a part of your special neighborhood for one night each year. Please feel free to reach out to us with any questions or comments you may have and mark your calendars for December 12, 2015 – it’s going to be another great night for a great cause! Sincerely, Nick Loflin and the RWH Gang Running with Horses Events, LLC www.LiveBigDoGood.com Monday & Wednesday Live Music Daily Food & Bar Specials: Lasagna - Chicken Pie - Fish & Chips 1/2 Price Wine Mon. & Wed. Sat. & Sun. Brunch Starting @ 10AM 201 Smyres Place / 336.274.7005 “How many times do I have to tell you not to do that?!” Understanding the Mind of the Child By Janet Boseovski “Stop hitting your brother.” You’ve said it until you’re blue in the face, only to have your child disobey you in front of your own eyes. Why is this happening? Our research at UNCG addresses these and other questions about children’s social and cognitive development. We are the DUCK Lab (Development and Understanding of Children’s Knowledge) and the MDLaB (Memory Development, Learning, and Brain), co-directed by Drs. Janet Boseovski, Stuart Marcovitch, and Jeni Pathman in the Psychology Department. We invite you to visit us at the UNCG campus to help us to learn about development while having a lot of FUN! (Continued on page 13) We study children’s behavior control, social judgments and decision making, emotion understanding, and memory and brain development. We also work with the Greensboro Science Center to understand how children learn during their visits to the animal exhibits. Our findings have implications for educational policy and we share our knowledge regularly with various parenting groups. As a non-profit organization, we rely on the participation of our wonderful community. A visit to our center takes no more than one hour and involves playing “games” with your children. We offer free parking, snacks, beverages and prizes, coffee for parents, and babysitting for siblings. Getting back to the initial question: children engage in inappropriate behavior for many reasons. In the case of hitting or hurting others, one thing that parents can do is to talk to their child about the feelings of the victims to encourage empathy (“Do you see that your brother is crying? How does he feel? How do you feel when someone does that to you?”). You should also praise your child when you see positive and caring behaviors toward others. Younger children (under 5 years) have trouble controlling themselves even when they know the rule, and playing games like “Simon Says” and “Red light, green light” encourage them to stop and think before they act. DUCK Lab Research Group at UNCG - Parents who are interested in being added to our database of participants (with no obligation to participate) are welcome to call our center at (336) 256-0048 or get in touch via Facebook: https://www.facebook.com/UNCGDuckLab. - After you’ve signed up, we will call you when we’re doing a study that is age-appropriate for your child to offer you the option of participation. - Day care directors who are willing to have us give out information pamphlets to parents can also call us directly at the center to make arrangements. ‘tis Ivan On a Visit ‘It is only with the heart that one can see rightly; what is essential is invisible to the eye.’ Antoine de Saint-Exupery By Bob Gingher Many Sunset Hills neighbors have been grateful beneficiaries of the palpable fellowship that lives at St. Andrew’s. As the rector noted this summer, it takes over 50 people every Sunday to make the Sunday service happen, including acolytes, altar guild members, children and adult formation teachers, children’s chapel readers, choir, clergy, coffee hour providers, Eucharistic ministers, greeters, money counters, readers, sound board operators, ushers, and the vestry person-of-the-month. I’m not much of a churchgoer, much less a “cradle Episcopalian” like my wife. But I’ve always been drawn to the venerable Book of Common Prayer, fine Anglican theater, and of course the warm companionship at the heart of St. Andrew’s. But for me what inspires awe in any church always stems from its music—in the “joyful noise” of its singing and in the still space both between the notes and within its walls. I’d like to focus on the remarkable caliber of its choir directors over the past three decades. Seven of these have endured and somehow even managed to temper this baritone’s ungoverned vocal efforts while, astonishingly, still remaining good friends. The spirited work and unstinting friendship of choir leaders like Ivan Battle and Ann Doyle have been incalculably important to the welfare of so many families. To visualize a choir rehearsal with either one of these committed teachers one must imagine passionate individuals with enormous vitality. This peculiar “life force” characterizes those passionate about the wonder of music. You would need to witness Ann Doyle’s boundless energy during an evening choir rehearsal. Or have seen Dr. Ivan Battle, with a spring in his step, materialize with his omnipresent black leather music satchel. A superb organist and violinist, Ivan could effortlessly coax a transcendent Charles-Marie Widor Toccata from St. Andrew’s then indifferent organ. In 1982 Dr. Battle founded the Greensboro Music Academy, now the Music Academy of North Carolina (MANC), where so many of our children, my sons included, would study. I wanted, as did my wife Susan, a “primary care” piano teacher for Sam, who even at four had exhibited a demonstrative love of the music. Ivan recommended a stellar teacher, who knew how to juggle discipline and affection to call forth Sam’s copasetic, however enthusiastic, great spirit to a reckoning throughout his middle and high school years. Adolescent music education has proved to be a reliable predictor of success in college and professional life. Ivan’s core belief was that music held the limitless power to shape behavioral, cognitive and spiritual development, what MANC now calls “lessons for life.” For him the Anglican prayer for “an inquiring and discerning heart” and “the courage to will and to persevere” was not just a ritual supplication but a call to action. The same can be said of Ann Doyle, St. Andrew’s present choir director and organist. She has been the driving force behind much else, having taught both my young sons in the “SMART Singers” at First Presbyterian Church. She founded the Greensboro Youth Chorus and remains its artistic director, and has worked for over thirty years in North Carolina schools, churches and community groups as master teacher, mentor, collaborative performer, and adjudicator. Following the path of their step-brother Bryan and step-sister Kristina, each of my sons wanted to be an acolyte (from the Greek, “to follow”). They would follow the Cross as they “processed” and “recessed” and assist clergy with minor services. Now tall young men, as young boys they were the tiniest acolytes imaginable. “I can’t believe,” 7-year-old Sam had exclaimed, that “we’re really apple lights!” As torchbearer, Rod sometimes artfully (continued on page 16) Iron Hen Cafe Fresh. Local. Good. 336.617.7105 • ironhen.com 908 Cridland Road • Greensboro, NC 27408 Fresh. Local. Good. food group CATERING & EVENTS 336.870.8103 • freshlocalgoodfoodgroup.com 908 Cridland Road • Greensboro, NC 27408 The Barn SUMMERFIELD FARMS A premier full-service event facility set in the picturesque Carolina countryside 336.643.2006 • summerfieldfarms.com 3203 Pleasant Ridge Rd • Summerfield, NC 27358 dripped candle wax onto his brother’s head as they recessed. Whatever the missteps, being an “apple light” has proved to be an excellent formative ritual for leadership. Both would later sing in the choir. I’ll always remember Rod singing “Once in Royal David’s City” at St. Andrew’s during Advent. Only the year before, when first hearing the choir perform, he had literally hung over the balcony rail, the better to witness their beautiful voices and the diversity of their repertoire. That same night our family hosted three of the young choristers, two of whom were brothers. After interviewing parents of these students, we interviewed a UNCG professor who had attended the American Boychoir School. We were impressed by the level of study discipline, brotherhood, and musical excellence that made attending the school such an extraordinary middle school experience. Rod successfully auditioned for its choral director, Dr. James Litton, and, in a few months, was performing with the choir here and abroad. We would soon see him smile, waving to us and his grandparents from the stage at Carnegie Hall. Today Rod is a geotechnical engineer living and working out of Charlotte. He still enjoys singing and is an accomplished guitarist (a la Tommy Emmanuel). Before Ivan crossed over to the other shore 20 years ago he gave Connie Kotis his beloved music satchel, asking her to give it to an especially deserving student. Several months ago Sam held a recital at St. Andrew’s before the final performances for his doctorate. Today, teaching on the music faculties at two Illinois universities, he carries Ivan’s satchel, along with the blessing and responsibility of paying good work forward, of passing on the blessing of music for which we are but the messengers. My family has one perfect palindrome to describe this miraculous phenomenon—’tis Ivan on a visit. Life’s most precious constituent is wonder, and next to stillness and silence, music is its finest portal. Do You Live in Sunset Hills? By Gerry Alfano (reprinted from December 2014) There always seem to be some confusion as to who lives in Sunset Hills. I, like many of my neighbors, have assumed that the boundaries of the neighborhood are static. What I have learned is that the boundaries have changed over the years. The current boundaries are set out in Article III of the Bylaws of the Sunset Hills Neighborhood Association. According to the bylaws, the boundaries are “Elam Avenue north from Walker Avenue to Friendly Avenue; Friendly Avenue (south side only) from Elam Avenue to Smyres Place; Smyres Place to West Market Street: West Market St. (both sides) to Mayflower Drive; Mayflower Drive (both sides) to Walker Avenue; Walker Avenue (north side only) from Mayflower Drive to Elam Avenue.” I think it is clear from the bylaws that the south side of Friendly Ave. is the northern boundary of the neighborhood and the north side of Walker Ave. is the southern boundary. It also clear that both sides of Mayflower Drive are included in the eastern boundary. It is not specifically stated that both sides of Elam are included in the western boundary. How important are the boundaries of the neighborhood? The City of Greensboro, in general, is willing to let the neighborhood define its boundaries. There should not be an issue unless another neighborhood association tries to include the same area. The Sunset Hills Neighborhood Association (SHNA) has been distributing newsletters to both sides of Mayflower Dr. and to both sides of Elam Ave. Several issues of the newsletter were distributed to residences in College Park, which is the small neighborhood east of Mayflower adjacent to the park between Aycock and Mayflower. This was done to share information. It is obvious that any residents living that close to boundaries of Sunset Hills have common interests and benefit from information on what is going on in the neighborhood. According to the SHNA Bylaws, anyone with an interest in the neighborhood (Article IV, Section B) can join SHNA. Certainly, residents living in areas adjacent to Sunset Hill might have an interest in the neighborhood. The purpose of the SHNA is to be inclusive, not to be exclusive. If you are not in the boundaries of Sunset Hills as defined in the bylaws, you are still welcome to become a member by sending your $10 annual membership dues to Emily Herman, SHNA Treasurer, 2512 Berkley Place. In August, members of First Christian Church packed and distributed 100 backpacks for school children. FCC Greensboro gave 75 backpacks to Cone Elementary School and 25 to Glen Haven Community Center, plus an additional 25 tote bags of activities and supplies for pre-schoolers. The backpacks contained folders, papers, pencils and other necessary school supplies. FCC has been packing backpacks for the children at Glen Haven community center for 6 years now. Throughout the month, we collected supplies, and then gathered for a potluck dinner as a church. After the meal we made an assembly line and packed the bags, and then on Saturday, August 22, we went to the community center. We brought the backpacks and also some toys for the children to play with while we were there. When we arrived children started to come to the playground sporadically. While some members set up the backpacks in the community center, more children started to gather outside and a few other members and I got to spend some time playing with the children. I got to watch hula hoop contests, games of keep away with a beach ball and the flurry of children running under a giant parachute as another group held it up. After twenty minutes of playing the children went (continued on page 19) into the center, got a backpack and a FlavorIce, and then continued playing, now with the extra complication of figuring out how to play while holding on to their FlavorIces. Glen Haven Community Center is located among the homes of over 40 refugee and immigrant families. The center helps tutor the children, offers English classes, job training and more. The mission is to help families feel welcome in Greensboro and to help them feel comfortable in Greensboro. If you are interested in learning more about our partnership with Glen Haven, or the many volunteer opportunities there, please contact us at the church at firstname.lastname@example.org or (336)273-4725, and we’ll be happy to connect you. You can learn more about our congregation at www.fccgreensboro.org. Membership and Treasurer’s Report As of August 30th we have 345 paid households. Dues are $10. If you haven’t paid your 2015 dues it’s not too late. Membership entitles you to post to the listserv, a wonderful way to stay in touch with the neighborhood; ask for help; sell/give away stuff; get vendor recommendations from your neighbors; and help reunite the occasional lost dog/cat/bird with its frantic owner. Check out the front page of this newsletter for annual events that bring neighbors together for social occasions and work projects that help to keep our neighborhood looking good. Send a check made out to SHNA for $10.00 to me, Emily Herman, 2512 Berkley Pl. If you use two names and want to be listed that way or use a name other than the one on your check, please let me know. Call me at 275-6015 if you have any questions. Sunset Hills http://www.sunsethillsneighborhood.org September 2015 From the crime watch corner of the world: I’d like to thank everyone who showed up for the ice cream social / National Night Out (NNO). We had approximately 50 residents participate in the event this year. We also had great participation from the Greensboro Police Department; about eight officers showed up throughout the event. I hope to see even more residents next year. Touching base on the community crime: 1. The largest percentage of our crime comes from thefts from vehicles, 100% of which were left unlocked. We can drastically reduce the number of crimes by simply locking our cars and not leaving anything valuable visible through the windows. I have heard, several times, that some people don’t keep anything valuable in their cars and then leave their cars unlocked so that the thieves won’t break their windows to look inside. OK, let’s put an end to that line of thought. ZERO cars in Sunset Hills had windows smashed in an attempt to steal something. ZERO! The thieves are simply entering the cars that are left unlocked. 2. Next we have home break-ins. This is the next largest percentage of crime we have in the neighborhood. This also includes break-ins to detached garages. Here are several pointers to help reduce this crime: A. When you are away, have a neighbor pick up your mail and newspapers. B. Have a neighbor check your door for pizza flyers and the like. Some thieves will post flyers and then return a day later to see which houses still have flyers hanging. This signals them that someone is away. C. Believe it or not, winter is just around the bend. If you’re going to be away when it snows, ask a neighbor to drive into and back out of your driveway to leave tracks in the snow so it looks like someone is coming and going. D. Have a neighbor park their extra car in your driveway while you’re away so that it looks like someone is home. E. We all know about the automatic timers, those that turn lights on and off in your home while you’re gone. They are cheap and work great. F. I saved the best for last!!!!! Get an alarm system. The new technologies are amazing. 3. There has been a rise in the theft of high dollar bikes this summer. All you spandex road warriors out there, make sure you lock your bikes up. We all know those bikes are not cheap and so do the thieves. Lastly, I have noticed a very large turnover in homes recently. Make sure you reach out to anyone new to your area and get them on the listserv so they can get all the amazing crime watch reports I put out. I can be reached at email@example.com Everyone take care and be safe out there. On behalf of the Sunset Hills Board we regretfully announce that Emily Herman will be stepping down from the position of Treasurer. Emily and Harvey will be moving to Friends Home West at the end of December. Both Emily and Harvey will be greatly missed. Emily has been one of the corner stones in building our board structure as well as managing and tracking everyone’s dues payments. Harvey has also supplied us with a pictorial documentary of most of our neighborhood functions. The very best to both of you and a very sincere thank you from your fellow board members and the entire Sunset Hills neighborhood. To steal lyrics from a popular song, that seems to fit this situation, “because we knew you, we have been changed for the better”. Sunset Hills Neighborhood Association Board Your house may be worth more than you think! Go to www.SunsetHillsHouseValue.com for a FREE report on your home! Service provided by Team Leung, Keller Williams Realty, 336-508-1111 We’re kaput if we are not supported by our neighbors, so we are sponsoring this newsletter to support our neighbors. — Dennis & Nancy King Quaintance
Page 3 Blues 101: History and Performance Page 4 How to Make a Family Documentary Page 11 Kids’ Music Concert with Little Miss Ann A Community Beyond Books Changes in Store for 2024! The library’s mission to serve the community means that we are always changing and evolving to meet the community’s needs. Inside the Library Building In January, you may notice some shifting of the spaces on the 2nd floor of the library. The highly-anticipated makerspace will be created in the area that is currently the High School Room, and the Internet Lab will become the new High School Room. The 2nd Floor Information Desk will also be reconfigured to better serve visitors using the library’s passport services. We hope that the disruption caused by the reconfiguration will be minimal, and that all of the areas will be ready for use in April 2024. Later in 2024, we will add three additional 2nd floor study spaces and update some of the 2nd floor lighting and furniture. Anywhere Outside of the building, staff have been using the outreach van to take storytime to the parks, complete with music, scarves, and shakers! Some story time sessions include up to 150 attendees — many more than would fit into the program rooms at the library! Staff are also out in the van at Little Free Library locations and visiting schools and assisted living facilities. The Short Story Dispenser is currently “on tour,” and staff use the van to deliver the machine to schools where it dispenses curated stories and short-story contest-winning student writing! Several times each week, staff deliver materials to the 65 S Park Lockers located at the Glen Ellyn Police Department for 24/7 pickup. You may also see the outreach van collecting and delivering items like welcome bags for the Festival of the Arts. Inside the library building or out in Glen Ellyn, library staff are always looking for new ways to help meet the community’s needs. —Dawn Bussey, Executive Director firstname.lastname@example.org \| 630-790-6760 USING MAKER EQUIPMENT Laser Cutter: Beeswax Candle Thursday, December 21 • 2:30–4:30 pm North and South Meeting Rooms Create and decorate a beeswax candle to light the darkness of the winter solstice during the winter celebration of many cultures. Supplies provided. For adults and high school students. Embroidery Machine: Decorated Beanie Tuesday, January 16 • 3:30–5:30 pm North and South Meeting Rooms Learn how to use embroidery software and the embroidery machine with a premade design to decorate a library-provided warm winter hat to keep. Supplies provided. Fine motor skills required. For adults and high school students. Cricut: Valentine’s Day Card Monday, February 12 • 2-4 pm North and South Meeting Rooms Learn the basics of card creation with the Cricut and create a personalized Valentine’s Day card. Supplies provided. For adults and high school students. HOLIDAY THEMED Create Cards for the Holidays Sunday, December 3 • 2-4 pm North and South Meeting Rooms Card-making artist Kathy Donofrio will provide supplies and demonstrate how to create greeting cards. For adults and high school students. Holiday Movie Mondays Mondays • December 4, 11, 18 • 2:30-4:30 pm North and South Meeting Rooms Light refreshments will be provided. December 4: Christmas Vacation (1989) PG-13 December 11: Scrooged (1988) PG-13 December 18: Elf (2003) PG Holiday Treats to Wow Your Guests Tuesday, December 5 • 2-3 pm Virtual Program The Café’s own Chef Rob will demonstrate how to prepare some items for entertaining season that anyone can cook! Holiday Chocolate Bark with choice of toppings; Holiday Bundt Cake flavored to make your tastebuds sing; and Hot Chocolate Jar, a perfect gift! For adults and high school students. ’Tis the Season: Holiday Traditions from Radio’s Golden Age Wednesday, December 6 • 11 am-Noon 2nd Floor Atrium East Steve Darnall will spur your imagination and share a bit of Yuletide spirit with this theater of the mind. Listen to classic seasonal sounds from the golden age of radio like Jack Benny’s annual shopping trips and Lionel Barrymore’s portrayal of Ebeneezer Scrooge. For adults and high school students. Illinois Libraries Present Surviving the Holidays with Lori Gottlieb Wednesday, December 6 • 7-8 pm Virtual Program Lori Gottlieb, New York Times bestselling author of Maybe You Should Talk to Someone, and co-host of the “Dear Therapists” podcast joins us for a thought-provoking conversation about mental health in anticipation of the winter holiday season. Gottlieb will share tools to help in everyday life and especially as you prepare for the holidays. For adults and high school students. Illinois Libraries Present The Royal Ballet Performance of The Nutcracker Saturday December 16, Sunday December 17 Virtual Program Get in the spirit of the season by watching a recorded performance of Tchaikovsky’s The Nutcracker performed by The Royal Ballet. The ballet, a holiday staple for all ages, can be viewed Saturday, December 16, and Sunday, December 17. Registrants will receive an email with a link to the performance. For adults and kids of all ages. FOR ADULTS AND KIDS OF ALL AGES Blues 101: History and Performance Saturday, February 17 • 2-3 pm North and South Meeting Rooms Explore the origins of blues music from its early beginnings with Fruteland Jackson. Learn the history of Blues music through songs, stories, and discussions while listening to instrumental examples played on the guitar. Available to the first 80 participants. Illinois Libraries Present A Conversation with Jerry Craft: From Mama’s Boyz to New Kid and Beyond Tuesday, February 6 • 7-8 pm Virtual Program Learn about life, art, and telling your story with bestselling author, illustrator, and syndicated cartoonist, Jerry Craft. Join us for a conversation about his works and journey to success, including a drawing demo that will be fun for the whole family! Seed Library: Seedling Startup Thursday, February 29 • 1-2 pm, 5-6 pm North and South Meeting Rooms Prepare flower and vegetable seedlings so that they are ready for planting in the spring. Community Conversation: WTTW/PBS Presents Gospel Sunday, February 18 • 3-4:30 pm 2nd Floor Atrium East PBS Books National Director and local resident Heather-Marie Montilla will show excerpts from the new WTTW/PBS docuseries, Gospel, and facilitate a discussion about how Black culture and gospel music, including its influence on pop music and society, have impacted the Glen Ellyn community. Montilla will provide behind-the-scenes insights into this docuseries produced, hosted, and written by Professor Henry Louis Gates, Jr. GET SOCIAL Senior Social Hour Wednesdays • December-February • 2:30-3:45 pm North and South Meeting Rooms Join neighbors to socialize while completing puzzles, playing card games, or working on coloring crafts. Light refreshments will be provided. For adults 50+. Trivia Night Thursdays • December 7-February 8 • 7-9 pm The Beer Cellar, 488 Crescent Blvd. Grab some friends or head out by yourself to The Beer Cellar Glen Ellyn for live trivia! For age 21 and up. Please arrive by 6:45 pm to secure space. Teams of four or less are encouraged. Donuts and BINGO Thursdays • December 14, January 11, February 8 10:30-11:30 am Main Street Recreation Center, 501 Hill Ave. Visit with friends over coffee and donuts while playing everyone’s favorite game. BINGO is free to play, with games starting at 10:30 am. One BINGO card per participant. Coffee, donuts, and BINGO cards will be provided, and prizes will be awarded to winners. Offered in partnership with the Glen Ellyn Park District. No Shush Salon: Open Mic with Guest Performers Thursdays • January 25, February 29 • 6:30-9 pm 2nd Floor Round Window Area Local creative types gather to discuss creative things. Share your works-in-progress or finished endeavors at an open mic! Use your 10 minutes to sing, dance, read, recite—whatever you choose. Spectators are welcome and appreciated. Light refreshments will be provided. For adults and high school students. January 25: (Virtual Program also) This Girls Story (TGS), a non-profit organization, is a quarterly girl-led magazine that showcases contributions from all who identify as girls, ages 13-19. Contributions can include stories, essays, poetry, drawings, comics, photographs, video, and audio. February 29: (In Person only) No guest performer, just open mic. Journaling for Mental Health Sundays • December 10, February 11 • 2-4 pm Shakespeare Room and Virtual Program Discuss things on your mind and heart, participate in a guided visualization, then journal. There will be prompts, snacks, and a chance to share your words, if you feel so moved. You do not have to be a writer to participate, just willing to journal. While this experience may be therapeutic, the facilitators are not licensed therapists. Journals will be provided for in-person attendees. For adults and high school students. Vitalant Blood Drive Monday, January 15 • 2-6:30 pm North and South Meeting Rooms Schedule your donation appointment at vitalant.org or call 877-25-VITAL. Walk-ins are welcome, but appointments are recommended. How to Make a Family Documentary Thursday, January 18 • 6:30-7:30 pm North and South Meeting Rooms Have you ever wished you could capture your parent or grandparent’s stories on video before they pass? Or were you able to capture them but you still don’t know what to do with them? Michael Rataj of Creative Family Memories will discuss and answer questions about the basics of digitizing, lighting, capturing audio, filming, and editing to capture stories you can cherish for years to come. Managing Money: A Caregiver’s Guide to Finances Saturday, February 10 • 10-11:30 am North and South Meeting Rooms James Sullivan, a community educator for the Alzheimer’s Association, will provide information to help navigate Medicaid, Medicare, Social Security, VA Benefits, Private Insurance, Family Assets, and Private Charities to budget and fund care for those with Alzheimer’s disease and dementia. Coffee and donuts will be provided. Job Search in the 21st Century Thursday, February 22 • 6:30-7:30 pm North and South Meeting Rooms Volunteer job coaches from People’s Resource Center will discuss how to network, build skills, create resumes and cover letters, prepare for interviews, and plan for job searches. Tech Help One-on-One Appointments available at calendar.gepl.org or by calling Beth Clower at 630-790-6750 Get hands-on instruction with your tablet, smartphone, or laptop to learn how to operate your device or get Microsoft, Apple, or Google platform software help in a 45-minute one-on-one appointment with library staff. Pre-Civil War Quilts: Secret Codes to Freedom on the Underground Railroad Saturday, February 3 • 2-3 pm North and South Meeting Rooms Listen to Connie Martin tell stories passed down to her great grandmother, Lizzie, of how her family survived the antebellum period. Lizzie’s Story: A Slave Family’s Journey to Freedom, a book written by Connie’s mother, Dr. Clarice Boswell, also recounts the family’s story. See eighteen different quilt patterns in replica quilts that contain hidden codes and secret messages that helped abolitionists guide slaves to freedom through the Underground Railroad to Canada. Illinois Libraries Present These events made possible by Illinois Libraries Present, a statewide collaboration among public libraries offering high-quality events. Speculating Our AI Future Panel with Corry Doctorow, Ken Liu, and Martha Wells Thursday, January 11 • 7-8 pm Virtual Program Join us for a panel discussion featuring three best selling science fiction writers: Cory Doctorow, Ken Liu, and Martha Wells. They will discuss the promise, perils, and possible impacts that AI will have on our future, as well as AI in contemporary and future science fiction writing. For adults and high school students. Bridgerton Series Bestselling Author Julia Quinn Tuesday, February 20 • 7-8 pm Virtual Program #1 New York Times bestselling author Julia Quinn helps us feel the romance all month with a discussion about Bridgerton and all things romance. For adults and high school students. Snowy Days Recommendations from Adult Dept. Assistant Director and Readers’ Advisory Librarian Sarah Kovac. Wintering: The Power of Rest and Retreat in Difficult Times by Katherine May In this memoir, journalist Katherine May faces illness, job loss, and parenting issues all at once. Her pain leads her to explore how difficult phases of life can offer unexpected opportunities. This lyrical and thoughtful book explores the transformative power of rest. In the Midst of Winter by Isabel Allende A minor accident during a snowstorm sets in motion a series of events that intertwines the lives of two professors and a nanny. A revelation that there is a body in the trunk of the nanny’s car sends the trio on a madcap adventure. Heartfelt and character-driven, this literary novel explores issues of race and the immigrant experience. The Snow Child by Eowyn Ivey In the unforgiving terrain of 1920 Alaska, a couple without children stumbles upon a young girl dwelling in the wilderness alongside a faithful red fox. Over time, they begin to love this peculiar, otherworldly child, embracing her as if she were their own. Based on a Russian fairy tale, The Snow Child is bittersweet and haunting. Icebreaker by Hannah Grace Romantic tensions rise when figure skater Hannah Grace and hockey player Nathan Hawkins are forced to share a rink. Fans of the ‘80s movie The Cutting Edge will enjoy this enemies-to-lovers sports romance. The Frozen River by Ariel Lawhon This suspenseful historical mystery tells the story of real-life frontier midwife Martha Ballard, who is pulled into an investigation of a shocking murder. Readers interested in early American history will revel in being transported to the post-Revolutionary era. Adult Dept. Assistant Director and Readers’ Advisory Librarian Sarah Kovac Why and when did you choose to become a librarian? After college, I worked for several years as a copy editor at The Daily Herald. Although it was an exciting and interesting experience, it was also a high-stress environment with terrible hours. The shifts were 4 pm to 1 am and included weekends and holidays. I knew long-term I wanted something with a better work-life balance, so I decided to make a career change. A large part of journalism is connecting people to information, and as an English major, I have had a lifelong love of literature. I was drawn to librarianship because of the way it combines these two things. Early on in library school, I knew I wanted a job that focused on readers’ advisory, which is all about bringing readers and books together. Do you have any fun childhood memories at the library? I was the kid who always had their nose in a book. Several times a week, I would ride my bike to the library to check out armfuls of The Baby-Sitters Club and R.L. Stine books. At the time, it didn’t occur to me that the library was a place where you could have a career. My kid brain just thought the librarians lived in the library! What do you wish people knew about GEPL? I wish more people knew that libraries are not silent spaces full of dusty old books. They are vibrant spaces where there is always something going on. We have a diverse collection full of new and popular books, movies, and video games. If it’s been a long time since you’ve been to a library, I encourage you to come in to see all we have to offer. What is your favorite genre of book? The genres I read the most are realistic fiction, graphic novels, speculative fiction, and memoirs. I enjoy almost any book with strong character development and compelling writing. If a movie/show comes out that was based on a book, do you watch first to see if you’d like the book, or do you read the book first? I tend to enjoy the movie/show more if I watched it before reading the book. If I’ve read the book first, the movie never quite aligns with the picture I had in my head. Although I try to view them as two separate things because I know the author and director both bring their own visions. If you could choose a fictional character to be your best friend, who would you choose? Anne Shirley from Anne of Green Gables. She has a great sense of humor and always sees the best in people. With her adventurous spirit, spending time with her would be full of memorable moments. If you had to live in a different state, which would it be? I recently visited San Diego and loved Southern California. I would love to live there if I could afford it! Do you have a favorite hobby? Up until recently, I was in a roller derby rec league. Sadly, the roller rink we skated at closed. Also, I enjoy camping (yes, in a tent) and traveling to new places. We’re planning on taking a family trip to Portugal soon. What are your favorite and least favorite sports teams? My husband and son are very into soccer, so occasionally I enjoy watching the Premier League (English football) with them. Although I don’t have a favorite team. Does AFC Richmond count? What’s your favorite ‘90s jam? In high school, I listened to a lot of alternative music like Nirvana, Pearl Jam, REM, and Counting Crows. BOOK DISCUSSION Copies of book discussion titles are available on the 2nd floor near the study rooms, or you can request a copy for pickup at the drive-up window by calling the 2nd Floor Information Desk at 630-790-6630 or emailing email@example.com. Glenbard Parent Series: Community Read Bittersweet: How Sorrow and Longing Make Us Whole by Susan Cain Thursday, January 18 • Noon-1 pm, 7-8 pm • Virtual Program Members of the Glen Ellyn community are encouraged to read Bittersweet: How Sorrow and Longing Make Us Whole by Susan Cain. Then join Dan Pink, author of five New York Times bestsellers as he discusses Bittersweet with the author. For adults and high school students. Thursday Evening Book Club Thursdays • December 14, January 11, February 8 7-8 pm • North and South Meeting Rooms December 14 The Authenticity Project by Clare Pooley January 11 Our Missing Hearts by Celeste Ng February 8 The Underground Railroad by Colson Whitehead Brainfuse HelpNow: Study and Test-Prep Help for High School Students By Josh O’Shea, Young Adult Librarian As finals approach, look to the library for help with tutoring, study support, and test prep! Brainfuse HelpNow, a digital resource available through gepl.org, has free resources for high school students and learners of all ages with a library card. Please ask library staff if you would like help accessing the Brainfuse HelpNow tools listed below. Live Tutoring Tutors are available from 2-11 pm, seven days a week. Chat with a tutor in real time using the Brainfuse Whiteboard or use the Send Question feature for help outside the live help hours. All tutors are vetted and have at least four-year degrees, and 79 percent have master’s degrees. Writing Lab Sign up to use the Writing Lab to submit documents to be reviewed by writing experts, usually within one business day. Some examples of documents students have submitted include valedictorian speeches and graduate school applications! SkillSurfer Access text and video lessons on topics like high school geometry, world history, and AP calculus. In addition to elementary, middle, high school, and college-level lessons, SkillSurfer has lessons on the following, as well as lessons for adults and parents: • Life Skills • College Entrance Test Prep • Armed Services Vocational Aptitude Battery (ASVAB) • Computers and Technology • English Language Learning (ELL) Featured Services – Chess Tutoring and FAFSA Help Learn chess strategies and improve your cognitive thinking with a live chess coach or with help from online resources and get live help with FAFSA application questions. VISIT BRAINFUSE HELPNOW Shining Star Theaters Librarian Melissa Hilt recently talked to Shining Star Theaters Directors/Organizers Bridget M., Henry M., and Martin M. about Shining Star Theaters and their Steal the Show performance on August 3 at the library. Why was Shining Star Theaters formed? We wanted to give kids a safe environment to be themselves. How did you come to work with Glen Ellyn Public Library? We originally walked in asking if they knew of any venues to perform at. But that is when we met the great staff at the Glen Ellyn Public Library including Christina Keasler, Melissa Hilt, and Beth Kirchenberg. They offered doing it at the library, and we were so excited. What did you learn from this experience? How to teach the cast how to dance and sing, how to handle business, and how to build props backgrounds. Anything else you’d like to share? We would like to give a big thank you to our choreographer, Olive Z., and supervisor, Annika W. The times we had with everyone were so much fun. If that meant joking around with Josie at the Youth Desk, or running around with Morgan looking for something. All these great times will be remembered, and Steal the Show will be missed. Thank you to everyone for supporting us, can’t wait for Halloween. Members of Shining Star Theaters continued their performances at the library with a skit in the Youth Department at the Haunted Library event on October 20. --- MIDDLE SCHOOL Middle School Volunteering Earn volunteer hours by learning and helping your community on your own schedule! Learn about the topic of the month through self-paced investigation, and complete projects to help you, your family, and your community. Stop by the Youth Desk or visit gepl.beanstack.org to participate. For grades 6-8. December: Food Security January: Community Leadership February: Financial Awareness Friday Rewind: ‘80s, ‘90s, and ‘00s Fridays • December 1, January 12, February 2 • 4-5 pm Youth Program Room Celebrate a decade by enjoying some treats, games, and TV shows that made it special, and test your knowledge with decade-specific trivia. For grades 6-8. December: ‘80s January: ‘90s February: ‘00s Global Taste Test Thursdays • December 21, January 18, February 22 • 4-5 pm Youth Program Room Each month, taste and rate snacks provided by Universal Yums from countries around the world! The library cannot guarantee that food served at this program has not come into contact with tree nuts, soy, or other allergens. For grades 6-8. --- BITS, BYTES, AND 3D DELIGHTS Coding with Scratch Thursdays • December 7, January 4, February 1 • 4-5 pm Youth Program Room Explore the world of Scratch coding with a project that teaches coding fundamentals and creative thinking. Please register for each month separately. Prior month’s attendance is not necessary. For grades 3-5. December: Create Your Own Story January: Character Dress Up February: Chase Game 3D Printing Wednesdays • December 13, January 10, February 14 • 4-5 pm Youth Program Room Create a custom design using Tinkercad and 3D print the item you design to keep! Please register for each month separately. Prior month’s attendance is not necessary. For grades 3-8. December 13: Snowflake January 10: Dragon February 14: Treasure Box Homeschool Hangout Wednesdays • December 6, January 17, February 7 • 1-2 pm Youth Program Room Use design thinking to solve different building and engineering challenges. Staff will be available to discuss homeschool services. For grades k-8. The Artist in You Wednesdays • December 6, January 3, February 7 • 5-6 pm Youth Program Room Make your own one-of-a-kind art inspired by famous artists, the world around you, and your creative spirit! For grades k-2. Hanukkah Hangout Monday, December 11 • 5-6 pm Youth Program Room Celebrate the Festival of Lights with a story from 5-5:30 pm. Then, learn how to play the classic Hanukkah game of dreidel. Twenty name tags (children only). Name tags will be available at the Youth Desk beginning 30 minutes prior to the program start time. Children with their grownups can pick up name tags on a first-come, first-served basis. For grades 3-5. Bluestem Book Club Tuesdays • December 19, January 16, February 20 Noon-1 pm, 6-7 pm • Youth Program Room Discuss a Bluestem book each month while eating pizza supplied by the library. Copies of the monthly title will be available to check out at the Youth Desk. Please register for each month separately. Prior month’s attendance is not necessary. Best for grades 3-5. Craftopia Wednesdays • December 20, January 17, February 21 • 5-6 pm Youth Program Room Stamp, weave, glue, and paint through a winter of amazing crafts. For grades 3-5. LEGO® Challenge: Wind Racers December 22-January 5 Youth Department Drop in and use LEGO® bricks to build creations and measure how far they travel. For grades k-5. Let’s Upcycle: Snow Globes Friday, January 5 • 10-11 am Youth Program Room Reuse found objects to create glittery winter wonderlands. For grades k-5. OneInMath Sundays • January 28-April 21 (excl. March 24, 31) 2:30-3:30 pm • North and South Meeting Rooms OneInMath is a free program run by high school volunteers to empower the love of math in students in grades k-3. Register or sign up to volunteer at oneinmath.com. Short Story Travels This winter, the Short Story Dispenser is continuing its tour of Glen Ellyn with visits to Churchill Elementary, Arbor View Elementary, Glen Crest Middle School, and Glenbard South! Its first stop was Forest Glen Elementary, where it dispensed 1,151 short stories while in the school library! The dispenser was a gift to the library from the Foundation in 2019 and was upgraded by the Foundation in 2020 to include touchless controls. It dispenses programmable content for one-, three-, and five-minute stories in three categories, including other languages. School Liaison Alexa Moffat, who worked with the schools to coordinate the school visits, explained “Students are so excited to interact with the Short Story Dispenser, and the feedback from teachers and school librarians has been very positive.” Mrs. Marcie Callicoat, Digital Literacy Specialist and School Librarian at Forest Glen said, “Our students loved the instant gratification of printing a story!” Moffat began her new role as School Liaison this school year. As school liaison, she works with organizations and school districts serving grades k-5 and helps make library offerings available to children in k-5 Glen Ellyn schools. At the library, she hosts programs for school-age children, including the Bluestem Book Club and Homeschool Hangouts. During summer months, she also coordinates programs like Bus to Books that brings students to the library, and the Willow Lakes program, which uses the library’s Anywhere van to take the library to students! Book Club Playgroup Thursday, January 11 • 9:30-10 am Youth Program Room Bring baby for rhymes and playtime and discuss The Midnight Library by Matt Haig. Copies of The Midnight Library will be available at the Youth Desk beginning Saturday, November 24. For birth-24 months and their grownups. Smart Starts February 20-March 14 Tuesdays, Wednesdays, Thursdays • 10-11 am Wednesdays • 2-3 pm Youth Program Room Weekly STEM-based crafts, play, and exploration. For pre-k. --- STORYTIME Winter Storytime January 8-February 14 The Glen Ellyn Public Library offers a variety of storytimes for children starting at birth. During staff-led programs that incorporate stories, songs, movement, rhymes, and other activities, your child will learn to love reading and the library. Visit gepl.org/storytime for details. Snow Storytime and Craft Tuesday, Wednesday, Thursday • December 12, 13, 14 10:30-11 am • Youth Program Room Listen to Goodbye Autumn, Hello Winter by Kenard Pak and create a snow scene craft. Twenty name tags (children only). Name tags will be available at the Youth Desk beginning 30 minutes prior to the program start time. Children with their grownups can pick up name tags on a first-come, first-served basis. For age 2-6 and their grownups. Nature Storytime Fridays • January 19, February 9 • 10:30-11 am Youth Program Room A guest presenter from The Morton Arboretum will share fun nature stories that highlight how weather, trees, and animals change with the seasons. Twenty name tags (children only). Name tags will be available at the Youth Desk beginning 30 minutes prior to the program start time. Children with their grownups can pick up name tags on a first-come, first-served basis. For age 2-6 and their grownups. Stuffed Animal Sleepover Saturday, February 3 • 10-10:30 am Youth Program Room Drop off your stuffed animal on Friday, February 2 any time before 4 pm. Come back on Saturday, February 3 to pick-up your stuffed animal and stay for a storytime and a special surprise! For pre-k. Book Besties Recommendations for great graphic novels with best friends in all shapes, sizes, and species from Middle School Librarian Beth Kirchenberg. Bird & Squirrel on the Run by James Burks Bird and Squirrel outwit Cat and become best friends in this zany adventure. Sanity & Tallulah by Molly Brooks Sanity and Tallulah live in a space station at the end of the galaxy. When Sanity’s illegally created three-headed kitten escapes, the girls have to turn their home upside down to find her. Crab & Snail: The Invisible Whale by Beth Ferry Join Crab and Snail in the surf zone, where they think deep thoughts and have unforgettable seaside adventures. Beak & Ally: Unlikely Friends by Norman Feuti Ally the alligator is perfectly happy being alone—until one day a noisy bird named Beak lands on her snout. Arlo & Pips: King of the Birds by Elise Gravel Like most crows, Arlo has a big brain. But Arlo has something else: a little pal who’s not afraid to tell him when he’s insufferable! Gustav & Henri: Space Time Cake! by Andy Matthews Meet Gustav and Henri. This is their book. It’s a bit about friendship and a lot about snacks (especially Nachos!). Rover and Speck: This Planet Rocks! by Jonathan Roth Two mismatched rovers alone on a distant planet—what could possibly go wrong? Laser Moose and Rabbit Boy by Doug Savage Superheroes Laser Moose and Rabbit Boy use superpowers—laser vision and sense of optimism, respectively—to defend their forest home against aliens, mutants and cyborgs. --- Kids’ Music Concert with Little Miss Ann Thursday, December 28 • 10:30-11:15 am North and South Meeting Rooms Jump, clap, sing, and dance with Little Miss Ann at a fun, energetic, and interactive concert for all ages. Listen and let your light shine within yourself, with your friends and family, and in your community! Available to the first 80 participants. For kids up to age 8 and their grownups. --- The Guide Winter 2023/24 \| Vol. 35 \| No. 1 Glen Ellyn Public Library 400 Duane Street, Glen Ellyn, IL 60137 630-469-0879 \| gepl.org Direct Dial 2nd Floor Information Desk: 630-790-6630 Youth Desk: 630-790-6620 Library Services Desk: 630-469-0879 ext 4 Cafe: 630-790-6772 Hours Monday-Thursday: 9 am-9 pm Friday: 9 am-6 pm Saturday: 9 am-5 pm Sunday: 1-5 pm Winter Closures Sunday, December 24: Christmas Eve Monday, December 25: Christmas Day Sunday, December 31: New Year’s Eve Monday, January 1: New Year’s Day Executive Director Dawn Bussey 630-790-6760 or firstname.lastname@example.org Board of Trustees Karen Volk, President Erin Micklo, Vice President Susan Stott, Secretary Maryanne Deaton, Treasurer Mary Sue Brown, Trustee Richard Jones, Trustee Kathy Slovick, Trustee Accessibility The Glen Ellyn Public Library encourages persons with disabilities to participate in its programs and activities. If you anticipate needing any type of accommodation or have questions about the physical access provided, please call 630-469-0879 in advance of your participation or visit. Learn more at gepl.org/accessibility. Promotion Adults and children may be photographed and videotaped by library staff or their representatives in the course of library activities. The images may be used, without accompanying personal identification, in library publicity. If you have a concern about this policy, please contact library staff. --- Registration required Find all programs and events at calendar.gepl.org Glen Ellyn Public Library has become a community beyond books and provides a welcoming space for families, students, and businesses to gather for activities, school, and work. The mission of the Glen Ellyn Library Foundation is to grow its endowment to ensure that residents continue to enjoy high-quality library services in a state-of-the-art facility, and to fund projects that foster innovation and outreach. Please consider making a gift this holiday season in exchange for naming a piece of the library for yourself or a loved one. Nameable items range from the end panel of a bookshelf to the library building itself. Learn more about Naming Opportunities at gepl.org/foundation or email email@example.com. Get Help Locating Free and Low-Cost Services Did you know that you can get help locating child care, training, food assistance, housing, medical care, legal advice, and specialized support for all ages and languages at the library? Glen Ellyn Youth and Family Counseling Service (GEYFCS Outreach Program Coordinator Jessica Gul is available Monday-Friday on the 2nd floor to provide referrals for housing and employment services and schedule appointments for mental health services with a clinician at GEYFCS. Contact Jessica Gul at 630-469-3040 ext. 3045 or firstname.lastname@example.org. Used Book Sales Bimonthly in the basement of the library. Saturday, January 20 • 9 am to 2 pm Saturday, March 16 • 9 am to 2 pm Sunday, March 17 • 1 to 4 pm (most items $10 a bag) Visit the Used Book Nook in the lobby next to The Cafe. Most items are $2 for adult books and $1 for children's books. Book Donations Book donations for used-book sales are accepted at the Library Services Desk at any time. If you have a large donation, please contact Dennis McCarthy, Building Engineer, at 630-790-6765 to schedule a drop-off appointment. We prefer quality adult and children's books in good condition and cannot accept encyclopedias, magazines, or damaged, musty, or outdated materials. For more information on Friends activities, visit gepl.org/friends. CAFE Monday-Thursday: 9 am-8:30 pm Friday: 9 am-4:30 pm Saturday: 9 am-4:30 pm Sunday: 1-4:30 pm CAFE MENU 630-790-6772
Orally administered torsemide in horses: pharmacokinetic and pharmacodynamic studies by Gustavo Ferlini Agne A thesis submitted to the Graduate Faculty of Auburn University in partial fulfillment of the requirements for the Degree of Master of Science Auburn, Alabama August 05, 2018 Keywords: equine, torsemide, loop diuretic, orally, congestive heart failure Copyright 2018 by Gustavo Ferlini Agne Approved by SeungWoo Jung, Assistant Professor, Department of Clinical Sciences Anne Wooldridge, Associate Professor, Department of Clinical Sciences Sue Duran, Professor, Department of Clinical Sciences William Ravis, Professor, Department of Pharmacology Sciences Abstract Diuretic therapy is the mainstay for management of congestive heart failure in horses. Loop-diuretic medications in horses have been restricted to injectable medications because currently, no data support the use of orally-administered loop diuretics. The objectives of this study were to determine the pharmacokinetic and pharmacodynamic properties of the orally-administered, loop-diuretic torsemide and determine if it could be used as an alternative to injectable diuretics in the horse. A total of 6 healthy adult mares were used in a 2-phase, prospective study. The two phases consisted of the pharmacokinetic profiling of a single dose (6 mg/kg PO) and pharmacodynamic effects of long-term torsemide administration (2 mg/kg q12h) for 6 days in healthy horses. Pharmacokinetic analysis identified a peak concentration ($C_{\text{max}}$) of 10.14 µg/mL (range, 6.793-14.69 µg/mL) and elimination half-life ($T_{1/2}$) 9.205 hours (range, 8.383-10.43 hours). The area under the plasma drug concentration over time curve (AUC) was 80.7 µg * h/mL (range, 56.5-117.2 µg * h/mL). A statistically significant increase in urine volume and decrease in urine specific gravity were found between day 0 (baseline) and day 6 ($p<0.0001$). Significant alterations in biochemical variables included hyponatremia, hypokalemia, hypochloremia, and increased serum creatinine concentration. Mean arterial blood pressure significantly decreased on day 6 (57.67±8.814 mmHg, $p=0.001$) as compared to baseline (78±6.132 mmHg). Serum aldosterone concentrations significantly increased after 6 days of torsemide administration ($p=0.0006$). Orally-administered torsemide (4 mg/kg/day) successfully reached therapeutic concentrations in blood, induced clinically relevant diuresis, and resulted in moderate pre-renal azotemia and electrolyte disturbances. Acknowledgements I would like to acknowledge and express my deep admiration and gratitude to Dr. SeungWoo Jung, chair of my master’s committee, and to Drs. Anne Wooldridge, Sue Duran, and William Ravis, members of my committee. Dr. Jung was extremely helpful during my research, supportive, outstandingly positive, and tremendously enthusiastic about cardiology. His enthusiasm would go beyond good results in our research, Dr. Jung’s excitement for my success and achievements was of an immensurable value throughout my masters. I cannot express in words how grateful I am for Dr. Wooldridge’s guidance and advice during my residency program. Dr. Wooldridge taught me not only how to excel by performing evidence based internal medicine and research, but she also made me a better person by following her outstanding ethics and teaching methods. It was my luck to count with the mentorship of Dr. Duran, she is an incredible person with a wonderful heart, and on top of that she is an amazing mentor who was always available to teach me clinical pharmacology, and contribute to all phases of our project. This project would not be possible without the expertise and kindness of Dr. Ravis who generated all the pharmacokinetic data. He was always very patient and extremely enjoyable to work with. I would also like to acknowledge Dr. Ramiro Toribio from Ohio State University who was of a great contribution for the pharmacodynamic phase of our project. I am profoundly grateful for all my resident mates, faculty, and staff members from Auburn University who made my residency and master’s program a wonderful ride. I would like to thank the Birmingham Racing Commission and The Department of Clinical Sciences at Auburn University for funding. Finally, I would like to thank my family, who is the foundation of my personal and professional success. Their lessons of kindness and respect got me where I am today, so I dedicate this work to them. # Table of Contents Abstract ................................................................................................................................. ii Acknowledgements ........................................................................................................... iv List of tables ..................................................................................................................... viii List of figures .................................................................................................................... ix List of abbreviations ....................................................................................................... xi Chapter 1 – Literature review .......................................................................................... 1 Section 1: Definition and pathogenesis of fluid overload and edema formation .............. 1 Section 2: Renal physiology – movement of water and solutes ........................................ 6 Section 3: History of diuretics and their mechanism of action ....................................... 13 Section 4: Renin-angiotensin-aldosterone system and its activation by diuretics .......... 16 Section 5: Loop diuretic therapy in the horse and other species .................................... 18 Section 6: Pharmacological advantages of torsemide and study justification ................ 19 Chapter 2 – Pharmacokinetic profile of orally administered torsemide in healthy adult horses... 25 Section 1: Materials and methods .................................................................................. 25 Section 2: Results .......................................................................................................... 29 Chapter 3 – Pharmacodynamic properties of long-term oral administration of torsemide to healthy adult horses ................................................................. 32 Section 1: Material and methods ........................................................................... 32 Section 2: Results .................................................................................................. 36 Chapter 4: Discussion ............................................................................................... 46 Conclusions ............................................................................................................. 53 References .............................................................................................................. 54 Appendices ............................................................................................................. 62 List of Tables Table 1: Pharmacokinetic parameters after oral torsemide administration ...........................................31 List of Figures Figure 1: Model of Starling forces directing the fluid movement from the intravascular space towards the interstitium.................................................................4 Figure 2: Diagram representing the nephron with the different available diuretics and their respective site of action in the nephron...........................................................................12 Figure 3: Marked improvement of pectoral ventral edema and jugular venous congestion after oral torsemide administration in a clinical case.............................................................................21 Figure 4: Changes in potassium (A) and creatinine (B) levels over the course of oral torsemide administration in a clinical case..................................................................................22 Figure 5: Plasma torsemide concentrations after oral administration (6mg/kg-12mg/kg, every 12 hours) in a clinical case............................................................................................................23 Figure 6: Intragastric torsemide administration at 6mg/kg..............................................................................28 Figure 7: Mean plasma concentrations of torsemide over time following a single intragastric administration with 6 mg/kg in 6 healthy adult mares........................................................................30 Figure 8: Urine collection bag for continuous urinary collection........................................................................34 Figure 9: Urinary bags maintained using a truss in order to allow free movement in the stall during urinary collection.......................................................................................................................35 Figure 10: (A) Total urine volume, (B) Urine specific gravity, and (C) body weight (kg) before and after oral torsemide administration with 2 mg/kg q12h at three different time points in 6 adults mares.................................................................................................................................37 Figure 11: Serum electrolyte concentrations before and after oral torsemide administration with 2mg/kg q12h at day 0 and 6 in 6 adults mares.................................................................................................................................40 Figure 12: Blood urea nitrogen, creatinine, total protein, and packed cell volume before and after oral torsemide administration with 2mg/kg q12h at day 0 and 6 in 6 adult mares..................................................................................41 Figure 13: Serum aldosterone concentrations before and after oral torsemide administration with 2mg/kg q 12h at 3 different time points in 6 adults mares.................................................................................................................................42 Figure 14: Normalized echocardiographic parameters before and after oral torsemide administration with 2mg/kg q 12 hours, at day 0 and 6 in 6 adult mares.................................................................................................................................43 Figure 15: Non-invasive stroke volume measurements and non-invasive mean arterial systolic blood pressure before and after oral torsemide administration with 2mg/kg q 12 hours, at day 0 and 6 in 6 adult mares.................................................................................................................................44 \| Abbreviation \| Description \| \|--------------\|-------------\| \| CHF \| congestive heart failure \| \| ECFV \| extra cellular fluid volume \| \| EIPH \| exercise induced pulmonary hemorrhage \| \| ICFV \| intracellular fluid volume \| \| MAP \| mean arterial pressure \| \| RAAS \| renin-angiotensin-aldosterone system \| \| TBW \| total body water \| \| USG \| urine specific gravity \| Chapter 1 – Literature review Section 1: Definition and pathogenesis of fluid overload and edema formation Fluid overload is characterized by hypervolemia with expansion of the vascular space, and as a consequence, distribution of the extra fluid to the interstitium. Edema is the consequence of the redistribution of this extra fluid, either within cells (cellular edema) or within the collagen-mucopolysaccharide matrix distributed in the interstitial spaces (interstitial edema)$^1$. Physiologic fluid spaces are mainly divided between the total body water (TBW), extra cellular fluid volume (ECFV), and intracellular fluid volume.$^2$ Considering that the body fluid spaces are a representation of a physiologic and dynamic measurement (percentage of body weight), obtained at a specific time point, TBW can be estimated to be 2/3 of the body weight. The remaining 2/3 of the total body water volume is comprised by fluid found within the cells, the intracellular fluid volume (ICFV). Results from most of the studies evaluating TBW in the horse, suggests that a healthy horse has a volume of TBW between 60 and 70% of its weight.$^3-5$ Approximately 1/3 of the TBW is comprised of the volume of fluid contained outside of the cells. Plasma volume expansion as seen in fluid overload can lead to edema; whereas plasma volume contraction can lead to shock.$^2$ Accurate clinical monitoring of plasma volume through packed cell volume and total solids assessment can be challenging in the horse, mostly due to interfering factors such as splenic contraction and abnormal protein loss. Serial packed cell volume and total solids provide a good estimative of a trend which can be beneficial in determining plasma volume expansion, and contraction.$^2$ Generally, edema occurs within the extracellular fluid space, although it can also take place in the intracellular fluid compartment.$^6$ Although edema formation is a physiologic effect with certain positive consequences such as an increase of convective flux of macromolecules (e.g. complement proteins and antibodies used to aid in killing of bacteria within the interstitial space), and dilution of certain cytotoxic chemicals released by microorganisms, edema also is closely related to negative consequences.$^1$ The edematous tissue often has a decrease in oxygenation and nutrients supply due to an increase in diffusion distance, and also impaired nutritive tissue perfusion with the collapse of capillaries (especially in encapsulated organs and tissues with decreased expansion capability of the interstitial volume such as the kidneys and bones).$^1$ Fluid overload and edema formation can occur with various conditions in the horse including iatrogenic fluid overload $^2$, renal and congestive heart failure (CHF)$^2$, pulmonary edema $^7$, distal limb cellulitis $^8$, head trauma $^9$, and respiratory distress syndrome in foals. $^10$ The induction of excessive hypervolemia in healthy horses, leading to fluid overload, is unlikely given that horses can tolerate a high volume of intravenous fluid over a short period of time (approximately Just by gravity alone, with the use of a regular 14 gauge intravenous catheter, the administration of a fluid volume high enough to induce fluid overload is unlikely in the horse.\textsuperscript{2} Nevertheless, according to a previous study, in vitro administration of a high fluid volume can be achieved in a short period of time with the use of fluid pumps, larger gauge catheters, and multiple intravenous catheters.\textsuperscript{11} Fluid overload frequently arises with abnormal renal function and inability to excrete the excess of water. Fluid overload can occur with normal renal function in the presence of other risk factors such as: systemic inflammation, increase in capillary permeability, changes in interstitial compliance, alteration in lymphatic outflow, and hypoproteinemia, which ultimately interfere with the kidneys’ ability to recognize the extra fluid to be excreted.\textsuperscript{2} According to Ernest Starling, in most capillaries, a balance or near-equilibrium is present in a way that the amount of fluid being filtered outward from an arterial capillary, is almost the same as the amount of fluid returned to the circulation via the lymphatics.\textsuperscript{6} Ernest Starling proposed that four primary forces are important determinants of which direction fluid will move (i.e. either from the intravascular space to the interstitium or in the opposite direction).\textsuperscript{6} Summarizing the Starling forces, it can be stated that the net filtration pressure is determined by difference between the capillary pressure and the interstitial fluid pressure, subtracted by the difference between capillary plasma colloid pressure and the interstitial fluid colloid pressure. The simplified Starling Force equation and model of fluid movement from the intravascular space towards the interstitial compartment are represented in figure 1. Net filtration = $Kf \left[(P_{cap} - P_{int}) - (\pi_{plasma} - \pi_{int})\right]$ (Adapted from Equine Fluid Therapy)$^2$ Figure 1. The model represents the Starling forces directing the fluid movement from the intravascular space towards the interstitium. The hydrostatic pressure with the capillary is referred as $P_{\text{cap}}$. The hydrostatic pressure within the interstitium is represented by $P_{\text{int}}$. The plasma oncotic pressure is referred as $\pi_{\text{plasma}}$, whereas the interstitial fluid oncotic pressure is referred as $\pi_{\text{int}}$. This equation was revised by Levick and Michel (2010), which added a coefficient ($K_f$) for a presumed increase in permeability of the capillary wall during inflammation.$^{12}$ Net filtration is the sum of all the forces involved in the equation. The intravascular hydrostatic pressure is normally generated by the heart. In horses with congestive heart failure, this hydrostatic pressure is increased and, as a consequence, there is a movement of the extra fluid from the intravascular space towards the interstitial compartment.$^2$ It is consensus that edema will take place whenever there is a disruption of that continuous system, leading to movement of the fluid from the intravascular space towards the interstitial space and to the lymphatics. In summary, interstitial edema can occur when the plasma oncotic pressure is reduced from decreased protein production or protein loss; in cases of congestive heart failure with an increase in capillary hydrostatic pressure; in the face of inflammation with an increase in capillary permeability; and with a decrease in lymphatic drainage in cases of lymphatic obstruction or when lymph nodes are surgically removed.$^2$ Section 2: Renal physiology – movement of water and solutes The kidneys play an important role in the regulation of water balance, the management of fluid overload, and edema formation. As previously mentioned in Section 1, water movement through capillaries towards the interstitium follows a sum of forces (hydrostatic and colloid osmotic forces), whereas the movement of fluid between the intracellular and extracellular compartments is closely related to the osmotic effect of the solutes. The composition of the extracellular fluid is meticulously regulated by the kidneys, which have an imperative role in allowing the cells to be bathed in a fluid with proper concentration of solutes and nutrients for optimal cell function and metabolism.$^6$ The kidneys have a variety of physiologic functions such as regulation of water and electrolytes, metabolism, secretion and excretion of hormones, as well as excretion of metabolic waste products and foreign chemicals. Also, the kidneys have an important role in regulation of body fluid osmolality and electrolytes concentration, regulation of blood pressure and acid-base balance, as well as other vital functions such as regulation of erythrocyte production and gluconeogenesis.$^6$ In order to better understand the role of water and salt retention in the perpetuation of edema, it is important to review the normal renal physiologic events in regards to solute filtration and reabsorption by the kidneys. The nephron is the functional unit of the kidney, and a simplified diagram of its segments, percentage of solutes secreted and reabsorbed, as well as the site of action of the different diuretics available is demonstrated on figure 2. The nephron is composed of the glomerulus, the proximal convoluted tubule, the thin descending limb of the loop of Henle, the loop of Henle, the thin ascending limb of the loop of Henle, the thick ascending limb of the loop of Henle, the distal convoluted tubule, the cortical collecting duct and the medullary collecting duct. The kidney has two types of nephrons: the cortical nephron which is superficial and has a short loop of Henle, and the juxtamedullary nephron with the glomerulus site at the cortical region and with a long loop of Henle which extends deep into the medullary region of the kidney.\textsuperscript{13} Overall, the equine nephron has a similar morphologic composition when compared to other species.\textsuperscript{14} Two capillary arteries (afferent and efferent) provide the glomerulus with control of vasoconstriction or vasodilation, which helps dictate the filtration rate. The glomerular capillaries are mainly under influence of high hydrostatic pressure (approximately 60 mm Hg), allowing a rapid fluid filtration. In contrast, the peritubular capillaries are under the influence of a lower hydrostatic pressure (approximately 13 mm Hg), which facilitates a rapid fluid reabsorption.\textsuperscript{6} Therefore, the urine formation and its constituents, are a product of the difference between glomerular filtration and tubular reabsorption and secretion.\textsuperscript{6} Factors that affect the glomerular filtration include: molecule size, shape, and also the charge of the particles that are being filtered by the glomerulus.\textsuperscript{13} Approximately 20% of the total blood will be filtered by the glomerulus, and a much higher permeability of the glomerular capillary bed to ions when compared to other capillary membranes in the body, constitute a filtrate with a high concentration of ions that will later be mostly reabsorbed by the renal tubules. Approximately 65-70% of the water, sodium, and chloride will be reabsorbed by the proximal renal tubules.\textsuperscript{6} This portion of the nephron has a high rate of water and solute reabsorption that is performed mainly via a passive, isosmotic, paracellular process.\textsuperscript{13} This portion of the renal tubule also reabsorbs all the low-molecular-weight solutes that are essential for cell function, such as amino acids and glucose. The proximal tubule similarly regulates other solutes such as potassium, calcium, inorganic phosphate, magnesium, bicarbonate and hydrogen. Although the exact percentage of potassium reabsorption by the proximal renal tubules in the horse is unknown, this is the major site for potassium recovery in the equine nephron, and is estimated to have a potassium reabsorption of approximately 55-70%.\textsuperscript{15} Most of the inorganic phosphate is reabsorbed within the proximal renal tubules (approximately 80%).\textsuperscript{16} The proximal tubule is responsible for only 5-20% of the reabsorption of magnesium, a process that is performed via a paracellular transport and requires water diffusion.\textsuperscript{13,17} Approximately 70% of the body magnesium is filtered by the glomeruli with the majority being reabsorbed in different segments of the nephron. Sodium movement from the tubular lumen to the cell also occurs via a counter-transport mechanism that reabsorbs sodium while secreting hydrogen, an important process in acid-base regulation that facilitates bicarbonate reabsorption.\textsuperscript{6,13} Approximately 80% of the bicarbonate filtered by the glomerulus is reabsorbed by the proximal tubules.\textsuperscript{13} The loop of Henle, as previously mentioned, is divided in segments which have different physiologic properties in regards to fluid and solute movement. The descending part of the thin segment is highly permeable to water and moderately permeable to most solutes. This segment of the nephron allows mainly simple diffusion with approximately 15-20% of water being reabsorbed in this segment.\textsuperscript{6} The ascending limb (including both the thin and thick portions) is almost impermeable to water. This lack of permeability to water in the ascending limb of the loop of Henle is essential for urine concentration. The reabsorption of sodium, potassium and chloride in the thick ascending limb of the loop of Henle is approximately 25%. This segment is next major site for reabsorption of solutes and is an active form of transport that is performed by the sodium-potassium-chloride (Na/K/2Cl) cotransporter, present in the luminal membrane of the thick ascending limb.\textsuperscript{15} The major site for reabsorption of magnesium is the thick ascending limb of the loop of Henle. Approximately 50-70% of the magnesium reabsorption occurs in this segment of the nephron and is performed by a paracellular transport, driven by the positive voltage gradient generated when sodium, chloride, and potassium are reabsorbed by the Na/K/2Cl cotransporter.\textsuperscript{13} About 20% of the calcium is also reabsorbed in this segment by the same transportation process as magnesium. The distal segment of nephron and the collecting duct are responsible for secretion of solutes and also reabsorption of a minimal amount of solutes. Approximately 8-10% of sodium and chloride are reabsorbed within the distal tubule and collecting duct.$^2$ The distal convoluted tubule reabsorbs approximately 10% of the filtered magnesium. Beyond this point, there is minimal reabsorption of magnesium; therefore the collecting tubules are responsible for determining the final concentration of magnesium in urine.$^{13,17}$ Although acid secretion occurs in all segments of the nephron, secretion of ions hydrogen via an active transport performed by the intercalated cells occurs in the distal and collecting tubules. This acid secretion facilitates reabsorption of potassium and bicarbonate.$^{13}$ The distal tubule is not only responsible for potassium reabsorption but also for its secretion. Potassium is actively secreted in the distal tubule lumen by the direct influence of aldosterone in the principal cells.$^{15}$ The final concentration of urine is also determined by additional water reabsorption that takes place in the collecting ducts. This process is mediated by vasopressin and is facilitated by specific aquaporin channels in the collecting ducts.$^{6,13}$ Fluid overload with edema formation is often a result of an inability of the kidneys to recognize the excess water or a failure to excrete it.$^2$ One example of the connection of edema and renal function can be observed in patients with edema secondary to congestive heart failure. In the presence of heart failure, a decrease in stroke volume raises the venous pressure causing an increase in capillary filtration.$^6$ A subsequent decrease in renal perfusion due to a decrease in arterial pressure is also observed leading to less excretion of salt and water, perpetuating the edema. As a consequence for this decrease in renal blood flow, the renin-angiotensin-aldosterone system (discussed later in Section 5) is activated, leading to additional retention of water and salt.\textsuperscript{6} Figure 2. Diagram representing the nephron with the different diuretics available and their respective site of action in the nephron. Section 3: History of diuretics and their mechanism of action Diuretics are among the most used medications in human medicine, and most of the diuretic drugs act by decreasing the reabsorption of sodium and chloride at different sites of the nephron (Figure 2). As a consequence of this decreased reabsorption of solutes, there is an increase in urinary sodium excretion, and subsequent increase in water loss. Diuretic therapy has been extensively used for the treatment of edema, however its effective use does not go too far back in the medical history. Treatment of dropsy (i.e. edema), which for a long time was centered in increasing body secretions or mechanical removal of excess fluid, was extremely frustrating and ineffective until the beginning of the 19th century. Edema was referenced in ancient medicine texts from Sumeria, Egypt, Greece and Rome, with great focus but different etiologies and empirical therapies. As an example of the importance of edema and the necessity for an effective therapy, the ancient Sumerian word for physician was “Azu”, meaning “One Who Knows Water”. The first effective diuretic described was discovered by Paracelsus in the year of 1520. Paracelsus treated dropsy with success with the use of an inorganic form of mercury, calomel, which its use became limited due to serious gastrointestinal side effects. The 20th century’s first effective diuretics were from an organic form of mercurial. A Viennese medical student named Alfred Vogel, noticed that merbaphen, a newly introduced organic mercurial agent used for the treatment of syphilis, increased the urinary output in patients.\textsuperscript{21} Organic mercurial agents were used as the major diuretic therapy for the following 20 years after its discovery by Alfred Vogel. However, the toxic gastrointestinal side effects related to long-term use of organic mercurials lead to investigation and discovery of a new diuretic class, the carbonic anhydrase inhibitors. This class of diuretics was discovered by Schwartz in 1949, who demonstrated diuretic effect in three patients with refractory congestive heart failure after administering a new antimicrobial with carbonic anhydrase inhibitor activity, sulfanilamide.\textsuperscript{19} In 1954, acetazolamide was synthetically produced and distributed as the first carbonic anhydrase inhibitor to replace organic mercurials in the treatment of edema secondary to congestive heart failure. Acetazolamide works by inhibiting the carbonic anhydrase enzyme activity in the proximal tubule, therefore decreasing the availability of ions hydrogen for the sodium-hydrogen exchanger.\textsuperscript{18} As a consequence, there is a reduction of sodium reabsorption and impaired neutralization of luminal bicarbonate with an increase reabsorption of ions chloride. The result is a hyperchloremic metabolic acidosis with very mild diuresis produced, likely due to the fact that the fluid leaving the proximal tubule gets reclaimed in the other segments of the nephron. The minimal diuresis promoted and the significant metabolic acidosis induced, limited the use of acetazolamide. In 1955, exploration of a sulfonamide derivate that could mobilize edema with the excretion of sodium along with chloride instead of bicarbonate, led to the synthesis of chlorothiazide.\textsuperscript{19} Although thiazides are also carbonic anhydrase inhibitors, the main sites of action is in the cortical portion of the loop of Henle. and the distal convoluted tubule.\textsuperscript{18} This type of drug inhibits the sodium and chloride reabsorption by competing directly with the chloride binding site and inhibiting the sodium-chloride symporter.\textsuperscript{18,22} Thiazides, as well as decreasing sodium reabsorption within the distal tubule, also increase the calcium reabsorption in this segment of the nephron.\textsuperscript{18} In 1959 loop diuretics were developed, and furosemide was released for clinical use in 1964.\textsuperscript{19} Loop diuretics, also known as high ceiling diuretics, acquired their class name due to the site of action: the ascending thick limb of the loop of Henle. A variety of chemical agents are included within this class (furosemide, bumetanide, and torsemide), and they work by blocking the Na/K/2Cl cotransporter in the luminal membrane.\textsuperscript{18} Furosemide binds competitively to the chloride binding site of the luminal Na/K/2Cl cotransporter. This portion of the loop of Henle, in contrast to the thin descending limb, is mainly impermeable to water. Consequently, by blocking the Na/K/2Cl cotransporter, it increases the sodium, chloride, and potassium delivery to the distal tubule, thereby inducing the production of large quantities of isotonic urine.\textsuperscript{23} Loop diuretics, along with a great diuretic effect, induce a significant potassium loss in urine, which prompted the research and development of an alternative for a diuretic agent with less potassium wastage. In 1961, the pharmaceutical industry developed spironolactone, a diuretic drug that would block potassium secretion at the distal tubule by inhibiting the reabsorption of sodium at this segment of the nephron.\textsuperscript{19} Spironolactone has aldosterone antagonist effects, and is a potassium sparing diuretic. Spironolactone works by competing with the receptor site of aldosterone in the late distal tubule, therefore inhibiting the reabsorption of sodium and water, and increasing the reabsorption of potassium. Since a minimal percentage of sodium is normally reabsorbed by the distal tubule, the amount of diuresis induced by spironolactone is much lower when compared to loop diuretics.\textsuperscript{24} Therefore, loop diuretics are currently the most potent diuretics and the mainstay for fluid overload control and management of critical cases requiring diuresis. Section 4: Renin-angiotensin-aldosterone system and its activation by diuretics The Renin-angiotensin-aldosterone system (RAAS) is an endocrine system extremely important in the regulation of blood pressure and extracellular fluid volume by controlling intravascular volume, cardiovascular function, and the renal excretion of water and electrolytes.\textsuperscript{13} Renin is an enzyme that is produced by the juxtaglomerular cells of the kidney and released into the systemic circulation. There are a variety of physiologic events that trigger renin production and release: renal artery hypotension with a decrease pressure in the afferent arteriole, sympathetic stimulation with stimulus of beta-1 adrenergic nerves, and a decrease in sodium concentration at the distal tubule detected by the macula densa mechanism.\textsuperscript{6} Although plasma renin activity has been shown to be low in the horse when compared to other species, a response of aldosterone to activation of the RAAS seems to be appropriated in the horse, with an increase in plasma aldosterone noted in response to decrease in plasma volume.\textsuperscript{25} Once in the systemic circulation, renin cleaves hepatic angiotensinogen to angiotensin I, which is converted to angiotensin II in the lungs by an angiotensin-converting enzyme. Consequently, angiotensin II binds to its receptor in the adrenal cortex and stimulates the release of aldosterone to increase renal sodium and water reabsorption within the collecting duct. Aldosterone simultaneously increases renal sodium reabsorption and potassium secretion.\textsuperscript{13} Loop diuretics activate the RAAS by decreasing plasma volume, which is an undesirable effect since the RAAS acts as an antagonist of loop diuretics by stimulating the retention of water and sodium by the kidney.\textsuperscript{26} Continuous activation of RAAS due to long-term administration of loop diuretics may lead to diuretic resistance.\textsuperscript{25,27} In a study performed in healthy dogs, plasma aldosterone concentrations were significantly increased from baseline after long-term furosemide and torsemide administration.\textsuperscript{28} In the same study, long-term administration of torsemide markedly increased 24 hour urine volume, whereas furosemide induced only modest diuresis, suggesting that long-term administration of torsemide might lead to less diuretic resistance despite an increase in plasma aldosterone concentration. Section 5: Loop diuretic therapy in the horse and other species Loop diuretics (e.g., furosemide, torsemide) have been used for clinical conditions in horses, humans, dogs and cats to remove excessive fluid from the body by blocking the Na-K-2Cl transporters in the thick ascending loop of Henle. Once the active reabsorption of sodium, potassium, and chloride is blocked, diuresis is promoted by excretion of water, sodium, potassium, and chloride. Intravenously administered furosemide is commonly used to resolve pulmonary edema secondary to acute CHF, whereas orally-administered diuretics are the mainstay for successful long-term management of CHF.\textsuperscript{29,30} Diuretics also are indicated to increase urine output in horses with acute renal failure, oliguria, anuria, poisoning, envenomation, and severe hypercalcemia or hyperkalemia.\textsuperscript{10,31-33} In the horse, diuretic therapy is restricted to injectable formulations of furosemide because of a lack of current data to support the use of oral furosemide. Frequent intramuscular or intravenous administration of furosemide can lead to complications such as local infection, perivascular administration of the drug, thrombosis and accidental injection into the carotid artery.\textsuperscript{34} A pharmacokinetic and pharmacodynamic study of oral furosemide in healthy horses indicated that the bioavailability of furosemide using a single dose of 1 mg/kg was only 5%.\textsuperscript{35} In the same study, no differences in urine volume and plasma electrolyte concentrations were noted after oral furosemide administration when compared to control horses. Torsemide is a high ceiling loop diuretic that is 10 times more potent than furosemide, and has a consistently high bioavailability after oral administration in humans and dogs.\textsuperscript{36} Torsemide has been widely used in humans and dogs with CHF, and shown less diuretic resistance.\textsuperscript{32} Although torsemide is proven to be safe and effective with good absorption after oral administration in humans, dogs, cats and rats, pharmacokinetic and pharmacodynamic studies have not been reported in horses.\textsuperscript{8,37-39} The absorption of orally-administered torsemide is nearly complete in humans, dogs and rats.\textsuperscript{31,39} A formulation of torsemide for oral administration was rapidly absorbed in human patients with CHF, and similar results were observed in a pharmacokinetic study of torsemide in healthy human volunteers and patients with renal failure.\textsuperscript{40,41} Section 6: Pharmacological advantages of torsemide and study justification Torsemide has several pharmacological advantages over furosemide. In a study comparing diuretic effects of equivalent dosages of torsemide and furosemide in small animals, less potassium loss was observed in animals treated with torsemide.\textsuperscript{38} In humans, torsemide has high bioavailability which allows an immediate switch from IV to PO formulation without changing the dosage.\textsuperscript{36} A half-life that allows dosing every 12 hours, good absorption after oral administration, and low risk of diuretic resistance are potential advantages of orally-administered torsemide for long-term diuretic therapy, which may contribute to clinical and prognostic improvement in patients with fluid overload. In a pilot study performed by this research team, torsemide was administered orally (6mg/kg, every 12 hours for 4 days, followed by 12mg/kg, every 12 hours for additional 4 days) to an 15 year old Thoroughbred stallion with congestive heart failure and monitored for 8 days. At day 7 a significant decrease in the ventral edema was noted by subjective visualization (Figure 3); also, a decrease in venous congestion was observed. No evidence of azotemia was observed (Figure 4). Daily plasma concentration showed an increase in torsemide plasma concentration levels that were directly correlated with dosage (Figure 5). Electrolyte measurements revealed mild hyponatremia and hypochloremia and moderate hypokalemia. A moderate hypokalemia (1.9 mmol/L; reference range: 3.5 – 4.5 mmol/L) was observed at day 4 (Figure 4) of treatment, and potassium was supplemented by oral administration of potassium chloride (KCl) at a dose of 0.1 g/kg, twice a day. A Day 0 B Day 7 C Day 0 D Day 7 Figure 3. Marked improvement of pectoral ventral edema and jugular venous congestion in a stallion with congestive heart failure after oral torsemide administration. (A) Severe ventral edema (arrow) at Day 0, (B) Substantially reduced ventral edema at Day 7 (arrow), (C) Pronounced jugular distention at Day 0 (arrowhead), (D) Absent jugular distention at Day 7 (arrowhead). Figure 4. Changes in potassium (A) and creatinine (B) levels over the course of oral torsemide administration in a stallion with CHF. Preliminary results indicated that torsemide has good palatability and was safe to be administered orally in horses. Also, the high plasma torsemide concentration levels and improvement in clinical signs along with evidence of electrolyte changes indicated that torsemide was absorbed after oral administration and was effective in managing this patient with congestive heart failure. The mainstay therapy of congestive heart failure in the horse is based on diuretic therapy, and the most commonly used diuretic in horses, furosemide, is not well absorbed orally. Owner compliance, duration of treatment, and the skill to administer injectable furosemide may limit the effectiveness and the feasibility for long-term management of congestive heart failure in the horse. The purpose of this study is to determine if a more powerful loop diuretic, torsemide, may be used as an oral alternative for diuretic therapy in horses. We hypothesized that torsemide would be well-absorbed when administered PO, and produce clinically relevant diuresis in healthy horses. The study aims were to determine the pharmacokinetic profile after single PO administration of torsemide and to evaluate the pharmacodynamic effects of long-term administration of torsemide PO in healthy horses. To our knowledge, this study constitutes the first pharmacokinetic and pharmacodynamic investigation of orally-administered torsemide in the horse. Chapter 2 – Pharmacokinetic profile of orally administered torsemide in healthy adult horses The aims of this study phase was to determine the plasma drug concentrations and pharmacokinetic profile of torsemide after oral administration. The hypothesis was that torsemide would reach therapeutic concentrations in blood when administered orally. Section 1: Materials and methods Animals and criteria Six healthy, adult mares (5 quarter horses and 1 draft cross horse) from the teaching herd of the Auburn University Large Animal Teaching Hospital were enrolled. Their average body weight and age were 594 kg (range, 477-541 kg) and 15 years (range, 11-23 years), respectively. All horses were used in a 2-phase study with a minimum of 90 days wash-out period between phases. All horses were deemed clinically healthy based on physical examination, baseline echocardiography, indirect blood pressure, CBC, plasma fibrinogen concentration and results of serum biochemical profiles. This experiment was approved by the Institutional Animal Care and Use Committee of Auburn University. Plasma torsemide concentration determination Plasma concentrations of torsemide were determined by a high performance liquid chromatography (HPLC) method as previously described.\textsuperscript{42} The HPLC equipment included Agilent 1100 series pumps, temperature controlled auto-injection, ultraviolet detector, and interface. A C-18 column (Phenomenex; 2.6 u; 100x4.6 mm; Torrance, CA) was used with a mobile phase of acetonitrile and potassium dihydrogen orthophosphate buffer (0.05M) at a ratio 40:60 by volume. Detection was at 290 nm and the flow rate was 1 mL/min. To 1 mL of equine plasma sample or plasma standard, 0.8 mL of 10% perchloric acid in methanol was added and the samples were centrifuged at 1048 x g. A 20 uL volume was injected into the HPLC system. The assay was evaluated in plasma with respect to recovery, linearity, selectivity, limit of quantification, precision and accuracy. Standards were prepared with equine plasma by spiking with aliquots of torsemide to yield concentrations of 0.01, 0.04, 0.1, 0.4, 1.0, 4.0, 10.0 and 20.0 µg/mL. Plasma standards stored for 4.5 months at -80C° showed no evidence of drug degradation. Drug concentrations were determined from equine plasma standard curves based on a peak area. The limit of quantification was 0.04 µg/mL and the limit of detection was 0.01 µg/mL. Intra- and inter-day variations were < 5.5%. Experiment phase I (pharmacokinetic profiles) Each horse was stalled for 3 days (1 day acclimatization and 2 days of blood collection). Before torsemide administration (6mg/kg, PO, once), a 14-gauge IV catheter was aseptically placed in the left jugular vein for blood collection. Access to hay and water was restricted for 2 hours before and 4 hours after the single dose administration of torsemide. Thereafter, free choice hay and water was offered. Torsemide tablets were crushed, mixed in 500 mL of water, and administered via a nasogastric tube (Figure 6). The tube was irrigated with 500 mL of water and removed after drug administration. Ten mL of blood was collected into lithium heparin tubes to measure plasma torsemide concentrations. Blood was collected before treatment (T=0), and at times 5, 10, 20, 30, 45, 60 minutes, and 2, 4, 6, 8, 10, 12, 16, 24, 36 and 48 hours after administration. Blood was centrifuged for 10 min at 1200 rpm, and the supernatant plasma was harvested and stored at -80°C for a total of 3 days before batch analysis. Figure 6. Torsemide administration at 6mg/kg, via nasogastric tube (A), followed by 500 milliliters of water via nasogastric tube (B). Pharmacokinetic data analysis Torsemide pharmacokinetic parameters were estimated by non-compartmental analysis using Phoenix WinNonlin Ver. 7 (Pharsight). The terminal decrease in the natural log plasma concentrations was used to calculate the excretion to elimination rate constant ($\lambda z$) and the $t_{1/2}$ was determined as $0.693/\lambda z$. The AUC and its first moment (AUMC), were assessed by the linear/log trapezoidal rule method. The apparent total body clearance after PO administration (Cl/F), the apparent volume of distribution (Varea/F), and mean residence time (MRT) were estimated from individual values of AUC, AUMC, and $t_{1/2}$. Pharmacokinetic data were expressed as mean, median, geometric mean, standard deviation (SD), and coefficient of variation (% CV). Section 2: Results Pharmacokinetic profile of torsemide after a single PO dose (Phase I) Torsemide was absorbed after intragastric administration with a wide kinetic variability among individuals (Figure 7). Average duration to peak plasma concentration (Tmax) was approximately 3 hours (range, 1.75-4 hours) (Table 1). Peak torsemide plasma concentration (Cmax) was 10.14 $\mu g/mL$ (range, 6.793-14.69 $\mu g/mL$). The excretion half-life of the terminal phase ($T_{1/2}$) was 9.2 hours (range, 8.38-10.43 hours). The area under the plasma drug concentration over time curve (AUC) was 80.7 $\mu g \times h/mL$ (range, 56.5-117.2 $\mu g \times h/mL$). Figure 7. Mean plasma concentrations over time following a single intragastric administration with 6 mg/kg of torsemide in 6 healthy adult mares. Bars represent standard deviation. Table 1. Pharmacokinetic Parameters after oral torsemide administration (6 mg/kg) \| Parameter \| Median \| 25% Percentile \| 75% Percentile \| Mean \| SD \| CV% \| \|--------------------\|----------\|----------------\|----------------\|---------\|--------\|-------\| \| $C_{\text{max}}$ ($\mu g/mL$) \| 10.1 \| 6.79 \| 14.6 \| 11.0 \| 5.26 \| 47.6 \| \| $T_{\text{max}}$ (h) \| 3 \| 1.75 \| 4 \| 2.83 \| 1.33 \| 46.9 \| \| AUC ($\mu g \times h/mL$) \| 80.7 \| 56.5 \| 117 \| 92.2 \| 48.9 \| 53 \| \| $\lambda$ (1/h) \| 0.07 \| 0.06 \| 0.08 \| 0.07 \| 0.01 \| 18 \| \| $T_{1/2}$ (h) \| 9.20 \| 8.38 \| 10.4 \| 9.27 \| 1.65 \| 17.8 \| \| Varea/F (L/kg) \| 0.89 \| 0.74 \| 1.56 \| 1.08 \| 0.55 \| 51.3 \| \| Cl/F (L/h/kg) \| 0.07 \| 0.05 \| 0.10 \| 0.07 \| 0.02 \| 37.8 \| \| MRT (h) \| 11.5 \| 9.16 \| 14.3 \| 11.6 \| 2.53 \| 21.8 \| $C_{\text{max}}$, maximum concentration; $T_{\text{max}}$, time of maximum concentration; AUC, area under the concentration-time curve; $\lambda$, slope of the terminal phase; $T_{1/2}$, half-life of the terminal phase; Varea/F, apparent volume of distribution; Cl/F, apparent total body clearance; MRT, mean residence time. Chapter 3—Pharmacodynamic properties of long-term oral administration of torsemide to healthy adult horses The aims of this study phase was to evaluate the pharmacodynamic effects of torsemide after prolonged oral administration. The hypothesis was that torsemide would induce clinically significant and persistent diuresis after prolonged oral administration, elicit a significant decrease in stroke volume, and induce mild electrolyte derangements. Section 1: Materials and methods (Phase II) The 6 horses employed for the phase I study were used in the phase II study after a wash-out period of 90 days. Each horse was stalled for 8 days (1 day acclimatization and 7 days of data collection). The tablets (100 mg/tablet) were crushed and mixed with 60 mL of water and administered PO at a dosage of 4 mg/kg/day for 6 days. Horses had access to free choice water, free choice hay, and 1.4 kg of a 10% pelleted feed once daily throughout the study period. All horses were weighed daily. A 28 Fr Foley urinary catheter was aseptically placed into each mare’s bladder and connected to a urine collection bag (Figure 8). Urine bags were maintained using a truss so that the mares could move freely in the stall (Figure 9). Urine was collected over the course of 12 hours on day 0 (before drug administration), and on days 1 and 6 (after drug administration). Urinary catheters were removed after 12 hours of urine collection. Collection bags were emptied hourly, and urine specific gravity (USG) and volume were measured. Blood samples were collected at 8 am daily for determination of packed cell volume (PCV), total protein concentration (TP) and serum biochemical profiles. Mean arterial pressure (MAP) was measured with a tail cuff using an oscillometric monitor device (SurgiVet® Advisor $^a$) as previously described.$^{43}$ Mean arterial pressure was measured daily at T=0 (before drug administration), and 1, 5, and 9 hours after drug administration. Echocardiographic parameters were evaluated by a board-certified cardiologist (SWJ), using a digital cardiovascular ultrasound imaging system (Philips® HD-11) with a S3-1 (3-1 MHz) cardiovascular transducer. Standard long- and short-axis views were used to obtain echocardiographic images.$^{44}$ Parameters measured included mitral and tricuspid inflow pattern, chamber dimensions of the left ventricle and the left atrium, trans-aortic flow velocity, trans-pulmonary flow velocity and left ventricular volume measured by a modified Simpson’s method.$^{45}$ All echocardiographic data obtained was normalized to body weight as previously described.$^{46}$ Echocardiography was performed on day 0 (baseline) and then on day 6 of torsemide administration. Samples for plasma aldosterone concentration were obtained daily 1 hour after torsemide administration in the morning. Plasma aldosterone concentrations were measured by radioimmunoassay (Coat-A-Count Aldosterone Radioimmunoassay) as previously validated for horses.$^{47,48}$ Figure 8. Urine collection bag used for continuous urinary collection. Figure 9. Urinary bags maintained using a truss in order to allow free movement in the stall during urinary collection. Statistical analysis Assessment of data distribution in regard to normality was determined using the Kolmogorov-Smirnov test. Normally distributed variables were expressed as mean ± SD. A Student’s $t$-test with Bonferroni correction was used to analyze differences in pharmacodynamic parameters between day 0 (baseline before torsemide administration) and day 6 of torsemide administration. Central tendency and dispersion for non-normally distributed data were expressed as median and interquartile range (IQR). A 1-way analysis of variance was used to determine differences between pharmacodynamic variables across different time points: day 0 (before drug administration), day 1 (first day of torsemide administration) and day 6 (last day of torsemide administration). If a statistically significant difference was detected among 3 time points, a Tukey’s test was used to compare differences between 2 time points. A commercial software\textsuperscript{b} package was used for all statistical analysis, and a corrected p-value < 0.05 was set as statistically significant. Section 2: Results (Phase II) Pharmacodynamic profiles after torsemide given PO for 6 days (Phase II) Urine volume, urine specific gravity and body weight Oral torsemide administration significantly changed USG, and no statistical difference was observed in body weight when compared between baseline (day 0; before torsemide administration) and day 6 (\textbf{Figure 10}). A significant increase in urine volume (median; IQR) was noted: day 0 (2204; 1881-3874 mLs), day 1 (26665; 23185-31225 mLs), and day 6 (11525; 9140-14170 mL). A statistically significant increase in urine volume occurred from day 0 to day 6. (p<0.0001). Urine specific gravity (median; IQR) significantly decreased after torsemide treatment (day 0: 1.046; 1.033-1.048) and (day 1: 1.010; 1.009-1.011 p<0.0001). Figure 10. (A) Total urine volume, (B) Urine Specific Gravity, and (C) Body Weight (kg) in each horse before and after oral torsemide administration with 2 mg/kg q12h at three different time points (day 0, circle; day 1, squares; day 6, triangles). The asterisk indicates statistical significance (corrected p-value < 0.05). Plasma electrolyte, BUN, creatinine, total protein, and plasma aldosterone concentrations, and PCV (%) Serum electrolyte, BUN, creatinine, and TP concentrations, and PCV were significantly altered by the prolonged administration of torsemide (Figure 11 and 12). Hyponatremia (median; IQR) was noted on day 6 with a significant decrease in serum sodium concentration (129; 128.8-131.0 mmol/L; p<0.0001) from baseline (137; 136.8-139.5 mmol/L). Similarly, hypochloremia was observed on day 6 (79.1±3.4 mmol/mL; p<0.0001) from baseline (101.2±1.7 mmol/L). Moderate hypokalemia was noted on day 6 (3.7±0.2 mmol/L; P<0.0001) when compared to baseline (1.9±0.2 mmol/L). Metabolic alkalosis was noted with a significant increase in bicarbonate concentration on day 6 (32.3±3.8 mmol/L; p<0.0003) from baseline (23.2±1.1 mmol/L). Azotemia was noted with a significant increase in serum creatinine concentration (baseline, 1.4 mg/dL±0.1; day 6, 2.0±0.1 mg/dL) and BUN (baseline, 14.5±1.8 mg/dL; day 6, 23.5±6.0 mg/dL; p<0.0001 and p=0.0058, respectively). A significant increase in TP was noted on day 6 (7.5±0.5 g/dL, p<0.0130) from baseline (6.6±0.3 g/dL). Increased PCV was noted after long-term torsemide administration. (baseline, 35±2%; day 6, 43±3%; p=0.0005). A significant increase was identified in plasma aldosterone concentrations over the course of torsemide administration (p=0.0006): day 0 (14.6±9.6 pg/mL), day 1 (59.2±38.2 pg/mL) and day 6 (100.2±27.5 pg/mL) (Figure 13). Figure 11. Serum electrolytes before and after oral torsemide administration with 2mg/kg q12h at day 0 and 6. (A) Sodium; (B) chloride; (C) potassium; (D) The asterisk indicates statistical significance between the different time points (corrected p-value < 0.05). Figure 12. Biochemistry changes, total protein, and packed cell volume before and after oral torsemide administration with 2mg/kg q12h at day 0 and 6. (F) creatinine; (G) total protein; (H) packed cell volume. The asterisk indicates statistical significance between the different time points (corrected p-value < 0.05). Figure 13. Serum aldosterone concentrations before and after oral torsemide administration with 2mg/kg q 12h at 3 different time points (day 0, circle; day 1, squares; day 6, triangles). A significant increase in aldosterone levels was noted when comparing the baseline (day 0) with day 1 and with day 6. No statistical difference was observed between day 1 and day 6. The asterisk indicates statistical significance (corrected p-value < 0.05). Echocardiography and mean arterial pressure The effects of PO torsemide on echocardiographic variables and MAP are shown in figures 13 and 14. Normalized left atrium maximal diameters were significantly decreased on day 6 (1.5; 1.4-1.5, p=0.0046) when compared to the baseline (1.7; 1.5-1.7). Mean arterial pressures decreased significantly on day 6 (57 ±9 mmHg, p=0.001) as compared to baseline (78±6 mmHg). Figure 14. Normalized echocardiographic parameters before and after oral torsemide administration with 2mg/kg q 12 hours, at day 0 and 6. (A) Left atrial diameter, LAD; (B) mitral valvular annulus, MVA, (C) left ventricular internal diameter at end-diastole, LVIDd; (D) left ventricular internal diameter at end-systole, LVIDs; The asterisk indicates statistical significance between the different time points (corrected p-value < 0.05). Figure 15. Non-invasive stroke volume measurements and non-invasive mean arterial systolic blood pressure before and after oral torsemide administration with 2mg/kg q 12 hours, at day 0 and 6. (E) Stroke volume measured by a modified Simpson’s method, MOD SV; (F) Bullet stroke volume, Bullet SV; (G) Teichholz stroke volume, Teichholz SV; (H) non-invasive mean arterial systolic blood pressure. The asterisk indicates statistical significance between the different time points (corrected p-value < 0.05). Orally-administered torsemide administration caused significant diuresis with an increase in urine volume and a decrease in USG in all horses. Results also indicated that torsemide reached therapeutic concentrations in blood, resulting in persistent diuresis and changes in biochemical and hemodynamic test results. Torsemide has less diuretic resistance and anti-aldosterone effects in dogs.\textsuperscript{32} Although bioavailability could not be calculated in our study because of unavailability of a torsemide formulation for IV use, it was absorbed after PO administration in all horses, reaching plasma concentrations similar to those observed in previous studies in dogs, rabbits, rats and humans.\textsuperscript{8,37,39,49,50} Our results showed that after a single dose of 6 mg/kg, plasma torsemide concentration reached a median Cmax of 10.14 µg/mL and time to reach peak plasma concentration was approximately 3 hours. In humans, peak plasma concentrations are obtained approximately 1 hour after PO torsemide administration and in dogs, peak plasma concentrations were observed at 1.5 hours after drug administration.\textsuperscript{8,37} For the single PO torsemide dose of 6 mg/kg, plasma torsemide concentrations over time showed great variability, and could not be fitted to a compartmental model. Plasma concentration of torsemide after a single PO dose was variable among individuals over the initial 14 hours with an AUC that had a high CV (53%). The high variability for torsemide concentration among individuals and the late onset of peak plasma concentration in our study could be explained by several factors. The nature and amount of ingesta in the gastrointestinal tract of each horse could have played a role and explained the different onset of peak plasma concentration and also the differences in drug absorption (e.g., drug binding to ingesta). All horses had hay and water restricted for 2 hours before and 4 hours after the single PO dose administration of torsemide (Phase I), and then free choice hay and water were offered. It is likely that the amount of ingesta in the gastrointestinal tract of each horse was different, which could have interfered with drug absorption. The influence of diet, anatomy, and physiology of the equine gastrointestinal tract in the absorption of orally-administered torsemide is unknown. However, in humans, simultaneous administration of food with torsemide led to a decrease in drug absorption as indicated by a decrease in Cmax and a delay in reaching peak plasma drug concentration with no influence on total drug bioavailability and diuretic effects.\textsuperscript{51} In our study, a single PO dose of torsemide resulted in an elimination half-life 3 times longer than what was observed in humans and slightly shorter than what was observed after IV torsemide administration in dogs.\textsuperscript{8,37} The terminal elimination half-life is influenced by drug clearance, but plasma drug decay also can be influenced by the tissue distribution rate. Based on the low CV% for the termination half-life (17.8%), it is likely that the variation among individuals was caused by drug absorption and clearance. Although the CV was high (37.8%), PO torsemide administration resulted in a low apparent total body clearance with a mean of 0.07 L/h/kg, and this finding could be the reason why PO torsemide showed a relatively long terminal half-life in our study. Another important factor is that the pharmacokinetic data reported in our study was obtained from healthy individuals. Physiologic changes seen in CHF, such as a decrease in mesenteric and portal blood flow and increased sympathetic and decreased parasympathetic activity, may have a negative influence on drug absorption, distribution and clearance.\textsuperscript{52} Despite this, absorption of orally-administered torsemide seems to be similar in healthy and diseased individuals. In a previous pharmacokinetic study, PO and IV formulations of torsemide resulted in similar plasma concentrations in patients with CHF, reaching Cmax in 1 hour after administration and an absolute bioavailability of 89% was observed.\textsuperscript{40} These results indicate that the pharmacokinetics of torsemide in patients with CHF are comparable with those in healthy individuals.\textsuperscript{8} Similar results were obtained in a pharmacokinetic study of torsemide in healthy volunteers and patients with renal failure.\textsuperscript{41} As previously reported in humans, furosemide has considerable variability with regard to its absorption, which makes it difficult to predict how much furosemide will be absorbed by a given patient. In contrast, the absorption of torsemide in humans, dogs and rabbits is nearly complete.\textsuperscript{39,41,49} By comparison, a previous pharmacokinetic study reported bioavailability ranging from 26 to 65% after a single PO dose of furosemide when compared to a higher bioavailability of 96% after PO administration of torsemide.\textsuperscript{8} A recent pharmacokinetic and pharmacodynamic study of orally-administered furosemide at 1 mg/kg in healthy horses showed extremely low bioavailability (approximately 5%), absorption was erratic, and diuresis was not induced.\textsuperscript{53} It is possible that the furosemide dose used in the study was subclinical, and perhaps therapeutic plasma concentrations and clinical diuresis would have been observed if higher doses had been used. Although torsemide was considered 5-10 times more potent than furosemide on a weight basis, we elected to use a considerably high dose (6 mg/kg) to increase the chances of absorption after a single PO administration during phase I.\textsuperscript{54} Based on drug accumulation theory and the pharmacokinetic data obtained in our study, it was speculated that PO dose of 2 mg/kg q12h would result in clinically meaningful drug concentrations in plasma. Therefore, this dosage regimen was applied for the pharmacodynamic study (Phase II). In a pharmacodynamic study of torsemide in neonatal rabbits, a significant decrease in body weight was observed and related to the forced diuresis.\textsuperscript{50} An accurate measurement of feed intake was not obtained, but subjectively it was observed that all horses maintained their dry matter intake. This observation could indicate that torsemide had good palatability among the horses, but our data did not allow a definitive conclusion in this regard. Loop diuretics activate RAAS by decreasing intravascular volume.\textsuperscript{25} Aldosterone is an important regulator of renal reabsorption of sodium and effects blood pressure and volume.\textsuperscript{27} The aldosterone concentrations measured in our study indicated that orally administered torsemide activated the RAAS as shown by an increase in plasma aldosterone concentration, proving that orally-administered torsemide was sufficiently absorbed and induced significant diuresis, likely with a subsequent decrease in plasma volume. Drugs that inhibit the action of aldosterone on the distal renal tubule potentially can decrease potassium loss during diuretic therapy. Torsemide has been shown to have an inhibitory effect on aldosterone secretion by adrenal cells in rats, guinea pigs and cows.\textsuperscript{55} It was hypothesized that aldosterone secretion was decreased by torsemide, and decreased potassium excretion would be expected in response to the drug. In a study comparing the diuretic effects of torsemide and furosemide in dogs and cats, less potassium wastage was observed in the animals treated with torsemide.\textsuperscript{38} Also, in a study evaluating \textit{in vivo} aldosterone receptor binding activity after administration of furosemide and torsemide to rats, the torsemide group experienced inhibition of aldosterone binding to its receptor in the cytoplasmic fraction of the kidney, whereas the furosemide group did not.\textsuperscript{56} In our study, prolonged PO torsemide at 2 mg/kg q12 h induced a significant decrease in serum potassium concentration with moderate to severe hypokalemia noted in all horses during phase II. The marked decrease in serum potassium concentration required supplementation in all horses. After PO potassium chloride supplementation (0.1 g/kg, PO q12h), the decrease in serum potassium concentration reached a plateau, indicating that the electrolyte imbalance observed after PO torsemide can be managed and controlled using PO electrolyte supplementation. The excessive potassium wastage observed in our study could have been related to the dosage that was employed. The dosage used in our study was relatively high, and might not be appropriate for the treatment of horses with CHF. The decision to use a high dosage was made with the intention of inducing marked diuresis, volume depletion and activation of the RAAS. In a previous study performed with dogs and cats, torsemide at approximately 1/10 of the dose of furosemide induced longer diuretic effects. We believe that a reasonable dosage of torsemide for horses with CHF should be lower than used in our study. Based on clinical experience (data not published), we recommend a dosage of 0.5-1 mg/kg PO q12h, but further clinical studies are necessary to determine the optimal PO dosage of torsemide for the treatment of fluid retention in horses. The metabolic alkalosis noted in all horses, likely as compensation from the hypochloremia, also could have contributed to the marked hypokalemia observed in our study. Alkalosis has a direct influence on excretion of potassium mainly by affecting the Na+/K+-ATPase pump in the cortical collecting ducts.\textsuperscript{57} The effects of loop diuretics on systemic blood pressure and volume are of interest in the management of diseases such as systemic hypertension, exercise-induced pulmonary hemorrhage (EIPH) and CHF in the horse. Loop diuretics can attenuate increased right atrial, venous, pulmonary arterial and capillary pressures, which are evident in the development of pulmonary capillary stress failure during exercise.\textsuperscript{58} Although the mechanism of EIPH is not yet fully understood, loop diuretics such as furosemide have been used for more than 40 years to decrease the occurrence or severity of EIPH in horses.\textsuperscript{53} Although a decrease in MAP was observed, which could be beneficial in the therapy of EIPH, further research with this new potent diuretic agent in EIPH is necessary before clinical use can be recommended. In our study, prolonged PO administration of torsemide induced a significant decrease in left atrial maximal diameter when comparing baseline to day 6. Although a direct measure such as lithium dilution technique was not used to obtain stroke volume measurements in our study, non-invasive methods to determine stroke volume in horses using echocardiography have been described and provided reliable results.\textsuperscript{45} The decrease in the left atrial diameter likely was related to the hypovolemia induced. In an open-label study performed in human patients with CHF secondary to left ventricular systolic dysfunction, patients assigned to treatment with torsemide were less likely to be hospitalized for CHF, were less fatigued, and reported better quality of life when compared to patients being treated with furosemide.\textsuperscript{59} In a study evaluating the effects of different diuretics on cardiac function in rats with induced CHF, animals being treated with torsemide showed decreased cardiac aldosterone synthase, less remodeling of the left ventricle and echocardiographic evidence of improved cardiac function when compared to rats being treated with furosemide.\textsuperscript{60} In dogs with CHF being treated with torsemide for 28 days, no evidence of weakness, fatigue, hypotension, severe electrocardiographic alterations or skin rash were observed.\textsuperscript{61} With the current availability of effective formulations of other cardiovascular medications, such as ACE inhibitors, for PO use, and the tendency to keep horses long term as companion animals, horse owners maybe more amenable to treat chronic medical conditions such as CHF.\textsuperscript{62} A diuretic drug such as torsemide, which potentially can provide better quality of life, less risk of cardiac remodeling, less diuretic resistance, and better owner compliance without the need for an injectable therapy regimen, can be an important addition in the therapy of CHF in the horse. Conclusion The use of orally-administered torsemide has several pharmacological advantages. Torsemide is relatively inexpensive and available in a wide range of tablet sizes (from 5 to 100 mg per tablet). Some of the electrolyte imbalances observed in our study were likely related to the high dosage used. As with other diuretics, horses being treated with torsemide should be closely monitored for any signs of dehydration and electrolytes imbalances. Based on the pharmacokinetic data and the pharmacodynamic effects observed, we recommend 0.5-1 mg/kg PO q12h as a starting dosage and recommend titrating the dosage to effect for horses with fluid overload. Good absorption after PO administration, a reasonable excretion half-life, and persistent diuresis may make PO torsemide an attractive alternative to furosemide for prolonged diuretic therapy in the horse. References 1. Scallan J, Huxley VH, Korthuis RJ. Capillary fluid exchange: regulation, functions, and pathology. 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Torsemide inhibits aldosterone secretion in vitro. Life sciences 1998;63:PL45-PL50. 56. Uchida T, Yamanaga K, Nishikawa M, et al. Anti-aldosteronergic effect of torasemide. European journal of pharmacology 1991;205:145-150. 57. Stewart AJ. Magnesium homeostasis and derangements. Equine Fluid Therapy 2015:76-87. 58. Manohar M, Goetz T, Sullivan E, et al. Pulmonary vascular pressures of strenuously exercising Thoroughbreds after administration of varying doses of frusemide. Equine veterinary journal 1997;29:298-304. 59. Murray MD, Deer MM, Ferguson JA, et al. Open-label randomized trial of torsemide compared with furosemide therapy for patients with heart failure. The American journal of medicine 2001;111:513-520. 60. Tanaka H, Watanabe K, Harima M, et al. Effects of various diuretics on cardiac function in rats with heart failure. Yakugaku zasshi: Journal of the Pharmaceutical Society of Japan 2009;129:871-879. 61. Caro-Vadillo A, Ynaraja-Ramirez E, Montoya-Alonso J. Effect of torsemide on serum and urine electrolyte levels in dogs with congestive heart failure. Veterinary record 2007;160:847. 62. Afonso T, Giguère S, Rapoport G, et al. Pharmacodynamic evaluation of 4 angiotensin-converting enzyme inhibitors in healthy adult horses. Journal of veterinary internal medicine 2013;27:1185-1192. Appendix 1 - Individual mean plasma concentrations of torsemide (6mg/kg) over time following a single intragastric administration to 6 healthy adult mares.
A Case of Endometrial Carcinoma and Pregnancy in a Cat Atakan ÇORTU ¹(∗) ² Aybars AKAR ² Volkan İPEK ³ Leyla Elif Özgül AYÖZGER ³ ¹ Burdur Mehmet Akif Ersoy University, Faculty of Veterinary Medicine, Obstetrics and Gynecology Department, TR-15100 Burdur - TÜRKİYE ² Burdur Mehmet Akif Ersoy University, Faculty of Veterinary Medicine, Internal Medicine Department, TR-15100 Burdur - TÜRKİYE ³ Burdur Mehmet Akif Ersoy University, Faculty of Veterinary Medicine, Pathology Department, TR-15100 Burdur - TÜRKİYE ORCIDs: A.C. 0000-0003-1662-3352; A.A. 0000-0001-7530-8761; V.I. 0000-0001-5874-7797; L.E.Ö.A. 0000-0003-3320-1688 Article ID: KVFD-2022-28784 Received: 15.11.2022 Accepted: 06.04.2023 Published Online: 17.04.2023 Abstract: This case report describes a rare condition of a pregnant cat that has endometrial carcinoma. A 5-year-old cat was presented because of vaginal discharge on the 40th day after the mating. USG examination revealed small embryonic structures, and thickened endometrium. It was decided to perform an ovariohysterectomy operation. The ovaries and uterus were sent to the laboratory for histopathological examination. The uterine mucosa showed papillary growth and atypical cells with mild to moderate anisokaryosis and occasional mitotic figures. The estrogen beta receptor was mildly positive in some neoplastic epithelium and stromal cells. The progesterone receptor was significantly positive in the lamellar layers of the placenta and myometrium but only slight positivity was observed in neoplastic cells. In summary, the gestational sacs were still at the implantation stage on the 40th day after mating may have been due to the carcinoma in the uterine endometrium and implantation could not occur for this reason. Our case might suggest that estrogen-dependent uterine tissue negatively affects embryonal development in cats and thus pregnancy couldn't be completed properly. Keywords: Endometrial carcinoma, Neoplasm, Queen, Pregnancy Bir Kedide Endometriyal Karsinoma ve Gebelik Olgusu Öz: Bu olgu raporu, nadir görülen endometriyal karsinomlu gebe bir kedinin durumunu anlatmaktadır. Beş yaşında bir kedi çiftleşme sonrası 40. günde vajinal akıntı nedeniyle getirildi. USG incelemesinde küçük embriyonik yapılar ve kalınlaşmış endometrium belirlendi. Ovariohisterektomi operasyonu yapılmasına karar verildi. Ovaryumlar ve uterus histopatolojik inceleme için laboratuvara gönderildi. Uterus mukozasında papiller büyüme ve hafif ila orta derecede anizokaryoz, bazı bölgelerde de mitotik yapılar içeren atipik hücreler görüldü. Östrojen beta reseptörü, bazı neoplastik epitel ve stromal hücrelerde hafif pozitifi, ancak neoplastik hücrelerde sadece hafif pozitifiif gözlemlendi. Progesteron reseptörü, plasenta ve miyometriumun lameller tabakalarında önemli ölçüde pozitifiif, ancak neoplastik hücrelerde sadece hafif pozitifiif gözlemlendi. Özetle, gebelik keselerinin çiftleşmeden sonrası 40. günde hala implantasyon aşamasında olması uterus endometriumdaki karsinomdan kaynaklanmış olabilir ve bu nedenle implantasyon gerçekleşmemiştir. Olguımız östrojen bağımlı uterusun kedilerde embriyonal gelişimi olumsuz etkilediğini ve bu nedenle gebeliğin tam olarak tamamlanamadığını düşündürübilir. Anahtar sözcükler: Dişi kedi, Endometriyal karsinoma, Gebelik, Neoplazma INTRODUCTION Endometrial carcinoma is a tumor formed by the irregular division and proliferation of cells in the endometrium of the uterus. One of the most important factors in the formation of this disease is that the level of estrogen in the circulation is higher than normal [1]. Although cases of endometrial carcinoma are commonly observed in humans, rabbits, and cows, they are rarely observed in cats [2,3]. According to the data of one study, endometrial carcinomas accounted for 0.29% of carcinoma cases in cats [4]. The most common symptoms observed in endometrial carcinoma cats include abdominal mass, weight loss, loss of appetite, pain, and vaginal bleeding [3,4]. In the literature review, it was determined that cases of endometrial carcinoma during pregnancy have been reported in humans before, and it was evaluated that it would be significant to prepare a case report of endometrial carcinoma observed during pregnancy in a female cat. [5-8]. In this case, clinical, laboratory, ultrasonographic and histopathological findings of a pregnant cat with endometrial carcinoma and recovery status after an ovariohysterectomy operation are presented. CASE HISTORY Before the patient was examined, the owner approved the informed consent form that she accepted all the procedures to be performed. The material of this case was a 5-year-old cat brought to Burdur Mehmet Akif Ersoy University Veterinary Faculty Obstetrics and Gynecology clinics on 7 September 2023 with the complaint of vaginal discharge on the 40th day after the mating. It was learned that 40 days ago, the cat stayed with a male cat in another house for three days and left that house after mating, did not run away from the owner's house, and did not mate with another male cat for 40 days. In the physical examination, it was seen that the patient's pulse, respiratory rate, and rectal body temperature were within the reference ranges. It was determined that the cat felt pain on abdominal palpation, the general appearance of the cat was normal, there was a transparent discharge from the vagina, and it was learned that her appetite was good. Complete blood count (H60 Vet, Edan, China) and serum biochemical (Respons 910, DiaSys, Germany) examination were performed by taking blood samples from the cephalic vena. Serum E2 and --- Table 1. Vital parameters, complete blood count, and biochemical findings \| Parameter \| Value \| Reference Value \| Parameter \| Value \| Reference Value \| \|--------------------\|---------\|-----------------\|--------------------\|---------\|-----------------\| \| WBC (x10^9/L) \| 16.35 \| 5.5-19.5 \| GGT (U/L) \| 2 \| 0-5 \| \| RBC (x10^12/L) \| 7.32 \| 5-10 \| Glucose (mg/dL) \| 94.48 \| 56-153 \| \| HGB (g/dL) \| 9 \| 8-15 \| Total Bilirubin (mg/dL) \| 0.30 \| 56-13 \| \| HCT \| 50.1 \| 24-45 \| ALT (U/L) \| 64.3 \| 26-128 \| \| MCV (fL) \| 41 \| 39-55 \| AST (U/L) \| 46.1 \| 14-54 \| \| PLT (x10^9/L) \| 430 \| 300-800 \| Albumin (g/dL) \| 2.57 \| 2.3-3.9 \| \| Ostradiol (pg/mL) \| 5.2 \| <20 \| BUN (mg/dL) \| 35.51 \| 18-36 \| \| Progesterone (ng/mL) \| 28.3 \| >2 \| Body temp (°C) \| 38.5 \| 37.5-39 \| \| Creatine (mg/dL) \| 0.64 \| 0.6-2 \| Heart rate (bpm) \| 124 \| 120-140 \| \| Urea (mg/dL) \| 76 \| \| Respiratory rate (rpm) \| 18 \| 15-30 \| \| Total Protein (g/dL) \| 6.32 \| 5.9-8.4 \| \| \| \| --- Fig 1. A- Image of uterine endometrium (yellow arrow) and embryonic sac (blue arrow), B- Size of the uterus P4 concentrations were measured (Cobas E800, Roche, Switzerland) in accordance with the relevant instructions using electrochemiluminescence immunoassay kits (Elecsys Estradiol III and Elecsys Progesterone III, Roche, USA). All values were determined to be within the reference range (Table 1). It was decided to perform a B-mode ultrasonography (7.5-MHz micro-convex; MyLab™X8 Platform, Esaote, Italy) examination for pregnancy examination. During the examination, the uterus and gestational sacs were detected. The embryonic structures that could be identified were quite small compared to the 40th day and there was no sign of life [9], the lumen in cervix uteri, corpus uteri and cornu uteri was thicker than those of normal (Fig. 1-A), and the dimensions of the uterus were determined in the area where pregnancy occurred (Fig. 1-B). Since the patient’s general condition was good and the owner did not want his cat to have kittens in the future, it was decided to perform an ovariohysterectomy operation. Chemotherapy could not be performed because the patient owner did not accept chemotherapy treatment. General anesthesia induction was performed with 5.5 mg/kg propofol (Propofol®, Polifarma, Türkiye). Then the patient was intubated and standard anesthesia monitoring was applied. Anesthesia was maintained with sevoflurane (Sevorane®, Abbvie, USA). The operation was performed with the routine ovariohysterectomy method. The gestational sacs were of different sizes and irregular shapes, and they were taken out. Then, the ovaries and uterus were ligated, removed, and sent to the pathology laboratory in 10% formaldehyde for histopathological examination. For prophylaxis, 10 mg/kg amoxicillin-clavulanic acid (Synulox®, Zoetis, Germany) for 5 days, and 0.2 mg/kg meloxicam (Meloxicam®, Bavet, Türkiye) for 1 day were administered s.c. after the operation. In the follow-up examination performed one week later, the patient had recovered. Histopathology Findings Pregnancy was detected on the macroscopic examination of the uterine tissue. The uterus’ lumen was seen to be enlarged, contain some purulent material, and occasionally have thickened mucosa (Fig. 2). Four kittens in the early stages of gestation were also present. Uterine samples were fixed in 10% formaldehyde and were embedded in paraffin after routine follow-up procedures. Sections of 5-micrometer thickness were taken from paraffin blocks, stained with hematoxylin-eosin, and evaluated under a light microscope. In the histopathological examinations, the uterine mucosa showed papillary growth and atypical cells with mild to moderate anisokaryosis and occasional mitotic figures. Furthermore, stromal invasion, irregular and merged cribriform pattern of glands, stromal disappearance, and surface syncytial changes were noticed (Fig. 3-A,B). There was no cystic formation which is characteristics of cystic endometrial hyperplasia. Immunohistochemical staining was performed with cytokeratin, vimentin, estrogen receptor alpha (ER-alpha), beta (ER-beta), and progesterone receptor. Neoplastic cells exhibited significant cytokeratin positivity (Fig. 3-C). Vimentin positivity was observed in stromal cells and placental cells but not in the neoplastic epithelium (Fig. 3-D). ER-alpha receptor was negative in all sections. ER-beta was mildly positive in some neoplastic epithelium and stromal cells (Fig. 3-E). The progesterone receptor was significantly positive in the lamellar layers of the placenta and myometrium but only slight positivity was observed in neoplastic cells (Fig. 3-F). DISCUSSION It is known that the sudden increase in the level of estrogen in the circulation stimulates the formation of endometrial carcinoma in female mammals and accelerates its development [8]. While progesterone suppresses estrogen-induced endometrial growth during the luteal phase, it also prepares the endometrium for blastocyst implantation. In this balance between growth-stimulating estrogen and growth-suppressing progesterone, the hormone that triggers cancer formation is usually estrogen. In domestic animals, estrogen levels that are not suppressed by progesterone can lead to endometrial hyperplasia or cancer [10]. In this case, the fact that the progesterone level was high and the estrogen level was relatively low during pregnancy suggests that the carcinoma may have formed in the first days of pregnancy or before pregnancy. Histological differentiation of well-differentiated endometrial carcinoma with atypical hyperplasia is challenging. According Kurman and Norris [11], stromal invasion, irregular infiltration of glands, desmoplastic response, confluent glandular pattern, and extensive papillary pattern are indicators of malignancy. Yet, Silverbeerg [12] suggested that papillary growth is not a reliable criterion but stromal invasion with stromal disappearance, desmoplasia and necrosis or combination of them are the best criteria of low-grade carcinoma. In our case, mild to moderate nuclear atypia, extensive papillary growth with surface syncytial changes, irregular and merged cribriform pattern of glands, stromal invasion, and stromal disappearance were encountered. Thus, well-differentiated carcinoma was diagnosed based on histopathological findings. The expression of estrogen and progesterone receptors in tumor masses in humans has been linked to the prognosis of endometrial carcinomas [13,14]. In feline endometrial carcinomas, ERs-alpha are positive in 50-83.3% of cases, whereas progesterone receptors are generally positive [8,15]. In another study, loss of ER-alpha expression was detected in the endometrium and myometrium, while progesterone receptor expression was observed in the stroma and myometrium [16], and suggested that alternative pathways involving local growth factors can influence epithelial proliferation. Similarly, in the presented case, the lack of the progesterone receptor in the tumoral tissue and its presence in the myometrium were observed. ER-alpha was also found to be negative throughout the section, however, the ER-beta was revealed to be positive in some tumoral epithelial and many stromal cells. Negative ER-alpha expression has been linked to the loss and methylation of transcriptional activators in tumor tissue, as well as the trans domination of ER-beta [16,17]. It has also been observed that ER-alpha deficiency is associated with a poor tumor prognosis in feline endometrial carcinomas [16]. Furthermore, the ER-beta receptor has been discovered as a uterine proliferation controller [19]. In our case, the negativity of ER-alpha and the very low positivity of ER-beta might be interpreted as a negative prognostic factor. In this case, it was observed that the embryonic sacs were approximately 9 mm in diameter on the 40th day after the mating. In cats, implantation occurs between 12-14 days of pregnancy. It has been determined in previous studies that the outer embryonic sac diameter is approximately 8 mm in diameter at this stage [9,20]. In the early stages of pregnancy, endometrial carcinoma adversely affects embryo development and implantation [6]. In summary, we think that the reason why the gestational sacs were still at the implantation stage on the 40th day after mating may have been due to the carcinoma in the uterine endometrium and implantation could not occur for this reason. Our case and clinical review of the literature might suggest that estrogen-dependent uterine tissue negatively affects embryonal development in cats and thus embryos may not have developed properly. Availability of Data and Materials The datasets analyzed during the study available from the corresponding author (A. Çortu) on request. Competing Interests The authors declared that there is no conflict of interest. Acknowledgements The authors would like to thank the owner of the cat. Author Contributions Ultrasonographic examination was done by AA and AC, histopathological examination was done by VI and LEOA, and the article was written by AC, AA, VI and LEOA. REFERENCES 1. Yang B, Chen R, Liang X, Shi J, Wu X, Zhang Z, Chen X: Estrogen enhances endometrial cancer cells proliferation by upregulation of prohibitin. J Cancer, 10 (7): 1616–1621, 2019. DOI: 10.1150/jca.28218 2. Hubbard SA, Gargett CE: A cancer stem cell origin for human endometrial carcinoma? Reprod Fertil, 140 (1): 23-32, 2010. DOI: 10.1530/REP-09-0411 3. Miller MA, Ramos-Vara JA, Dickerson MF, Johnson GC, Pace LW, Kreeger JM, Turnquist SE, Turk JR: Uterine neoplasia in 13 cats. J Vet Diagn Invest, 15 (6): 515–522, 2003. DOI: 10.1177/104063870301500602 4. Cooper TK, Ronnett BM, Ruben DS, Zink MC: Uterine myxoid leiomyosarcoma with widespread metastases in a cat. Vet Pathol, 43 (4): 552-556, 2006. DOI: 10.1354/vp.43-4-552 5. Eriksson AG, Fallaas Dahl G, Nesbakken AJ, Lund KV, Aamot F: Endometrial cancer during pregnancy: Management strategies. Int J Gynecol Cancer, 29 (7): 1221-1224, 2019. DOI: 10.1136/ijgc-2019-000756 6. 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DOI: 10.1016/j.ejca.2013.06.016 14. Tangen IL, Werner HM, Berg A, Halle MK, Kusonmano K, Trovik J, Hoivik EA, Mills GB, Krakstad C, Salvesen HB: Loss of progesterone receptor links to high proliferation and increases from primary to metastatic endometrial cancer lesions. Eur J Cancer, 50 (17): 3003-3010, 2014. DOI: 10.1016/j.ejca.2014.09.003 15. Gil da Costa RM, Santos M, Amorim I, Lopes C, Pereira PD, Faustino AM: An immunohistochemical study of feline endometrial adenocarcinoma. J Comp Pathol, 140 (4): 254-259, 2009. DOI: 10.1016/j.jcpa.2008.12.006 16. Saraiva AL, Payan-Carreira R, Gärtner F, Fortuna da Cunha MR, Réma A, Faria F, Lourenço LM, Pires Mdos A: An immunohistochemical study on the expression of sex steroid receptors, Ki-67 and cytokeratins 7 and 20 in feline endometrial adenocarcinomas. BMC Vet Res, 11, 204, 2015. DOI: 10.1186/s12917-015-0530-6 17. Leslie KK, Thiel KW, Reyes HD, Yang S, Zhang Y, Carlson MJ, Kumar NS, Dai DD: The estrogen receptor joins other cancer biomarkers as a predictor of outcome. Obstet Gynecol Int, 2013:479541, 2013. DOI: 10.1155/2013/479541 18. Hayashi SI, Eguchi H, Tanimoto K, Yoshida T, Omoto Y, Inoue A, Yoshida N, Yamaguchi Y: The expression and function of estrogen receptor alpha and beta in human breast cancer and its clinical application. Endocr Relat Cancer, 10 (2): 193-202, 2003. DOI: 10.1677/erc.0.100193 19. Morani A, Warner M, Gustafsson JA: Biological functions and clinical implications of oestrogen receptors alfa and beta in epithelial tissues. J Intern Med, 264 (2): 128-142, 2008. DOI: 10.1111/j.1365-2796.2008.01976.x 20. Denker HW, Eng LA, Hammer CE: Studies on the early development and implantation in the cat. II. Implantation: proteinases. Anat Embryol (Berl), 154 (1): 39-54, 1978. DOI: 10.1007/BF00317953
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Mayte Peña Photography Mission BBQ Monzu Bakery & Custom Cakes Not By Bread Alone Nothing Bundt Cakes Oneida Hotel Parker John’s BBQ & Pizza Petal Pusher Pop to It, Balloons by Sheena Renard’s Catering Ruby Design Selner Tree & Shrub Care Stitch & Tie: Nationwide Online Suit & Tuxedo Rentals The Farmacy The Marq The Runaway Spoon Tundra Lodge Resort, Waterpark, & Conference Center Van Abel’s of Hollandtown Grants & Nonprofit Ticketing Garden Club Des Peres Howard Suamico Optimist Club Ladybug Garden Club US Bank Foundation Individuals Greg & Jean Klimek Mary & the Late Rawson Price Dar Stumpf & Clyde Reed Terri Trantow & Paul Witek Mary L. Zaborski Print Media Recognition and promotion subject to change based on availability. Change comes in waves! Summer 2025 will feature the return of Washed Ashore at the Garden. Guests of all ages will be enthralled by and get to interact with nine larger-than-life sculptures of animals made from trash and debris washed up from bodies of water. Events and activities are scheduled throughout the four-month exhibit. With the mission to educate visitors on the rising plastic pollution in our oceans and waterways, Washed Ashore will help spark positive changes in our habits. Discover the connections between plastic waste, the wellbeing of marine life, and learn everyday actions that we can all take to make a difference for the Great Lakes and beyond. Celebrating its 15th anniversary in 2025, Washed Ashore has traveled to botanical gardens, aquariums, zoos, and museums across North America. Over the last several years, it has gained popularity, making stops at the Smithsonian National Museum of Natural History; SeaWorld Parks in Orlando, San Diego, and San Antonio; Toronto Zoo and even the Epcot Center at the Walt Disney World Resort in Florida, among many more. Green Bay Botanical Garden is the first and only venue in Wisconsin to host this traveling exhibit. Green Bay Botanical Garden is committed to making earth-friendly choices in our gardening practices and facility choices, to preserve the environment for generations to come. At events, you’ll notice we’ve switched to aluminum cans for many of our drinks as it’s more readily recyclable than plastic. On the grounds, we’re transitioning a number of lawn areas to no or low mow grass, and we also re-use our horticultural plastic from year to year. These are just a few of the many examples of our environmentally-friendly practices that you can learn about on your next visit. Target Audience Washed Ashore is anticipated to impact Garden visitation by: - Attracting 85,000 visitors throughout the duration of the exhibit - Increasing state-wide visitation - Increasing visitation from Millennials, Generation X, Baby Boomers, and singles in all generations with an affinity for art and preserving our natural environment Sponsorship Opportunities Be a part of this unforgettable and unique experience, providing engaging activities and entertainment for the entire family. This exhibit will reinforce the commitment of the Garden and your business to our community, education, environment, culture, and the arts. Presenting Exhibit Sponsor \| $25,000 - Presenting Sponsor logo recognition on promotional materials - 24 passes to VIP Exhibit Preview - Opportunity to speak at VIP Exhibit Preview - Private Corporate Night for up to 1,000 (Select dates available. Food and beverage excluded.) or 1,000 General Admission Complimentary Passes - Six on-site tabling opportunities to connect directly with potential customers (restrictions apply) - One-year Guardian Level Corporate Membership Contributing Sponsors \| $10,000 - Opportunity to align sponsorship with VIP Exhibit Preview - Prominent logo recognition on promotional materials - Eight passes to VIP Exhibit Preview - 400 General Admission Complimentary Passes - One complimentary room rental for a Corporate Night Reception for up to 50 people (Select dates available. Food and beverage excluded.) - Three on-site tabling opportunities to connect directly with potential customers (restrictions apply) - One-year Visionary Level Corporate Membership Sculpture Sponsors (9) \| $7,500 Opportunity to align sponsorship with one of the following sculptures with signage: - Stanley the Sturgeon - Rosa the Bald Eagle - Hugo the Humpback Whale Tail - Edward the Leatherback Sea Turtle - Scrappy the Sea Lion - Clementine the Sea Star - Sylvia the Silvertip Shark - Marigold the Sea Jelly - Giacometti the River Otter - Logo recognition on promotional materials - Six passes to VIP Exhibit Preview - 250 General Admission Complimentary Passes - One complimentary room rental for a Corporate Night Reception for up to 50 people (Select dates available. Food and beverage excluded.) - One on-site tabling opportunity to connect directly with potential customers (restrictions apply) - One-year Visionary Level Corporate Membership Community Partner Sponsors \| $2,500 - Written recognition on promotional materials - Two passes to VIP Exhibit Preview - 100 General Admission Complimentary Passes - One-year Patron Level Corporate Membership Connecting nature, play, and learning through our year-round programming, Green Bay Botanical Garden is a natural wonderland where children and families of all backgrounds discover, delight, and wonder in the outdoors while creating memories that will last a lifetime. From flowers and fruits to wetlands and tree tops, our year-round programming brings nature’s stories to life and explores the intersections between the natural and cultivated worlds. Guided tours, educator-led exploration, camp programs, self-guided activities, and more provide children and their families with the perfect way to immerse themselves in an outdoor adventure. In turn, the time spent outside will have immeasurable impact on their mind, body, and spirit. With the Bell Children’s Garden and additional educational staff, the possibilities for education activities in 2025–2026 and beyond will continue to grow in addition to those listed below. Through years of Children and Family Programming, the Garden has become the place for children, parents, and grandparents to experience all the Garden has to offer and to learn and grow together in an environment that is safe and nurturing. Summer Programs - Guided field trips for school and youth groups - Camps for youth aged 3–12 - Nature’s Nook family entertainment series - Story time - Discovery stations - Self-guided discovery boxes and scavenger hunts - Pop-up family activities Fall-Spring Programs - Guided field trips for groups - Winter Celebration - Snowshoe hikes - Story time - Family classes - Scout programs - Self-guided discovery boxes and scavenger hunts - Camps for youth aged 3–12 Children & Family Program Goals - Provide new and engaging ways for children and their families to connect with nature and learn through the Bell Children’s Garden - Increase excitement and passion among youth and their families about science, nature, and stewardship - Contribute to the overall wellbeing of children and families in our community by helping provide meaningful experiences in nature - Increase awareness of the Garden as a positive and affordable educational, arts, and cultural organization for the community and the region resulting in visits throughout the year Sponsorship Levels & Promotional Recognition In addition to the general promotional recognition outlined on page 3, specific recognition includes: Year-round website recognition on program and activity event web pages and field trip web page - Recognition in educator email series sent to more than 370 educators in Wisconsin and on field trip confirmation emails - Youth and family-specific print materials including scavenger hunts and program guide booklet Prominent Logo recognition on promotional materials \| ^Verbal recognition during select programs throughout the year ^^Named Title Presenting Sponsor \| $30,000 - Co-branded Named Title Sponsor on all promotional materials - Private Corporate Night Reception for up to 1,000 (select dates available, excludes food and beverages) or 1,000 General Admission Complimentary Passes - Six onsite tabling opportunities to connect directly with potential customers (dates subject to availability) - Two guided tours for up to 25 with a Garden Education Team Member in any season - One-year $15,000 Guardian Level Corporate Membership - Customized benefits available ^^Sustaining Sponsors \| $15,000 - 500 General Admission Complimentary Passes - One complimentary room rental for a Corporate Night Reception for up to 100 people (select dates available, excludes food and beverages) - Three onsite tabling opportunities to connect directly with potential customers (dates subject to availability) - One-year $15,000 Guardian Level Corporate Membership - Customized benefits available Contributing Sponsors \| $5,000 - 170 General Admission Complimentary Passes - One complimentary room rental for a Corporate Night Reception for up to 50 people (select dates available, excludes food and beverages) - One onsite tabling opportunities to connect directly with potential customers - One-year $5,000 Benefactor Level Corporate Membership Community Partner Sponsors \| $2,500 - Written recognition provided - 85 General Admission Complimentary Passes - One-year $2,500 Patron Level Corporate Membership Grand Concert Series 4 Concert Dates in 2025 Friday Evenings \| 7–9 pm June 6 \| July 11 \| August 8 \| September 5 Lineup Announced Annually in March An eclectic variety of talented national and regional musicians will grace the Billie Kress Amphitheater surrounded by stunning views of the Schneider Family Grand Garden. Guests are invited to stroll through the breathtaking summer Garden, listen to live music, enjoy wine, beer, and food among native plants, and relax with family and friends with a picnic on the lawn—making it the perfect evening for music lovers of all ages. On average, 950 guests attend each concert. Sponsorship Levels All sponsors receive onsite sponsor recognition signage (June–September) Prominent Logo recognition on promotional materials \| ^Verbal recognition during select programs throughout the year Named Title Presenting Sponsor Employment Resource Group \| $25,000 ^^ Contributing Sponsors \| $5,000 Investor Sponsors \| $2,500 Opportunity to align sponsorship with one of the following: ^^ Sustaining Sponsors \| $10,000 Opportunity to align sponsorship with one of the following: - Lawn Seating Sponsor Receive logo recognition on advanced tickets - Cowles Terrace Sponsor Receive logo recognition on advanced tickets - Sound & Lighting Sponsor Receive logo recognition on stage banner - Logo recognition on banner in front of stage - One reserved table on the Cowles Terrace for 10 at each concert date - Sponsor announcement at one concert date (date to be determined) Concessions Sponsor Beverage Sponsor Logo recognition on banner in front of stage Logo recognition on table tents and concessions building signage One reserved table on the Cowles Terrace for 10 at three concerts (dates to be determined) Sponsor announcement at one concert date (date to be determined) Accessibility Sponsor Logo recognition on accessibility signage located in the accessibility seating in the Fischer Family Overlook Arbor and on golf cart Logo recognition on promotional materials One reserved table on the Cowles Terrace for 10 at two concert dates (dates to be determined) Community Partner Sponsors \| $1,500 Written recognition on promotional materials Eight complimentary tickets Concert Series 8 Concert Dates in 2025 Select Thursday Evenings \| 6–8 pm June 12, 19, 26 \| July 17, 24, 31 \| August 14 & 21 Lineup Announced Annually in March Surrounded by the spectacular views of the Schneider Family Grand Garden, music lovers of all ages will enjoy live family-friendly music in the Billie Kress Amphitheater. Concert-goers can stroll throughout the Garden, picnic on the lawn, or enjoy wine, beer, and food. On average, 700 guests attend each concert. Seeds to Snacks \| 4:30–6 pm Guests can enjoy a delicious snack made with fresh ingredients from our weekly harvest. Sponsorship Levels All sponsors receive onsite sponsor recognition signage (June–August) Prominent Logo recognition on promotional materials \| ^Verbal recognition during select programs throughout the year Named Title Presenting Sponsor Sanimax \| $15,000 Lead Sponsor \| $5,500 ^Investor Sponsors \| $2,500 • One table for 10 reserved on the Cowles Terrace at four concert dates (dates to be determined) • 72 additional complimentary event admission tickets • One dedication and/or sponsor announcement (date to be determined) • Opportunity to have a presence at one event date (to be mutually agreed upon) ^Supporting Sponsors \| $1,500 • Written recognition on promotional materials • One table for 10 reserved on the Cowles Terrace at two concert dates (dates to be determined) • 44 additional complimentary event admission tickets • One dedication and/or sponsor announcement (date to be determined) ^Patron Sponsors \| $1,000 • Written recognition on promotional materials • One Table for 10 reserved on the Cowles Terrace at one concert date (date to be determined) • 22 additional complimentary event admission tickets Celebrating its 29th year, WPS Garden of Lights is the Garden’s largest annual fundraiser. On average, 56,000 visitors experience this dazzling and engaging light show. More than 350,000 lights sparkle throughout the Garden creating a stunning winter landscape filled with a variety of nature-inspired light displays from the iconic Caterpillar and Butterflies in Motion to newer displays like Lake of Lights and Walking on Dreams. Photos with Santa and story time with Mrs. Claus are just a few of the other activities guests can enjoy. Sponsorship Levels * Receive logo recognition on promotional materials and sponsor signage. * Sustaining Sponsors \| $5,000 • Sponsorship of a premier light display with signage • 180 admission tickets * Investor Sponsors \| $2,500 • Sponsorship of a signature light display with signage • 90 admission tickets * Contributing Sponsors \| $1,750 • Sponsorship of a traditional light display with signage • 65 admission tickets Supporting Sponsors \| $1,000 • Written recognition on promotional materials • 20 admission tickets $2,500 & above • Complimentary room rental for a Corporate Night Reception on public event nights only (subject to availability, excludes food and beverages) Additional Sponsor Benefits • Invitation to the VIP Tree Lighting Ceremony on Monday, November 24 from 5–7 pm. This evening marks the opening of WPS Garden of Lights for the season and includes a press conference, lighting of the holiday tree and reception. Sponsors receive recognition at event. • Opportunity to receive discount on additional admission tickets ($2 off/adult tickets only) An outdoor culinary experience and silent auction (either online or in person), attracts on average more than 400 attendees. Guests enjoy samples from local caterers, restaurants, wineries, and breweries in the Garden while strolling through more than 350,000 spring blooms. Sponsorship Levels Lead Sponsor \| $3,000 - Logo recognition on promotional materials - 16 tickets with two reserved tables Sustaining Sponsors \| $1,000 - Logo recognition on promotional materials - Eight tickets with one reserved table Supporting Sponsors \| $500 - Written recognition on promotional materials - Four admission tickets --- Nurture your roots in the Wisconsin outdoors this summer during Getaway Wednesdays! The Garden opens its doors for all to experience Mother Nature’s breathtaking beauty including the Bell Children’s Garden. Sponsors receive recognition from June–August. On average, the Garden welcomes 70,000+ visitors throughout the summer. Buy One Get One Admission \| 9 am–8 pm Guests can enjoy a picnic, play in the Bell Children’s Garden, go on a scavenger hunt, check out Discovery Boxes, participate in drop-in Garden tours, and so much more. Sponsorship Levels Named Title Presenting Sponsor: BMO \| $10,000 Children’s Discovery Activities Sponsor \| $2,500 - Logo recognition on promotional materials - Opportunity to have a presence at four event dates (to be mutually agreed upon) - 25% discount toward facility rental (one-time use, excludes food and beverage) - 45 General Admission Garden Passes Supporting Sponsors \| $1,500 - Logo recognition on promotional materials - Opportunity to have a presence at two event dates (to be mutually agreed upon) - 22 General Admission Garden Passes Guests savor an elegant six-course meal prepared with locally grown produce and farm fresh ingredients accompanied by exquisite wine pairings and live music. Sponsorship Level Lead Sponsor \| $1,500 - Logo recognition on promotional materials including event webpage and dinner menu - Opportunity to speak at event - Four event tickets - One-year $2,500 Corporate Partner Membership at Patron level --- Fall Family Festival Saturday, September 27 9 am–4 pm Guests enjoy a complimentary admission day at the Garden while discovering the traditions and culture of Oneida Nation and the Garden’s fall colors. Activities for all ages, including educational speakers and booths, traditional entertainment, local garden club displays, crafts, games, and food and beverages for sale. On average, more than 3,000 guests enjoy this fun fall day. Sponsorship Levels Lead Sponsor \| $5,000 - Prominent logo recognition on promotional materials including activity signage and event program - Opportunity to have a presence at event in a tented space - 100 General Admission passes Sustaining Sponsors \| $2,500 - Logo recognition on promotional materials - Opportunity to have a presence at event in tented space - 50 General Admission passes Contributing Sponsors \| $1,750 - Logo recognition on promotional materials - 28 General Admission passes Supporting Sponsors \| $1,000 - Written recognition on promotional materials - 16 General Admission passes You Connect Our Community Partnerships like yours celebrate a dedication to our mission of connecting everyone with plants in an environment that engages, inspires and refreshes. Working together, we enrich the quality of life in our community... We welcomed 209,873 guests! Exhibits and events are community traditions of connecting family and friends. Educational programs nurture the minds of all generations in the Garden’s living classroom. We now have in our collection - 314,093 Spring Bulbs in the Ground - 92,576 Perennial Plants - 19,687 Annual Plants - 8,019 Permanent Plant Labels - 4,236 Species/Cultivars This Garden will continue to grow and beautify our world, thanks to generous corporate partners like you!
Investigating the Potential of Endophytic Bacteria Found in the Seeds of Sesbania Rostrata for Promoting Plant Growth Akshay Aribindi School of Life Sciences Hyderabad Central University Gowchibowli Hyderabad Corresponding author: firstname.lastname@example.org Abstract: My investigation aimed to find out how the endophytic bacteria present in the seeds of a plant known as Sesbania Rostrata* can benefit other plants by supplying them with essential nutrients. The goal of my investigation was to find such a bacteria that can benefit different types of plants in multiple ways by providing them with many of the essential nutrients that they need for survival. I conducted numerous biochemical tests on the bacteria that I isolated from the seeds of Sesbania Rostrata to find out all of the different biological nutrients they can supply plants with. These biochemical tests included the cellulase activity test, the zinc-solubilization test, the nitrogen fixation test, the phosphate-solubilization test, the phosphatase-solubilization test, the protease activity test, the starch-hydrolysis test, the methyl red test, the Voges-Proskauer test, and the catalase test. In the end, I discovered that only one of my bacteria was positive for most of the tests and I learned that it would be the most beneficial. This bacteria was positive for all of the biochemical tests I conducted besides the Voges Proskauer test. I concluded that this bacteria would be the most beneficial because it can help plants grow by supplying them with the most amount of nutrients compared to the other bacteria that were found in the seeds of the plant that I used. As a result, the bacteria that I found in my experiment has potential to be used in agricultural applications including a biofertilizer as it offers a variety of benefits to plants. Introduction: Have you ever heard of seed endophytic bacteria that's found in the seeds of plants? They're essentially bacteria that live in the seeds of plants without causing disease. Seed endophytic bacteria live in the seeds of plants and they're believed to have a strong influence on the development of a plant. As a result, such bacteria can be used in biofertilizers to help plants develop or grow by receiving nutrients from their environment. In addition, my research focused on determining the most beneficial endophytic bacteria in the seed endophytes of Sesbania Rostrata by conducting a series of biochemical tests on all of the ones that were isolated from the seed endophytes. Adding on, I also characterized all of the bacterial species' visible morphological characteristics to gain a better understanding of what species they resembled or were. I found that the species of bacteria which I discovered that would be the most beneficial for plant growth was a species of bacteria from the genus, Bacillus. Its visible morphological characteristics are similar to Bacillus and it also produces similar biochemical results that a strain of Bacillus would produce. Furthermore, the purpose of my experiment was to find out which of the bacteria in the seed endophytes of Sesbania Rostrata would be the most beneficial for promoting plant growth so that it can potentially be used in a biofertilizer or a compost if applicable in the future. Research Question: Which bacteria in the seed endophytes of Sesbania Rostrata would be the most beneficial for promoting plant growth? Literature Review: Many articles about isolating bacteria from the seed endophytes of plants have already been made. However, there aren’t many articles about experiments being done on the plant species, Sesbania Rostrata. But, one review article by Phumudzo Patrick Tshikhudo, Khayalethu Ntushelo, and Fhatuwani Nixwell Mudau (2023) explores the potential uses of endophytic bacteria from different species of plants in enhancing medicinal and herbal plant productivity while also simultaneously maintaining soil health. This research article discusses the different endophytic bacteria that have been isolated from many different species of plants that may prove to be useful in providing benefits for other plants and their surrounding environment. It also discusses how endophytic bacteria can also improve the nutrient availability of plants and how they provide protection against various biotic and abiotic stresses. In addition, this article identifies a genome of bacteria that’s found in Sesbania Rostrata called Azorhizobium caulinodans and it cites a book about nitrogen-fixing bacteria in its references. However, it doesn’t investigate the different strains of endophytic bacteria in that particular species of plant. The article includes the bacteria, Azorhizobium caulinodans, in it so that it can use it along with other types of bacteria that are beneficial for plants and their surrounding environment to describe their uses or sustainable applications. Since this is a review article, the authors of it weren’t responsible for investigating any of the bacteria that they listed in their article. Adding on, another research article describes how endophytic bacteria can be used in synergistic interactions and are prospects of promoting plant growth (Vandana, et al., 2021). This article discusses how different strains from many species of endophytic bacteria can be used to promote synergistic interactions, which essentially involve microbial cooperation that results in two or more microbial populations supporting each other's growth and proliferation. Furthermore, these synergistic interactions are able to promote plant growth as they occur in different species of plants. One of the bacterial species that were isolated and used in this research experiment was a strain of Azorhizobium caulinodans from the plant, Sesbania Rostrata. The particular strain that was investigated in this study was Azorhizobium caulinodans ORS571. The researchers explored the different enzymes, including cellulase and pectinase, that this bacterium secreted to its host plants as well its nitrogen-fixing ability. In addition, this article delves into how the bacterial strain, Azorhizobium caulinodans ORS571, plays a role in synergistic interactions between different microbial species to promote plant growth. However, my research investigates for the most beneficial bacteria in the seed endophytes of Sesbania Rostrata to aid in promoting plant growth. The bacterial strain which I found to be the most effective as a result of its positive biochemical tests may be completely different from the species of bacteria that were used in the experiment with the other researchers. As a result, the bacteria I found has potential to be a completely different species of bacterium as it resembles the genus, Bacillus, according to the biochemical test results that I’ve received and the visible morphological analysis that I’ve conducted of it. My bacterium releases many different kinds of enzymes and it can be very useful for promoting plant growth. So, it’s possible that my species of bacteria hasn’t been discovered yet. Also, my experiment involves exploring the most beneficial bacteria in the seed endophytes of Sesbania Rostrata, which may have led me to discovering more than just a strain of Azorhizobium caulinodans. Plus, my bacteria may even have more benefits for plants compared to the strain of Azorhizobium caulinodans that those researchers investigated. This is because their study shows us how this bacterium doesn’t release a lot of enzymes and that it only releases a few, including pectinase and cellulase. However, my bacteria uses around seven enzymes. So, my experiment is completely different from the one that these researchers conducted about... synergistic interactions between different microbes. Methods: My research initially involved isolating all of the different species/strains of bacteria from the seed endophytes of Sesbania Rostrata and growing them on LB agar plates. This involved surface sterilizing and crushing around twenty-thirty seeds from the plant, Sesbania Rostrata. In addition, I conducted a serial dilution after crushing my seeds into a mixture. Then, I added each of the diluted mixtures to individual petri dishes and spread out all the mixtures in their petri dishes. I grew five different bacterial colonies throughout all of the petri dishes that I used for the serial dilution. Afterwards, I used the quadrant streaking method to streak all of the different colonies I isolated onto their individual petri dishes. I incubated the petri dishes for 48-72 hours afterwards. In the end, I obtained five petri dishes with all of the isolated bacterial species. I named these bacteria, “Sesbania 1,” “Sesbania 2,” “Sesbania 3,” “Sesbania 4,” and “Sesbania 5.” Furthermore, I conducted biochemical tests on all of the bacterial species that I isolated. The biochemical tests that I conducted were the Voges Proskauer (VP) test, the methyl red test, the cellulase activity test (using carboxymethyl cellulose plates), the zinc-solubilization test (using zinc-solubilizing agar), the nitrogen fixation test (using Jensen’s medium), the phosphate-solubilization test (using Pikovskaya’s medium), the protease activity test (using a skim milk agar medium), the starch-hydrolysis test (using a starch agar medium), and the catalase test (using hydrogen peroxide). I prepared each of the respective mediums for each of the different tests and conducted them. I made petri dishes with different kinds of mediums for each of the tests that required me to do so. Then, I streaked the different cultures of bacteria that I isolated onto each of them and incubated them. However, I had to prepare the right solutions for the Voges Proskauer and methyl red tests before I inoculated all of my species of bacteria into different test tubes with those solutions. Furthermore, I had to prepare more LB agar plates to inoculate my isolated bacteria into them before I conducted the catalase test. This is because it involved adding hydrogen peroxide to their original petri dish mediums. As a result, I made more mediums to ensure I preserved my original bacterial cultures. Adding on, I noted down all of the results that I obtained for all of the biochemical tests that I conducted for each of the bacteria that I isolated as I did each test. Afterwards, I compared all of the test results that I received and concluded which of the bacteria that I isolated would be the most beneficial for plant growth. Results: At the end of my experiment, I realized that only one of the species/strains of bacteria that I isolated was positive for most of the biochemical tests that I conducted. This bacterial colony was positive for all of the biochemical tests except for the Voges Proskauer test. Furthermore, you can view all of the bacterial cultures/colonies that I isolated from the seed endophytes of Sesbania Rostrata in the image below. Adding on, as you can see in the table and chart above, “Sesbania 2” has the highest number of positive results compared to the other bacterial colonies for the biochemical tests that I’ve conducted. Adding on, “Sesbania 2” is the highlighted culture of bacteria that’s presented in the table. As a result, I can determine that this colony would be the most beneficial for promoting plant growth and effective in doing so. Furthermore, I analyzed the visible morphological characteristics of all of the colonies of bacteria that I’ve isolated. A table with all of the data that I’ve collected from each of the cultures of bacteria that I’ve isolated is presented below. After conducting research about what the visible morphological characteristics and the biochemical test results of “Sesbania 2” attributed, I learned that they meant that this bacteria was similar to bacteria in the genus, Bacillus. As a result, it’s possible that this bacterial colony is a strain of the genus, Bacillus. Furthermore, “Sesbania 2” looks very similar to other Bacillus strains of bacteria. However, there are not many research articles that describe finding bacteria from the genus, Bacillus, in the seed endophytes of Sesbania Rostrata. But, it’s very common for many research studies to find Azorhizobium caulinodans in Sesbania Rostrata. As a result, it’s plausible that “Sesbania 2” may be a new strain of Bacillus or another species of bacteria and can possibly be more beneficial for plant growth compared to other types of bacteria. \| Bacterial Culture/Colony \| Shape \| Elevation \| Optical Density \| Color \| \|--------------------------\|---------\|-----------\|-----------------\|----------------\| \| SB1 (Sesbania 1) \| Circular\| Raised \| Transparent \| Creamy White \| \| SB2 (Sesbania 2) \| Circular\| Flat \| Opaque \| Creamy White \| \| SB3 (Sesbania 3) \| Circular\| Raised \| Opaque \| Creamy White \| \| SB4 (Sesbania 4) \| Irregular\| Flat \| Transparent \| Creamy White \| \| SB5 (Sesbania 5) \| Irregular\| Raised \| Opaque \| Creamy White \| Investigating the potential of endophytic bacteria found in the seeds of Sesbania rostrata for promoting plant growth Discussion: As a result, the most beneficial bacteria that I identified out of all of the ones that I isolated from the plant, Sesbania Rostrata, is completely different from the strain of Azorhizobium caulinodans that many researchers including the ones listed in this article have used in their experiment. As a result, it may be a completely new species of bacteria and most likely possesses many more benefits for plants than some strains of Azorhizobium caulinodans. This is because Azorhizobium caulinodans is mostly known for its nitrogen-fixing ability. In addition, the most beneficial bacteria that I found can be implemented into an agricultural application including a biofertilizer as it can have many beneficial effects for a wide variety of plants and promote their growth. In addition, particular strains of Bacillus haven’t been found in Sesbania Rostrata in many past experiments. So, my findings may be relevant to the science community and can possibly be useful for agricultural applications in the future. However, my experiment and findings also have a few limitations. These include that my experiment hasn’t verified the exact strain of the bacteria that I found as I haven’t conducted a 16s rRNA sequencing procedure on the bacteria which I found to be the most beneficial. As a result, I can’t determine exactly what species or strain my bacteria is even though its characteristics and test results resemble a strain of Bacillus. But, the bacteria I discovered resembles the genus, Bacillus, and it can have many benefits for plants according to all of the biochemical tests that I’ve conducted. Adding on, areas of future research include finding the exact species/strain of the most beneficial bacteria that I isolated from the seed endophytes of Sesbania Rostrata, conducting plant-growth promoting rhizobacteria tests on the most beneficial bacteria I isolated, and also finding out if this bacteria can be implemented into any agricultural applications including a biofertilizer. Conclusion: The main findings of my study were that “Sesbania 2” is the most beneficial bacteria out of all of the ones that I isolated from the seed endophytes of the plant, Sesbania Rostrata. In addition, according to the results that I received from the biochemical tests that I conducted on this specific bacteria, it’s the most beneficial out of all of the other species/strains of bacteria that I isolated as it got a positive result for most of the tests. Furthermore, after conducting a visible morphological analysis of all the bacteria that I isolated and by using the results from my biochemical tests, I determined that “Sesbania 2” or the most beneficial bacteria that I isolated is similar to a strain from the genus, Bacillus. However, further testing needs to be done to find the exact species and strain of the bacteria I isolated. Adding on, I need to determine whether the bacteria that I isolated can be used in agricultural applications including biofertilizers in the future. In addition, my experiment supports my research question because it includes finding out what the most beneficial bacteria in the seed endophytes of Sesbania Rostrata is and I’ve done that by conducting biochemical tests on all of the bacteria that I isolated. Even though my experiment supports my research question, I’ve still got much research to complete to ensure that the bacteria that I’ve isolated can be utilized in an agricultural application. Citations/References: 1. https://www.researchgate.net/publication/368396928_Sustainable_Applications_of_Endophytic_Bacteria_and_Their_PhysiologicalBiochemical_Roles_on_Medicinal_and_Herbal_Plants_Review 2. https://www.ncbi.nlm.nih.gov/pmc/articles/PMC7912845/#:~:text=Simple%20Summary,or%20indirectly%20promote%20plant%20growth.
POOL DESIGN TIPS The landscaper’s view SUN SAFETY Not just a summer issue FUTUREPROOF YOUR BUSINESS Are you ahead of the game? www.poolandspareview.com.au SOME THINGS ARE SIMPLY BETTER. IT’S A TEN. The all new upgraded Hayward® TriStar VS™ Pump is THE FIRST 10-STAR ENERGY RATED PUMP IN AUSTRALIA. Operate in standalone mode or connect to the OmniLogic® Automation System for seamless control. www.hayward-pool.com.au Hayward is a registered trademark and TriStar is a trademark of Hayward Industries, Inc. © 2017 Hayward Industries, Inc. The TriStar VS is the first 10-star energy rated pump in Australia according to the Australian Government Website: www.energyrating.gov.au Welcome to the Autumn edition of Pool+Spa* magazine. What a whirlwind 2018 has been so far! Hopefully, you’ve had a busy and productive summer season and can now take time out to ponder what the rest of the year holds for you and your business. We are living in times of constant change — new technologies and ways of doing business are continually cropping up and reinventing the landscape. That’s good news for industries like ours, which continues to evolve each day, thanks to the ongoing efforts and commitment of passionate professionals like yourselves and the support of dedicated industry bodies like SPASA. If looking forward (rather than back) and taking steps to guarantee a better future for yourself and your business is of interest to you, we think you’ll find plenty of valuable information to inspire in this issue of the magazine. Ever wondered whether increased automation will do you out of your job? Then look no further than our article on the importance of staying ahead of the curve when it comes to new technologies in the pool and spa industry. If self-improvement and training isn’t on your radar for 2018, it should be. The changing face of consumer behaviour is making some traditional business models all but obsolete, so keeping up to date should be a priority for every business owner and operator. Even if you aren’t convinced, your competitors probably are, so don’t let them get a leg up. The weather may be cooling, but this isn’t the time to take your foot off the pedal. Lay some solid foundations now for the rest of the year and reap the benefits when the silly season hits again. I do hope you enjoy this issue of the magazine and encourage you to drop me a line (email@example.com) at any time to let me know your thoughts, or to suggest some topics you would like to see us cover in the future. All the best, Dannielle Furness Editor While the pool and spa industry isn’t exactly new, it’s still seen as ‘emerging’ — largely because of the historical lack of formalised education programs, recognised training and national licensing schemes. Maybe it’s time to change that. What exactly makes an industry? Common practices and procedures? Universal business models? A code of ethics? Independent regulation? A collective customer base? Legislation and licensing? It’s a tricky question, as there are no absolute delineations. The reality is that some, none and all of these things help define many business sectors. There’s unlicensed… and then there’s loose cannons Some markets — like the pool and spa industry — grow organically and can support many small family-owned businesses, which are often handed down through successive generations. As an industry matures, the players start to grow, some companies join forces through mergers and other consolidations, franchise networks materialise and large multinational manufacturers or distributors get in on the action. With growth and maturity comes a level of industry self-organisation, as general business methods and practices become normalised across the board. But there are often players on the fringes, like sole traders who perform a specific service — armed with nothing more than a vehicle, an ABN, a phone and a supply of chemicals — who can effectively establish themselves as a bona fide industry member. It’s that last one that’s the kicker. What other industry can you think of that affords untrained, unlicensed operators to carry out complex chemical calculations and the handling of highly volatile substances, all while working with hydraulics and water? Not many. Of course, it’s not the case in all regions, as some Australian states and territories do govern licensing for pool and spa technicians, but that lack of national parity is also part of the problem. Even when there is a nationally recognised qualification system, the regulator responsible will vary from state to state. Breaking down the barriers For an industry to thrive, its members must work together towards common goals and to clearly understand the benefits that become accessible to all when the playing field is levelled through legislature, licensing or a formalised system of qualifications. Barriers to entry are a double-edged sword. On the one hand, making it easy for anyone to enter the market means, well… literally anyone can join the fray. Conversely, the presence of complex or costly restrictions can make it difficult to set up a business and attract new staff. Yet, when it comes to finding new people, a lack of industry controls and qualification requirements is equally problematic — if there’s no value placed on knowledge and no clear path of progression, what will draw new members to the fold? What about succession planning? If you’ve got half an eye on retirement and are thinking of funding it from the sale of your business, what exactly are you selling if your team isn’t qualified? No-one wants to see legislation and regulation just for the sake of it — this isn’t the finance sector after all — but there are some compelling arguments for encouraging an industry-wide shift towards a more qualified and knowledgeable workforce. Changing the status quo It’s easy in small business to adopt a ‘this is the way it’s always been done’ attitude — especially when there’s no externally driven need to change the status quo. Budgets are pretty finely tuned, so it can be hard to justify additional non-core expenses such as training, marketing or business process improvements. Training is a bugbear for small business owners, as there is always the risk of spending valuable resources on education only to have staff members leave once trained up. Equally, many will argue that there’s no better schooling than good old learning on the job. Both viewpoints are completely reasonable, but err on the side of being inward-looking, rather than considering the industry as a whole. The truth is, people leave jobs anyway, whether they’ve been given training or not. It’s just one of the realities of employing staff. You could also argue that providing education sends a positive signal — why would business owners incur that additional outlay if they didn’t value their employees? Providing quality training, skills improvement and a progression path actually makes you a far more appealing employer and increases the chances of quality people. Half the argument also goes away if the whole industry takes part. At the risk of stating the bleeding obvious — if we train everyone, then everyone is trained. The upshot is a more skilled workforce, which can only serve to improve credibility in the eyes of both existing and potential customers. Credibility is key Speaking of credibility, remember when positive word of mouth was the ultimate goal of a small business? Well today’s customer can reach a lot more people thanks to the internet, social media and a host of other platforms used to broadcast general opinions. Those sentiments can easily extend to include someone’s view of your business, based on their personal experience — be it positive or negative. If you’re wondering how important it is to have good online reviews, consider this: in 2015, consumer behaviour specialist Nielsen conducted a survey of 30,000 consumers across the globe to determine the sphere of influence on the average consumer. The results were published as the Global Trust in Advertising report. Two-thirds of participants (66%) nominated ‘consumer opinions posted online’ as a trusted source of information. In fact, it was the third most trusted form after ‘recommendation from a known person’ (89%) and ‘branded websites’ (70%). Taking it a step further, the survey established the direct effect each influence had on buying behaviour — 69% of survey participants indicated they would ‘always’ or ‘sometimes’ act on the strength of those reviews. That’s a great outcome if the review is positive, but a bit less desirable in the case of a negative opinion. Your potential customers are being directly influenced by complete strangers before they’ve even gotten out of the research phase, which means you no longer necessarily even get the opportunity to directly delight or disappoint. You are literally only as good as your last review. These opinions are formed based on interaction with your team, so why not arm them with the skill set to deliver the best possible customer experience? It’s better for your staff, for your organisation and for the entire industry. A little knowledge may be a dangerous thing, but a lot of it benefits everyone. Australia’s best fully integrated, automatic & custom pool cover solutions. For 31 years, Remco’s innovative technology & products have been used in Australian homes by architects & premium builders. Experience the difference, speak to one of our pool cover experts today. When describing change, the term “disruption” has been a buzzword for leaders and change management consultants since the 1997 book The Innovator’s Dilemma was authored by Harvard Professor Clayton Christensen. I recently read an article that referenced the term “harmony” when dealing with changing or disturbing the status quo. When thinking of harmony, I generally think of music, the harmony of multiple voices singing the same melody. Can you disrupt harmony? Beethoven was a disruptor, Elvis’s harmonious tones disrupted the crooners of the forties, Lennon and McCartney, Jagger and Richards provided the great harmonic disruption of rock and roll to almost define a generation, Nirvana disrupted me — from bad eighties pop back to rock and roll (at the time it was grunge to differentiate from Dad’s music). In business, harmony can provide strength in numbers to ensure a few can do the work of many through efficiency or common purpose. Harmony is behind a success of championship teams or a single flawless performance for the gold medal. Almost anything can be accomplished faster, better or with fewer resources with harmony. As leaders we set strategy, drive culture, provide guidance and influence to meet goals in the demands of business. This responsibility requires drive and determination for oneself. Sometimes in times of stress, that necessity for drive comes at the cost of harmony and the world does sound as it should. Personally, when stressed I can default to what my spouse calls “fix it mode”. I have the ability to see an issue and will immediately try to address the problem at the cost of whatever else is happening, thereby disrupting the harmony. This is fine with minor challenges that we face every day where being nimble is a worthy skill. So what helps us stay in tune when major disruptions happen? Vision, values, missions, projects, tactics are all worthwhile tools to provide tangible reference points for common goals to help your team stay in tune. Culture is what can truly make music if you follow the metaphor. Culture is ‘how things are done here’ — does your team trust you when changing direction and creating disturbance into new markets? Do you bring them along as you conduct the orchestra? Do you have lead guitarists or backup dancers or roadies that come in afterwards to clean up? Do you have the tools to get you and the team back singing the same harmony? Know your goals and reach out to mentors and peers when your plans have gone astray, and the job is out of tune. Asking for help to get back on track is not weakness. Be open to your team or business partners if you don’t know what to do in a situation, as this gives everyone the chance to skip a track, change the format and refocus on the goal. If you don’t have a mentor or coach, get one! Reach out to a specialist in projects, implementation or human resources; use the free services provided by industry associations and business groups. As a leader, you are the conductor or lead singer of your band. Prepare your band, your team, to be clear on the objective; trust in them to be in tune and in harmony with daily disturbances. Lindsay McGrath CEO SPASA Australia NATURAL STONE “PREMIUM QUALITY” POOL & OUTDOOR PRODUCTS AND COMPLETE SOLUTIONS BY europeimports EZARRI MOSAICS, STONE, PORCELAIN, SEALERS, ADHESIVES & GROUTS (WARRANTED SPECS), SHOWERS, SKIMMER LIDS & MORE europeimports.com.au 1300 EUROPE 2cm PORCELAIN BY pds GLASS MOSAIC TILES BY ezarri mosaico GLASS MOSAIC TILES LIFETIME GUARANTEE AWARD WINNING COMPANY AWARD WINNING TILES TileToday Industry Achievement Award 2014 A new beachside public swimming pool located in the Perth suburb of Scarborough is being hailed as a ‘game changer’, thanks to its eco-friendly design. The Scarborough Beach Pool falls under the remit of the City of Stirling, which wanted to ensure that the new facility was environmentally sound. Original plans envisaged a pool would be ocean-fed, similar to Bondi’s famous Icebergs, but it was soon realised this was geographically impossible and plans subsequently changed. The new pool is the first in Western Australia to be awarded a six-star green rating by the Green Building Council of Australia, thanks to the utilisation of geothermal energy to keep the water temperature between 26–28°C year-round. According to the City’s website, “The geothermal process pumps water from the Yarragadee aquifer and the natural heat from the aquifer is used to maintain pool temperature. Water is then pumped back to the aquifer in a closed loop operation.” By avoiding the use of gas boilers, the facility’s environmental footprint is substantially reduced and it is estimated that the process will cut production of 1800 tonnes of carbon dioxide each year. SPASA Australia members to benefit from new partnership SPASA Australia has announced a new partnership that will provide members with access to current legal information specific to the pool and spa industry. The Construct Law Group is a boutique legal firm specialising in building and construction law that counts builders, subcontractors, consultants suppliers and industry bodies among its clients. “I have a team of senior lawyers with a wealth of knowledge specific to the building and construction industry in Queensland. We have enjoyed a close working relationship with SPASA in Queensland in the past and are looking forward to developing that relationship further in 2018. We are passionate about educating businesses in the industry to ensure they are empowered with knowledge that helps them comply with their legal obligations, avoid disputes and get paid on time,” Construct Law Group Director Aleisha MacKenzie said. “We are excited to provide members the opportunity to obtain legal advice from a leading firm who focuses on our industry. This benefit not only provides Queenslanders with local assistance, it also adds to the national support base. Aleisha and the team are collaborating with SPASA to tailor content and services that offer solid and tangible benefits to members,” SPASA Australia CEO Lindsay McGrath said. End of an era — Keith Andrews to retire After 20 years of service, it is with much regret but also warm wishes that Pool-Water Products has announced the retirement of Keith Andrews, effective 8 February 2018. After providing the company with his extensive knowledge and devoted service, Andrews will be sadly missed. When he joined the PWP in February 1998, he was one of only a few employees on the payroll. Responsible for internal sales, manufacturing, infloor drawing processes and special projects, Andrews has developed strong and lasting relationships with many of PWP dealers. He is well-respected within the industry due to his vast knowledge, gleaned over 20 years. He has been lucky enough to witness the evolution of the swimming pool and spa industry, seeing it grow from a simple trade to a dynamic, professional and technical industry. PWP is indebted to his loyalty, commitment and dedication over the years, providing dealers with attentive service, knowledge and advice and allowing PWP to maintain a solid reputation as a market leader. He will be missed by all at PWP, but will no doubt keep in touch and make his former colleagues jealous while enjoying his well-earned retirement. GOOD. BETTER. BEST. PRODUCT SOLUTIONS TO SUIT EVERY NEED Pentair is the world’s leading manufacturer of pool and spa equipment and accessories. We offer an extensive range of pool products across all three of our trusted brands. Our Good, Better, Best alternatives provide you with more choice, affordability and reliability so whether you’re after pumps, filtration, heating, cleaning, automation, sanitation, lighting or white goods we have the right products for your swimming pool. WWW.PENTAIRPOOL.COM.AU Work on the City of Sydney’s highly anticipated new aquatic centre in Green Square — the largest to be built in Sydney in nearly 20 years — will soon get underway. The City has signed a contract with Sydney-based construction company CPB Contractors for construction of the Gunyama Park Aquatic and Recreation Centre on Joynton Avenue in Zetland, with work expected to start in early 2018 and be complete by early 2020. At the centre of the new aquatic centre will be a 50-metre heated outdoor pool set within a larger, irregular-shaped pool inspired by the ocean pools at some of Sydney’s best-loved beaches. The new complex will cater for the diverse and growing Green Square community and feature: - a 25-metre indoor ‘program pool’ for swimming lessons; - an indoor heated leisure water area and hydrotherapy pool; - a creche with indoor play areas; - a health and fitness centre; - a multipurpose synthetic sports field suitable for use by community sporting teams; - sports field change rooms, public toilets and storage facilities; - new landscaping, lighting and a new public artwork by acclaimed Aboriginal artist Jonathan Jones. Lord Mayor Clover Moore said the new pool was an important addition for Green Square, an area that will soon be home to more than 61,000 people. “Green Square is one of the fastest growing precincts in Australia, and we’re doing everything we can to make sure it is a wonderful urban neighbourhood with the services and facilities its residents and workers need,” the Lord Mayor said. “The Gunyama Park complex will be a terrific place for locals and visitors alike to exercise, relax and catch up with friends and family. The pool will have something for everyone, from serious swimmers looking to improve their lap times, to families wanting a safe place for their children to learn to swim or play. “I’m looking forward to seeing this exciting project take shape in the coming months and know the Green Square community will be pleased to see work begin on their new aquatic centre very soon,” Moore said. The aquatic centre has been designed by Andrew Burges Architects, whose ‘beach pool’ concept was chosen from more than 140 other entries in a design competition run by the City. The jury, made up of some of Australia’s leading architects, described the aquatic centre as a “world class, exciting new project”. CPB Contractors Managing Director Juan Santamaria said they were pleased to be selected to build the new aquatic and recreation centre following an extensive competitive tender process. “Our team has both the local and international expertise and project experience to deliver significant value for the City of Sydney. “Our flexible, multipurpose design will ensure that Gunyama Park is able to host a variety of activities, welcome locals and visitors from across Sydney, and remain adaptable to the city’s future growth requirements and sustainability expectations,” he said. The construction of the Gunyama Park Aquatic and Recreation Centre will be completed in two stages, as the City does not currently own all portions of the land on which the complex is planned. The full aquatic centre, multipurpose sports field and landscaped areas will be completed by early 2020, with an expanded sports field, playground and further landscaping to be completed as the remaining land becomes available. The project will target a five-star design and as-built rating from the Green Building Council of Australia. A cogeneration scheme will heat the pools and supply electricity throughout the complex. The Gunyama Park Aquatic and Recreation Centre sits within the 278-hectare Green Square development area, which includes the suburbs of Beaconsfield and Zetland, and parts of Rosebery, Alexandria and Waterloo. The City is spending $540 million over the next 10 years on extensive infrastructure and streetscaping works throughout the area, as well as new community facilities that also include a library and plaza, creative centre, childcare centre and more than 15 parks and open spaces. When fully developed, Green Square will accommodate close to 61,000 people living in 30,500 new homes, and provide around 21,000 permanent jobs. Stay connected with AstralPool AstralPool has launched a new blog and an increased presence on social media platforms to stay connected with customers and deliver the latest company, industry and product information. Follow AstralPool on Facebook for the latest info on pool and spa equipment, head to Instagram for pool and spa design and lifestyle information, or check out the company’s LinkedIn page for the latest company updates and job opportunities. The Cool Pool Blog is devoted to the world of pools, exterior design and wellness. AstralPool will travel the world over to bring the latest industry trends and most innovative projects, and delve into the coolest pools around. To celebrate the launch, they’re inviting you to share your best summer pool moments for a chance to win $300, $200 or $100 EFTPOS gift cards. Enter in three simple steps: - Follow @astralpoolaustralia on Instagram. - Upload your best summer photo and tag @astralpoolaustralia. - Use the hashtag #astralpoolsummer. The winner will be chosen at random and will be notified by a direct message from AstralPool through Instagram. The competition closes Wednesday, 28 February 2018 at 11.59 pm AEST. Terms and conditions apply. Wave pools and water parks in the works Wave pools and water parks are the order of the day at the moment, according to reports published on Australian Leisure Management. Operators of Surf n Slide in Manly are releasing plans for revitalisation of the attraction, including four new waterslides and a surfing wave pool. The former Manly Waterworks site was reopened late last year and the new owners are looking to lease additional land to meet with their plans for expansion, which will also include an interactive toddler pool. Meanwhile, over in Western Australia’s Goldfields region, Kalgoorlie-Boulder Mayor John Bowler wants to develop a lagoon-style beach or surf park with an artificial wave adjacent to the Goldfields Oasis aquatic and recreation centre. Being 400 km from the nearest surf beach, the mayor thinks an outdoor beach would attract greater numbers than the existing indoor pool. If a lagoon-style artificial beach went ahead, it would likely include a swimming area of about 1.2 hectares. A formal proposal and business plan will be put together after public consultation. The Internet of Things (IoT) has enabled pool owners and managers to remotely monitor and control their pools. That automation enables pool systems to ‘make decisions’ independently and reduces the need for human involvement. IoT technology is advancing at an exponential rate and artificial intelligence (AI) will take it to a whole new level. Customers today can do things like remotely monitor pool chemistry and adjust timers, while pools can even backwash themselves in response to high pressure. As the price of technology rapidly drops, it becomes accessible to the average pool owner. The question is: will we get to a point where pools can completely manage themselves, rendering pool technicians a thing of the past? We’ve all seen the ‘Will a robot take my job?’ articles and wondered what the future holds for our profession. There are even websites that can tell you the likelihood of your job being replaced by technology. As an example, www.replacedbyrobot.info suggests there’s a 50% chance that pool technicians will be replaced — but its reality is not quite as clear cut. To do a true assessment, you need to break down your job into tasks and assess each component individually. The real question is not ‘Will technology replace my job?’, but rather ‘Which parts of my job will be replaced by technology?’ So, what will a pool technician do in the future and how can you ensure that you stay at the top of your field? Making an assessment There are immensely complicated calculators and processes used to assess whether things will be automated, but it all comes down to one thing — what is the ROI? How much money will be made from the technology and will it be significantly more than the cost to build or implement it? Here’s an example: Say someone develops a machine that drives to a site and checks whether pool pump capacitors are operating at full capacity and — if not — replaces them. It would be expensive to build and operate and is likely to deliver low revenue levels. The upshot is a negative ROI, so the technology is unlikely to be built by anyone of sound mind. Which parts of your job will be automated? Pool servicing and maintenance can be broken down into a few key areas as follows. We’ve outlined the likelihood of each area becoming fully automated in the future, based on typical tasks and current versus future technology. 1. Cleaning, 2. Water chemistry. 3. Repairs, hardware installations and maintenance. 4. Dealing with edge cases. Cleaning Definition and tasks: Removing particles, leaves and debris, brushing walls, emptying baskets and backwashing the filter. Current technology: - Pool cleaners remove debris and some also brush the walls. - Filters can backwash themselves when pressure goes above a certain level. - Baskets cannot empty themselves. Future technology: This technology is already fairly advanced, so the cost to build will be low, because improvements will just build on existing technology and systems. Pools can already clean themselves to a certain standard and filters already backwash in response to pressure. It won’t be long before pools will be able to clean themselves to the same level as currently provided by a technician. \| Technology \| Remove leaves and debris, brush walls, empty baskets \| \|-------------------------------------------------\|------------------------------------------------------\| \| Cost to build \| Medium \| \| Cost to buy \| Medium \| \| Potential revenue \| High \| \| ROI \| High \| \| Likelihood of build \| 100% \| \| Time to full automation \| 2–5 years \| \| Market saturation \| 5+ years \| Conclusion: This is definitely the most ‘automatable’ component of pool servicing. The speed at which full automation achieves market saturation will depend on the time it takes to build the technology and how long before it becomes affordable and, therefore, appealing to the mass market. Water chemistry Definition and tasks: Regularly testing pool water and taking action to ensure the right balance. Actions include adding chemicals, changing sanitiser settings or even partially draining and refilling pool water. Current technology: - Automated technology exists for basic chemistry such as ORP and pH. - Alkalinity and phosphates are more complex. Future technology: Two things make building a system to test and treat everything virtually impossible: 1. Many tests require the mixing reagents rather than the use of probes. 2. Many of the chemicals are in solid form and cannot be pumped into the water without prior mixing. Full chemical automation (based on today’s requirements) is unlikely to be made available to the mass market due to the following barriers: 1. Upfront costs — technology capable of testing and dosing every chemical would be monumentally expensive to buy and maintain. 2. Space — the area required to store and dose 20+ chemicals would require pool owners to build a second home to house the system. 3. Maintenance costs — all systems would need to be professionally installed, maintained and serviced to ensure safe operation. Conclusion: Given the current approach to water chemistry, full automation will most likely never be available to the average pool owner. However, we will certainly see this technology progress and a growing number of chemicals will be added to the automation list. The more likely outcome is a change in the approach to water chemistry, whereby new technology may negate the need to test or dose the long list of chemicals we do today. Repairs, hardware installations and maintenance Definition and tasks: Everything from installing a pump, to leak detection, to MPV valve replacement. Current technology: This technology is basically non-existent. There are self-cleaning cells, but that’s about as automated as it gets. In the commercial space, there is technology that monitors hardware and identifies faults, such as impeller blocked or pump running hot etc. Automation exists, but only to slow the pump or kill it in the event of an issue. Future technology: We will certainly see basic levels of automation in this space over coming years, but the focus will be monitoring and reporting, with action from a technician still required. \| Technology \| Install, repair and maintain hardware \| \|------------\|--------------------------------------\| \| Cost to build \| Extremely high \| \| Cost to buy \| Extremely high \| \| Potential revenue \| Medium \| \| ROI \| Low–Medium \| \| Likelihood of build \| 10% \| \| Time to full automation \| Unknown \| \| Market saturation \| Unknown \| Conclusion: The high level of complexity associated with automating installs and repairs means we won’t see a huge amount of automation in this space. With the constant development of new technology, an increasing amount of hardware will need to be installed, maintained and repaired. This is one aspect of being a pool technician which will grow rather than diminish in the face of new technology releases. Your customers’ toes are always right The Zodiac JXi™ Gas Heater You can’t fool Aussie toes, especially when the weather changes. They know the difference between fast, efficient pool heating and ones that struggle when the temperature drops. That’s why 9 out of 10 Aussie toes prefer a Zodiac JXi™ Gas Heater, the latest in heating technology. Recommend one to your customers today. • Ultra Compact, Lightweight Design – Only weighs 57kg or less • Patented VersaFlo® Bypass – Slows wear and tear and extends the heater’s lifespan • Energy Efficient – Heat your pool quickly using less energy and time • Automation Ready – Aqualink® compatible and controllable via the iAquaLink™ iOS/Android smartphone app iAquaLink® COMPATIBLE Recommend our JXi™ heater range today Phone: 1300 763 021 \| www.zodiac.com.au/gas Dealing with edge cases Definition and tasks: A rare occurrence or incident, such as acid washing, flocking or dealing with a tree that has fallen into a pool. Current technology: Automation or monitoring solutions in this space are basically non-existent — and for good reason. These are rare occurrences and quite often are difficult to assess and manage. Therefore, the ROI on something in this space would be minimal. Future technology: We won’t see any real movement in this space. Nobody will develop a device that identifies a fallen tree, jumps in, chops it up and places it out by the curb for pick-up. Even if someone did, no-one would ever buy it. \| Technology \| Deal with edge case scenarios \| \|----------------------------\|------------------------------\| \| Cost to build \| Extremely high \| \| Cost to buy \| Extremely high \| \| Potential revenue \| Extremely low \| \| ROI \| Negative \| \| Likelihood of build \| 0% \| \| Time to full automation \| Never \| \| Market saturation \| Never \| Conclusion: Edge cases are, by definition, rare events and they are usually hard to fix. From an investor perspective, this makes for the worst possible automation scenario. While the nature of these cases will change, they will always make up part of a pool technician’s job. What is the pool technician of the future? There are a few key factors driving the evolution: 1. Automation technology replacing certain tasks. 2. An increasing amount of complex technology for pools. 3. The increasing emergence of remote monitoring and control technology. So… will a robot take your job? Absolutely not! You just need to stay ahead of the curve, as some aspects of your job will become less important. Here’s how to ensure you remain relevant in an increasingly automated world. Get training, repairing and installing: It’s important to cross train and to understand how to install, fix and maintain all equipment including pumps, cleaners and chlorinators. This technology will become increasingly complex, so you need to build a foundational understanding now. Be an early adopter: If you see Internet of Things (IoT) hardware emerging, grab yourself a unit and offer to be a tester. Manufacturers will often provide this for free or at a reduced rate in return for your feedback. If this piece of tech becomes the next big thing, you’re already ahead of the game. Educate your customers: Get your customers up to speed on the newest technological advances, particularly when it comes to the IoT. Those who roll out first will roll out best when the numbers start to grow. Develop a suitable business model: IoT connectivity presents a significant opportunity to transform your business and create a very lucrative revenue stream. Start to model a remote monitoring solution with SLAs in place to fix things within an achievable time period. This is a great way to minimise seasonal revenue fluctuation, optimise your business and improve customer satisfaction. \| Plan \| Price \| Details \| \|--------\|-------\|-------------------------------------------------------------------------\| \| Basic \| $ \| • Remote monitoring \| \| \| \| • Notification on issues \| \| Standard \| $$ \| Basic features plus: \| \| \| \| • Critical tech response — within 4 working hours \| \| \| \| • Non-critical tech response — within 2 working days \| \| \| \| • Monthly pool service \| \| Advanced \| $$$ \| Standard features plus: \| \| \| \| • Fortnightly pool service. \| \| \| \| • Remote control of pool to optimise timers, pump usage, sanitiser \| \| \| \| optimisation, seasonal changes etc. \| \| Pro \| $$$$ \| Advanced features plus: \| \| \| \| • Weekly pool service. \| \| \| \| • All chemicals supplied. \| Have fun with it: The best way to learn more is to do it yourself. Grab a starter kit like a Raspberry Pi, Arduino or any of the many others available and build your own solution. For less than $100, you can build your own remote temperature monitoring solution. Take it to the next level and develop a device that monitors ORP and pH for a couple of hundred bucks… the possibilities are endless, so buy a kit and get designing. The world as we know it is changing faster every day, with automation replacing humans in an increasing number of roles. Understanding how those roles will change, rather than fearing the change itself, will be the difference between staying alive or getting left behind. Pooltrackr Limited www.pooltrackr.com In early 2017, research found that a swimming pool added $140,000 to the value of a house in 10 of Melbourne’s suburbs. Now, a new survey sheds light on how much more Australians will pay to snag a home with a pool. The previous research was conducted by buyers agent Secret Agent and these new findings come to us courtesy of home loan specialist Lendi. To determine the perceived value of a pool when it comes to property, the company surveyed more than 1000 men and women aged 18 to 65+ across Australia in December 2017. The survey asked ‘How much extra would you pay for a property with a swimming pool?’, and provided pricing options that ranged from $0 to $200,000+. The results, naturally, were a mixed bag. First up, nearly 40% of respondents said they would pay no more for a home with a pool than one without, which means that 60% of respondents recognise the value of a pool — to some degree at least. The second highest response was $10,000 (15.7%), followed by $20,000 (10.8%). One in seven respondents said they would pay $50,000 or more, with 5.8% expecting to pay in excess of $200,000 more for a property that featured a pool. So who are those respondents, and where can you find them? Determined by demographics Location obviously has an influence. While Lendi says results didn’t vary much from city to city, respondents in warmer states and territories are marginally more inclined to value a pool, with Queensland, Western Australian and Northern Territory showing a higher than average response. Combining those three regions, the number of participants willing to pay $20,000 more for a home with a pool was about 5% higher when compared with southern states. By state alone, roughly 45% of WA respondents fell into this bracket, compared with 33.3% of Victorian survey participants. Men appear to value pools more than women, with 45% of male respondents (compared with 35% of women) prepared to pay up to $20,000 more for the privilege of ownership. Age also had some bearing on results, with younger people more likely to pay extra. Nearly half Gen Y respondents (about 48%) said they would pay around $20,000 more, while for Gen X that figure was around 40% and for the 55+ group it was just over 30%. At the other end of the scale, less than one-third of Gen Y respondents said a pool added no value, compared with more than half of the 55+ age bracket. It’s hard to survey emotions While survey data potentially provides a loose ‘ideal customer’ framework based on age, location and associated demographics, there’s more at play behind the scenes. The purchase of property is often emotional, as it is tied to completely subjective elements including family dynamics, status (real or perceived) and individual memories. Aside from obvious direct influences — like available budget — there are many indefinable drivers that help someone determine their perceived worth of a pool. While a lifelong fear of water is unlikely to translate to a high value on pool ownership, recalling a sense of missing out as a kid can easily make a parent determined that their children will never feel the same — so, in goes the pool. There are any number of online articles that offer advice to consumers on whether investing in a pool is worth it, yet most can’t definitively answer the question. This isn’t really surprising, given the number of intangibles and variables involved. It’s a fair assumption that a high proportion of pool constructions aren’t carried out with an absolute return on investment in mind, but certainly with a view that the outlay is worth every penny. sentrel Vertical Cable Balustrades and Pool Fencing Modern Design Solution: Stainless Steel and Australian Hardwood or Aluminium Indoor and outdoor use: For balconies, pools, decks and lofts Pre-made panels: Fast and easy installation Strong, light gauge cables: Maximise view and airflow, without compromising strength Vertical cable orientation: Children unable to climb, ensures safety and peace of mind Engineer certified: Compliant with strict Australian standards Australian product: 100% designed and manufactured in Australia Australia wide shipping www.sentrel.com.au firstname.lastname@example.org 1300 658 330 Generational marketing Spiros Dassakis, Chief Operating Officer, SPASA Australia We’ve all heard the terms ‘baby boomers’, ‘Generation X’ and ‘millennials’. Did you know that six generations have been formally defined? Do you understand the differences and — more importantly — why businesses should care? The Silent Generation (also referred to as Traditionalists) was born between 1925 and 1949. They grew up in tough times and had a strong work ethic towards the job they felt it was a privilege to have. This generation has an understanding of the value of money and the importance of saving a penny. They were considered the wealthiest generation. Baby boomers were born between 1949 and 1960 in a period of population growth after World War II. Often associated with economic prosperity, consumerism and self-indulgence, baby boomers are on the cusp of retirement. This will have far-reaching economic consequences, as they make up such a large percentage of the population. Generation X members were born between 1960 and 1980. Gen Xers were often referred to as the ‘slacker’ or ‘why me?’ generation and accused of being uncommitted and unfocused. The first generation for which divorce was a feasible and simple option, Gen X was also known for job skipping and career changes, unlike the ‘job for life’ generations that came before them. The much-maligned Generation Y covers the years between 1980 and 1998. The first globally alert generation, they have grown up with increasing access to fast-changing technology. Labelled as having a ‘what’s in it for me?’ attitude, Gen Y is often seen as entitled and demanding by generations before them. Generation Z members (or post-millennials) were born between 1998 and 2016 and are the first generation to be brought up with technology virtually from birth. They are socially, politically and environmentally aware, hold corporations to account over their actions and are not afraid to judge via social media. As a generation, they are advocates for equality across gender and race. Generation Alpha is the new kid on the block. Born after 2010 (and through to 2024), the top end of this generation is only just approaching school age. Not a lot is known as yet about future social traits, but demographers have already identified this group as being more diverse, with a longer projected lifespan and likely to avoid traditional career structures in favour of flexible work/life balance. We all know someone who is living (or who has lived) in each of these generational groups. Irrespective of what our general views are, all generations have more in common than we realise. Today’s consumer landscape includes a diverse range of buyers, each with its own set of beliefs, values and spending habits. Notwithstanding, it is important to cater to specific personalities when it comes to selling and marketing, as not all consumers from each generation will respond the same way. As each generation’s preferences on product, service or brand interaction come into focus, it’s essential for industry, retailers and marketers to re-evaluate the ‘one-size-fits-all’ approach and develop new strategies for engaging each generation. Discovering how each generation thinks, behaves and makes purchases can assist in finding new opportunities to engage with potential customers, while still ensuring businesses continue to evolve with the changing landscape. INTEGRATED TESTING AND JOB MANAGEMENT SOFTWARE Zodiac Pure Solutions water-testing software allows pool store staff to become confident chemical experts and to make product recommendations based on easy-to-read water test reports. The software is available for use on mobile devices, so field technicians can instantly access customer information, history and chemical test reports while on the road. Pure Solutions is now integrated with ServiceM8 job management software, putting complete project history information into the hands of both field and pool shop staff and allowing them to print and email pool test reports directly to customers. Synchronisation of the databases automatically adds water test history and recommendation reports to the ServiceM8 job file, eliminating the need for spreadsheets and manual entry. Zodiac Group Pty Ltd www.zodiac.com.au ELECTROLYSER The OSEC L electrolyser is a water disinfection system that creates sodium hypochlorite on-site and on-demand. The OSEC L’s design is compact, easy to install and easy to use. It offers push-button operation, plug-and-play installation and a footprint roughly 50% smaller than other on-site generators. An inherently safe alternative to chlorine, sodium hypochlorite and calcium hypochlorite, the OSEC system does not require handling of any hazardous chemicals. The generator produces a dilute hypochlorite solution <1.0 wt% concentration using saturated brine (salt), water and electricity in an electrochemical process. With an embedded process controller, the system is fully automated and can work in batching or direct feed operation modes. Evqua Water Technologies Pty Ltd www.evqua.com.au Lovibond® Water Testing Tintometer® Group Pool Water Analysis made easy Lovibond® – The Original High Precision Optics with top-quality interference filters! PM 630 The ultimate range in Pool Photometers Innovative data management and Bluetooth® functionality - Intuitive user interface - Bluetooth® data transmission - Lovibond® App AquaLX® - 34 pre-programmed parameters - High Precision Optics with top-quality interference filters! email@example.com waterlillyaustralia.com Tel.: +61 (2) 9798 9975 Waterlilly Australia Pty Ltd Lovibond® Product Specialists With the year laid before us and an abundance of opportunities ahead as a business owner, it is important to ensure you have clarity on the outcomes you want to achieve. Setting goals and objectives is a great start; however, as a business owner, there is one vital piece of the puzzle that could be missing. Unless you use this tool, it is easy for weeks, months and possibly the whole year to go by without truly having the rubber meet the road. The mistake You see, the biggest mistake that many business owners will make is… waking up each day and going to work ‘in’ their business (that is, working on their trade/on the tools/doing the work), without ever taking time to reflect and work ‘on’ their business. This means stopping to check in and see whether the activities that are consuming their day are actually taking them towards their goals and objectives, or if they are just running in circles and replaying the same day and week many times in a row. The tool The power of reflection — that is, checking in on your progress for the year. I recommend that as a business owner and leader of your life, you take time at least monthly — or, even better, weekly — to review your goals and objectives and ask yourself the most important question: “Is the activity and the work that my team and I are involved in aligned with the outcomes I want to achieve this year?” Also, do you have a method to measure your progress? A scoreboard to keep track of your progress, or a dashboard with some monthly and weekly measurements, that gives you direct feedback on your progress? This scorecard will be your map, keeping you on track to reach your objectives. How to use it 1. Set goals, objectives and key measurable outcomes. 2. Work on specific activities that progress you towards the items in point number one. 3. Schedule time monthly/weekly to check in and ask ‘The Question’. 4. Have some measurements and a scoreboard to give you clarity on where you are on your journey for the year. 5. Adjust your activities should you feel that progress is not being made. All the best for a great year ahead. Ensure that this year is one of your best by taking the time to reflect, check in and adjust. PROTRADE United www.protradeunited.com.au 1. Save money on electricity - up to $350 a year! 2. Scrubs and sweeps surface of pool - making it cleaner and healthier! 3. Does not get stuck! - less hassle! 4. Systematic cleaning approach - gives you total pool coverage! 5. Reduce backwash by 33% - saving water and chemicals! 6. Industry leading warranty - peace of mind investment! 7. Regain your skimmer box - your pool can work the way it was designed to! 8. Independent from pool filtration - reduced stress on equipment means longer life of equipment! 9. Wall cleaning and climbing capability = total pool cleaning! 10. Easy to clean and maintain = more time enjoying your pool and less time looking after it! Discover more at Maytronics.com.au THE ZERO ENERGY POOL SOLAR ELECTRICITY + POOL HEATING ONE FOOTPRINT, TWO SOLUTIONS. A HYBRID PANEL THAT SIMULTANEOUSLY PRODUCES ELECTRICITY AND HEATING FOR SWIMMING POOLS. The electricity generated by the high efficiency monocrystalline cells can cover all the electricity needs of the swimming pool. Any surplus electricity can be self-consumed in the home or commercial swimming pool facility, or returned to the grid for a feed-in tariff or net-metering program. The patented ultra-thin heat exchanger is completely integrated into the panel. As the pool water flows through the heat exchanger, the water is heated whilst simultaneously cooling the panel. THE EVOLUTION OF SOLAR POWER DualSun’s hybrid solar PV thermal technology is based on two principles: 1. Standard PV panels generate much more heat (82.8%) than electricity (17.2%) when exposed to the sun. 2. The efficiency of PV panels decreases as the surface temperature increases. This results in a highly efficient transfer of heat between the photovoltaic (PV) surface and the water circulation on the underside. Traditional PV panels generate much more heat than electricity. The cooling effect on the DualSun panel allows the PV electrical generation to be maintained, and increases peak performance by up to 20%. A DualSun installation generating heated water and solar electricity produces up to four times more energy than a standard PV installation. Commercial spas in Western Australia require the use of a chemical controller for automated dosing of chlorine and pH correction. For many years, I have been recommending against the ORP/pH control philosophy in spa installations — a viewpoint which has not been without its detractors. About a year ago, I received a phone call from a pool technician who challenged my view in not supporting his preferred ORP/pH controller. He asserted that these devices worked in commercial spa applications without any issue. He was wrong. While there is a lot more at play than I can cover in this short article, there are some key factors that highlight why controllers of this type are unsuitable for spa applications. The best way to illustrate the problem is by conducting the following testing procedure. 1. In a spa installation, turn off any present chemical controller, salt chlorinator or other chemical control system. 2. With the spa in normal filtration mode — this means no blowers operating and no jet booster pump working (for at least five minutes) — test the pH level. Assuming the spa is balanced, the pH will likely be in the region of 7.4. 3. Turn the blower on and start the jet pump, then wait a few minutes and test the pH again. It is likely to have increased. Depending on how long it has been running (the pH will increase with the run time), it is likely to reach up to 8.2. 4. Turn off the blower and jet pumps, wait for the water to settle and return to normal filtration mode, then test again. You’ll find the pH level has reverted to initial test levels. You can continue this process time and again, and the results will remain consistent. This reaction occurs in every spa — or any body of water undergoing aeration. Other examples include water slides, sprays and fountains. The reaction being observed is the outcome of two chemical functions: 1. The first is Le Chatelier’s principle, which states that a change (in this case, aeration) will drive elements in a chemical equation to one side of the equation in order to bring equilibrium. In the above testing scenario, by altering the amount of aeration, it drove the equation toward ‘gassing off’ and increased the hydroxide content in the water, thereby increasing the pH level. That increased pH is a real result and, while harmless to humans, ORP/pH controllers do not respond well to the change. The longer the aeration time, the more likely it is to disrupt the pH reading on an ORP controller, which leads to inaccurate chemical dosing. This is particularly problematic in commercial spas, where users are in and out often, generally requiring longer aeration times. 2. The second chemical function at play is Henry’s law — a gas law which effectively states that the amount of gas is at equilibrium in a solution at a given pressure. Activating aeration devices alters the pressure, which results in the release of gasses. By removing the aeration, the pressure returns to previous levels and (assuming no other chemicals have been added) the spa returns to its previous state. The entire process wreaks havoc on ORP/pH controllers, not because the equipment isn’t fit for the task, but because the underlying ORP/pH reaction requires a pH level that is more or less stable. Introducing a moving pH level adds a layer of complexity to the chemical equations, which an ORP/pH controller simply cannot handle. To my mind, the pool technician arguing the suitability of these types of controllers for spas is the equivalent of arguing that gravity doesn’t exist. It is that extreme. So, how to explain his vastly different view in the face of inescapable chemical evidence? The most likely reason is that it hasn’t been noticed or is assumed to be a calibration error. If a spa has a very light loading or no aeration devices fitted, then it is likely the reactions either haven’t been observed or are complete and corrected by the time the next service visit occurs. Appreciating these chemical principles will help technicians understand why high or low readings still occur after adjusting set points in spas with an ORP/pH controller installed. Armed with that knowledge, you can develop a suitable workaround. Shenton Aquatic www.shenton.com.au WATERPROOF SHADE STRUCTURES The Triax system from Scully Outdoor Designs takes the difficulties out of designing and installing waterproof shade structures. The system gives architects, builders, designers and installers the freedom to create individual and customised designs. The light construction coupling system allows two pipes to be permanently joined at any angle, on-site, without welding. It can be assembled by inexperienced installers with the use of simple, non-specialty tools and without the need to rely on precision critical measurements. Structures can be wall mounted, roof mounted or freestanding on posts. The tension of the membrane cover is not transmitted to the mounting points, instead being contained within the frame itself. This means that unlike with traditional membrane covers, the structural integrity of existing buildings is not compromised. Difficult site restrictions can be overcome and minor design modifications can be adopted if and when they occur. The shades are constructed from commercial-grade reinforced PVC, offer 100% UV protection and are available in a range of colours. Scully Outdoor Designs Australia Pty Ltd www.scully.net.au DEPOLOX® POOL COMPACT POOL MANAGEMENT SYSTEM The Wallace & Tiernan DEPOLOX® Pool Compact controller has been designed for measurement and control functions in pool water treatment applications. Key Features - Innovative, future proof design, flexible in operation and expansion - 4.3” colour touch screen ensures truly intuitive operation - Trend diagrams available for all measured parameters - Remote access via Smartphone or PC when connected to the internet - LED lit flowcell indication that serves as a sensor status check / visual alarm - Integrated Safety Functions - Measure/Control free chlorine, temperature, ORP and pH values 1300 661 809 firstname.lastname@example.org www.evoqua.com DEPOLOX and Wallace & Tiernan are trademarks of Evoqua. Its subsidiaries and affiliates, in some countries. © 2017 Evoqua Water Technologies Pty Ltd INSULATING FOAM POOL COVERS The Thermotech 4.5 mm insulating foam pool cover range from Daisy is 50% thicker than the current product, delivering increased thermal resistance (R value) and durability. Constructed from physically crosslinked polyolefin foam sandwiched between two layers of UV-stabilised, polyethylene-based polyfabric Canvacon film, the cover is reversible in the right installations. The layers are flame-bonded (top and bottom) together and resistant to delamination, even at high temperatures. The closed-cell foam layer provides good insulation and water repellence properties and is resistant to chemical degradation, while the outer woven layers provide strength and durability. The composite is free of heavy metals, plasticisers and CFCs and has a working temperature range of -40 to +70°C. Thermotech comes in three colours: blue, green and silver. Daisy Pool Covers www.daisypoolcovers.com.au POOL LOUNGER Ledge Lounger products available from Pool Systems are lightweight, colourfast and durable. The products, including the signature chaise, are manufactured from polyethylene and easy to install — simply fill with pool water and position on the pool edge. This allows it to remain in place even when not being used. All products are designed for in-pool use in up to 63cm of water. Ledge Lounger furniture is resistant to pool chemicals, salt water, UV rays and general weathering. It requires minimal effort to clean and maintain. The resin furniture collection is contoured for comfort and the contemporary design blends with most homes, pools and outdoor spaces. Pool Systems www.poolsystems.com.au 5 M PLUNGE POOL Maax Spa has launched the Australian-designed Jadan 5 m Plunge Pool concept for smaller spaces. The fully filtered and heated plunge/spa hybrid includes Gecko-controlled equipment, one swim jet for light exercise, air injectors in the stepped seating area, a fully insulated shell and pipework, a 3 kW heater and an integrated LED lighting system in a 4.9 x 2.3 m pool. It is 1.45 m deep. A simpler version is also available without the blower, air injectors, swim jets or lighting. Maax Spas www.maaxspa.com.au MODULAR VERTICAL GREENING SYSTEM The Elmich VersiWall GP Tray Planter is an easy-to-install and low-maintenance modular vertical greening system with a choice of mounting, planting density and growth media options to suit different wall conditions. Depending on the plant size and planting density selected, the trays allow plant spacings of 200 and 250 mm horizontally and 150 and 225 mm vertically. The trays can be individually replaced or removed for wall maintenance or design change. Each tray has a water reservoir with a cover designed for the provision of a capillary wick to re-use stored water and facilitate sustained plant growth. The use of mounting frames minimises wall penetrations and enables installation to be carried out easily and safely by one person. The trays and mounting panels are manufactured from UV-stabilised recycled polypropylene that meets requirements for international Green Building certification. The trays’ six-point anchoring system enable them to be installed on different mounting frames, while anti-lift arms prevent inadvertent dislodgement of trays. A baffle plate distributes irrigation across the tray and prevents media spillage. Excess water flows into underlying trays or is discharged through a drainage pipe. A tray plug that prevents water from draining out of the tray is available separately. Several different mounting systems are possible using the trays: the company’s VersiWall GP Mounting Panel; standard welded mesh with rod spacing 50 mm wide x 75 or 150 mm high; or steel rods at 75 or 150 mm intervals, providing a more minimalist design. Elmich Australia Pty Ltd www.elmich.com.au Electroheat MKIV pool heat pumps feature compact design and horizontal venting. Available in 9, 12, 15, 19 & 23 kW heating capacities, ideal for extending the swimming season. Electroheat Plus pool heat pumps feature vertical venting and a large evaporator area for maximum performance. Available in 25, 31, 37 & 44 kW heating capacities, ideal for larger sized pools. The latest advancement in commercial size swimming pool heating, Electroheat PRO is designed to deliver efficient cost effective pool heating in an easy to operate and install package. WATERCO water, the liquid of life www.waterco.com.au Employers have an obligation to provide a safe workplace, and that extends to ensuring protection from harmful UV rays. In Australia and New Zealand, where UV exposure levels are high, that’s a year-round concern. While most of us know that too much sun exposure can harm our health, because results of exposure are not immediately visible, it can be difficult to identify damage until it’s too late. Overexposure to solar ultraviolet (UV) radiation is a serious hazard for everyone, but particularly those who work outdoors — even if only for short amounts of time. In the Southern Hemisphere, the harsh summer months may now be behind us, but UV exposure is a year-long concern for employers and workers alike. Nearly one in three workers completely unprotected The Skin & Cancer Foundation of Australia is urging employers to wake up to sun safety, after research found an ‘unacceptable’ number of organisations are failing to meet responsibilities for protecting workers from sun exposure. According to the research findings (published as the Skin Health Australia Report Card 2017), nearly 2 million employees working outside are not being provided with any form of sun protection by their employers and are instead being left to fend for themselves. The report found that 8 million Australian workers work outside sometimes, mostly or all of the time. Alarmingly, 57% of these outdoor workers said their employers did not supply sunscreen, 66% did not supply protective clothing and 80% did not provide sunglasses. Of most concern, 28% of outdoor workers were provided with no protection at all. Skin & Cancer Foundation Associate Professor Chris Baker said the number of employees provided with little or no protection was simply unacceptable and that employers needed to wake up. “It’s hard to know why they don’t see it as their responsibility as, clearly, there is a duty of care for employers to provide a safe workplace. While the numbers are improving, we still have a long way to go,” Baker said. Andrew Farr, workplace law partner at PwC, said the careless attitude to sun protection was concerning and that employers are people per day. It’s proving fatal, with over 300 New Zealanders dying each year from skin cancer. Outdoor workers can be exposed to harmful UV radiation while working, even for as little as 10 minutes. This increases the risk of developing serious health conditions, including skin cancer. These are risks that both persons conducting a business or undertaking (PCBUs) and workers have a responsibility to manage. WorkSafe NZ says employers need to consider what higher-level control measures they can use to keep workers out of the sun. This may include rescheduling outdoor tasks, moving work indoors or providing shade structures. If these options aren’t possible, businesses are urged to use lower-level control measures, such as provision of protective clothing, hats and eyewear, along with SPF 50+ sunscreen. The organisation has developed a quick guide titled ‘Protecting workers from solar UV radiation’, which can be downloaded from its website — www.worksafe.govt.nz. It has also published the following information to debunk some common myths around sun safety. Common sun safety myths Myth 1: If you can’t see or feel the sun, you’re safe and can’t get burnt. UV radiation can’t be seen or felt and sunlight or warmth from the sun is not the same as UV radiation. Radiation from the sun does not provide light that we can see or heat that we can feel, so your skin can be effected even when it feels cool. Myth 2: Wearing personal protective equipment (PPE) is inconvenient and difficult to enforce. Wearing PPE or sun protection clothing is only an inconvenience if it is not fit for purpose. Ensuring the selected PPE and sun-protective clothing is suited to the task will provide workers with a higher level of comfort and maximum protection. Myth 3: Sunscreen provides enough protection on its own. Sunscreen is limited in the amount of protection it can provide and shouldn’t be the only form of defence employed. Appropriate amounts must be applied correctly to exposed areas and also reapplied regularly, as both perspiration and contact with water will cause it to wear off. Myth 4: I haven’t used sun protection before and it’s too late now to start. Sun damage is cumulative, meaning the more we are exposed, the greater the risk. It is never too late to start protecting skin and eyes against UV radiation. Myth 5: I’ve developed a gradual suntan without burning so I am better protected from the sun. A suntan is an indicator that the skin is trying to protect itself from UV radiation exposure. It does this by creating more pigment, which provides a very small SPF. A suntan provides only minimal protection from future sunburn, but the cell damage caused during the process can be enough to lead to skin cancer. Overall, the risk of harm outweighs the small and short-lived benefit of a suntan. PORCELAIN PAVERS 2 cm PDS porcelain pavers are produced with a dense clay using the ‘dust pressed’ technique. This process involves immense amounts of pressure and extremely high temperatures over long periods of time. The result is the removal of almost all liquid from the clay forming a finished product that is dense with low porosity and an absorption rate of less than 0.5%. A combination of high density, low porosity and low water absorption makes porcelain a good choice for high traffic areas subject to stains, chemicals and harsh treatment such as swimming pools and outdoor kitchens. Designed for outdoor use, 2 cm porcelain also has an anti-slip finish applied, creating a safe alternative for wet environments. 2 cm porcelain tiles can be installed over many surfaces using traditional techniques. They feature a high load-bearing capacity and resistance to breakage, making them suitable for installation using the latest pedestal technology, which enables the installer to hide water, gas or electrical services without permanent installation of the tiles. This allows services access, provides for drainage and makes it easy to replace tiles in the event of a refurbishment. They are available in a range of formats and profile options such as custom rebates, bullnose and pencil round for swimming pool coping. Europe Imports Pty Ltd www.europeimports.com.au UNIQUE G SERIES AUTOCLEAN SALT WATER CHLORINATOR MODELS G15 suitable for pools up to 45,000 litres G25 suitable for pools up to 90,000 litres G40 suitable for pools up to 150,000 litres - auto-clean function - easily read chlorine monitor - adjustable chlorine control – zero to maximum - timer for filter/chlorinator operation - resetable circuit breaker - Australian Standard Approved - approval no NSW26379 CELL - designed for maximum chrome output - highest quality electrodes ensure extended cell life - clear ultra-violet stabilised casing - 40/50mm inlet/outlet ports - unique plug in Cell design JOY POOL SYSTEMS Unit 21, 2 Richard Close, North Rocks, NSW 2151 02 9630 5011 • email@example.com www.aquajoy.com.au SUCTION-SIDE IN-GROUND POOL CLEANER The Great White II suction-side in-ground pool cleaner from Pentair offers faster, uninterrupted cleaning, due to 38 cm-wide bristle scrubbers that cover more pool in a single pass. The oscillator-powered SmartTrac programmed steering system navigates easily around pool obstacles for continuous cleaning. The Great White II features a simple hose connection, making it easy to set up and use. Pentair’s Bristle-Drive technology provides a deep-cleaning scrubbing action and a powerful oversized vacuum inlet, designed to deliver a sparkling clean pool in no time. Pentair Aquatic Systems www.pentairpool.com.au ALUMINIUM FENCE POSTINGS Modular Wall Systems has released aluminium post options for its SlimWall and VogueWall fencing solutions. The lightweight posts are specifically designed to withstand the harsh Australian climate and are particularly suited to coastal and pool-adjacent applications. The aluminium posts are resistant to rust and wear and comply with pool fencing regulations as they have no strip footings. Modular Wall Systems www.modularwalls.com.au BRITESTREAM MKV MULTICOLOURED LED LIGHT Britestream MKV’s new BriteLux diffuser lens radiates light throughout its entire circumference and significantly boosts colour saturation and increases light transmission by 50%. • Energy saving • Long life LEDs • Multi-Voltage, enabling connection to 12, 24 or 32 volt systems. Available in wall mount, concrete niche and fibreglass configurations. Surrounded by the rolling Shropshire Hills, the Baron at Bucknell near Ludlow in England is a traditional free house country inn considered one of the region’s finest. Located roughly 10 minutes away from the small medieval Welsh town of Knighton, the popular pub and retreat is known for its traditional home-cooked British cuisine, warm and welcoming atmosphere, and friendly and attentive staff. When Michael Caffyn-Parsons from Inspired By Water happened to stay at the Baron at Bucknell, he struck up a casual conversation with co-owner Phil Wright, who was considering a swimming pool as he had permission to build some luxury garden rooms. The challenge was to develop a design that enhanced the inn’s surrounds, which are designated as one of England’s ‘Areas of Outstanding Natural Beauty’ (AONB) according to Natural England. Phil and his wife Debra liked the idea that guests could swim in a natural system that seamlessly integrated with the rustic landscape. Traditional sanitisers like chlorine are known to emit a strong odour and irritate sensitive skin, so the couple felt a healthier swimming experience could also become a unique selling point. Consequently, the goal was to create a low-maintenance, natural pool that was aesthetically pleasing to the eye and safe for guests to swim in. Working with colleague Tim Gunning, a natural swimming pool engineer who has managed the construction of over 100 natural swimming ponds in the UK and Europe, Michael recommended a range of Waterco’s filtration and sanitation products for the Wrights’ proposed new outdoor pool. Equipment included an Exotuff 30” Waterco Bead Filter and Aquamite 1.25 HP pumps, which are used to draw water through the reparation area pipework. The system also includes a MultiCyclone MC 16, fitted with an automated valve so it can be flushed out by remote control. The Multicyclone is a key feature of the system as it helps remove debris through the process of centrifugal filtration prior to reaching the filter. Furthermore, the addition of the automated valve on the waste ensures that the sediment bowl is cleaned regularly with minimal effort. The Aquamite pump is suitable for recirculation systems used in conjunction with ponds and water features due to its compact design and energy efficiency. The range of Exotuff bead filters offers a sturdy tank design along with the lateral arrangement and water distribution headers, ensuring good mechanical and biological filtration. Officially opened in May 2017, the 10 x 5 x 2 m swimming pool looks like a natural oasis, where guests swim in pristine water filtered by plants and microorganisms, along with Waterco’s sanitation products. Separated from the swimming area is a 50 m² regeneration area where impurities are absorbed by plants as nutrients and harmful bacteria are destroyed by natural water organisms. The pool is planted so that there is something in flower from March through to September. Species include Lythrum salicaria (purple loosestrife), Caltha palustris (marsh marigold), aurora lily — the flowers on these turn from yellow to red in a few days — Typha minima (dwarf bulrush), Iris kaempferi (Japanese iris), Calla palustris (march calla) and Pontederia cordata (pickerel weed). The result is an aesthetically pleasing pool that merges with the inn’s surrounds and offers a safe swimming option for guests. Waterco Limited www.waterco.com.au SPA AND HOT TUB PROFESSIONAL MAINTENANCE APP Gecko Alliance’s in.touch-ic is an app designed specifically for spa and hot tub professionals, enabling remote access of equipment via connection to a customer’s in.touch 2 app. In just a few clicks, service professionals can scan all connected spas and hot tubs in their installed base via the in.touch ic app dashboard. Colour status codes and signal strength icons deliver real-time info on system status, enabling service techs to detect and correct customer problems before they are even noticed. If a client calls to report an issue, users can provide a proactive and professional technical service from anywhere, as all information is at hand. Users need to initially seek customer permission to access spa information, but once connected, troubleshooting and problem rectification is simplified. CSN Global Pty Ltd www.csnglobal.com.au PRESSURE-DRIVEN POOL CLEANER The Australian-made Jet-Vac pressure-driven pool cleaner from Aqua Quip is characterised by a large-intake throat capable of collecting large debris. Unlike suction cleaners that plug into the skimmer box, clogging baskets and hampering filtration, Jet-Vac works on pressure supplied from the booster pump. Jet-Vac needs to run only two to three hours a day and, unlike robotic pool cleaners, remains in the pool. The only regular maintenance required is emptying the leaf bag. Now available in Graphite Grey to blend unobtrusively with dark pool interiors, the Jet-Vac still maintains its simple yet robust design. The automatic forward/reverse cycles ensure complete pool coverage on any surface without getting stuck in corners and the lightweight construction makes emptying the debris bag a breeze. Aqua Quip www.aquaquip.com.au With thousands of cricket fans taking a dive in Cricket Australia’s Pool Deck at Brisbane’s Gabba this summer, water health and safety was high on the agenda, with one local businessman tasked with keeping the ‘water nasties’ at bay. Poolwerx franchise partner Paul Attard has the task of maintaining the 32,000-litre pool at the Gabba sports stadium, which requires him to test the water three times a day when games are on. Attard, who drew on over a decade of experience in the pool industry to prepare the pool again for cricket fans, said with the large number of swimmers in and out of the pool, the water health needed to be monitored closely. “Contaminants like sweat, body oils, sunscreen and drinks wash off in pool water, which can impact pH levels and encourage bacteria. So on Test match days we test and balance the pool water three times a day and clean the cartridges in the evening. “Prior to the pool opening, we came in, plumbed it and maximised the hydraulics to ensure the pool water would circulate efficiently,” he said. Cricket Australia’s Pool Deck at the Gabba will be open throughout the summer of cricket. Poolwerx www.poolwerx.com.au WATER ANALYSIS Lovibond water testing instruments and reagents from Tintometer give users the ability to accurately and easily measure and record water quality. The environmentally friendly ‘Green Chemistry’ tablet reagents can be used with classic pool testers, the Scuba II domestic electronic pool tester or the Lovibond photometer to deliver an easy-to-dose, safe, accurate and repeatable result. With a long and stable shelf life, the reagents are 100% free of boric acid and comply with DIN EN ISO 7393-2 requirements. Tintometer GmbH www.lovibond.com POOL SKIMMER The MegaSkim pool skimmer from Pentair is designed to be both easy to install and to use. Constructed from a single-piece mould, the skimmer has no glue joints, which helps guard against leaks. The skimmer features base and rear plumbing points, as well as multiple attachment points for reinforcement, which facilitates easier installation. It features a 6.7 L leaf basket and a patented child-safe lockable lid. MegaSkim is available for concrete, fibreglass and vinyl liner pools, and with extension throat or wide-mouth throat options. A vacuum plate with flow control valve is included on every model. Constructed from UV stabilised thermoplastic, MegaSkim is built to withstand the harsh Australian climate. It is compliant to AS/NZS 1926.3 and comes with a one-year warranty. Pentair Aquatic Systems www.pentairpool.com.au IF YOUR CLIENTS HAVE A COOL POOL WE HAVE A WARM SOLUTION Designed for Australian conditions The Eco-therm panel is manufactured by the number one panel company in the US, who have been manufacturing pool heating panels for over 40 years, and its fluted design gives more surface area to achieve one of the highest heat transfer ratings in the Australian market. The strategically placed slots in the webbing prevent moisture build up under the collector and allow pressure relief during high winds. Of all the options available to heat your pool, solar energy is the most cost effective and environmentally friendly method available. To find out more visit our website. p 1300 688 828 e firstname.lastname@example.org ecosolarpoolheating.com.au New research from the VTT Technical Research Centre of Finland suggests that while solar power can provide around 30% of the required energy needs for indoor public swimming pools, there are still some major considerations required at the planning stage to make it a truly viable alternative. Finnish researchers were looking for solutions to facilitate a current EU directive, which requires all new buildings to be nearly zero-energy (NZEB) by the end of 2020. Given that 40% of total EU energy consumption is attributed to buildings, the directive targets new construction in an effort to decrease energy consumption and mitigate climate change as part of the EU’s commitment to the Paris Climate Change Agreement. Researchers nominated three key ways to improve energy consumption: by improving thermal insulation of the building envelope, by employing more energy-efficient equipment (such as HVAC) within the building and by replacing part of the energy demand with renewable energy — solar in this instance. For the study (titled Towards zero energy sports halls) VTT conducted computer simulations of two common indoor sports facilities: an ice rink and a swimming pool. The study aimed to determine ways in which energy consumption could be reduced in these electricity-intensive environments. It found that (unstored) solar power is a suitable alternative for ice rinks in spring, summer and autumn, when the energy requirement for refrigeration — coupled with available sunlight — is at its highest. The story was somewhat different for indoor pools, as an increased heating requirement in winter couldn’t be met through solar alone. Of course, when it comes to weather and available sunshine, Finland is certainly not Australia. On average, a Finnish mid-summer’s day boasts around 19 daylight hours, compared with a much lower six hours during the winter months. Depending on location in Australia, summer delivers around 14 daylight hours and winter around 10, so seasonal sunlight availability is not so much of a concern here. What we do share is the need for an economical solar storage solution. The VTT study found that the greatest challenge to development of a zero-energy building is the cost of solar storage, based on currently available solutions, which is obviously made more challenging during winter months. The other major hurdle in these applications is space — existing battery storage solutions are cumbersome and take up significantly more room than other energy alternatives, such as liquid fuels. The study suggests batteries can take up anywhere between 10 and 100 times the space of fuels and, with a service life of between 10–15 years, they are still a reasonably expensive solution. The VTT researchers hope that the study method developed will be a useful tool for planning new facilities, allowing designers to create modelling for renewable energy alternatives. They believe the information provided will assist in planning the number of solar panels required, along with other physical qualities, such as panel orientation. The Ruth Everuss Aquatic Centre at Lidcombe in Sydney’s west has been closed since June 2015 for extensive redevelopment. However, the reopening in April 2017 unveiled a site that had been transformed into a state-of-the-art facility. While the transformation has undoubtedly been significant, great care has been taken to preserve the heritage status of the facility, which was built in 1959. Some of the existing buildings were demolished, but many have remained or been refurbished: examples include the grandstand, stanchion and shelters around the main 50 m pool, which will include a ninth lane and ramp for wheelchair access. While many new facilities were built, it was mandated that the look of any new construction fit in with the existing facilities. Apart from the main outdoor facility, the revamped centre also includes two water polo pools (indoor and outdoor), a six-lane 25 m indoor pool and a program pool for rehabilitation. For families, there’s an outdoor splash pad and an indoor leisure pool, complete with numerous jets, air blowers and spas. Other new features include lighting for nighttime use and heating for year-round patronage. Keeping all these facilities running is a surprisingly complex control system. It monitors a range of parameters for each pool, including water levels, chemical dosing, water temperature and filtration. For this, the plant rooms have an intricate web of reticulation pipes, with accompanying pumps, sensors and filters. An advanced filtration system is used to remove solids from the water. Each pool has two filtration pumps to sift and remove both coarse and fine particles. The active filtering agent is DE (diatomaceous earth). For DE regeneration and backwashing, the controller is required to run a separate vibratory routine for 30 seconds on each of the filters. This operation shakes the DE from the socks in the filter and extends its life. Pool water is kept clean by an automated chlorination system, also controlled by the central controller. Two types of chlorination are used — inline salt water chlorination for the saltwater pools and granulated chlorine for the freshwater pools. Chlorines are an effective disinfectant but can be expensive. So to prolong their life, the pH level of the pool water is maintained at 7.2 by dosing with CO₂. This required special controlling circuits to be constructed within the PLC program. For further purification, the indoor pools have UV steriliser treatment to remove remaining chloramines and other impurities. The water temperature is maintained by the use of heat pumps. Heat pumps exchange heat with the complex’s air-conditioning system, recycling heat that would otherwise be dissipated into the atmosphere. They are used in preference to gas heating, as they are more economical to run. The temperature needs to be strictly controlled within a 0.4°C band, requiring a series of high-precision RTD sensors to be employed. One potential problem found in many heating applications is temperature inconsistency, where the whole load is not at one uniform temperature. This is overcome by constantly cycling water through the pools. In order for the many water features to work properly, constant water pressure needs to be maintained. “Controlling water flows to maintain constant pressure proved surprisingly difficult. PID is normally adequate for this type of control, but in this case, the pressures fluctuated too erratically and PID loops could not respond quickly enough,” said Bob Bishop of Engineered Control Systems. A dedicated function block needed to be designed for this and it ensures constant water pressure. Omron’s CJ2M series PLC was selected as the controller. It supports a sophisticated set of instructions needed for the control systems, including user-defined function blocks. It can also handle in excess of 2500 I/O and has an EtherNet/IP port on board for networking. A remote network was needed as both machinery and control panels were distributed across the five main areas within the complex. The digital and analog remote I/O is connected to Omron’s NX remote I/O blocks, which are linked to the CPU via EtherNet/IP. All wiring is ferruled, meaning it can be quickly pushed into screwless terminals without tools. The terminals apply consistent pressure to the wire for a secure, lifelong connection, which is also more resilient to vibration than standard screw terminals. For operator control, some parts of the complex plant use conventional indicator boards and push-buttons. Other areas use HMI, which are linked over the same Ethernet connection as the I/O. Omron Electronics Pty Ltd www.omron.com.au Electrochemicals manufacturer Electrolube was recently approached by a company in Australia for assistance with a particularly unusual application: the customer needed protection for an underwater LED lighting unit. The encapsulation resin needed to be light blue for aesthetic purposes and had to be able to withstand water temperatures from 5–40°C, as well as being flame retardant. The customer specifically asked for a sample of a very flexible encapsulation resin that could resist attack from constant immersion in pool water. Critically, this could be salt water or fresh water. Electrolube’s encapsulation resin was to replace the customer’s existing epoxy resin from a different supplier, which was causing problems with slight deformation of the base unit due to the exotherm. The desired resin needed to be highly resistant to both salt and fresh water immersion. Water naturally corrodes most metals due to electrochemical oxidation; however, when a salt water medium is used, the rate of oxidation is significantly increased due to the presence of dissolved sodium and chlorine ions. Electrolube’s technical support team swung into action to resolve the problem as quickly as possible and offered two possible solutions: polyurethane resins UR5118 and UR5097. After further testing, UR5118 was discounted and the first production batch of UR5097 resin material was manufactured and shipped to Australia. Mike Woods, Electrolube’s Australia and New Zealand manager, together with Electrolube’s global business technical director for the Resins Division, Alistair Little, later visited the customer and discovered that there were a couple of issues with the material. The first issue to overcome was the material had sedimented over time and was increasingly more difficult to reincorporate back into the resin mix. The second was that there was a slight bleed of resin through the gap between the resin and the LED unit. With a bit of lateral thinking, the logical solution was to increase the thixotropic nature of the resin, which would help to slow down the rate of sedimentation to an acceptable level and prevent the resin bleeding through the gap. Following two weeks’ laboratory work, where a number of different options were tested, Electrolube’s R&D team produced a material that had sufficient thixotropy to slow down the sedimentation and prevent flow through the gap. The resin material was also still very easy to mix and pour into the unit; in fact, the increase in the mix viscosity of modified resin was only slightly higher than the original resin and the colour of UR5097 was altered to the desired colour shade, matching against an RAL standard. This produced a completely bespoke solution that effectively resolved the customer’s issues. Importantly for this application, the resin is designed to withstand both fresh- and saltwater ingress and prevent the transmission of metal ions that could attack any metal present. The polymer used in the resin is also highly resistant to the transmission of water, even at various pressure differences experienced due to the depth of the water. “We are delighted with the outcome of this particular application challenge,” said Electrolube’s managing director, Ron Jakeman. “At Electrolube, we are perfectly set up to solve issues for customers quickly and reliably with our international distribution, state-of-the-art in-house testing facilities and global manufacturing sites ready to deal with any challenges. “We believe the proven quality of our products and easy product application processes, combined with our knowledge of the needs of LED manufacturers, helped assure the success of this project.” Electrolube www.electrolube.com.au One year on, SPASA Australia delivering more to members An expanded training and CPD schedule with over 100 workshops and courses available Pro-actively protecting members with a louder voice and more effective advocacy than ever before Significant increase in exposure for members through all media channels Ever-growing products and services helping members expand their business "In one year as a single entity, we have happier members, a healthier business and more value delivered more often. Happy Swimming" - Lindsay McGrath CEO National benefits, delivered locally 1300 021 482 spasa.com.au The SPASA Certification and Accreditation Program and 2018 Training Calendar were launched last year, with a focus on the importance of staying current in an ever-evolving industry. SPASA has consulted with members and key stakeholders to design the most relevant training workshops and, with over 120 on offer, participants will now be recognised for industry best practice right across Australia. SPASA Australia RTO Manager Peter Holland believes the program has the potential to change the industry. “It is SPASA Australia’s vision to promote industry skills and professionalism as well as offer a career pathway via training, education and personal/business development. Our continued professional development (CPD) program recognises and rewards both individuals and businesses that promote the importance of ongoing training and development program for their business and the development of their staff. “We are proud to be at the forefront of the development of a professional industry that offers nationally recognised qualifications, as well as the educational workshops we have developed for the 2018 Training Calendar. It is our commitment to promote and provide qualifications, industry and sector related skills and knowledge in an ever-changing market,” Holland said. The workshops offered illustrate SPASA’s ongoing commitment to the swimming pool and spa industry and, while everyone can participate, only members of SPASA will have the added benefit of accessing the SPASA Certification and Accreditation Program. Here is a sample of what’s on offer. Two 3-hour workshops, delivering a full-day program packed with practical real-world strategies that have been gleaned from the ‘coal face’. At the end of these workshops, we are confident that participants will: • See an immediate lift in team professionalism. • Be able to inject a little ‘wow’ into sales and customer service performance. • Boost margins and profits by making only small changes. • Gain an unbeatable competitive edge in pool and spa sales and marketing. 9.00 am–12.00pm Workshop One: Legendary service starts with WOW! (Sales & Customer Service Level 1) This workshop is a must for your entire team. Here’s a stunning fact: 68% of surveyed customers said they stopped buying from a business because of ‘indifference’ from sales and service staff. In a time of increased price competition and shopping around online, your products and services are at risk of becoming just another commodity. The only way to beat the trend and to sustain a competitive advantage is to ensure your team is delivering legendary customer service. Not just okay service, not just good service, but truly awesome service that wows your customer every time… and that’s the focus of this inspiring morning workshop. In an enjoyable and fast-moving three hours, you and your team will roll up your sleeves and learn valuable new professional selling and customer service delivery skills — skills that are guaranteed to ‘switch the light on’ and energise attendees, enabling them to go on and outperform the competition. You’ll leave this workshop ready to realise immediate sales performance increases and to consistently delight customers. The potential short- and long-term pay-off for your business is huge. Here’s a quick overview of the topics covered: • Engaging with a customer as a professional problem solver, not just an order taker. • The simple things that keep customers coming back. • Why customers only focus on price if you do… what they really want is value. • Your team’s specialist knowledge is a powerful tool, but it can also lose you sales. • Conversion rates and how tracking them will sharpen your skills. • Legendary customer service doesn’t end with the sale — so what’s the next step? Who should attend this morning workshop? Frontline staff, managers and business owners. 1.00–4.00 pm Workshop Two: Sales & marketing strategies for pool builders, landscapers and pool & spa professionals (Business Sales & Marketing) Whether yours is a small pool-building business or a market leader in the pool and spa industry, chances are you’re up to your armpits in a concrete pour, burning yourself out chasing up quotes or your head hurts just keeping the business running. Most business owners and managers suffer this problem and simply don’t get the time to stop and think about the business. They don’t have time to learn about new marketing and sales systems or develop new strategies, even though they know it can have a major positive impact on multiplying sales and growing profits — not to mention freeing up countless hours each month. In this fast-paced three-hour workshop, you’ll get insights into the latest sales and marketing strategies, learn how to cut quoting times dramatically, find out how the right marketing will attract more of the best projects and learn how to position your brand at the top of the pile. If you want to know how to convert more proposals into top margin success stories, we’ll arm you with proven action steps that you can turn into results the very next day. An overview of topics covered: • The secret to effective lead generation: Don’t get swamped by time-wasting, unqualified leads. You’ll learn how to identify, attract and engage with more of your sweet-spot clients... those wonderful individuals who say ‘yes’ faster, don’t haggle over price, won’t ask you to build ‘dream’ projects and will rave to their friends about you and the quality of your work. • How to avoid the ‘ships in the night’ trap: Like it or not, in this internet age you are constantly being ‘shopped’ and judged long before you ever speak with a prospective client. Get that step wrong, and the best prospects pass by like ships in the night. Learn how to get clients to actively and eagerly seek you out first. • Your brand: Your brand is absolutely critical when it comes to potential clients putting you on top of the pile. Learn the little things that make your brand sparkle, as well as how you may be harming your brand every day without knowing. • Professional selling: Love it or hate it, without selling your business doesn’t exist. Learn the art of true professional selling to achieve spectacular sales results using a step-by-step process that clients love being a part of. • How to win the price war: How to win against competitors who undercut at every turn. Using real case studies and proven methods, you’ll find out how others have won jobs at higher price points (even an unbelievable 250% in one case!). You’ll learn a 100% ethical and awesomely powerful method for success in selling high-end projects. • Specialised marketing tools: Learn how to help your client ‘own’ their dream project while they insist it be created by you. No... this isn’t another bit of expensive software! • Get online: Simple things you need to do online to ensure you stay ahead of the pack. Who should attend this afternoon workshop? Pool builders, builders, landscapers and all pool and spa industry professionals. Combined workshop details Price (inc GST) Workshop — one full day: Dates and locations \| SPASA member \| Non-member \| NSW \| WA \| VIC \| ACT \| SA \| QLD \| \|--------------\|------------\|-----------\|--------\|-------\|-------\|-------\|-------\| \| $300 \| $350 \| 16-Mar \| 19-Mar \| 20 Mar\| 21 Mar\| 22 Mar\| 23 Mar\| \| \| \| 12 Apr \| – \| – \| – \| 11 May\| 08 Jun\| \| \| \| 13 Jun \| 14 Jun \| 18 Jun\| 20 Jun\| 15 Jun\| 19 Jun\| \| \| \| 24 Jul \| – \| – \| – \| 26 Jul\| 12 Jul\| Note — These workshops will also be accessible online. Pricing: Member $240 (inc GST) \| Non-Member $280 (inc GST). Want to know more? Contact SPASA on 1300 021 482 or visit www.spasa.com.au/education-training/. Once there you can: - Download the CPD and Training brochures. - Book RTO courses through the relevant links. - Book workshops through the SPASA events page (www.spasa.com.au/events/events-calendar/). SPASA Training is a division of SPASA Australia, the peak swimming pool and spa industry body, dedicated to maintaining and improving the standards and growth within the swimming pool and spa industry for the betterment of members, consumers and the industry in general. SPASA Australia www.spasa.com.au COMMERCIAL POOL HEATERS EvoHeat CS GEN-2 commercial heat pumps are an efficient option for commercial pools, regardless of size or location. The robust range is designed for the Australian climate and available in 95, 120, 145 and 200 kW models. Features include: C.O.P. as high as 5.79, electronic expansion valve (EEV) technology controlling high-rate Copeland or Sanyo Japan compressors, double coil titanium heat exchangers, a 316 stainless steel cabinet housing, automatic reverse-cycle defrost with Thermotec auxiliary element defrost system and patented Bluetec hydrophilic-coated ripple fin condensers. The CS GEN-2 range also features intelligent digital remote controllers that maintain water temperature to within .5°C of the set point with optional automatic heat/cool mode switching to ensure temperature set point under all operating conditions. The R410a refrigerant provides higher C.O.P. and improved efficiency (+10–15%) over other brands. The units feature night-mode fans, high flow/low pressure drop and a space-saving V style evaporator. Evo Industries Australia Pty Ltd www.evoheat.com.au SPA CONTROL SYSTEM INTERFACE The in.grid spa control system interface from Gecko Alliance offers a flexible way to control external spa heat sources, keeping water warm while acting as a hub for up to five single-button switches. Designed for use with the Y Series of controllers, in.grid allows users to select one of four modes of operation that suit the application, based on the type of external heating system being used, as well as climate. CSN Global Pty Ltd www.csnglobal.com.au FREE to industry and business professionals The magazine you are reading is just one of twelve published by Westwick-Farrow Media. To receive your free subscription (magazine and eNewsletter), visit the link below. www.WFMedia.com.au/subscribe Top tips for designing pools Steve Taylor, COS Design, on behalf of Landscaping Victoria Pools have come a long way in the last 20 years. Gone are the days of high-maintenance, inefficient, completely manual 10 x 5 m dinosaurs. Today’s pools require very little maintenance, are much more energy efficient and are fully automated. They have evolved into architectural masterpieces and often become the central, most significant feature in a garden space. Here are my top tips for designing pools for residential spaces. The brief Every design project starts with a brief, which needs to be explored with your client. Who and what? Every prospective pool customer will have their own specific requirements from an aesthetic and a functional point of view. Pools are surprisingly multifunctional and used for entertaining, exercise, visual impact, therapeutics or the most common use — expending energy out of kids! Where? Where is the best place to site the pool? Consider aspect, visual impact, safety and build-ability. The style of the pool is normally based on the architecture and interior influences of the home, so these elements also need to be considered. Budget There’s no point designing something that will never be built. Be realistic about your client’s budget and don’t forget the hidden costs — things like gas supply for a spa, power supplies or sewer backwash. And don’t forget the biggest ticket item of all: the surrounding landscape. Many clients think the pool will be the biggest cost, but the landscape can overtake the cost of the pool very quickly. Call me biased, but I think it’s the landscape that makes a pool rather than the pool itself, so it’s worth encouraging your client to invest in a consultation with a professional designer to try and ascertain the ultimate look and the total cost of a pool and landscape project. Pools can vary dramatically from $30K to many hundreds of thousands of dollars, as can the landscape which surrounds it. Aesthetics The look is just as important as the functionality of the pool and, let’s face it, your clients will look at their pool more than they will use it. Scale and proportion are where it all starts. Design a pool that has a sense of belonging in a space; not too big, not too small. You can ignore this rule if the pool is mainly for therapeutic or exercise reasons, but creating a geometric shape that complements the surrounding architecture is a rule that should never be broken. The surrounding and borrowed landscape is the next most important consideration and will ultimately define the success or failure of the overall aesthetics. A pool positioned off the main living hub of the home is also recommended, to maximise the benefits of the aesthetics. It also helps with my next point — functionality — as the pool is convenient to access and convenience is king in today’s busy world. Functionality The functional requirement of the pool is an important consideration. A family pool should be at least 8 x 4 m in size. A shelf or swimout is also a great feature for young children and adults alike. Sitting in the pool with a cold beer or cocktail is a beautiful thing in anyone’s language and having a safe ledge for kids to access at all times brings great peace of mind. A lap pool is great for exercise and an absolute minimum of 16 m will provide just enough length for the average swimmer. For a family, however, a lap pool restricts the fun for active kids in many ways. Spas are also a fantastic social element and extend the use of the pool to all year round. In the end this is the golden rule: design a pool that suits your client’s specific requirements, however unique they may be. Compliance Compliance to your local laws and regulations are not only mandatory, they are a potential life-saving investment. In today’s world there are no exceptions or leniency to the rules, for good reason. You need to know the local laws, plan carefully and execute the construction of pool safety barriers to the millimetre. There is nothing worse than having the very exciting moment of filling a pool being delayed because the pool barrier doesn’t pass mandatory inspection, especially in the week before Christmas. Your client also needs to maintain that barrier to meet the required code on an ongoing basis. Not following the laws can result in the ultimate tragedy, which no-one should ever have to experience. Think outside the square This is something I personally love to do, because pools can be positioned in the craziest places using cutting-edge designs. There are no creative limitations, just budget and compliance considerations. Front yards, rooftops, basements, cliff tops — the possibilities are endless. And who says a pool needs to be in-ground? Why not design one that sits above natural ground and create layered design interest within a flat monotone space? Clever design requires risk, innovation, creativity and thinking outside the square. With this mindset, the pool could become the most exciting feature of your client’s property; a real talking point and a permanent invitation to live outside. Engineering and build-ability Build-ability must be taken into consideration. While a great design is important, if the pool can’t practically be built, then it’s pointless. Things to consider from an engineering perspective include: soil classifications, proximity to neighbouring properties, adjacent buildings, other structures and underground works, such as plumbing. These factors present engineering and construction challenges, which may mean a pool redesign is required in order to avoid additional costs to your client. Another thing to consider is using the pool itself as a foundation for additional planned structures on and around the pool area. Using careful planning and thoughtful processes can potentially deliver great cost savings. Creating the dream Hopefully some of these basic design tips will help in your quest and fulfil your client’s dream of owning a pool. I have only skimmed the surface of a very complex, creative and technical process, so here is the best tip to share with clients: make an upfront investment in a professional designer or pool expert. It will be the best money your client spends on their exciting journey of living the Australian lifestyle dream. --- MASONRY VENEER MORTAR The increasing popularity of adhered masonry veneer facades has lead to the development of new MVIS masonry veneer mortar from LATICRETE. The mortar provides a highly productive, easy-to-install, permanent, high-strength installation for adhered masonry veneer, stone and thick brick. The patented, versatile polymer fortified mortar provides maximum non-sag performance for vertical installations and also obtains maximum bond strength to the substrate and selected veneers. The mortar is lightweight, smooth and easy to apply. It inhibits the growth of stain-causing mould and mildew with antimicrobial product protection. LATICRETE Pty Ltd www.laticrete.com.au ## Coming Events ### March What: Sydney Pool Spa & Outdoor Living Expo 2018 When: 3–4 March Where: Rosehill Gardens, Sydney Website: www.poolexpo.com.au What: WA Pool Spa and Outdoor Living Expo 2018 When: 10–11 March Where: Claremont Showground, Perth Website: www.poolandsashow.com.au What: Adelaide Pool, Spa & Outdoor Living Expo 2018 When: 24–25 March Where: Adelaide Showground Website: www.poolexpo.com.au ### April What: 5th International Conference on Evidence-Based Aquatic Therapy When: 14–16 April Where: Las Vegas, USA Website: www.icebat.us/conference-details ### May What: AALARA 2018 Conference & Trade Show When: 8–10 May Where: Sunshine Coast, Queensland Website: www.aalara.com.au/events/aalara18-conference What: Asia Pool & Spa Expo 2018 When: 15–17 May Where: Guangzhou, China Website: www.poolspabathchina.com What: NSW Country Pool Managers Conference When: 16–18 May Where: Nambucca Heads, NSW Website: www.countrypoolmanagers.com.au What: Brisbane Pool Spa & Outdoor Living Expo When: 26–27 May Where: Brisbane Showgrounds Website: www.poolshow.com.au ### June What: 2018 ARV Awards When: 15 June Where: Docklands, Melbourne Website: www.aquaticsandrecreation.org.au/events/10995 ### August What: SPLASH! Pool & Spa Trade Show When: 1–2 August Where: Gold Coast Convention & Exhibition Centre Website: www.splashexpo.com.au ### October What: World Aquatic Health Conference When: 10–12 October Where: Charleston, South Carolina, USA Website: www.theWHC.org What: Interbad 2018 When: 23–26 October Where: Stuttgart, Germany Website: www.interbad.de What: 2018 International Pool \| Spa \| Patio (PSP) Expo When: 31–2 November Where: Las Vegas, USA Website: www.poolspapatio.com ### November What: Piscine Global Europe 2018 When: 13–16 November Where: Lyon, France Website: www.piscine-expo.com --- Westwick-Farrow Media A.B.N. 22 152 305 336 www.wfmedia.com.au Head Office Cnr. Fox Valley Road & Kigole Street, (Locked Bag 1289) Wahroonga NSW 2076 Australia Ph: +61 2 9487 2700 Fax: +61 2 9489 1265 Editor: Danielle Furness email@example.com Publishing Director/MD: Geoff Hird Art Director/Production Manager: Julie Wright Art/Production: Colleen Sam, Wendy Blume Circulation: Dianna Alberry, Sue Lavery firstname.lastname@example.org Copy Control: Mitchie Mullins email@example.com Advertising Sales: Ivan Cunningham Ph: +61 2 9487 2700 firstname.lastname@example.org ASIA: Tim Thompson Ph: +61 (0) 421 623 958 Subscriptions: For unregistered readers - price on application If you have any queries regarding our privacy policy please email email@example.com Pool+Spa Review ISSN 2200-2464 Printed and bound by Dynamite Printing All material published in this magazine is published in good faith and every care is taken to accurately relay information provided to us. Readers are advised by the publishers to ensure that all necessary safety devices and precautions are installed and safe working procedures adopted before the use of any equipment found or purchased through the information we provide. Further, all performance criteria was provided by the representative company concerned and any dispute should be referred to them. Information indicating that products are made in Australia or New Zealand is supplied by the source company. Westwick-Farrow Pty Ltd does not quantify the amount of local content or the accuracy of the statement made by the source. SIMPLY STUNNING Stylish... Practical... and now Energised! The popular Under Bench Roller (UBR) is a pool roller with a difference combining practicality with style transforming a roller into useful seating. Right on trend, the UBR is available in modern aluminium and wood-look colours that will compliment any contemporary backyard setting. 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Report on Two-Day workshop on National Institutional Ranking Framework (NIRF) and National Board of Accreditation (NBA) Hosted By: Gujarat Technological University (Accredited with A+ grade by NAAC) Jointly Organised by Internal Quality Assurance Cell and L. D. College of Engineering \| Date \| 24th and 25th August, 2023 \| \|------------\|----------------------------\| \| Time \| 09:30 am onwards \| \| Venue \| B0 Conference Hall, GTU, Chandkheda campus. \| \| Experts \| Details \| \|------------\|----------------------------------------------\| \| Dr. Anilkumar Nassa \| Member Secretary , NBA, New Delhi \| \| Dr. Sanjay Agrawal \| Professor and Head, DCSEE, NITTTR, Bhopal \| \| Dr. Maya Ingle \| Professor & Sr. System Analyst, Devi Ahalyabai Vishwa Vidhyalaya, Indore \| \| Dr. C. B. Bhatt \| Principal, GMCA Ahmedabad \| \| Dr. Ketan Badgujar \| Professor, L. D. College of Engineering, Ahmedabad \| \| Dr. N. M. Bhatt \| Professor, L. E. College of Engineering, Morbi. \| \| Participants \| (132 Participants) Principal, Head of Department, IQAC/NBA coordinator, Senior Professors etc... from all over the Gujarat \| Gujarat Technological University, Internal Quality Assurance Cell (IQAC) has jointly organized Two-Day workshop on National Institutional Ranking Framework (NIRF) and National Board of Accreditation (NBA) with Government of Gujarat, Commissionerate of Technical Education (CTE) and L. D. College of Engineering. Main Objective of this workshop is to strengthen the Government and Self Finance Institutes of Diploma and Degree Engineering in NIRF and NBA. More than 150 Principals, senior faculties, IQAC/NBA Coordinators have participated in the workshop from all over the state of Gujarat. The Workshop was started with the Registration and Breakfast from 9:30 am onwards than after the Inaugural session followed by Deep Pragatya, GTU Song and felicitation of Guest. Dr. K. N. Kher, Registrar, GTU welcomed all the dignitaries and participants by his words of wisdom. He mentioned the IQAC-GTU Initiative to bloom the ranking and accreditation for affiliated institutes. On the first day, Dr. Anilkumar Nassa Member Secretary, NBA, New Delhi, invited as a Chief Guest of the Workshop, he has dealt with various important development schemes of Technical Education in the Ministry of HRD, AICTE and has contributed significantly in the planning, formulation and implementation of various schemes of Technical Education. He has done his Ph.D. on accreditation work and talked about the historical approval of India in Washington accord through rigorous efforts. The Washington Accord is an international and multi-lateral agreement among bodies responsible for accrediting... undergraduate engineering degree programs, originally signed among six countries in 1989. The NBA became a provisional member of the Washington Accord (WA) in 2007 and was given the status of permanent signatory on 13th June, 2014. He also talked about the recent inclusion of GAPC 4.0 for engineering education. The keynote address of Dr. Anilkumar Nassa was on introduction to NIRF & NBA, its framework and Methodology. He states that we all should work for the nation, think for the nation. Must keep faith and confidence in our team members, because ranking or accreditation is not possible without effective team. Belongingness and hard work in the work is only way to receive success. Our nation should be our first priority. He states that, accreditation is about the self-assessment in context of quality of Education whereas ranking is about comparison with the other institute, NIRF provides opportunity to institute to see themselves where our institute stands and at where is to be. Dr. Sanjay Agrawal, Professor & Head Department of Computer Engineering and Application, NITTTR, Bhopal was invited as a guest of honor of the workshop. He delivered his expert talk on Outcome Based Education & CO formation Philosophy. He describes the usage of Indian Knowledge System for the accreditation work and advised institutions to identify a process by which outcome based education becomes a norm at the institute to maintain minimum quality assurance. Outcome based education basically a process of curriculum design, maintain and sustain it to achieve desired output. He quoted a one chopi from Hanuman Chalisha that, the India has enough human resource which has Vidhyavan, Guni, and Chatur “Chaturya” means intelligences to make everything possible by his/her willingness. On second day, Dr. Maya Ingle, Professor & Sr. System Analyst, Devi Ahalyabai Vishwa Vidhyalaya, Indore was invited as an expert with the session on Teaching-Learning Process and Criteria 1 and 2 of NBA accreditation. She states that NBA Accreditation is an important aspect to improve the ranking of an institution. An institution’s curriculum is an essential series of all the activities and learning goals related to each course. It serves as a map outlining what the institution needs to follow and how to get there. Dr. Chetan Bhatt, Principal, Government MCA College, Ahmedabad was another expert of the said workshop. His expert session was on CO-PO attainment philosophy of NBA. He simply and clearly define all the important terminology of the Outcome based education i.e CO, PO, PEO, PSO. Dr. Rajul Gajjar, Hon’ble Vice Chancellor, GTU has also delivered her expert talk on Institute level interventions. She states academic excellence is a heart of accreditation. To achieve academic excellence the very first step that the institute has to critically evaluate each and every programme and find out the gaps where the linkages are built us to achieve desired goal. Also as an institute we have to rate our all programme whether they are have enough potential to meet the expectation of NBA or not. She encourage all the members for participation in NIRF and NBA. She told that NBA exercise needs to be taken as a quality initiative and NIRF exercise as a relative measure of position among similar institutions. This both exercise requires all the stockholders of the institutes to work in unison, so that the institute can achieve the desire goals of NIRF and NBA. Dr. Ketan Badgujar, Professor, L. D. College of Engineering, Ahmedabad was invited as an expert to deliver an expert talk on Vision, Mission, Pre-Qualifiers, PO, PSO, PEO, Facilities and FY Academics. His session is on NBA general Guidelines in context of achieve Pre-qualifiers for Diploma and Undergraduate Engineering institutes. He focusing on Self-Assessment Report format for undergraduate engineering programs (Tier-II) for the first time accreditation. Dr. Nilesh. M. Bhatt, Professor, L E College of Engineering, Morbi was invited to deliver expert talk on Student and Faculty Performance for Criterion 5: Faculty Information and Contributions in NBA Accreditation. He provided keen insights on Student-Faculty Ratio (SFR), Faculty Cadre Proportion, Faculty Qualification, Faculty Retention, Innovations by the Faculty in Teaching and Learning, Faculty as participants in Faculty development/training activities/STTPs, Research and Development, Faculty Performance Appraisal and Development System (FPADS), Visiting/Adjunct/Emeritus Faculty etc. Prof. (Dr.) Sanjay Chauhan, Head-IQAC and Professor and Director, Graduate School of Pharmacy, GTU has proposed vote of thanks for the valedictory session of the workshop. He expressed his deep sense of gratitude towards the chief guest Dr. Anilkumar Nassa Member Secretary, NBA, New Delhi, and Guest of Honour Dr. Sanjay Agrawal, Professor & Head Department of Computer Engineering and Application, NITTTR, Bhopal. He also expressed his gratitude to Dr. Rajul Gaijar, Hon’ble Vice Chancellor and Dr. K. N. Kher, Registrar, GTU for the support for the organizing this workshop. In the last, the certificates were distributed amongst the Participants for the active participation in the workshop. Dr. Kaushal Bhatt, Coordinator-IQAC and Associate Professor, Graduate School of Management Studies were concluded the workshop by thanking all the Experts, Participants and the IQAC and LDCE Team. Total 93 applicant were provided feedback after successful completing the workshop, highest participation from the Engineering Discipline were noted with the 79 participation. Session feedback: Introduction to NIRF & NBA by Dr. Anilkumar Nassa, Member Secretary, NBA, New Delhi [I am interested to attend such kind of session on this theme in future also] - Strongly Agree: 55 - Agree: 34 - Neutral: 2 - Disagree: 2 - Strongly Disagree: 0 Session feedback: Outcome Based Education & CO formation Philosophy by Dr. Sanjay Agrawal, Professor & Head, DCSEE, NITTTR, Bhopal [I am interested to attend such kind of session on this theme in future also] - Strongly Agree: 63 - Agree: 28 - Neutral: 2 - Disagree: 0 - Strongly Disagree: 0 Session feedback: CO-PO attainment philosophy of NBA by Dr. C. B. Bhatt, Principal, GMCA, Ahmedabad [I am interested to attend such kind of session on this theme in future also] \| Response \| Count \| \|----------\|-------\| \| Strongly Agree \| 55 \| \| Agree \| 29 \| \| Neutral \| 9 \| \| Disagree \| 0 \| \| Strongly Disagree \| 0 \| Session feedback: Teaching-Learning Process and Criteria 1 and 2 of NBA by Dr. Maya Ingle, Professor & Sr. System Analyst, Devi Ahalyabai Vishwa Vidhyalaya, Indore [I am interested to attend such kind of session on this theme in future also] \| Response \| Count \| \|----------\|-------\| \| Strongly Agree \| 62 \| \| Agree \| 25 \| \| Neutral \| 5 \| \| Disagree \| 1 \| \| Strongly Disagree \| 0 \| Session feedback: Institute level interventions by Dr. Rajul K. Gajjar, Hon’ble Vice Chancellor, Gujarat Technological University [I am interested to attend such kind of session on this theme in future also] - Strongly Agree: 57 - Agree: 26 - Neutral: 9 - Disagree: 0 - Strongly Disagree: 1 Session feedback: Vision, Mission, Pre-Qualifiers, PO, PSO, PEO, Facilities and FY Academics by Dr. Ketan Badgujar, Professor, L. D. College of Engineering, Ahmedabad [I am interested to attend such kind of session on this theme in future also] - Strongly Agree: 56 - Agree: 29 - Neutral: 8 - Disagree: 0 - Strongly Disagree: 0 Session feedback: Student and Faculty Performance by Dr. N. M. Bhatt, Professor, L E College of Engineering, Morbi [I am interested to attend such kind of session on this theme in future also] Comments/Suggestions from the Participants - Arrange this type of workshop more in future regarding NBA - I think 75% information shared about degree courses next time try to keep specific sessions for Diploma courses also - I was great experience for me and many things I learned from this workshop definitely I’m looking for next workshop on NAAC process - Accommodation may be provided if more than a day. More time if provided, it will help the participant to arrange transport without difficulties. Good Hospitality. Glimpse of the workshop: Report on Two-Day workshop on NIRF and NBA
Research on the Importance and Strategy of Games in Pre-school Education Xueyun Yan Dongchang College of Liaocheng University, Liaocheng, Shandong, 252000, China Keywords: Pre-school education; Game teaching; Importance; The application strategy. Abstract: With the continuous development of China's social economy, preschool education has new development requirements in the new era. The application of game teaching in preschool education can not only improve teachers' understanding of children, but also better promote the cultivation of children's divergent thinking. Therefore, the teacher must combine the actual situation, prepares the sufficient game field and the related game facility; Scientific and reasonable development of the game plan, the correct and efficient organization of children to carry out the game; Innovate and reform the game to provide content and form of the game to meet children's development needs [1]. This paper proposes the significance of game teaching to preschool education, and then studies and analyzes the specific application strategies for reference of relevant personnel. 1. Introduction In the process of the continuous development of the concept and teaching model of preschool education, it is particularly important to correctly grasp the relationship between "learning" and "playing". It is important to impart knowledge to children while making them feel fun and provide them with entertainment while learning knowledge. In preschool education, due to the influence of children's age and other factors, the significance of game teaching is more obvious, so more attention should be paid to "playing" in the teaching process. Making children learn knowledge while enjoying fun can largely promote the effect of preschool education [2]. 2. The importance of games in preschool education At present, games are widely used in preschool education precisely because they conform to the development rules of children's psychology. Game is the most basic activity form of children, which is a happy and active activity in line with children's physical and mental development requirements. Through games, teachers can have a better understanding of children's personalities and hobbies. In accordance with their personalities and hobbies, teachers can formulate and implement teaching plans that are more suitable for children's development. The game teacher can also find out the deficiencies in the existing games, provide direction for the development of new games, and ensure the quality of games can better promote the development of children. Relevant research data show that games can stimulate children's curiosity and improve their learning interest. It can also mobilize children's multiple sensory participation and promote their multiple development. Compared with the imparting of knowledge in preschool education, the strengthening and training of children's thinking needs more attention from educators. The knowledge contained in games is relatively small, but games play a positive role in promoting the development of children, which can make children like the atmosphere of kindergarten more and improve their divergent thinking better. The game is extremely interesting, and children are willing to participate in it. In the process of playing the game, children can have a clear understanding of the knowledge in the game and the knowledge derived from the game, so as to exercise and improve their thinking ability. The cultivation and strengthening of divergent thinking is of great significance for the long-term development of children. The application of game teaching in preschool education can better promote the improvement of children's thinking and enhance the teaching quality of preschool education [3]. Games can promote the development of children's sports ability, but also can cultivate children's social ability. In the teaching process, if the teacher only pays attention to the imparting of knowledge, and conducts repeated preaching and contact with children, it will lead to the atmosphere that children don't like kindergarten, and if it is serious, they may be afraid. At this time, it can better reflect the importance of games. When games are introduced into teaching, children will gradually become interested in learning. In the process of playing games, it can also exercise children's ability to cooperate with each other, so as to strengthen children's overall consciousness to a certain extent. In the process of game teaching, children will feel the joy of the game and greatly improve their enthusiasm to learn better in the process of mutual cooperation. 3. Application strategies of games in preschool education While understanding the importance of games in preschool education, we must formulate scientific and reasonable application strategies. In the teaching link, the teacher teaches the game and the teaching carries on the reasonable union, thus achieves enhances the teaching quality the goal. The following are specific application strategies: 3.1 provide sufficient game materials and grasp the degree of difficulty of the game The game is interesting to some extent, but children's preference for specific game content is different. Therefore, before setting up relevant games, teachers should communicate and communicate with children, fully understand their needs and make clear their fun points [4]. In daily teaching children live, teachers and children have time for a long time to get along with and communication, in this link to seriously consider each child's own characteristic, found that children's own advantages and disadvantages, combining children characteristics and set up the game content, ensure that every child has the opportunity to participate in the game, to feel the game is fun. This can greatly stimulate the enthusiasm of children to participate in the game and play a positive role in promoting the development of the game. For example, in the actual teaching environment, some students like singing, some students like reading, and some like dancing, etc., the teacher will group each child according to their hobbies, according to the divided group to distribute the corresponding game facilities, to meet the needs of children to the greatest extent. Correct grasp of the difficulty of the game, the actual game is difficult to ensure that children's game experience, most of the attention of children will be in the rules of the game itself, which seriously reduces the fun children feel, the meaning of the game teaching itself cannot be very good implementation. Therefore, simple and interesting games should be set up so that children can clearly understand the rules and process of the game and learn relevant knowledge while experiencing happiness in the game. For example, in the actual teaching environment, teachers can set up a "love the earth game": The first step is to prepare the earth model and introduce the game. The teacher asks: the classmates, you see this is what? (Model of the earth) which student can tell the teacher and students, what is the earth and what are its characteristics? Its round and it's where we live... So we must be clear about the meaning of the earth and to protect it. The next game we're going to play is about the earth. The name of the game is "protect the earth". On our playground, the teacher drew a picture on the ground. What picture is it? Children hold each other's hands and stand in a big circle on the circle line. Step 2: the teacher tells the rules of the game to the children. The teacher could say, "I put this model of the earth in the centre of the big circle. So we asked a student to stand next to the model of the earth and hold it in his hand in case he was blown down by the wind. Standing in the periphery of the students hand in hand and said: "earth, earth, we together to protect." In this process, the students holding the model can randomly find a classmate, such as: "Xiao gang, it's up to you to protect the earth. One, Two, Three. After saying this, you can let go of your hand. The student named must run to the model quickly and hold the earth. If the student fails to help the model of the earth in time before calling his/her classmates to his/her place, he/she shall continue to help the model of the earth. The teacher will observe who is the fastest and most focused. The third step, the teacher puts forward the concrete game request. The teacher said: the students holding the model of the earth in the roll call, the voice must be loud and clear, so that everyone can hear and hear clearly; Students holding the earth must say "One, Two, Three" before they can move their hands away from the model. Students outside the circle should keep order and not be crowded. The fourth step is to play the game. Teachers and children together to participate in the game, in the process of the game if there is a violation of rules and other circumstances to timely remind and ask children to correct, let children know more about the game process and rules. Step 5: group children. The number of children is relatively large, children can be divided into groups to play, to ensure that every child can have the opportunity to participate. In the process of the game, through the teacher's observation on the quick response, active participation in the game of children to praise, through the game after the children to explain the practical significance of protecting the earth, so that children can better understand the importance of caring for the earth. 3.2 Reasonable design of game plans based on real life The rationality of the game plan is an important guarantee for the normal development of the game. Therefore, when setting up the relevant game teaching content, teachers should not only consider the degree of difficulty of the game based on children's personal characteristics and hobbies, but also design the relevant game plan in a scientific and reasonable way. In the design process, while arranging reasonable game flow, we should also focus on the occurrence of various emergencies, and make relevant plans to provide basic guarantee for the smooth development of the game. Every link in the development of the game should be strictly designed to ensure the organization and rationality of the game to the greatest extent [5]. For children, the more familiar they are with the content of the game, the better they can participate in the game and learn while playing. Therefore, the teacher should try to combine children's real life in the design scheme, such as the "post office game": the first step, the teacher takes children to visit the nearby post office, so that children have an understanding of the composition of the post office and its specific role. Step 2: teachers and children discuss the composition and functions of the post office. The teacher asked, "What did you see in the post office, class?" After several students answered, the teacher took out the logo of the post office and the small mailbox made of paper boxes. "Let's open a post office," she said. The third step, the teacher will set up the classroom into a post office, set up their email address to the classroom in a rack, assign several children as the post office staff, then the teacher envelopes and stamps for each child, and let the children write a letter into the envelope, and then the teacher to provide the address for each student, let the children write on the envelope, stamp again. Step 4, the teacher leads the children to the "post office" and puts the letter into the "mailbox". Through this game, children have a better understanding of the engineering process of the post office and the role of the post office. 3.3 Optimize game content and cultivate children's creative thinking Innovation is of great significance to social development, and it is especially important to cultivate children's innovative thinking in their early childhood. Therefore, teachers should pay attention to the cultivation of children's thinking in the process of game teaching, and optimize and innovate the game content based on children's personal characteristics and interests, so that children can enhance their innovative thinking while experiencing the fun of games. For example, in the teaching process of building blocks, the first step is to ask children to build a park with building blocks. Don't give children too many requirements, but let them give full play to their imagination and creativity. The second step is to pay attention to the construction process of each child, and praise the excellent aspects of the process after completion. The third step is to better cultivate children's creative thinking in the process of the final construction results, which may be very strange. Give full recognition to children's creative achievements. Through such teaching of building blocks, children's character characteristics and related thinking patterns can be better discovered, which can also play a positive role in promoting the cultivation of innovative thinking in the future [6]. In today's social and economic development, the significance of innovation is becoming more and more obvious, and cultivating children's creative thinking can better promote their all-round development. 4. Conclusion To sum up, it is of great significance to apply game teaching scientifically and reasonably in preschool education while quality education is developing continuously, to enhance teachers' understanding of children, stimulate their enthusiasm for learning, improve their interest in learning, and cultivate and strengthen their creative thinking. Therefore, in the teaching work of preschool education, teachers should design scientific and reasonable game content for children according to their own characteristics and interests, so as to meet their needs of "playing middle school", so as to enhance their teamwork ability, improve their comprehensive quality and form a good and sound personality [8]. It also plays a positive role in promoting the construction and development of preschool education and lays a good foundation for the development of quality education in China. References [1] Ma Yunyun. On the importance of introducing games into preschool education and the application strategy [J]. Xuezhou weekly, 2018. [2] Lv Meng. Importance and application strategy of games in preschool education [J]. Science and technology, 2017(16):49-49. [3] Liu Min. Application strategy of game teaching in preschool education of kindergarten [J]. Chizi (first and middle days), 2016(23):261. [4] Huang Biqian. Application of game teaching method in music teaching of preschool education major in secondary vocational schools [J]. Monthly journal of urban family education, 2017(10):243-243. [5] Xia Yu. Preliminary study on the application of game teaching in English teaching of pre-school education in higher vocational colleges [J]. Journal of nanchang institute of education, 2018, v.33; No. 158 (3): 53 + 51-83. [6] Ren Yan. On the application of dance creation and compilation in preschool education in secondary vocational schools in the teaching of children's games [J]. Popular literature and art, 2013(18). [7] Zhou Yinxiao. Research on the application strategy of game teaching in preschool education [J]. New curriculum research (late), 2017(6). [8] Chen Zhen. Research on difficulties and countermeasures of the application of educational games in preschool education -- from the perspective of preschool teachers [J]. New curriculum · early childhood, 2015(4).
Influence of native and exotic tree plantations on biophysical indicators in the Brazilian Savanna Bruno Vargas Adorno, Sybelle Barreira, Manuel Eduardo Ferreira, Gabriel Alves Veloso ABSTRACT The monitoring of biophysical indicators can show the conservation or recovery status of a landscape. This study aimed to analyze the influence of tree plantations on the dynamics of biophysical indicators (albedo, NDVI, surface temperature and evapotranspiration), in an experimental area of the Cerrado biome (Brazilian Savanna), by applying remote sensing techniques and the SEBAL algorithm. The indicators dynamics were given as a function of changes in the land use, while assessing the response of the environment to the planting of tree species. SEBAL data on areas that underwent changes in land use and cover during this period were analyzed. In the surroundings of the experimental area, albedo and surface temperature decreased in agricultural and exposed soil areas converted to tree plantations, while the NDVI and evapotranspiration increased. The opposite happened in the conversion of native areas destined to agriculture and livestock. In the experimental area, it was confirmed that the plantations contributed not only to the decrease in the surface and albedo temperature, but also to the increase in the NDVI and evapotranspiration. This confirms the positive influence of tree planting in rural properties of the Cerrado as a support to environmental regularization and more sustainable agricultural systems. Moreover, it highlights the potential of the technique applied to assist in monitoring Cerrado ecosystems in areas larger than those commonly monitored in the field. KEYWORDS: Remote sensing, legal reserve, land use and cover change. INTRODUCTION More and more global targets have been established every year due to the increasing loss of ecosystem services (Sarukhán & Whyte 2005, Wood et al. 2018). This is an answer to the growing pressure on natural resources, usually replaced by urban areas and commodity crops to meet the increasing demand for food (Cumming & Von Cramon-Taubadel 2018, UN 2018). Brazil is a privileged country in this regard, because it still has extensive natural areas with high biodiversity, especially in the Amazon. Notwithstanding, many of these areas are under intense conversion, with high deforestation records. This is the case of the Cerrado (Brazilian Savanna) (Brasil 2018). Although considered a biodiversity hotspot (CEPF 2018), this biome has been negatively impacted by the advancement of the agricultural frontier (Alencar et al. 2020). This advancement has initiated in the second half of the twentieth century by government programs such as the Nipo-Brazilian Cooperation Program for the Development of Cerrados (Prodecer) (Kazuhiro 2000). Additionally, water scarcity on hydrographic systems, such as the Araguaia-Tocantins and Meia Ponte, is more severe each year (Mascarenhas et al. 2009, Coe et al. 2011, Latrubesse et al. 2019). To mitigate these adversities, the union of government efforts, civil society and scientific community in decision making and territorial governance is urgent. In the political environment, the Federal Government has promoted management and supporting tools to the regularization of legal reserves and permanent preservation areas, and has encouraged more sustainable production systems, such as agroforestry systems (Brasil 2012). Recently, another widespread action (“Together for Araguaia” or, in Brazilian Portuguese, Juntos pelo Araguaia) has been dealing with forest restoration at the head of the Araguaia River to expand the water availability in areas with higher recharging potential. This action is supported by the Ministry of Regional Development, universities and research institutes (Ferreira Neto 2018). To the date, the monitoring of ecological indicators for ecosystem restoration has been usually performed with field (in loco) surveys. This process includes high logistical effort and is limited in spatial terms (i.e., coverage of small sample areas). In this context, it becomes interesting and feasible to associate environmental analyses via remote sensing, especially in more extensive areas (Kumar et al. 2015). Sensors on board satellites or aircrafts make it possible to measure biophysical indicators such as albedo, normalized difference vegetation index (NDVI), surface temperature and actual evapotranspiration, which are influenced by the types of land use and cover (Veloso et al. 2017, Veloso et al. 2020). Albedo corresponds to the solar radiation reflection of a given target. Vegetation tends to present low albedo, since it favors the absorption of radiation for photosynthesis (Bala et al. 2007), which also means lower atmospheric heating. The NDVI, corresponding to the normalized ratio between reflectances in the near infrared band and red band, indicates more photosynthetically active vegetation areas with positive values (Ponzoni et al. 2012), showing their level of degradation or conservation. These and other indicators, detailed by Veloso (2014) and Veloso et al. (2020), can measure absorbed radiation. This radiation contributes to measure both the increased surface temperature, in the form of sensible heat, and the phenomena occurring in vegetation areas (such as evapotranspiration), in the form of latent heat (Veloso 2020). That is, these indicators are greatly sensitive to the supply of ecosystem services and to changes in the land use and cover, being, therefore, important in the monitoring of recovery processes in anthropized areas. Methods that use surface meteorological data and remote sensing techniques to measure these indicators have been developed. Among them, stands out the estimation of radiation and energy balance by the Surface Energy Balance Algorithm for Land - SEBAL (Bastiaanssen 1995), using satellite images as an input parameter in the model to obtain the actual daily evapotranspiration. The SEBAL method has some advantages over others (e.g., Simple Algorithm for Evapotranspiration Retrieving - SAFER and Mapping Evapotranspiration at High Resolution with Internal Calibration - METRIC; Silva et al. 2019a). Some examples are the greater accuracy of this algorithm (Menezes et al. 2011); greater number of scientific studies using it; better adjustment to the input parameters, with lower dependence on the use of terrestrial data for model calibration; and the possibility of generating information for each image pixel (Bastiaansen 2010). In this perspective, this study monitored the dynamics of vegetation biophysical indicators (albedo, NDVI, surface temperature and evapotranspiration), in an experimental area of the Cerrado, by applying remote sensing techniques and the SEBAL algorithm. MATERIAL AND METHODS The study was conducted at the Entre Rios Farm (15°56'50.97"S and 47°28'32.25"W), located in the Federal District of Brazil (Figure 1). This is an experimental area of the Biomas project, a partnership between the Brazilian Confederation of Agriculture and Livestock (CNA), Brazilian Agricultural Research Corporation (Embrapa) and other interested parties from different Brazilian biomes. The mission of the project is to present to the society, especially to rural producers, tree plantation models for economic purposes and environmental regularization (CNA 2009). Tree species were planted in restricted production areas of permanent preservation and legal reserve, in the last quarter of 2012, in accordance with the Law 12,651 of May 25, 2012 (Brasil 2012) and Law 12,805 of 2013 (Brasil 2013). The aim of this planting was to regularize the rural property and promote the recovery of degraded pastures. According to the Köppen classification, the climate in the region is Savanna tropical (Aw), with concentrated rainfall from October to April (approximately 1,400 mm, 80% of the annual total). The relative humidity may range from 20 to 70%, and the average annual temperature is 22 °C (Silva et al. 2008). In August 2015, 12 areas where tree species were planted for various purposes were identified and mapped (Table 1). A Garmin satellite-navigation device (model Etrex) was used to collect control points, which supported the subsequent classification of satellite images. In the absence of a local meteorological station for the two analyzed periods, information from the Brazilian National Institute of Meteorology was used (Brasil 2020), referring to the available point closest to the study area, located at the Águas Emendadas Ecological Station, rural area of the Brazilian Federal District (Table 2). The Surface Energy Balance Algorithm for Land (SEBAL), described in Bastiaanssen (1995), was chosen to generate biophysical indicators for each target, allowing a quantitative comparison between them. The methods for its use in Landsat 5 and Landsat 8 images were detailed by Veloso (2014) and Veloso et al. (2020). The algorithm stands out for its greater accuracy in estimating energy balance and evapotranspiration (Menezes et al. 2011). Still on the data used in SEBAL, Landsat 5 TM and Landsat 8 OLI/TIRS satellite images were obtained from the United States Geological Service. Table 1. Identification of 12 areas where tree species were planted for various purposes in the Entre Rios Farm, in the Brazilian Federal District. \| Latitude (S) \| Longitude (W) \| Planting description \| Planting objective \| \|--------------\|---------------\|-------------------------------------------------------------------------------------\|-------------------------------------\| \| -15.936651 \| -47.504668 \| Cerrado native species - seedlings \| Environmental regularization \| \| -15.935771 \| -47.505690 \| Dipteryx alata Vogel plantation \| Environmental regularization \| \| -15.936924 \| -47.505967 \| Eucalyptus sp. and Cerrado native species \| Environmental regularization \| \| -15.936542 \| -47.506959 \| Tectona grandis L. f. and Acacia mangium Willd. with Cerrado native species \| Environmental regularization \| \| -15.936484 \| -47.507467 \| Acacia mangium Willd and Hevea brasiliensis (Willd. ex A. Juss.) Müll. Arg. with Cerrado native species \| Environmental regularization \| \| -15.936187 \| -47.504431 \| Cerrado fruit species \| Environmental regularization \| \| -15.944022 \| -47.504578 \| Cerrado native species - direct seeding \| Environmental regularization \| \| -15.936863 \| -47.503774 \| Agroforestry with Khaya sp. \| Sustainable production/pasture recovery \| \| -15.936493 \| -47.503018 \| Cerrado native species - direct seeding \| Environmental regularization \| \| -15.944553 \| -47.467334 \| Eucalyptus sp. and Cerrado native species - direct seeding \| Environmental regularization \| \| -15.947581 \| -47.470175 \| Integrated crop-livestock-forestry systems \| Sustainable production/pasture recovery \| \| -15.958294 \| -47.459053 \| Restoration with native and exotic trees \| Environmental regularization \| Table 2. Meteorological data from the Águas Emendadas Ecological Station for the dates evaluated in the study, similar to the satellite images (Landsat). \| Image acquisition dates \| Temperature (°C) \| Relative humidity (%) \| Atmospheric pressure (Kpa) \| Wind speed (m s⁻¹) \| Global radiation (W m⁻²) \| \|-------------------------\|------------------\|-----------------------\|-----------------------------\|--------------------\|--------------------------\| \| November 4, 2008 \| 31.00 \| 33.00 \| 90.04 \| 3.00 \| 237.90 \| \| September 21, 2015 \| 28.90 \| 21.00 \| 90.22 \| 3.40 \| 295.30 \| Source: Brasil (2020). Data were required for the same image acquisition dates. (USGS 2020) website, corresponding to path 221, row 71, for November 4, 2008 and September 21, 2015, respectively. The choice of these images is due to the proximity of the date of data collection in the field. Those with cloud cover of up to 10% were considered. Another criterion was the dry period, with extremes values of biophysical indicators. Additionally, to increase the chance of observing significant changes in the land use, the analysis considered the oldest image with meteorological data available at the Brazilian National Institute of Meteorology (October 02, 2008) (Brasil 2020). The data processing was divided into two steps: 1) mapping of land use in the farm and its immediate surroundings (limited by the coordinates 15°50'2.11"S and 47°36'13.84"W in the upper left quadrant and 16°03'30.71"S and 47°20'50.22"W in the lower right quadrant) for the two images (2008 and 2015), using the study by Sano et al. (2009) as a reference for the interpretation of Cerrado classes; 2) analysis of the images processed by the SEBAL (limited by the coordinates 15°29'20.45"S and 47°43'49.75"W in the upper left quadrant and 16°09'41.94"S and 47°13'46.33"W in the lower right quadrant). For mapping, the image pixels were segmented using the feature extraction tool (scale = 90; merge level = 10) of the ENVI software. Polygons were classified by visual interpretation for both periods. Figure 2 shows the aspect of land use and native vegetation observed for visual interpretation within the study site, taking the image of September 2015 as an example. For comparison purposes, areas outside the experiment (Entre Rios Farm) that underwent changes in the land use and native vegetation were selected and analyzed for the response of biophysical indicators. For that, the average of the indicators values, represented in the pixels delimited by the classes of land use and native vegetation, was compared using the Tukey test ($\alpha = 0.05$). The same procedures were applied to the changes observed within the farm, with careful sample selection, observing the control points collected in the field. It is important to note that, in this area, the agriculture and livestock classes were grouped as “agro-livestock”. This is because the crop-livestock integration started to be practiced as a productive activity in the farm between the analyzed periods. RESULTS AND DISCUSSION Based on the mapping of the study area carried out for the two dates (November 2008 and September 2015), the agriculture and livestock classes already predominated in the region for the first date, while the remaining native vegetation was present in only 22% of the area. The changes that stood out the most in the landscape were selected for further statistical analysis of biophysical indicators by the SEBAL. Figure 3 shows the results of this mapping for the immediate surroundings of the farm, with delimitation of the landscapes that stood out the most, in terms of changes in land use and native vegetation, in the analyzed period. Sano et al. (2009) evaluated the mapping accuracy for different land covers in the Cerrado and achieved a 71% accuracy, with confusion in the classification of native woody classes (forest and even shrub physiognomies) and classes of anthropic use, such as pasture and agriculture. However, native areas were well differentiated from anthropized areas with 90% of accuracy. Knowing the possibility of error to which the classification is subjected, and with few changes observed in the mapping of this study, the comparison of the mappings for the surroundings of the farm between the two satellite images (from 2008 and 2015) does not assure significant changes in the land use and native vegetation, as there was no in loco validation. On the other hand, possible changes on the farm (Figure 4) were confirmed from the control points. There was a reduction of 2.3% for the exposed soil class, and 2.4% for agriculture and livestock, together. On the contrary, there was an increase of 1.5% for pre-existing forest and savanna on the farm. Native and exotic tree planting areas totaled about 40 hectares (3%) of the farm, where various planting arrangements are being experimented for economic and environmental purposes. These areas replaced those previously classified as agriculture, as noted in the Entre Rios Farm comparison map (Figure 4). Noteworthy, the reduction of exposed soil areas, observed between 2008 and 2015, occurred in Figure 3. Mapping of land use and native vegetation in the Entre Rios Farm and its surroundings, in 2008 and 2015. A: agriculture; ES: exposed soil; Ce: Cerrado typologies (savannas and grasslands); F: native forests (evergreen or semideciduous); B: burning areas; P: pastures; TP: tree planting. recovered pastures. From the knowledge of the best management practices carried out in the farm (as a result of the Biomas Project), one can associate this reduction in recent years either to the search for soil conservation actions (e.g., by covering the soil with small foraging plants) or to the abandonment of the area, reoccupied either by native vegetation, pasture or by both management systems. Table 3 presents the average of the results observed in this study for albedo, NDVI, surface temperature and evapotranspiration in the different fragments of land use and cover in the Entre Rios Farm and its surroundings, in the analyzed periods (2008 and 2015). The results of this study showed a reduction in albedo values for burning areas (10.2 %), followed Table 3. Average values of albedo, surface temperature, NDVI and evapotranspiration for the selected areas surrounding the Entre Rios Farm, which showed changes in the land use and cover between the images analyzed for 2008 and 2015. \| Areas \| Albedo (%) \| Surface temperature (°C) \| NDVI \| Evapotranspiration (mm m⁻² day⁻¹) \| \|-----------\|------------\|--------------------------\|------------\|----------------------------------\| \| \| 2008 \| 2015 \| 2008 \| 2015 \| \| A → TP \| 17.1 Ca* \| 14.2 Cb \| 37.4 Aa \| 31.8 Eb \| \| Ce → P \| 15.3 Da \| 17.8 Bb \| 31.3 Ea \| 38.1 Bb \| \| Ce → B \| 14.3 Ea \| 10.2 Eb \| 34.1 Ca \| 39.6 Ab \| \| F → P \| 14.5 DEa \| 20.4 Ab \| 32.0 Ea \| 36.1 Cb \| \| ES → TP \| 19.4 Aa \| 13.7 Db \| 33.6 Da \| 30.6 Fb \| \| ES → Ce \| 17.4 Ba \| 14.3 Cb \| 36.2 Ba \| 34.4 Db \| * Average values followed by different upper-case letters indicate a significant difference ($\alpha = 0.05$) in the biophysical indicators between the rows (i.e., between land uses for each year), while average values followed by different lower-case letters indicate a significant difference ($\alpha = 0.05$) in the biophysical indicators between columns (i.e., for land use and cover in 2008 and 2015). A: agriculture; P: pastures; Ce: Cerrado typologies (savannas and grasslands); F: native forests (evergreen or semideciduous); TP: tree planting; B: burning areas; ES: exposed soil. by forest areas (planted or native) and savanna areas (13.7 to 15.3 %), and, finally, exposed soil areas, agricultural areas and pastures (17.1 to 20.4 %), respectively. Other authors also found similar rates: 8 to 13 % in burning areas (Lyons et al. 2008), these values being generally observed immediately after a more severe fire (Quintano et al. 2019); 11 to 15 % in forest areas; and 13 to 20 % in pastures (Querino et al. 2006, Giongo et al. 2009, Silva et al. 2015, Veloso et al. 2017); 13 to 26 % in agricultural areas; around 13 % in typical Cerrado vegetation (Giongo et al. 2009, Veloso et al. 2017); and 18 to 45 % in exposed soil areas (Oliveira et al. 2013, Veloso et al. 2017). As for NDVI, which can range from -1 (water) to 1 (maximum photosynthetic activity of vegetation), results are generally greater than 0.600 in dense forests (Bayma & Sano 2015, Martins et al. 2015); between 0.260 and 0.460 in grassland and savanna regions of Cerrado (Trentin et al. 2013, Bayma & Sano 2015); between 0.170 and 0.200 in pastures (Veloso et al. 2017); and between 0.250 and almost 0.800 in agricultural areas during the dry season, but greater than 0.550 when using irrigation (Trentin et al. 2013, Veloso et al. 2017). In this study, the highest NDVI values occurred for tree plantations (average of 0.629). It is noteworthy that, depending on the vegetation density, NDVI may either saturate or have its value decreased in shaded areas such as primary forests (Ponzoni et al. 2012). However, the results were satisfactory for the purpose of characterizing such different land uses and covers. Even so, other vegetation indicators also generated by SEBAL, such as the Soil-Adjusted Vegetation Index (SAVI), can be analyzed in future studies due to their good adjustment for different thematic classes (Silva et al. 2019b). When studying eucalyptus plantations, Almeida et al. (2015) found NDVI values greater than 0.500 for crops older than one year. Agricultural, exposed soil and livestock areas showed NDVI between 0.220 and 0.266, while Cerrado areas showed average NDVI between 0.266 and 0.353. Evergreen or semideciduous forests, on the other hand, had an average NDVI of 0.413. Burning areas had the lowest NDVI values, what was already expected due to the direct impact on their loss of photosynthetic activity. Souza et al. (2015) calculated NDVI values and showed that the Cerrado typologies may take from 94 to 100 days (with standard deviations of 46 to 50 days, respectively) to recover its vigor after burning. The highest surface temperature occurred in burning areas (39.6 °C). Livestock and agricultural areas showed average values between 36.1 and 38.1 °C, while exposed soil and some Cerrado typologies showed values between 33.6 and 36.2 °C. In turn, native areas, including some of the denser Cerrado areas, had the lowest values (30.6 to 32 °C). Corroborating these values, studies such as that by Eltz & Rovedeck (2005) also demonstrated that, between different soil covers, the more forested an area, the lower is the temperature close to the ground in that region. Cerrado typologies, and land uses such as agriculture and livestock, generally have higher values of surface temperature (Gusmão et al. 2013, Martins et al. 2015, Silva et al. 2015, Veloso et al. 2017). Santos et al. (2017) analyzed the Caatinga biome using the SEBAL and showed that the daily evapotranspiration is similar for agricultural areas, grasslands and the characteristic vegetation of that biome, but higher for exposed soil areas and lower for areas with more dense canopies. This pattern tends to be the opposite of that observed for surface temperature. For example, Ning et al. (2017) also adopted the SEBAL in their methodology and showed how vegetation can influence measures of surface temperature and daily evapotranspiration, which are highly correlated ($R^2 > 0.95$) and inversely proportional. Evapotranspiration was higher in planted forest (> 4.29 mm day$^{-1}$) and lower in agricultural and exposed soil areas (1.58 to 2.45 mm day$^{-1}$). The other classes showed intermediate values. The results were consistent with the literature values for forest areas, which show evapotranspiration greater than 4 mm day$^{-1}$ or less than 3 mm day$^{-1}$ in certain more extreme periods, in semideciduous or deciduous forests (Veloso 2014). However, areas with more sparse native vegetation, pastures or non-irrigated agricultural areas hardly present values greater than 2.5 mm day$^{-1}$ in the dry period (Veloso et al. 2017). Finally, the same analysis was performed for the classes of land use and native vegetation mapped on the farm. Table 4 shows the results of this analysis. Native vegetation areas [native forests (evergreen or semideciduous) and Cerrado typologies (savannas and grasslands)] showed lower albedo and surface temperature and higher NDVI and evapotranspiration Table 4. Average values of albedo, surface temperature, NDVI and evapotranspiration for the land cover and use in the Entre Rios Farm, between the analyzed images for 2008 and 2015. \| Areas \| Albedo (%) \| Surface temperature (°C) \| NDVI \| Evapotranspiration (mm m$^{-2}$ day$^{-1}$) \| \|-----------\|------------\|--------------------------\|---------------\|-----------------------------------------------\| \| \| 2008 \| 2015 \| 2008 \| 2015 \| 2008 \| 2015 \| 2008 \| 2015 \| \| AP → TP \| 20.5 Aa* \| 16.8 Bb \| 35.9 ABa \| 35.7 Ba \| 0.236 Da \| 0.360 Bb \| 1.72 Ca \| 3.37 Cb \| \| AP → AP \| 20.4 Aa \| 21.0 Ab \| 35.8 Ba \| 37.3 Ab \| 0.256 CDa \| 0.316 Cb \| 1.76 Ca \| 2.58 Db \| \| Ce → Ce \| 17.8 Ba \| 15.1 Cb \| 34.0 Ca \| 33.2 Ca \| 0.286 BCa \| 0.387 Bb \| 2.45 Ba \| 4.11 Bb \| \| F → F \| 14.4 Ca \| 13.7 Db \| 30.4 Da \| 31.0 Db \| 0.518 Aa \| 0.612 Ab \| 3.52 Aa \| 4.58 Ab \| * Average values followed by different upper-case letters indicate a significant difference ($ \alpha = 0.05 $) in the biophysical indicators between the rows (i.e., between land uses for each year), while average values followed by different lower-case letters indicate a significant difference ($ \alpha = 0.05 $) in the biophysical indicators between the columns (i.e., for land use and cover in 2008 and 2015). AP: agriculture or pasture; Ce: Cerrado typologies (savannas and grasslands); F: native forests (evergreen or semideciduous); TP: tree planting. values. The opposite occurred in agro-livestock areas. In other words, planted forest areas have lower albedo and surface temperatures and higher NDVI and evapotranspiration values than agro-livestock areas. Noteworthy, the indicators were statistically equal across all areas in the image analyzed for 2008. Therefore, it is important to highlight that planted areas came out of a closer relationship of biophysical indicators with agriculture in 2008, assuming values closer to those of the Cerrado typologies, as observed in 2015, for all indicators. This demonstrates the environmental role of planting trees. Notwithstanding, future analyses for native and exotic trees need to be conducted to understand the behavior of indicators in each case, as they may present different growth rates and interaction with the biophysical environment. CONCLUSIONS 1. Remote sensing, in particular with the use of free satellite images and SEBAL modeling, enables the analysis of biophysical indicators characteristic of different types of land use and cover, and may be an auxiliary tool to monitor the conservation status of Cerrado ecosystems; 2. Planting tree species for the purpose of environmental regularization or sustainable production (with a focus on pasture recovery) increases the NDVI and evapotranspiration, while reducing the albedo and surface temperatures; 3. The analysis method that used SEBAL together with the processing and thematic classification of satellite images proved to be quite efficient, representing a more extensive area than it is normally evaluated in the field. ACKNOWLEDGMENTS The authors are grateful to the Biomas Project, for supporting the ground control point surveying and the management of the Entre Rios Farm; the assistance provided by the Image Processing and Geoprocessing Lab (LAPIG) of the Universidade Federal de Goiás (UFG); the Cerrado Research Group (GPC), for the processing and analysis of results; and the Critical Ecosystem Partnership Fund (CEPF - Cerrado), for supporting the development of the Cerrado Knowledge Platform (#CEPF-103768). M.E.F. is a CNPq research productivity fellow (#315699/2020-5). REFERENCES ALENCAR, A.; SHIMBO, J. Z.; LENTI, F.; MARQUES, C. B.; ZIMBRES, B.; ROSA, M.; ARRUDA, V.; CASTRO, I.; FERNANDES, M.; ALENCAR, I.; PIONTEKOWSKI, V.; RIBEIRO, V. Mapping three decades of changes in the Brazilian Savanna native vegetation using landsat data processed in the Google Earth engine platform. Remote Sensing, v. 12, e924, 2020. ALMEIDA, A. Q.; RIBEIRO, A.; DELGADO, R. C.; RODY, Y. P.; OLIVEIRA, A. S.; LEITE, F. P. 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2019 TD Ready Commitment Report # Table of Contents 1. Introduction - Message From the Group President and CEO 1 2. Our Global Corporate Citizenship Strategy - Message From the Global Head of Sustainability and Corporate Citizenship 2 - The TD Ready Commitment 3 - Our Milestones in 2019 4 3. The Four Interconnected Drivers of Change - Financial Security 6 - Vibrant Planet 16 - Connected Communities 22 - Better Health 30 4. The TD Ready Challenge - 2018 Recipients 35 - 2019 Challenge 36 - Theresa McLaughlin: Our Purpose in Action 38 5. Our Colleagues - Message From the Group Head, Canadian Customer and Colleague Experience 39 - The TD Ready Commitment Ambassadors 41 Message From Bharat Masrani Group President and Chief Executive Officer The pace of change is accelerating and as technological innovation impacts how we live, work and engage with others, businesses of all sizes are transforming to meet the needs of this new digital economy. While the opportunities new innovations help to create are significant, it’s important that we adopt them in ways that don’t leave others behind. We launched the TD Ready Commitment to help open doors to a more inclusive and sustainable tomorrow and, in so doing, act as a positive change agent across our footprint by connecting, enriching and supporting the communities in which we live and work. It’s central to our vision to Be the Better Bank. Our Global Corporate Citizenship Strategy Message From Andrea Barrack Global Head of Sustainability and Corporate Citizenship Two years ago we launched the TD Ready Commitment. It was an evolution of a long history of social and environmental commitments – a more focused vision of what we believe in: an inclusive and sustainable tomorrow. But the complexities and challenges that society, governments and industries face make predicting the future, and how we will get there, no easy feat. What we do know is that as a financial institution we believe we have a role to play. We believe that we are part of something larger than ourselves. We want to help enrich the lives of our customers, colleagues and communities so that they feel more confident about what tomorrow brings. The TD Ready Commitment is one of the ways we hope to do that. By linking our business, philanthropy and people, we want to help drive positive, tangible change so that more people feel as if they can achieve their goals in a changing world. This past year, we worked to enhance how we support communities through our philanthropy and continued to track our progress toward the UN Sustainable Development Goals (SDGs). We grew our financial support for low-carbon initiatives toward our target of $100 billion, in total, in low-carbon lending, financing, asset management and internal corporate programs by 2030 and developed a deeper understanding of how climate change can impact our business and all of our stakeholders. And our people, at more than 85,000 strong – we value their passion, expertise and opinions. We launched a new colleague engagement strategy and new online system called the TD Ready Commitment Network to provide opportunities for TD employees to develop professionally and personally, while helping contribute to positive change in their communities. You’ll learn about those highlights and more in the following pages of this report. Looking back over the last year – and the two since we launched the TD Ready Commitment – I’m proud of what we’ve accomplished so far. I want to thank my colleagues and our customers and community partners who have supported and inspired us along the way. The TD Ready Commitment The TD Ready Commitment is our corporate citizenship platform designed to help open doors for a more inclusive and sustainable tomorrow. Based on internal and external research, we identified four areas that we call the Four Interconnected Drivers of Change because when they are addressed together, they can help people feel more confident about the future. While in some way our efforts touch on all 17 of the United Nations Sustainable Development Goals (SDGs), we have identified the nine that we think we can make the greatest contribution to. We will track our contributions to those goals over time. Financial Security Improve access to tools and programs to help people live their lives with greater financial confidence - 8 Decent Work and Economic Growth - 4 Quality Education - 1 No Poverty Vibrant Planet Elevate the quality of the environment so that people and economies can thrive - 13 Climate Action - 7 Affordable and Clean Energy - 11 Sustainable Cities and Communities Connected Communities Create the opportunities people need to connect with their community and have a sense of belonging - 10 Reduced Inequalities - 5 Gender Equality Better Health Support more equitable health outcomes for all - 3 Good Health and Well-being Our Milestones in 2019 Business $43 billion Since 2017, over $43 billion contributed to low-carbon initiatives in Canada and the U.S. as part of our $100 billion low-carbon target. 6 years running Listed on the Dow Jones Sustainability World Index for the sixth year in a row; only Canadian bank since 2014 Inclusive, sustainable event guide Developed an Inclusive and Sustainable Event Guide to help ensure TD events have minimal environmental and social impact, including a questionnaire for vendors about human trafficking and a guide for carbon-neutral events Major investor Acted as a major investor in the second closing of ArcTern Ventures’ Fund II – the largest cleantech venture fund in Canada. --- 1 Unless otherwise indicated, all amounts stated throughout the report are expressed in Canadian dollars. 2 TD is targeting $100 billion in total by 2030 to support a transition to a low-carbon economy through its lending, financing, asset management and internal corporate programs. 3 ArcTern Ventures’ Fund II met its $200 million target fund size, positioning it as the largest cleantech venture fund in Canada and among the leading cleantech venture funds in the world. Philanthropy $1 billion $126 million in funding toward community giving in Canada, the U.S. and the U.K., contributing to our target of $1 billion in philanthropy by 2030 as part of the TD Ready Commitment 1st Canadian bank to publish UN SDGs First Canadian bank to issue a report on our contributions to the UN SDGs 10 $1 million grants Launched the second annual TD Ready Challenge, which provided 10 $1 million grants to organizations in North America working to help improve health outcomes for all TD for gender equality Supported the first ever Youth-Led Roadmap for Gender Equality in Canada, convened by Plan International Canada and the Canadian Teachers’ Federation Invested US$1.5 million in new arts centre Provided a US$1.5 million investment in a new arts centre in New York City called The Shed People Positive world impact Chairing of the Toronto Impact Council for IMPACT2030, looking at how volunteering can help employees and companies have a positive impact in the world Employee growth Launched a new Corporate Citizenship Colleague Engagement Strategy to provide opportunities for employees that can help them grow personally and contribute to their communities $17.5 million for United Way TD employees across Canada and the U.S. raised over $17.5 million for United Way in Canada and the U.S. TD supports non-profit organizations Used our in-house expertise, with TD employees volunteering over 1,500 hours, to support 12 non-profit organizations with data analysis and problem-solving through the TD Mindpower-Analytics for Social Good Initiative 166,854 volunteer hours TD employees logged 166,854 volunteer hours in communities across Canada and the U.S. Financial Security We have found that only one in three people in Canada and the U.S. feel confident about their future and are ready to embrace change.$^1$ As the world around us continues to change rapidly, the financial choices and plans we all have to make are becoming more dynamic. That’s why we want to help improve access to tools and programs that can help empower individuals to live their lives with greater financial confidence. $^1$ A TD-commissioned survey led by Proof in 2018. Focus Areas & Goals Early Learning Support initiatives that improve reading and math abilities in children Grades K–6 Income Stability Invest in initiatives that will help build employable skills to prepare people for the jobs of tomorrow and support entrepreneurs Financial Literacy Improve financial knowledge and skills so that people can feel confident about their financial choices throughout the stages of their lives Affordable Housing Support programs and services that will help increase access to affordable, stable housing situations 2019 at a Glance 542 initiatives were supported that are helping to improve financial security in Canada and the U.S. 633,500 people participated in TD-supported financial literacy initiatives in Canada and the U.S. 775,739 children improved their reading and math abilities through TD-supported initiatives in Canada In the U.S., 6,818 units of affordable housing were built or refurbished through TD community development loans and donations With support from the TD Charitable Foundation, since 2017 the non-profit organization Grameen America has provided over US$860 million in microloans to over 74,450 women entrepreneurs in Boston, New York City, Newark, Charlotte and Miami; Grameen America clients saw their annual incomes increase by more than US$1,790 Through the TD Summer Reading Club, Canada’s largest bilingual summer reading program for kids of all ages and abilities, we continued to help around 2,000 libraries open their doors to more than 600,000 kids “When a child is given a book through the TD Grade One Book Giveaway, they are also given a path toward future academic success that helps them build vocabulary, empathy, knowledge, focus and memory. Early reading helps broaden the minds of children and can build a joy of reading that will carry them into adulthood and set them up for future success.” – Rose Vespa, Executive Director, Canadian Children’s Book Centre TD Grade One Book Giveaway Since 2000, we’ve helped the Canadian Children’s Book Centre, in cooperation with ministries of education, school boards and libraries across Canada, to give every Grade 1 child a free Canadian children’s book. So far, we’ve given over 10 million books – and counting. In honour of 2019 being the International Year of Indigenous Languages, My Heart Fills With Happiness by Monique Gray Smith and illustrated by Julie Flett was selected. For the first time both the English and French versions included Plains Cree text and, working with the CNIB Foundation, print/braille editions were made available to braille readers across Canada. Learn more. Digital Literacy Day With only one female engineering graduate for every four males in Canada,¹ the non-profit organization Actua is helping to empower young girls to gain STEM skills. Through their National Girls Program, they reach approximately 10,000 girls across Canada each year, with a focus on those who face socio-economic barriers. On May 27, during Digital Literacy Week 2019 in Toronto, we also worked with Actua to host a fun, hands-on workshop with women from TD’s technology team to encourage more than 100 girls to explore how technology can be used for social good. Kids Reading Across Rhode Island On average, students lose two months of reading skills over the summer and spend six weeks of the school year catching up.² To help tackle the effects of summer reading loss, the TD Charitable Foundation provided a grant to the non-profit organization Rhode Island Center for the Book to help kids in Grades 3–6 maintain their readings skills during the summer. Through their reading program, over 1,600 kids sharpened their reading skills and imaginations by accessing quality books and programming in 2019. --- 1 https://www.ic.gc.ca/eng/lite/013/nsf/eng/00014.html 2 https://newroom.td.com/insights/moving-the-dial-on-women-in-stem-a-td-economics-report 3 https://www.td.com/corporate-responsibility/video/index.jsp#27 “Knowing how to manage your finances is essential to navigate an increasingly complex world. Programs like Money Matters empower Canadians by increasing their skills and confidence when dealing with money so they can attain their financial goals and look forward to a brighter future.” – Mack Rogers, Executive Director, ABC Life Literacy Canada Money Matters Since 2011, we’ve supported the non-profit organization ABC Life Literacy Canada in offering a variety of workshops to help Canadians take control of their finances. Today, 13 workshops across four streams are offered as part of Money Matters, a free financial literacy program for adult learners, which are tailored to the specific needs of different communities, including newcomers, Indigenous Peoples and people with diverse abilities. In 2019, supplementary resources were created to help more people feel confident about managing their money in a digital world. Over the year, almost 15,000 learners participated in Money Matters, and over 350 TD employees helped facilitate workshops. Building a Better Financial Future for Students According to the digital education company EVERFI, approximately one in six students in the United States don’t reach the baseline level of proficiency in financial literacy. The company believes that it is important to teach kids how to handle their finances, so it is working to help individuals build stronger financial habits earlier on in life. In 2019, through a TD Charitable Foundation grant, we supported EVERFI in reaching over 3,000 students in 62 elementary schools across New Jersey by sponsoring the TD Financial Scholars Program. Through free interactive, online courses, students covered topics such as needs versus wants, borrowing money, saving and investing. The financial education course uses assessments to measure how much the students learned. Those who participated in the TD Financial Scholars Program increased their assessment scores by an average of 48%. In 2019–20, the program will expand to schools in low-to-moderate-income communities in Massachusetts and Florida. Centre for Financial Literacy Based on the 2019 TD Financial Health Index, four in 10 Canadians surveyed are struggling with some or all aspects of their finances.$^1$ In supporting the national charity Prosper Canada, we hope to help financially vulnerable Canadians gain access to the tools and know-how they need to overcome their current challenges and feel ready for the future. Through the TD-sponsored Centre for Financial Literacy, Prosper Canada is developing digital tools for community-based organizations to help low-income Canadians improve their financial knowledge and is supporting the development of in-person financial education and counselling programs. In 2019, 126,846 people with low incomes were helped to improve their financial health. CommunityBOOST It is estimated that nearly one-third of wealth inequality in the U.S. can be explained by the financial-knowledge gap – the distance between one’s financial goals, such as buying a home or planning for retirement, and knowing which choices to make to get there. That’s why in 2018 the TD Charitable Foundation supported The Financial Clinic (The Clinic), a non-profit organization headquartered in New York City, to help launch their program, CommunityBOOST. This initiative is helping various social service organizations incorporate strategies into their programs that can help improve the financial security of their clients. Across three states,$^2$ we helped The Clinic reach over 900 low-to-moderate-income customers improve their financial security. --- $^1$ [http://td.mediaroom.com/2019-10-29-TD-Financial-Health-Index-Finds-4-in-10-Canadians-are-Financially-Struggling-New-Report-Features-Insights-from-Over-10-000-Canadians-Across-Demographics-and-Regions](http://td.mediaroom.com/2019-10-29-TD-Financial-Health-Index-Finds-4-in-10-Canadians-are-Financially-Struggling-New-Report-Features-Insights-from-Over-10-000-Canadians-Across-Demographics-and-Regions) $^2$ [https://newswire.td.com/u/en/news/2019/td-bank-partnership-elevates-adaptive-financial-education-program](https://newswire.td.com/u/en/news/2019/td-bank-partnership-elevates-adaptive-financial-education-program) $^3$ In 2019, a grant from the TD Charitable Foundation helped The Clinic expand its work to Newark and Camden, New Jersey; Miami, Florida; and Boston, Massachusetts. Income Stability “The issue used to be only whether a person had or did not have a job. With today’s technologies, work isn’t necessarily an on or off switch, but can be dimmer or brighter in a given month. The changing nature of our jobs and workplaces as a result of automation and artificial intelligence means that we need to find new ways to stabilize incomes through job transitions and learn new skills for jobs that don’t exist yet. The Public Policy Forum’s Brave New Work initiative brings thinkers, doers and deciders together to design pathways to a better future.” – Ed Greenspon, President and CEO, Public Policy Forum Career Relaunch There are many reasons why individuals may choose to take a break from their career as life happens – but what happens when they’re ready to return to work? To help get back into the groove, TD Commercial Bank in the U.S. launched a career relaunch program in September 2019 – a first for TD Bank, America’s Most Convenient Bank™. Working with iRelaunch – a leader in creating successful career relaunch programs – TD Bank will offer a 16-week program to professionals, with a focus on women, in the metro New York City area who are returning to work in the financial sector and have been out of the traditional workforce for two or more years. The program offers skill refreshers, mentoring and coaching, networking opportunities and support in creating a personalized development plan. Learn more about the program. The Power of Women Entrepreneurship In 2008, the non-profit organization Grameen America grew from the idea of Nobel Peace Prize Laureate Muhammad Yunus: “All people can lift themselves out of poverty through their own entrepreneurial spirit.” Since its inception, Grameen has provided microloans, financial training and support to women who live below the U.S. federal poverty line. Since 2017, through the TD Charitable Foundation, we’ve provided Grameen with an annual US$100,000 grant to help it support women in building businesses, developing financial identities and achieving higher family incomes. With our support, Grameen has provided more than US$860 million in microloans to over 74,450 members in Boston, New York City, Newark, Charlotte and Miami. Grameen America’s clients saw their annual incomes increase by more than US$1,790. Tackling the Mid-Career Job Switch Tackling that mid-career job switch can feel overwhelming, but Ryerson University’s Spanning the Gaps program is hoping to make it less daunting. In 2019, we continued to support the program with a $1 million donation, which will fund the TD Road to Success Awards. The donation is directed to entrance awards, program support and undergraduate bursaries to help students from underserved communities grow and develop the skills they need for the jobs of tomorrow. In 2019, 20 students were reached through the awards program. Read how this program helped one TD employee make the switch. Brave New Work Today and in the years to come, Canadians are being presented with career paths that were unpredictable just a few years ago. While this will create opportunities for many, the full effect and significance of these changes are far from understood. That’s why we’re supporting the Brave New Work project by the Public Policy Forum, a non-partisan non-profit organization. The project is a three-year initiative to conduct research and engage policymakers, academics and Canadians on how to help everyone adapt and thrive in a changing workforce. In 2019, the first report of five was released, Automation, AI and Anxiety: Policy Preferred, Populism Possible. --- 1 https://www.grameenamerica.org/program Affordable Housing “Housing is the foundation for opportunity. Without a stable foundation, it’s almost impossible to reach greater heights. At CPDC, we believe that a well-designed affordable home helps provide the stability to grow into a brighter future.” – Brian McLaughlin, President and CEO of Community Preservation and Development Corporation (CPDC) In 2019, TD provided 30 grants totalling US$3.75 million to organizations refurbishing units to increase affordable rental housing. Affordable Housing for Everyone For 14 years, the TD Charitable Foundation has run the Housing for Everyone program, a grant competition that supports local non-profit organizations in providing affordable housing to the most vulnerable, such as the homeless, newcomers, the elderly, veterans, women and youth. In 2019, TD provided 30 grants totalling US$3.75 million to organizations refurbishing units to increase affordable rental housing. This year’s focus responded to a study by Harvard University that showed that renters are more burdened by housing costs than homeowners. On average, renters in America are 25–45% more burdened by housing than their home-owning counterparts.$^1$ 11th Street Bridge Project On either side of the Anacostia River in Washington, D.C., are the Capitol Hill and Anacostia neighbourhoods – two geographically close areas that at times can seem worlds apart. The river is both a literal and figurative barrier between socio-economic classes – one that the 11th Street Bridge Project seeks to overcome. In addition to the park and bridge that they are building, the non-profit organization Building Bridges Across the River will also provide programming to help increase affordable housing and home ownership for Anacostia residents. In 2019, with help from a TD Charitable Foundation grant, 124 Anacostia residents participated in a series of homebuyer workshops, which resulted in 16 members purchasing homes. Habitat for Humanity For 20 years, we have proudly supported the non-profit organization Habitat for Humanity to help lower-income families build strength, stability and self-reliance through affordable home ownership. In 2019, we expanded our support to help the Greater Toronto Area chapter support 30 families in owning their own homes. This included the construction of 33 homes, which 155 TD employees helped build over the year. The Huntley Street Project We believe that when people have peace of mind about where they live day to day, they can more fully access the community services and economic opportunities they need to achieve their goals. In August 2019, the non-profit organization Fife House launched the Huntley Street Project, which is an 18-month transitional housing program for individuals living with HIV/AIDS who are in or entering the shelter system in Toronto. In addition to having a place to stay, residents will have access to clinical services including psychiatry, nursing and occupational therapy, as well as individualized support plans to help transition to longer-term or independent housing. --- $^1$ State of the Nation’s Housing 2019 study by Harvard’s Joint Center for Housing Studies. Vibrant Planet Many of us are concerned about the kind of world the next generation will inherit. Climate change is a complex, global issue that will continue to have a growing impact on communities, business and the economy.$^1$ We believe that as a financial institution we have a role to play and want to be part of the solution. That’s why we are committed to helping create a more sustainable future to help people and economies thrive. $^1$ https://economics.td.com/domains/economics.td.com/documents/reports/ms/ClimateFriendlyFinancialSystems.pdf Focus Areas & Goals Low-Carbon Economy Support a transition to a low-carbon economy by targeting a total of $100 billion by 2030 through our lending, financing, asset management and internal corporate programs. Green Spaces Help grow and enhance urban green spaces for stronger, more resilient communities. 2019 at a Glance 47 initiatives were supported that are helping to create a more vibrant planet in Canada and the U.S. Contributed over $43 billion since 2017$^1$ in support of the low-carbon economy through our business and philanthropy in Canada and the U.S. Over 430,000 native trees and shrubs have been planted since 2010, across communities in Canada and the U.S. through TD Tree Days. $5.2 million donated to 605 Canadian organizations through the TD Friends of the Environment Foundation with the support of 150,000 donors. TD is participating in the United Nations-led pilots that aim to develop harmonized approaches across the industry to help assess financial impacts from climate-related risks, based on the recommendations from the Task Force on Climate-related Financial Disclosures; among the financial institutions participating, TD is the only bank globally to participate in the pilot studies across lending, asset management and insurance. Since 2018, TD has supported the Vancouver Economic Commission’s Green and Digital Demonstration Program, which provides opportunities for local innovators to showcase emerging clean technologies using the City of Vancouver’s infrastructure and resources as test grounds. --- $^1$ TD is targeting $100 billion in total by 2030 to support a transition to a low-carbon economy through its lending, financing, asset management and internal corporate programs. “Globally, cleantech is growing, but Canada is losing ground: in an eight-year period, Canada’s share of cleantech exports dropped – representing nearly $9 billion in lost opportunities. We believe that supporting and growing Canadian cleantech companies are more than just the smart thing to do, they’re the right thing to do. Great products aren’t enough anymore – to future-proof the Canadian economy, we have to make it sustainable. The TD Sustainable Future Program was created based on a clear need to clean, support and strengthen the Canadian economy.” – John Stevens, VP, Strategy and External Relations, Accelerator Centre TD Sustainable Future Program The TD Sustainable Future Program is supported through our $100 billion low-carbon target and is helping to propel forward innovative clean technologies. This is a specialized program from the Accelerator Centre, a non-profit organization located in Waterloo, Ontario, and is the only incubator dedicated to sustainable technology development in Ontario. Since it started in 2018, 23 cleantech companies and startups have entered into the one-year program to gain access to the mentorship, resources and training they need to take their solutions from idea to market. So far, they’ve generated 114 jobs in Waterloo Region. The program is also located in Canada’s first building designed to be net-positive – meaning it produces more energy than it consumes. The building, evolv1, constructed by Cora Group and financed through our low-carbon target, is changing how sustainability is considered in building design. Bloomberg Sustainable Business Summits Building a more sustainable and inclusive future will require all of us to rethink how and where we live and work. Those changes will require investment, and that is where we believe we can play a role. As part of a multi-year collaboration with Bloomberg L.P., we supported the 2019 Sustainable Business Summits in Toronto and New York City to look at how sustainable finance can help accelerate a transition to a low-carbon economy; and in Vancouver, we co-hosted a roundtable with 25 leading thinkers on the importance of having an inclusive economy for a more sustainable future. You can read a summary of the event in Building a Gender-Inclusive Workplace. TD Insurance Advisory Board on Climate Change In 2018, insured damage from severe weather events reached $1.9 billion in Canada alone. Around the world, the toll that weather and climate-related events are taking on people’s lives is intensifying. To better understand and help address these impacts, in 2019 TD Insurance (TDI) established an Advisory Board on Climate Change, a first for the Canadian insurance industry. The Advisory Board is made up of experts from Engineers Canada and researchers from some of Canada’s top universities with expertise in climate-related fields. Along with TDI leaders, the Advisory Board will develop and implement initiatives to address key climate change issues and identify opportunities for change for both TDI and the greater insurance industry. Their goal is to have a meaningful impact in helping our communities and customers adapt to the effects of climate change. PBSC Urban Solutions As part of our $100 billion low-carbon target, we are providing business banking services to PBSC Urban Solutions, a company that offers cities around the world sustainable bike-sharing to help address some of the biggest issues facing them today, such as congestion, pollution and citizen health. Globally, 7% of all urban trips are taken by bicycle and e-bike; if that could increase to 23% by 2050, 300 megatonnes of CO₂e emissions could be avoided, saving cities US$25 trillion in transportation costs – just by hopping on a bike. Learn more about how PBSC is making an impact. --- 1 TD is targeting $100 billion in total by 2030 to support a transition to a low-carbon economy through its lending, financing, asset management and internal corporate programs. 2 http://td.mediaroom.com/2019-04-09-TD-Insurance-creates-Advisory-Board-on-Climate-Change 3 https://www.tdp.org/multimedia/the-benefits-of-shifting-to-cycling/ “It is important that, as a society, we focus on tree planting and care. A healthy community forest ensures that residents have better access to green spaces and that communities will be more resilient – meaning a better life for all of us.” – Dan Lambe, President, Arbor Day Foundation TD Green Space Grants Working with the non-profit Arbor Day Foundation, we want to help cities where we operate across North America get a little greener through the TD Green Space Grants program. Delivered by the Arbor Day Foundation, the grants program provides financial support to municipalities to expand community green spaces, plant trees and add resilient features to green spaces, such as bioswales and rain gardens. In 2019, 20 projects in Canada and the U.S. received a grant. Nearly 700 community volunteers, including 70 TD employees, helped across the various projects in Canada and the U.S. In 2020, the program will provide grants to help communities dealing with the urban heat island effect get a little cooler. Learn more about the 2020 TD Green Space Grants. TreePhilly Philadelphia Parks & Recreation, along with Fairmount Park Conservancy, are on a mission to improve Philadelphia’s tree canopy. Since 2016, through their program TreePhilly, we have been helping them distribute yard trees to Philadelphians so that they can plant and care for trees on their properties. In 2019, we expanded our support to help them increase the number of trees on city streets and in parks to give a boost to communities with a low tree canopy. Focusing on these two aspects can greatly improve the environmental health of the city and more evenly distribute the environmental benefits of healthy tree canopies. This expanded support will help TreePhilly plant more than 20,000 trees from 2019 to 2021, which will also contribute to our goal of planting one million trees in North America by 2030. The New Acre™ Project By using what already exists in nature, we believe that all of us can help preserve the health of the environment, while also generating positive social and economic benefits. This is what ALUS Canada’s New Acre™ Project is about. ALUS is a non-profit organization that helps farmers and ranchers transform uneconomic or sensitive portions of their farmland into ecologically friendly projects, helping to improve the environment and local communities. In 2019, TD became the first corporate sponsor of the New Acre™ Project, helping ALUS to roll it out to eight communities across Canada. Over 400 acres of private land were converted into naturalized areas. Outdoor Fitness Zones Since 2016, TD has worked alongside the non-profit Trust for Public Land in South Florida to reimagine how outdoor spaces can benefit people and the environment. Through our collaboration, they designed and built five Fitness Zone® areas that offer free public access to exercise equipment, while also providing green infrastructure benefits to community parks across Miami-Dade County. With features such as rain gardens, permeable pavement and newly planted trees, these zones help increase biodiversity, decrease flooding and reduce the heat island effect. TD Future Cities Centre North America is the most urbanized region in the world today, with 82% of its population living in urban areas.¹ This growth is expected to continue, and along with it are challenges of affordability, climate change and more. In 2018 we supported the non-profit organization Evergreen in establishing the TD Future Cities Centre in Toronto to support research, dialogue and innovation in city-building. This year, we continued to grow the conversation around this topic with the TD Future Cities Speaker Series and a two-day summit. Through these events, leading minds from around the world discussed topics ranging from smart cities to the role of Indigenous Peoples and diverse audiences in building more sustainable and livable cities for all. NatureTalks We’re a country rich in nature – but in living the urban life, have we lost our connection to it? That was the focus of NatureTalks – a cross-country speaker series hosted by the non-profit organization the Nature Conservancy of Canada that aimed to inspire and reimagine how nature helps create more livable cities. Events were held in Toronto, Vancouver, Edmonton and Victoria to bring a diverse group of panelists together – from a filmmaker and TV show host to a scientist and urban designer – to share why nature matters in our lives. Altogether, approximately 1,200 people attended the four events. --- ¹ https://www.arborday.org/trees/climatechange/heatisland.cfm ² TD’s target is to plant one million new trees in North America by 2030 as part of the TD Ready Commitment. ³ https://www.un.org/development/desa/en/news/population/2018-revision-of-world-urbanization-prospects.html Connected Communities Feeling included in the communities where we live, work and play can have a powerful impact on overall well-being. We have found that only one in three people living in Canada and the U.S. feel connected to their community.$^1$ The reasons people feel disconnected are different for everyone, but we believe that when people feel a part of something, good things happen. That’s why we are helping to increase access to the opportunities people need to feel a sense of belonging in their community. $^1$ A TD-commissioned survey led by Proof in 2018. Focus Areas & Goals Shared Experiences Increase opportunities to participate in events and activities that bring diverse people together. Arts and Culture Support initiatives that help create dialogues and provide professional development opportunities to amplify diverse voices in arts and culture. Local Needs Help groups vulnerable to social isolation build connections in their community. --- 2019 at a Glance - 594 initiatives were supported that are helping to connect communities in Canada and the U.S. - Over 26,300 people were supported as they developed their professional experience in the arts and culture sector through TD-supported initiatives in Canada and the U.S. - Over 14 million people participated in shared experiences through TD-supported public events and activities in Canada and the U.S. - Over 1 million people facing social isolation were helped to strengthen ties in their community in Canada and the U.S. - Over 168,000 community volunteers participated in TD-supported initiatives that helped connect people to their community in Canada and the U.S. - Over 120 arts and culture initiatives helped amplify diverse voices in arts and culture in Canada and the U.S. - We made all-gender restrooms the design standard for all our new and renovated branches in Canada and the U.S. “Festivals have the power to bring people from different backgrounds together and create cohesion between them. They provide an opportunity to be entertained, to actively participate in social life and to build relationships. Through these unifying events, we contribute to the development of an engaged, united and healthy society. The Nuits d’Afrique International Festival is thus an opportunity to build a bridge between our communities and is a fabulous tool of understanding and integration to better live together!” – Suzanne Rousseau, General Director, Festival International Nuits d’Afrique Nuits d’Afrique From July 9 to 21 in Montreal, Quebec, nearly 700 artists from 30 African, Caribbean and Latin American countries took the stage to perform and inspire. For nine years, TD has proudly supported the Festival International Nuits d’Afrique, whose mission is to promote and develop music from around the world. Each year, we’ve helped make the last six days of the festival free for all, so that more people could connect and reunite with musical styles from around the world. In 2019, approximately 600,000 visitors enjoyed the full festival with over 125 concerts and cultural activities. Maada’ookii Songlines “Maada’ookii” is an Ojibway word that means to gift something and “songlines” describe Indigenous songs that are meant to help find the way. These meanings reflect the aspiration behind the Luminato Festival’s Maada’ookii Songlines. The piece, composed by Indigenous artist Cris Derksen, featured 200 voices from 11 diverse choirs and a fusion of Indigenous sounds, creating an emotional choral experience. Nearly 5,000 people attended the event at Toronto’s Harbourfront Centre, which was the finale of Luminato 2019. With our support, Maada’ookii Songlines was free to the public so everyone could share in the experience. Youth and Philanthropy Initiative There are 1.2 billion young people aged 15 to 24 years in the world.$^1$ Actively engaging them in social issues and preparing them for the future are critical to creating a more inclusive and sustainable tomorrow. Since 2018, we’ve been supporting the Youth and Philanthropy Initiative in Canada and the U.S. to engage high school students in learning about social issues and how to play an active role in their community. Through group projects, students in Grades 9 and 10 study issues affecting their community and identify local charities to champion for a grant, which is supported by TD. Since 2018, nearly 42,000 high school students have delivered approximately 9,000 presentations about social issues and charities, which resulted in more than $1 million granted to over 200 charities. Through those donations, more than 425,000 people were reached in Canada and the U.S. Be You Here Be You Here: a simple phrase, but an important message. That was the theme for our Pride celebrations in 2019 because we wanted to help create opportunities for people to feel confident that they could be their authentic selves, no matter who or where they are. We celebrated Pride in over 100 cities across North America this year, including World Pride in New York City. Over 1,900 TD employees participated in Pride marches in Toronto, Montreal, Vancouver and New York – the largest participation from TD colleagues ever. But we also took time to reflect on the past and where we have all come to today. In New York City, we helped support an exhibit for the 50th anniversary of the Stonewall riots at the New York Public Library. To learn more, watch how we celebrated World Pride this year. $^1$ https://www.un.org/development/desa/en/news/social/world-youth-report-addressing-the-complex-challenges-facing-young-people-today.html “Nurturing artists from all backgrounds and the myriad ways they see the world is incredibly important for a healthy and connected society. At MOCA, I have been working on research and discussion that will allow us to further support and amplify the work being done by artists within our building and community.” – Melina Mehr, TD Assistant Curatorial Fellow at the Museum of Contemporary Art in Toronto TD Gallery of Indigenous Art Building on 57 years of history, we renamed our TD Gallery of Inuit Art the TD Gallery of Indigenous Art to include works of art from Indigenous communities across Canada. The change marks an important milestone in the TD Corporate Art Collection – one that reaffirms our commitment to help amplify diverse voices and our belief in supporting the many contributions of Canadian Indigenous communities. The TD Gallery of Indigenous Art is an exhibition that changes every year and is located at 79 Wellington Street in Toronto, within the main floor of the lobby. As you walk through the space, you can see works of art from TD’s collection that represent Indigenous artists from across Canada. TD first began collecting Inuit art in 1967 and since then has collected over 800 pieces from Canadian Indigenous communities. Learn more about TD Art and some of the works in our collection. Black History Month For over 11 years, we have proudly supported programs and events during Black History Month that helped amplify Black voices and stories and furthered our commitment to a more inclusive tomorrow. In 2019, we supported over 90 events to celebrate Black music, arts and culture across Canada and the U.S. In Toronto, we supported the eighth annual Toronto Black Film Festival, which showed over 70 films from 26 countries to provide audiences with different perspectives on the world. In the U.S., we hosted our first internal summit with approximately 500 employees to celebrate and weigh in on how TD can continue to be an inclusive employer. It also featured a keynote address from CNN legal analyst Laura Coates on the theme of Black excellence. Open Call Founded on the belief that art is for all audiences, The Shed is dedicated to helping New Yorkers across the five boroughs connect with work from local artists. In 2018, TD provided a US$1.5 million investment in the brand new arts centre to help bring to life its Open Call program. Through this, The Shed will commission works of art from artists who have not yet gained major institutional recognition, and it will provide complimentary performance and exhibition tickets for underserved communities. The Open Call program provides people with opportunities to gain fresh and needed perspectives on the world around us, while helping emerging artists flourish. TD Assistant Curatorial Fellow Whoever makes and curates arts and cultural experiences can influence who feels reflected within them and how people engage with the work. That’s why we believe in helping to amplify diverse voices in arts and culture. One of the ways we are doing this is by supporting professional development opportunities for emerging artists and curators. Our first fellowship program, the TD Assistant Curatorial Fellow at the Museum of Contemporary Art in Toronto is a new program that helps a recent graduate or emerging curator gain relevant work experience in the arts. This is one of 50 programs we supported in 2019 to help invest in the next generation of arts leaders and educators that can help inspire a more inclusive tomorrow. “Loneliness and isolation are a direct result of the stigma experienced by gay, bi and queer men and women who are living with HIV. Creating spaces for people living with HIV to build connections with others who share lived experience helps them feel safe, builds connections and creates community and a sense of belonging.” – Jason Patterson, Director of Development, ACT ACT Loneliness and isolation are significant challenges for people living with HIV and AIDS.$^1$ The opportunity to build social connections and share experiences in a safe environment can have a powerful impact on how included individuals feel. The AIDS Committee of Toronto (ACT) is helping to reduce the stigma and break down walls through its social support programs. It provides a space and opportunity for women living with HIV to connect with peers over coffee and meals and to engage through shared hobbies or through community outings. In 2019, our donation helped ACT deliver more than 50 sessions that engaged over 135 women through coffee nights, meet-and-eats and more. --- Connecting Through the Arts Founded in 1987, the non-profit organization Workman Arts was created by a former psychiatric nurse at the Queen Street Mental Health Centre in Toronto (now the Centre for Addiction and Mental Health). It began as a theatre company of eight artists and has since grown to be one of Canada’s most enduring arts organizations committed to empowering artists with mental health and addiction issues. The Workman Arts Training Program provides a safe place for artists to explore their passion and reach their professional goals through free training and peer-to-peer support. But with 70% of their participants on fixed incomes, accessing the program can be difficult. From 2018 to 2020, we have worked with Workman Arts to provide free public transit to help members travel to and from classes and to provide healthy food options so that the artists don’t have to make a choice between practising their art and covering basic living expenses. We also support the use of translators and interpreters so that more people can enjoy the program. In 2019, 395 people were reached through the program, and over 60% reported feeling a greater sense of belonging as a result of their participation. --- Together Project With immigrants currently representing one in five people in Canada,$^2$ Canadians of all backgrounds are playing an instrumental role in creating vibrant communities and strong economies. Together Project, an initiative of the non-profit organization Tides Canada, helps match government-assisted refugees with Welcome Groups of five or more volunteers to offer friendship and social support and to help with some of the practicalities of settling into a new life. In 2019, we launched a pilot program in five districts across the Greater Toronto Area. In these districts, TD employees volunteered to be a part of Welcome Groups that were matched with a newcomer refugee household for six months to help welcome them into their community. --- Support for Homeless Veterans In the U.S., veterans make up roughly 9% of all homeless adults.$^3$ It’s an issue that United Way of Hudson County, New Jersey, is addressing through a variety of social services to empower homeless veterans to participate in the community and maintain a self-sufficient lifestyle. For the last three years, the TD Charitable Foundation has supported this United Way chapter’s various programs. In 2019, we expanded our support to help enhance their programming for homeless veterans with access to new technologies for job search and skills training, case management and financial literacy counselling. --- $^1$ [http://cenet.ubc.ca/blog/new-research-links-effects-loneliness-among-people-living-with-hiv](http://cenet.ubc.ca/blog/new-research-links-effects-loneliness-among-people-living-with-hiv) $^2$ [https://www.canada.ca/content/dam/ecd/migration/ticc/english/pdf/pub/annual-report-2018.pdf](https://www.canada.ca/content/dam/ecd/migration/ticc/english/pdf/pub/annual-report-2018.pdf) $^3$ [https://www.usich.gov/resources/uploads/asset_library/Homelessness_in_America_Focus_on_Veterans.pdf](https://www.usich.gov/resources/uploads/asset_library/Homelessness_in_America_Focus_on_Veterans.pdf) Better Health How healthy we feel can influence our confidence in tomorrow – whether it’s our ability to participate in community events, attend work or plan for the future. While today, advances in health care are helping many live healthier lives, there are still barriers to accessing services.$^1$ That’s why we want to help increase investment in research, technology and innovative solutions that can help improve access to care and health outcomes for all. $^1$ TD-commissioned study from Mission Measurement. March 2018. Focus Areas & Goals Innovative Solutions Improve access to health education, screening and early interventions that improve health status and existing health-care practices to help reduce the development of chronic diseases and other illnesses. Improve adolescent (ages 10–18) health and well-being through programs that address health issues of top concern and help with recovery and transition from pediatric to adult care. Increase access to better health outcomes through technology and artificial intelligence (AI) research that can help improve medical diagnostics, personalized care and the management of chronic disease. 2019 at a Glance 50 initiatives were supported that are helping to create better health outcomes in Canada and the U.S. Over 153,000 people benefited from TD-supported initiatives that aim to create better health outcomes in Canada and the U.S. TD donated over $89.5 million to hospitals, health-care programs and children’s health in Canada since 1998. In Philadelphia, the TD Charitable Foundation helped Jefferson Health connect more people in underserved communities to health services, using a remodelled Airstream trailer as a mobile clinic. Since being acquired by TD in early 2018, Layer 6 has grown as an AI research lab, working with Toronto’s medical community to help predict complications caused by diabetes and to assess fairness in access to health care; insights from these studies will help enable personalized treatment and help improve health outcomes for Canadians. In 2018, TD committed to contributing $2.5 million to the Creative Destruction Lab, which is helping entrepreneurs and tech innovators in the global health sector take their ideas to market. The second annual TD Ready Challenge awarded 10 non-profit organizations in Canada and the U.S. each a $1 million grant to help improve health. “Innovative Solutions “The role that innovation plays in creating better health outcomes cannot be overstated – from machine learning that can support early detection, diagnosis and treatment to robotics that can provide surgical support and improve end-of-life care. CDL Health is designed to help companies and individuals that are using science and technology innovations to improve human health and wellness get their ideas to market. The CDL program supports companies like Kheiron Medical Technologies – a machine learning startup that is setting out to help radiologists detect early signs of cancer.” – Sonia Sennik, Executive Director, Creative Destruction Lab, Rotman School of Management” Creative Destruction Lab As uses for tech and innovation are growing in health care startups and institutions are responding to the demand, Creative Destruction Lab (CDL) operates the CDL Health stream within the Universities of Toronto and British Columbia. CDL Health is dedicated to helping aspiring entrepreneurs and tech innovators take their ideas to market. In 2018, we committed to contributing $2.5 million over five years to support their health stream, in which entrepreneurs and tech innovators build scalable businesses through a mentoring process. CDL’s goal is to help bring a whole new generation of medical breakthroughs to market in the fields of biotechnology, bioinformatics, diagnostics and digital care. Since 2018, 50 distinct startups from around the world have participated in the CDL Health stream in Toronto and Vancouver. Half of those have graduated, including startups that are focused on helping doctors detect signs of cancer earlier and creating technology that can give surgical robotics a human-level sense of touch. CoLab Philadelphia Proximity to health services is a major barrier preventing people from accessing care.$^2$ That’s why CoLab Philadelphia, a project of Jefferson Health, a multi-state non-profit health-care network, remodelled a 1960s Airstream trailer into a mobile clinic to directly connect Philadelphians with health services. In 2018, the TD Charitable Foundation helped with the purchase of this Airstream and in 2019 continued to support CoLab’s community programming in three locations, Center City, Kensington and South Philly. Using public spaces, CoLab is using the Airstream to engage with community members right where they live, offering free health screenings and providing health education. To date, over 1,700 people have accessed the program. [Watch the video to learn more.](#) Yes I Can Recent studies are showing a rapid rise in the diagnosis of type 1 and type 2 diabetes in youth under the age of 20.$^3$ Being diagnosed with a chronic condition at such a young age can lessen quality of life, shorten life expectancy and increase health-care costs.$^3$ These are some of the reasons for Englewood Hospital’s two-year pilot called Yes I Can. With support from a TD Charitable Foundation grant, Englewood, located in New Jersey, is piloting a diabetes and nutritional education program for Grade 9 students in a local high school. As part of their regular health class, these students will learn about nutrition and diabetes to help them avoid and manage the onset of diabetes. Acts of Greatness Campaign Canada has one of the highest rates of multiple sclerosis (MS) in the world, with an average of 11 Canadians diagnosed every day.$^1$ Symptoms of the disease can have a significant impact on quality of life, causing fatigue, vision problems, mood changes and more. Right now, there is no cure – but the MS Society of Canada is working to change that. In 2019, we committed $1 million to support their Acts of Greatness campaign; the donation will support the AI & MS Discovery Grant, which will seek transformative ideas that use existing clinical and patient data, and the power of AI, to help optimize treatment and prognosis for people living with MS. The MS Society is currently accepting applications for this research grant. Zero Suicide In any given year, one in five people in Canada will personally experience a mental health problem or illness.$^4$ St. Joseph’s Health Care in London, Ontario, is tackling this issue by adopting a Zero Suicide initiative. In 2019, our donation helped St. Joseph’s fully implement Zero Suicide in its Mental Health Care programs, which is working to ensure that every individual that comes through their program is offered tailored suicide prevention strategies, risk assessment and, if needed, a safety plan. Today, 100% of St. Joseph’s mental health patients are assessed for risk of suicide. --- 1. [https://www.globenewswire.com/news-release/2019/11/27/1953228/0/en/TD-Bank-Group-Invests-1-Million-to-Support-MS-Research-Focusing-on-Artificial-Intelligence-Technology.html](https://www.globenewswire.com/news-release/2019/11/27/1953228/0/en/TD-Bank-Group-Invests-1-Million-to-Support-MS-Research-Focusing-on-Artificial-Intelligence-Technology.html) 2. TD-commissioned study from Mission Measurement, March 2018. 3. [https://www.jdrf.ca/resources/learn/research-news/rapid-rise-in-diabetes-among-children-and-teens/](https://www.jdrf.ca/resources/learn/research-news/rapid-rise-in-diabetes-among-children-and-teens/) 4. [https://cmha.ca/fast-facts-about-mental-illness](https://cmha.ca/fast-facts-about-mental-illness) The TD Ready Challenge The TD Ready Challenge is an annual North American initiative that has up to 10 $1 million grants available to support innovative solutions connected to one of the four drivers of the TD Ready Commitment. After two years, TD has awarded $20 million toward 20 impactful solutions that will help open doors for a more inclusive and sustainable tomorrow. The 2018 Challenge: Financial Security In its inaugural year, the TD Ready Challenge sought innovative and scalable solutions to help people develop skills for the future economy. From helping mid-career professionals and newcomers transform their existing skills or build new ones to helping increase access to STEM jobs, the grant recipients are working to help people feel more confident about their future. Meet four of the grant recipients from the 2018 Challenge: Increasing Income Stability for Skilled Immigrants It is estimated that each year, newcomers who are underemployed can lose out on up to $12.7 billion in wages.$^1$ That’s why Windmill Microlending is providing loans to immigrants with established experience and skills so they can get the required licensing or training they need to continue their careers in Canada. With support from a TD Ready Challenge grant, Windmill is on track to more than double the number of immigrants it is serving annually, from 486 in 2017–18 to 1,000 in 2019–20. A Forecasting Tool to Help Entrepreneurs Succeed Four in 10 Canadians surveyed face income instability.$^2$ We believe that with a little help, they can rewrite their story. So does École des entrepreneurs du Québec, an organization that developed a financial forecasting tool to help entrepreneurs manage their finances more confidently. With help from a TD Ready Challenge grant, the non-profit expanded its financial literacy course to train more entrepreneurs on how to use their forecasting tool, with the goal of helping them to better understand the short- and long-term risks and opportunities for their business. In 2019, École des entrepreneurs du Québec expanded to three new schools in Quebec and reached 2,750 entrepreneurs. Code for Success Research is starting to show a link between one’s financial health and their physical and mental health.$^3$ Recognizing this, Public Health Management Corporation (PHMC) believes in providing a combination of health and social services in conjunction with job skills training to help their clients thrive in the short and long term. We’re helping the non-profit organization PHMC to enhance the digital skills program delivered by its partner, Hopeworks, which aims to help at-risk young adults access higher-income jobs by embedding PHMC’s health and social support services. PHMC staff work with Hopeworks participants to overcome barriers to getting and keeping jobs by providing job coaching and helping them navigate health-care systems so they can access the health services they need for long-term success. In 2019, their program Code for Success reached 92 youth, of whom nearly 50 went on to secure jobs in 2019. Pathways to Economic Success A recent study by LinkedIn found that the most in-demand skills in 2019 were technical, such as cloud computing or AI, with other studies also pointing to a growing demand for jobs in the tech industry.$^4$ The non-profit organization Byte Back, headquartered in Washington, D.C., is working to close the tech skills gap so that more Americans can find living-wage careers. Since receiving its grant, Byte Back expanded into Baltimore, Maryland, and helped over 60 adults with little to no tech experience gain career skills and earn industry-recognized certifications. The organization offers free courses, helping hundreds of adults a year move up from computer foundations to administration and IT careers. What’s next for them? To use the rest of the grant to expand courses in Baltimore and explore national expansion. Watch this video to learn more. --- 1 Conference Board of Canada statistic – taken from https://newsroom.td.com/featured-news/helping-close-the-underemployment-gap-for-skilled-new-canadians 2 Ipsos, 2017 online survey of 3,000 Canadians 18+, conducted on behalf of TD Bank Group, June 13 and 23, 2017. 3 https://www.forbes.com/sites/brettwyseal/2018/06/27/3-vicious-cycles/#1208fb8b54cd 4 https://www.cnbc.com/2019/06/18/there-are-70000-open-tech-jobs-here-is-how-firms-are-hiring-for-them.html The 2019 Challenge: Better Health The link between one’s physical and financial health is starting to be recognized. People with strong financial health can experience less stress, are empowered to make healthier choices and can have better access to preventive care and medication. Those with strong physical health can often work longer and be better equipped to deal with financial issues.$^1$ The second annual TD Ready Challenge sought to support organizations with innovative solutions to help improve access to early detection and intervention for diseases. This year, 10 non-profit organizations across Canada and the U.S. were each awarded a $1 million grant. Through this year’s cohort, we’re supporting programs that are designed to help combat health-care inequalities and help remove geographic, financial and other barriers to health care. --- $^1$ https://www.td.com/ca/en/about-td/ready-commitment/funding/the-ready-challenge/ Meet the 2019 TD Ready Challenge grant recipients: - University of Manitoba - Manitoba, Canada - Kidney Check Manitoba - Baystate Health Foundation/Baystate Medical Center - Massachusetts, U.S. - The TD Bank Baystate Health Bus - Montreal Children’s Hospital Foundation - Quebec, Canada - eHealth on the Front Line of Hereditary Cancer Assessment in Young People - University of Ottawa Heart Institute - Ontario, Canada - A Non-Invasive Acoustic Diagnostic Test for the Early Diagnosis of Coronary Artery Disease - Children’s Hospital of Philadelphia - Pennsylvania, U.S. - Growing Resilience in Teens - Ontario Institute for Cancer Research - Ontario, Canada - Early Detection of Cancer in Hereditary Breast, Ovarian Cancer Patients and Lynch Syndrome - University of Victoria - British Columbia, Canada - 3D Printed Prosthetics and Orthotics for Amputees and Children in North America - Fund for Public Health in New York City - New York, U.S. - Quickie Lab at the Fort Greene Sexual Health Clinic - The Princess Margaret Cancer Foundation - Ontario, Canada - Princess Margaret Virtual Testis Cancer Clinic - Cold Spring Harbor Laboratory - New York, U.S. - Precision Cancer Treatment Using Next-Generation Organoid Technology Click here to learn more about this year’s recipients. TD’s Theresa McLaughlin, Global Chief Marketing, Citizenship & Customer Experience Officer discusses the intended goals of the TD Ready Challenge and her experience being a 2019 judge. In 2019, I had the honour of being part of the TD Ready Challenge as a judge at the pitch competition. Acting as a springboard for social innovation, the TD Ready Challenge mandate is to identify and support scalable, innovative solutions to a specific issue identified within the TD Ready Commitment. It is an important initiative for the Bank to help address real-life challenges and to stimulate transformative change in the communities where our customers and colleagues live and work. This year, the TD Ready Challenge focus was Better Health, and it focused on organizations that directly serve and impact patients. I heard firsthand each team’s passion, dedication and insight into a specific health-care problem and how their creative solutions could potentially transform and strengthen North Americans’ health-care road map. This year’s winning organizations will help address access barriers for underserved communities through innovative solutions from mobile apps to 3D printing. I left the competition with a sense of optimism, feeling that the collaboration across health-care industries can offer lasting positive impact and real change. Collectively, these organizations have the power and solutions that will help improve health outcomes for more people. As part of my role, I have helped lead the shift for TD to be a purpose-driven brand, elevating what TD and the brand stand for. In a period of unprecedented change, people are looking to organizations to help solve very real and complex issues affecting societies. Being able to help our TD customers, colleagues and communities feel ready for what’s ahead is a business imperative. The TD Ready Challenge is just one example. This section underscores many other ways TD is looking to impact the future. It is a role that is essential to our purpose. At TD, we’re focused on building a more inclusive future for everyone. Through our newly launched TD Ready Commitment Network, we are partnering with organizations across North America to help others by sharing our amazing knowledge and skills. With our colleagues’ passion, we will provide opportunities for so many to succeed in a changing world.” – Norie Campbell, Group Head, Canadian Customer and Colleague Experience, TD Bank Group At TD, we are committed to accomplishing greater results through our corporate citizenship activities for our stakeholders – and our organization. But we believe that it first starts by making a difference in ourselves. More than 85,000 strong, our colleagues are our greatest strength. When they feel engaged and empowered, we’re stronger as a bank. In 2019, we launched a new Corporate Citizenship Colleague Engagement Strategy to provide more opportunities for TD employees to grow and contribute to making a positive difference in their communities. We want to help change the way people think about employee engagement. Often it is limited to just volunteering, but we believe it is more than that. In this new approach, our employees can participate in experiences that match their interests and goals, help them grow personally and professionally and connect them to causes they’re passionate about. There are five ways our employees can engage: Community Leadership We want to provide opportunities for employees to use and develop broader skills that can help them grow while participating in their communities. Group Experiences Working with community organizations, we are helping to provide more meaningful experiences that colleagues can share together and with their friends and family in the community. Volunteering We want to provide more opportunities for our colleagues to get involved and make a tangible impact by working with community organizations. Fundraising We’re adding to our history of sponsoring fundraising initiatives with a new Team Matching Grant Program so that employees can rally together to raise money for causes they’re interested in. Learning Employees can access learning tools and resources to become more informed about broader social and environmental issues and what TD is doing to help through the TD Ready Commitment. We brought all of this to life through the TD Ready Commitment Network – an online tool where employees can do everything from tracking their personal goals to finding events and activities that can help them contribute to causes they’re passionate about. The TD Ready Commitment Ambassadors The TD Ready Commitment Ambassadors are cornerstones of our new colleague engagement strategy. This program was developed to provide opportunities for our North American employees to gain leadership skills and help inspire their colleagues to get involved through the TD Ready Commitment Network. These Ambassadors are highly engaged and have a passion for community involvement. In this role, they act as subject matter experts on the TD Ready Commitment for their colleagues and teams and can help rally people together to participate in events related to the TD Ready Commitment. Since launching the program in April 2019, we have more than 200 Ambassadors in Canada and the U.S. Meet a few of the TD Ready Commitment Ambassadors: Nafiz Ahamed, Customer Service Officer, Borrowing, Personal Banking Operations Ottawa, Ontario “My mother first inspired me to get involved in the community. In fact, when I started high school, we made it my goal to finish my 40 hours of community service before the end of Grade 9.” Since then, I try to get involved in as many ways as possible. I enjoy getting involved in community projects that impact society and the environment and have a lasting impact over time. Two years ago, I joined Louder than Words, a local non-profit. As a board member, our team does a variety of community projects dedicated to uniting youth through wisdom and positive actions. They work collaboratively with other organizations for the common good, which is important because together you can accomplish more. It’s kind of like community synergy. I like to make genuine connections with people, and being an Ambassador for the TD Ready Commitment allows me to do that; I feel that I am part of something bigger and my small contribution makes a noticeable impact. This role aligns with my personal values, and it is helping me become a better version of myself. Linda Green, Private Client Service Associate II, TD, America’s Most Convenient Bank™ Consumer Distribution Greenville, South Carolina “I was taught by my parents at a very young age about the importance of giving back to my community. Along with my siblings, they wanted me to experience the benefit first-hand and to grow up with an appreciation for community service.” Since moving to South Carolina, I have participated in many TD-sponsored events in the Greenville community like The Reedy River Run, Special Olympics, Artisphere, Juvenile Diabetes and the United Way backpack distribution. Outside of TD, I have also found a passion for community leadership through organizations such as Make-A-Wish, Greenville Literacy Association and Dove Broadcasting. In addition, I go to Baja, Mexico, every year to help build homes for disadvantaged families. We build three furnished houses each year for three different families – it is a truly transformative experience. One of the things I really appreciate about TD is its passion toward community involvement. TD invites people to get plugged in, and it’s the first company I’ve ever worked for that encourages it with this level of enthusiasm. Being a TD Ready Commitment Ambassador aligns with my heart’s passion and enables me to engage in community service. Ali Moser, Manager, Contact Centre and ATM Acquisition Toronto, Ontario “I have always felt like I had a great purpose; an undying need to make a difference and inspire tangible change.” It’s important to me because I have had a start similar to many of those which I seek to help and in sharing my experience, or just being there to listen, can give people hope that they don’t need to be defined by their circumstances – they aren’t alone. Instead there is a community backing them, making opportunities limitless. I am passionate about advocating for the rights of those commonly overlooked due to their financial status, education, lack of access to resources, mental health or race. At work, I’m Chair of the Black Employee Network of London and part of the TD Ready Commitment Committee, specifically helping to reframe the employee experience during taking short- or long-term leaves of absence and re-entering the workforce. And in my community, I volunteer with several charities, including acting as the Vice Chair of Victim Services Elgin to support victims of crimes such as domestic violence or homicide and provide trauma counselling. Being an Ambassador for the TD Ready Commitment is important to me because it is a platform to inspire and ignite change. You are surrounded by the overwhelming support of an organization committed to its community. Standing with this commitment you can feel the movement… change becomes possible.” Caution Regarding Forward-Looking Statements From time to time, The Toronto-Dominion Bank (the “bank”) makes written and/or oral forward-looking statements, including in this document, in other filings with Canadian regulators or the United States (U.S.) Securities and Exchange Commission (SEC), and in other communications. In addition, representatives of the bank may make forward-looking statements orally to analysts, investors, the media and others. All such statements are made pursuant to the “safe harbour” provisions of, and are intended to be forward-looking statements under, applicable Canadian and U.S. securities legislation, including the U.S. Private Securities Litigation Reform Act of 1995. Forward-looking statements include, but are not limited to, statements made in this document, the Management’s Discussion and Analysis (“2019 MD&A”) in the bank’s 2019 Annual Report under the heading “Economic Summary and Outlook”, for the Canadian Retail, U.S. Retail, and Wholesale Banking segments under headings “Business Outlook and Focus for 2020”, and for the Corporate segment, “Focus for 2020”, and in other statements regarding the bank’s objectives and priorities for 2020 and beyond and strategies to achieve them, the regulatory environment in which the bank operates, and the bank’s anticipated financial performance. Forward-looking statements are typically identified by words such as “will”, “would”, “should”, “believe”, “expect”, “anticipate”, “intend”, “estimate”, “plan”, “goal”, “target”, “may”, and “could”. By their very nature, these forward-looking statements require the bank to make assumptions and are subject to inherent risks and uncertainties, general and specific. Especially in light of the uncertainty related to the physical, financial, economic, political, and regulatory environments, such risks and uncertainties – many of which are beyond the bank’s control and the effects of which can be difficult to predict – may cause actual results to differ materially from the expectations expressed in the forward-looking statements. Risk factors that could cause, individually or in the aggregate, such differences include: credit, market (including equity, commodity, foreign exchange, interest rate, and credit spreads), liquidity, operational (including technology, cyber security, and infrastructure), model, reputational, insurance, strategic, regulatory, legal, conduct, environmental, capital adequacy, and other risks. Examples of such risk factors include the general business and economic conditions in the regions in which the bank operates; geopolitical risk; the ability of the bank to execute on long-term strategies and shorter-term key strategic priorities, including the successful completion of acquisitions and dispositions, business retention plans, and strategic plans; the ability of the bank to attract, develop, and retain key executives; disruptions in or attacks (including cyber-attacks or data security or other breaches) on the bank’s information technology, internet, network access or other voice or data communications systems or services; fraud or other criminal activity to which the bank is exposed; the failure of third parties to comply with their obligations to the bank or its affiliates, including relating to the care and control of information; the impact of new and changing laws, applications of, current laws and regulations, and changes within the banking sector, capital guidelines, and liquidity regulatory guidance and the bank regulatory “wall-off” regime; exposure related to significant litigation and regulatory matters; increased competition from incumbents and non-traditional competitors, including Fintech and big technology competitors; changes to the bank’s credit ratings; changes in currency and interest rates (including the possibility of negative interest rates); increased funding costs and market volatility due to market illiquidity and competition for funding; Interbank Offered Rate (IBOR) transition risk; critical accounting estimates and changes to accounting standards, policies, and methods used by the bank; existing and potential international debt crises; environmental and social risk; and the occurrence of natural and unnatural catastrophic events and claims resulting from such events. The bank cautions that the preceding list is not exhaustive of all possible risk factors and other factors could also adversely affect the bank’s results. For more detailed information, please refer to the “Risk Factors and Management” section of the 2019 MD&A, as may be updated in subsequently filed quarterly reports to shareholders and news releases (as applicable) related to any events or transactions discussed under the headings “Significant and Subsequent Events, and Pending Transactions” in the relevant MD&A, which applicable releases may be found on www.td.com. All such factors should be considered carefully, as well as other uncertainties and potential events, and the inherent uncertainty of forward-looking statements, when making decisions with respect to the bank and the bank cautions readers not to place undue reliance on the bank’s forward-looking statements. Material economic assumptions underlying the forward-looking statements contained in this document are set out in the 2019 MD&A under the headings “Economic Summary and Outlook”, for the Canadian Retail, U.S. Retail, and Wholesale Banking segments, “Business Outlook and Focus for 2020”, and for the Corporate segment, “Focus for 2020”, each as may be updated in subsequently filed quarterly reports to shareholders. Any forward-looking statements contained in this document represent the views of management only as of the date hereof and are presented for the purpose of assisting the bank’s shareholders and analysts in understanding the bank’s financial position, objectives and priorities and anticipated financial performance as at and for the periods ended on the dates presented, and may not be appropriate for other purposes. The bank does not undertake to update any forward-looking statements, whether written or oral, that may be made from time to time by or on its behalf, except as required under applicable securities legislation. ©/ The TD logo and other trade-marks are the property of The Toronto-Dominion Bank or a wholly-owned subsidiary, in Canada and/or other countries.
The Certificate describes the Benefits for Health Care Services covered by Blue Cross and Blue Shield of Kansas City and the extent to which Benefits may be limited. EPO plans cover health care services only when provided by a doctor or facility who participates in the BlueSelect Plus network. If you receive services from an out-of-network doctor or other health care provider, you will have to pay all of the costs for the services, except that emergency services must be covered regardless of whether they are delivered by an In-Network provider. Blue Cross and Blue Shield of Kansas City is an independent licensee of the Blue Cross and Blue Shield Association. # TABLE OF CONTENTS \| Section \| Page \| \|------------------------------------------------------------------------\|------\| \| SECTION A. DEFINITIONS \| 13 \| \| SECTION B. ELIGIBILITY, ENROLLMENT AND EFFECTIVE DATE \| 27 \| \| SECTION C. COVERED SERVICES \| 35 \| \| SECTION D. EXCLUSIONS AND LIMITATIONS \| 71 \| \| SECTION E. HOW TO FILE A CLAIM \| 77 \| \| SECTION F. COORDINATION OF BENEFITS (COB) \| 80 \| \| SECTION G. PREMIUM PAYMENT, GRACE PERIOD AND CHANGES \| 86 \| \| SECTION H. TERMINATION AND EXTENSION OF COVERAGE \| 88 \| \| SECTION I. CONTINUATION AND CONVERSION \| 90 \| \| SECTION J. GENERAL INFORMATION \| 100 \| \| SECTION K. UTILIZATION REVIEW \| 106 \| \| SECTION L. COMPLAINT AND GRIEVANCE PROCEDURES \| 109 \| Amendments, if any, are located in the back of this Certificate. \| COVERED MEDICAL SERVICES \| COST-SHARING AND LIMITATIONS AT IN-NETWORK PROVIDERS \| \|--------------------------\|-----------------------------------------------------\| \| Allergy Services (includes testing, treatment and injections) \| Deductible \| \| Ambulance \| Deductible \| \| Autism \| Deductible Coverage for Applied Behavior Analysis for Covered Persons until age 19 These services must be Prior Authorized. \| \| Bone Marrow Testing \| Deductible Covered Services are limited to testing for A, B, and DR Antigens \| \| Dental – Accidental Injury/Surgery \| Deductible These services must be Prior Authorized \| \| Diabetes Self-Management Education and Training \| No Copayment \| \| Diabetic Shoes \| Deductible 1 pair of Diabetic Shoes and 3 pair of inserts per Covered Person per Calendar Year Maximum \| \| Diabetic Supplies Provided by a Livongo \| No Copayment \| \| Diagnostic and Routine Preventive Mammograms, Pap Smears and PSA Tests \| No Copayment \| \| Durable Medical Equipment \| Deductible These services must be Prior Authorized. \| \| Elective Sterilization \| Covered under Routine Preventive Services \| \| Emergency Services \| Deductible \| \| Formula and Food Products for Phenylketonuria \| Deductible $5,000 Calendar Year Maximum These services must be Prior Authorized. \| \| Genetic Testing \| Deductible We provide Benefits for the genetic testing in accordance with Our Medical Necessity criteria. These services must be Prior Authorized. \| \| Home Health Services \| Deductible \| \| COVERED MEDICAL SERVICES \| COST-SHARING AND LIMITATIONS AT IN-NETWORK PROVIDERS \| \|--------------------------\|-----------------------------------------------------\| \| \| 60 visit Calendar Year Maximum \| \| Home Hospice Services \| Deductible \| \| \| We provide Benefits for Hospice services if a Physician certifies that You are Terminally Ill. Covered Services are limited to palliative care. If We determine the care provided is not palliative care (pain management), Benefits under Hospice Services are not Covered Services. \| \| Immunizations for Dependent Children age 6 and under \| No Copayment \| \| \| Covered Services for routine and necessary immunizations will be provided at 100% of the Allowable Charge and will not be subject to any Cost-Sharing requirements. \| \| \| Any office visit charges incurred in conjunction with these immunizations will be subject to the office visit Copayment, Coinsurance and Deductible requirements of the Contract, the same as any other services. \| \| Inpatient Hospice Facility \| Deductible \| \| \| 14 day Lifetime Maximum \| \| Inpatient Hospital Services \| Deductible \| \| Inpatient Mental Illness \| Deductible \| \| Inpatient Substance Abuse \| Deductible \| \| Lab drawn and processed in a Spira Care Center Provider Physician’s Office (excluding allergy testing) \| No Copayment \| \| Maternity \| Covered under your Maternity Services Benefit \| \| \| Dependent daughters are not covered. \| \| \| Elective pregnancy termination is not covered. \| \| \| If a child is adopted by a covered Employee within 90 days of birth, Covered Services include obstetrical and delivery expenses only for the birth mother incurred at the time of the birth of such child. \| \| \| Kansas residents may qualify for an adoption benefit. See eligibility for adoption. \| \| Nutritional/Diet Counseling \| Deductible \| \| Office Visit - Physician Services \| Deductible \| \| COVERED MEDICAL SERVICES \| COST-SHARING AND LIMITATIONS AT IN-NETWORK PROVIDERS \| \|--------------------------\|-----------------------------------------------------\| \| Office Visit – Spira Care Center Provider Office Visit/Physician Services (includes Office Visit and related services unless otherwise specified) \| No Copayment For this Copayment to apply, You must receive services from a designated Spira Care Center Provider. Procedures performed in a Physician’s office are covered at 100% of Allowable Charge \| \| Organ Transplant \| Subject to the applicable Cost-Sharing \| \| Orthoptic Training \| Deductible 12 Visit Lifetime Limit for the treatment for Convergence Insufficiency in children under the age of 18 \| \| Outpatient Routine Colonoscopy \| These services are covered under Your Routine Preventive Care Benefit. Outpatient colorectal cancer diagnostic services consisting of a digital rectal exam and including: 1. fecal occult blood tests; 2. fecal colon cancer test; 3. flexible sigmoidoscopy; 4. colonoscopy; 5. double contrast barium enema Please also see Your Diagnostic Services Benefit for additional coverage \| \| Outpatient Mental Illness \| Office Visit Deductible Therapy Deductible \| \| Outpatient Substance Abuse \| Office Visit Deductible Treatment Deductible \| \| Outpatient Mental Illness Provided by a Spira Care Center Provider (Office Visit) \| No Copayment \| \| Outpatient Substance Abuse Provided by a Spira Care Center Provider \| No Copayment \| \| Outpatient Surgery/Services in Hospital or other Outpatient Facility \| Deductible Please visit [http://www.bluekc.com/pa](http://www.bluekc.com/pa) for the current list of outpatient surgeries and services that must be Prior Authorized. \| \| COVERED MEDICAL SERVICES \| COST-SHARING AND LIMITATIONS AT IN-NETWORK PROVIDERS \| \|--------------------------\|-----------------------------------------------------\| \| Outpatient Therapy \| Occupational Therapy when performed by a Home Health Care or Facility-based Provider Deductible \| \| \| Occupational Therapy, and Physical Therapy and Skeletal Manipulations: Combined 60 visit Calendar Year Maximum. \| \| \| Occupational Therapy when performed in a Physician’s office Deductible \| \| \| Physical Therapy, and Occupational Therapy and Skeletal Manipulations: Combined 60 visits Calendar Year Maximum. \| \| Physical Therapy \| Physical Therapy when performed by a Home Health Care or Facility-based Provider Deductible \| \| \| Physical Therapy, and Occupational Therapy and Skeletal Manipulations: Combined 60 visits Calendar Year Maximum. \| \| \| Physical Therapy when performed in a Physician’s office Deductible \| \| Speech Therapy \| Deductible \| \| \| Speech and Hearing Therapy: Combined 20 visit Calendar Year Maximum \| \| Hearing Therapy \| Deductible \| \| \| Speech and Hearing Therapy: Combined 20 visit Calendar Year Maximum \| \| COVERED MEDICAL SERVICES \| COST-SHARING AND LIMITATIONS AT IN-NETWORK PROVIDERS \| \|--------------------------\|-----------------------------------------------------\| \| Prosthetic and Orthotic Appliances (Not included in Durable Medical Equipment. See the Prosthetic and Orthotic Appliances Benefit under the Covered Services Section for specific Benefits) \| Deductible These Services Must Be Prior Authorized. \| \| Routine Preventive Care – (See the Routine Preventive Care Benefit under the Covered Services Section for a description of Routine Preventive Services for which you have Benefits) \| No Copayment \| \| Skilled Nursing \| Deductible 30 day Calendar Year Maximum These Services Must Be Prior Authorized. \| \| Surgery performed in a Spira Care Center Provider Physician’s Office \| No Copayment \| \| Telehealth – Blue KC Virtual Care \| Office Visits: No Copayment Therapy: Deductible \| \| Urgent Care \| Deductible \| \| X-ray and other Radiology Procedures (excluding MRI, PET, CT and MRA Scans) \| Deductible \| \| X-ray and other Radiology Procedures Performed in a Spira Care Clinic Provider’s Office (unless otherwise specified) \| No Copayment \| \| All Other Covered Services \| Deductible \| \| Date \| Event Description \| \|------------\|-------------------\| \| 2023-01-01 \| Meeting with the applicant to discuss the application. \| \| 2023-02-15 \| Examination of the application by the examining division. \| \| 2023-03-20 \| Written opinion from the examining division. \| \| 2023-04-10 \| Response to the written opinion. \| \| 2023-05-15 \| Hearing before the board of appeal. \| \| 2023-06-20 \| Decision on the appeal. \| \| COVERED MEDICAL SERVICES \| COST-SHARING AND LIMITATIONS AT IN-NETWORK PROVIDERS \| \|--------------------------\|-----------------------------------------------------\| \| Tier 1 \| No Copayment \| \| Outpatient Prescription \| \| \| Contraceptives \| \| \| Short Term Supplies \| \| \| If a generic version is not available or Prior Authorization is obtained, Tier 2 Drugs and Tier 3 Drugs will be subject to the Cost-Sharing indicated for Tier 1 Drugs. \| \| Tier 2 \| $50 Copayment \| \|--------------------------\|-----------------------------------------------------\| \| Tier 3 \| Deductible \| \| Tier 1 \| No Copayment \| \|--------------------------\|-----------------------------------------------------\| \| Outpatient Prescription \| \| \| Contraceptives \| \| \| Long-Term Supplies at Retail Pharmacy \| \| \| If a generic version is not available or Prior Authorization is obtained, Tier 2 Drugs and Tier 3 Drugs will be subject to the Cost-Sharing indicated for Tier 1 Drugs. \| \| Tier 2 \| $125 Copayment \| \|--------------------------\|-----------------------------------------------------\| \| Tier 3 \| Deductible \| \| COVERED MEDICAL SERVICES \| COST-SHARING AND LIMITATIONS AT IN-NETWORK PROVIDERS \| \|--------------------------\|-----------------------------------------------------\| \| Outpatient Prescription Contraceptives \| No Copayment \| \| Long-Term Supplies through Mail-Order \| If a generic version is not available or Prior Authorization is obtained, Tier 2 Drugs and Tier 3 Drugs will be subject to the Cost-Sharing indicated for Tier 1 Drugs. \| \| Tier 1 \| No Copayment \| \| Tier 2 \| $125 Copayment \| \| Tier 3 \| Deductible \| \| Short-Term Supplies \| \| \|------------------------\|----------------------------------\| \| Tier 1 \| $15 Copayment \| \| Tier 2 \| $50 Copayment \| \| Tier 3 \| Deductible \| \| Long-Term Supplies at Retail Pharmacy \| \| \|------------------------------------------\|----------------------------------\| \| Tier 1 \| $37.50 Copayment \| \| Tier 2 \| $125 Copayment \| \| Tier 3 \| Deductible \| \| Long-Term Supplies (Mail Order) \| \| \|------------------------------------\|----------------------------------\| \| Tier 1 \| $15 Copayment \| \| Tier 2 \| $125 Copayment \| \| Tier 3 \| Deductible \| \| COVERED MEDICAL SERVICES \| COST-SHARING AND LIMITATIONS AT IN-NETWORK PROVIDERS \| \|--------------------------\|-----------------------------------------------------\| \| Infertility/Impotency Drugs \| Tier 1: Applicable Copayment then 50% Coinsurance Tier 2: Applicable Copayment then 50% Coinsurance Tier 3: Deductible \| \| Prescription Oral Chemotherapy Drugs Short-Term Supplies \| Tier 1: No Copayment Tier 2: No Copayment Tier 3: No Copayment \| 1 Cost-Sharing for select Specialty Pharmaceuticals may be equal to the maximum of the current Plan design or to the amount of available manufacturer-funded Copayment assistance. Please see BlueKC.com to determine which Specialty Pharmaceuticals are subject to the program. SECTION A. DEFINITIONS This section tells the meanings of some of the more important words used in the Contract. Please read this section carefully. It will help You to understand the rest of the Contract. All of these defined words are capitalized when used in the Contract. Accidental Injury Means accidental bodily injury sustained by a Covered Person which is the direct result of an accident, independent of disease or bodily infirmity or any other cause. Admission Begins the first day a Covered Person becomes a registered Hospital bed patient or a Skilled Nursing Facility patient and continues until he is discharged. Adverse Determination Means a determination by Us that a proposed or delivered Health Care Service which would otherwise be covered under the Contract is not or was not Medically Necessary or the health care treatment has been determined to be Experimental/Investigative and: a. The requested service is provided in a manner that leaves the Covered Person with a financial obligation to the provider or providers of such service; or b. The Adverse Determination is the reason for the Covered Person not receiving the requested services. Allowable Charge Means the dollar amount upon which Benefits will be determined. Any amounts for Covered Services (other than Copayments) a Covered Person is required to pay will be based on this Allowable Charge. Benefit limits, if any, will also be based on this Allowable Charge. The Allowable Charge may vary depending upon whether or not the provider is a Participating Provider and the terms of that provider’s contract with Us and the terms of such contract. Providers are identified as In-Network, Out-of-Network Participating, and Out-of-Network Non-Participating. You may be responsible for the difference between the amount that the Out-of-Network Provider bills and the payment We will make for the Covered Services as set forth in this paragraph. Unless otherwise specified the following explains what the Allowable Charge is for different providers: a. For Hospitals, other institutional health care facilities, Physicians or suppliers of medical goods and services which are In-Network Providers The Allowable Charge is the lesser of: (1) The amount the provider has agreed to accept as payment in full as of the date of service; or (2) The provider’s billed charges. b. For Hospitals, other institutional health care facilities, Physicians or suppliers of medical goods and services which are Out-of-Network Providers, but are Participating Providers The Allowable Charge is the lesser of: (1) The amount the provider has agreed to accept as payment in full as of the date of service; or (2) The provider’s billed charges. c. For Hospitals, other institutional health care facilities, Physicians or suppliers of medical goods and services which are Out-of-Network Providers and Non-Participating Providers inside Our Service Area The Allowable Charge is the lesser of: (1) The amount the provider has agreed to accept as payment in full as of the date of service; or (2) Our participating fee schedule amount for the same services or supplies for such provider-type, if any; or (3) The provider’s billed charges. d. For Hospitals, other institutional health care facilities, Physicians or suppliers of medical goods and services, which are Out-of-Network Providers outside Our Service Area, the Allowable Charge is determined in accordance with the BlueCard® Program. e. For ground Ambulance services provided by Out-of-Network and Non-Participating Providers inside our Service Area The Allowable Charge is the lesser of: (1) The amount the provider has agreed to accept as payment in full as of the date of service; or (2) An amount that is based on 150% of the Medicare fee schedule. This percentage will be periodically evaluated and adjusted if deemed appropriate by Blue KC. If the fee schedule does not include a specific code for the service provided, Blue KC will apply the same methodology used to establish an Allowable Charge for an Out-of-Network Participating Provider; or (3) The provider’s billed charges. f. For In-Network pharmacies The Allowable Charge is the lesser of: (1) The negotiated rate the pharmacy has agreed to accept for Our members; or (2) The Usual and Customary Charge For purposes of this paragraph, Usual and Customary Charge means the amount that the participating pharmacy would have charged You if You were a cash paying customer. Such amount includes all applicable discounts, including, without limitation, senior citizen’s discounts, coupon discounts, non-insurance discounts, or other special discounts offered to attract customers. Ambulance Means a vehicle designed and operated to provide medical services and that is licensed by state and local laws. Ambulatory Review Means Utilization Review of Health Care Services performed or provided in an outpatient setting. Annual Enrollment Period Means a period of time mutually agreed upon by the Employer and Us during which eligible persons who have not enrolled with Us may do so. Benefits Means the amount of Allowable Charges We pay for Covered Services after the Copayment, Coinsurance, and/or Deductible requirement has been met. Benefit Schedule Means a listing of certain Covered Services specifying Copayments, Coinsurance, Deductibles and limitations under the Contract. Blue Cross and Blue Shield of Kansas City Means the company legally responsible for providing the Benefits under the Contract. Blue Cross and Blue Shield of Kansas City is referred to as "We," "Us" and "Our." Calendar Year Means January 1 through December 31 of the same year. Calendar Year Maximum Means a maximum dollar amount, or a maximum number of days, visits or sessions for which Benefits for Covered Services are provided for a Covered Person in any one Calendar Year. Once a Calendar Year Maximum for a specific Covered Service is met, no more Benefits for such Covered Services will be provided during the same Calendar Year. If the Contract replaces any health plan issued by Blue Cross and Blue Shield of Kansas City under which a Covered Person was covered, then this maximum will be reduced by the amount of Benefits a Covered Person received through the previous plan(s) during that Calendar Year. Case Management Means a method of review whereby a Covered Person’s health, or catastrophic or chronic or complex health problem or general health is evaluated and a plan of care is developed and implemented which meets that Covered Person’s particular needs and is the most cost effective. Certificate Means this booklet and any amendments. Certification Means a determination by Us that an Admission, availability of care, continued stay or other Health Care Service has been reviewed and, based on the information provided, satisfies Our requirements for Medical Necessity, appropriateness, health care setting, level of care and effectiveness. Claim Means a request for: (1) services that require Prior Authorization made in accordance with the procedures outlined in the Utilization Review Section; (2) payment for Covered Services rendered in accordance with the procedures outlined in the How to File a Claim Section; or (3) an appeal of a benefit determination ("Grievance") made in accordance with the procedures outlined in the Complaint and Grievance Procedures Section. Coinsurance Means the percentage of an Allowable Charge that You must pay for a Covered Service. Complications of Pregnancy Means non-routine care (medical or surgical) required due to medical complications occurring as a result of or during the pregnancy. This does not include the actual obstetrical procedure itself which is defined as a normal delivery, cesarean section, or elective abortion. An elective abortion does not include when the life of the mother would be endangered if the fetus was carried to term. Concurrent Review Means Utilization Review conducted during a patient's Hospital stay or course of treatment. Confinement Means an uninterrupted stay following formal Admission to a Hospital or Skilled Nursing Facility. It starts with the Admission and ends the day the Covered Person is discharged from the Hospital or Skilled Nursing Facility. Contract Means the agreement between the Employer and Us that contains all of the terms of coverage. The Contract includes the Certificate, the Employer application, the Employee application, and any amendments. Copayment Means the dollar amount of a charge that a Covered Person must pay for certain Covered Services. Cost Sharing Means the applicable Copayment, Coinsurance, or Deductible that must be paid by the Covered Person for a Covered Service. Cost-Sharing does not include Premiums, amounts incurred for Non-Covered Services, or any amount above the Allowable Charge. Covered Person Means the Employee or any of the Employee's Dependents whose coverage is in effect under the Contract. Covered Services Means services, supplies, equipment and care specifically listed in the "Covered Services" section of the Contract. Custodial Care Means care furnished mainly to train or assist in personal hygiene or other activities of normal daily living such as dressing, feeding, and walking, rather than to provide medical treatment. Deductible Means the portion of Allowable Charges for Covered Services a Covered Person must pay each Calendar Year before We will provide Benefits unless otherwise specified. The application of the Deductible during any Calendar Year will be based upon the date when Covered Services were actually received. Except as specifically provided, the Calendar Year Deductible must be satisfied before We will provide Benefits for Covered Services. After a combination of covered family member have satisfied the family Deductible for a Calendar Year, the Deductible will be considered satisfied for all covered family members. If the Contract replaces the Employer's previous plan which provided similar coverage, a credit will be applied to the Deductible required by this Certificate, but only for the following conditions: a. Deductible credit will be available only to those Covered Persons who were covered by the former plan on the day immediately prior to the Effective Date of the Contract when the Effective Date of the Contract is other than January 1; and b. Credit will be limited to the charges for Covered Services that applied to the Deductible and were received within the 90 day period prior to the Effective Date of the Contract. Dependent Means a person in the Employee's family who meets the Dependent eligibility requirements of the "Eligibility, Enrollment and Effective Date" section of the Contract. Designated Telehealth Vendor Means a telehealth vendor designated by the Employer. Discharge Planning Means the formal process for determining, prior to discharge from a facility, the coordination and management of the care that a patient receives following discharge from a facility. Due Date Means the first day of each month when Premiums are due and payable. Effective Date Means the date coverage begins for a Covered Person under the Contract. Emergency Medical Condition Means a medical condition manifesting itself by an unexpected onset of symptoms of sufficient severity (including severe pain) so that a prudent layperson, who possesses an average knowledge of health and medicine, could reasonably expect the absence of immediate medical attention to result in: a. Serious impairment to a bodily function; b. Serious dysfunction of any bodily organ or part; or c. Placing the health of the individual (or, with respect to a pregnant woman, the health of the woman or her unborn child) in serious jeopardy. Emergency Services Means Ambulance services and health care items and services furnished or required to evaluate and treat an Emergency Medical Condition, as directed or ordered by a Physician. Employee Means an eligible Employee of the Employer as provided in the Contract. Employer Means the business organization or legal entity to which the Contract is issued. Experimental/Investigative Services We will use the following criteria to determine whether drugs, devices and medical treatment or procedures and Related Services and Supplies are Experimental or Investigative. A drug, device or medical treatment or procedure is Experimental or Investigative if: a. The drug or device cannot be lawfully marketed without approval of the United States Food and Drug Administration and approval for marketing has not been given at the time the drug or device is furnished; or b. Reliable evidence shows that the drug, device or medical treatment or procedure: (1) Is provided as part of a Phase I or Phase II clinical trial, as the experimental or research arm of a Phase III clinical trial, or in any other manner that is intended to evaluate the maximum tolerated dose, safety, toxicity, or efficacy as its objective; (2) Is provided pursuant to a written protocol or other document that lists an evaluation of its safety, toxicity, or efficacy as its objective; or (3) Is Experimental/Investigative per the informed consent document utilized with the drug, device or medical treatment. c. The national Blue Cross and Blue Shield Association’s uniform medical policy (as amended from time to time) has determined the device or medical treatment or procedure (“technology”) is investigational based on the following criteria: (1) Final approval from the appropriate governmental regulatory bodies has not been received; or (2) Scientific evidence does not permit conclusions concerning the effect of the technology on health outcomes; or (3) The technology does not improve the net health outcome; or (4) The technology is not as beneficial as established alternatives; or (5) The improvement is not attainable outside the investigational settings; or d. To the extent paragraphs a., b., and c. above do not apply, the drug, device, medical treatment, or procedure and Related Services and Supplies will still be considered Experimental or Investigative if: (1) We, utilizing additional authoritative sources of information and expertise, have determined that the technology does not meet the criteria listed in paragraph c. 1-5 above; or (2) There is not sufficient evidence based on peer-reviewed studies published in medical literature to establish the safety and efficacy of the technology. "Related Services and Supplies" for the purposes of this definition shall mean any service or supply that We determine is primarily related to the application or usage of a drug, device, medical treatment or procedure that is Experimental or Investigative. Health Care Service Means a service for the diagnosis, prevention, treatment, cure or relief of a health condition, illness, injury or disease. Home Health Agency Means an organization or entity that is licensed to provide Health Care Services in the home. Hospice Means an organization or entity that furnishes medical services and supplies only to patients who are considered to be Terminally Ill. Hospital Means a facility that: a. Operates pursuant to law; b. Provides 24-hour nursing services by Registered Nurses (R.N.’s) on duty or call; and c. Provides Health Care Services on an inpatient basis for the care and treatment of injured or sick individuals through medical, diagnostic and surgical facilities by or under the supervision of a Physician or a staff of Physicians. Hospitals are classified as follows: a. In-Network Provider Hospital. See definition of In-Network Provider. b. Out-of-Network Provider Hospital. An Out-of-Network Hospital may or may not be a Participating Provider. See definition of Out-of-Network Provider. c. Participating Provider Hospital means a Hospital that contracts with Us or any Blue Cross and/or Blue Shield Plan to provide the Hospital services described in the Contract and accepts the Allowable Charge as full payment for Covered Services except for Copayments, Coinsurance and Deductibles, if any. d. Non-Participating Provider Hospital means an Out-of-Network Hospital that does not have a Participating Provider Hospital contract with Us. Hospital does not include residential or nonresidential treatment facilities; health resorts; nursing homes; Christian Science sanatoria; institutions for exceptional children; Skilled Nursing Facilities; places that are primarily for the care of convalescents; clinics; Physicians’ offices; private homes; ambulatory surgical centers; or Hospices. We have the right to determine whether a facility is a Hospital. Immediate Family Member Means a parent, spouse, child, or sibling and such person's spouse. In-Network Provider Means a Hospital, Physician, Spira Care Center Provider or other provider of medical services and supplies that has a contract to provide services at negotiated rates for Your coverage under an In-Network Provider contract with Us for the Members can receive services from any hospital or physician but receive greater benefits when they use the BlueSelect Plus network. Such In-Network Provider will bill Us directly for Covered Services You receive and will not bill You for any charges above the amount agreed upon by Us and the provider except for Deductible amounts for which You are responsible. In-Network Provider also includes providers outside Our Service Area who participate in other designated Blue Cross and/or Blue Shield Plan networks in the BlueCard® Program. Initial Enrollment Period Means the period of time during which a person is first eligible to enroll under the Contract. It starts on the date of the person's initial date of eligibility and ends 31 days later. Late Enrollee Means a person who requests Coverage under the Contract following his Initial Enrollment Period and who does not qualify to enroll under a Special Enrollment Period, unless either of the following apply: a. The Employer offers multiple health benefit plans and the person elects a different health benefit plan during an Annual Enrollment Period without a lapse in coverage; or b. A court ordered coverage to be provided for a minor child. Medically Necessary (Medical Necessity) Means services and supplies which We, utilizing additional authoritative sources of information and expertise, determine are essential to the health of a Covered Person and are: a. Appropriate and necessary for the symptoms, diagnosis and treatment of a medical or surgical condition; b. In accordance with Our local medical policies, which are consistent with acceptable medical practice according to the national Blue Cross and Blue Shield Association’s uniform medical policy (as amended from time to time); c. Not primarily for the convenience of the Covered Person, nor the Covered Person’s family, Physician or another provider; d. Consistent with the attainment of reasonably achievable outcomes; and e. Reasonably calculated to result in the improvement of the Covered Person’s physiological and psychological functioning. Our determinations regarding Medical Necessity, just like any other determination, may be appealed pursuant to the grievance procedure. Medicare Means Part A or Part B of the insurance program established by Title XVIII, of the United States Social Security Act, as amended. Mental Illness and Substance Abuse Means any disorder as such terms are defined in the American Psychiatric Association Diagnostic and Statistical Manual of Mental Disorders (DSM-IV, 1994). Non-Participating Provider Means an Out-of-Network Hospital, health care facility, Physician, or other provider of medical care or supplies, which has not entered into a contract that defines the method We will use to determine the Allowable Charges for Covered Services. Non-Participating Providers have not agreed to accept our Allowable Charge as payment in full for Covered Services and may require You to pay the difference between what the Non-Participating Providers bills and the payment We will make for Covered Services. You are also responsible for amounts incurred for Non-Covered Services, amounts in excess of any Benefit limits of the Contract, and any applicable Cost-Sharing. Organ Transplant Means surgically removing an organ or tissue from one person (donor) and placing it in another person (recipient) or returning the organ or tissue from the donor to the donor (same person), an autologous organ transplant. Out-of-Network Provider Means a Hospital, Physician or other provider of medical services and supplies that does not have a contract to provide services at negotiated rates for Your coverage under an In-Network Provider contract with Us for the Blue Select Plus network. Out-of-Pocket Maximum Means the total amount of the Calendar Year Deductible, the amount of any Coinsurance and/or Copayments a Covered Person must pay each Calendar Year for Covered Services before Benefits will be paid at 100%. The Out-of-Pocket Maximum does not include: a. Any amount that is above the Allowable Charge; b. Any amount that exceeds a specific maximum for Benefits; c. Any amount for services received from an Out-of-Network Provider, except for Emergency Services. d. Any amount for Covered Services incurred at a non-Designated Transplant Provider for an Organ Transplant; Amounts You pay for Covered Services administered by a Pharmacy Benefit Manager that are processed under the Contract are included in the Out-of-Pocket Maximum. Amounts You pay for non-Covered Services and for services that are denied by Us as not Medically Necessary cannot be used to meet the Out-of-Pocket Maximum. Participating Provider Means an Out-of-Network Hospital, health care facility, Physician, Spira Care Center or other provider of medical care or supplies, which has entered into a contract that defines the method We will use to determine the Allowable Charges for Covered Services. Participating Providers have agreed to accept Our Allowable Charge as payment in full for Covered Services. However, You are responsible for the payment of any Deductible amounts, non-Covered Services and amounts in excess of any Benefit maximums of the Contract. Physician Means anyone qualified and licensed to practice medicine and surgery by the state in which services are rendered who has the degree of Doctor of Medicine (M.D.) or Doctor of Osteopathy (D.O.). Physician also means Doctors of Dentistry and Podiatry as well as Optometrists, Chiropractors and Psychologists when they are acting within the scope of their license. By use of this term and when We are required by state insurance law, We recognize and accept, to the extent of Our obligations under the Contract, other practitioners of medical care and treatment when the services performed are within the lawful scope of the practitioner’s license and are provided pursuant to applicable laws. Physicians are classified as follows: a. Spira Care Center Provider. See the definition of Spira Care Center Provider. b. In-Network Provider Physician. See the definition of In-Network c. Out-of-Network Provider Physician. An Out-of-Network Provider Physician may or may not be a Participating Provider Physician. See the definition of Out-of-Network Provider. d. Participating Provider Physician means a Physician who, by a contract with a Blue Cross and/or Blue Shield Plan, agrees to accept the Allowable Charge as full payment for Covered Services. Any applicable Copayments, Coinsurance and/or Deductible for Covered Services are Your responsibility. e. Non-Participating Provider Physician means a Physician that does not have a Participating Provider Physician contract with Us. Physician Extender Means a Nurse Practitioner, Physician Assistant, Certified Registered Nurse Anesthetist, Physical Therapist Assistant, or Mid-wife. Services received from a Physician Extender will be subject to the Cost-Sharing applicable to the place of services where the service was rendered (e.g. services provided in a Specialist’s office will be subject to the Cost-Sharing for a Specialist). Post-Service Claim Means a request for payment for Covered Services rendered. Pre-Service Claim Means a request for services that require Prior Authorization. Premiums Means the amount paid on a periodic basis for Your coverage under the Contract. Primary Care Physician (PCP) Means an internist, family practitioner, general practitioner, or pediatrician. This includes internists, family practitioners, general practitioners, or pediatricians designated as Spira Care Center Providers. Prior Authorization or Prior Authorized Means the procedure whereby We determine: (a) based on medically recognized criteria, whether or not an Admission to a Hospital as an inpatient is reasonable for the type of services to be received; or, (b) whether any service to be performed is reasonable and Medically Necessary for the condition being treated and the type of services to be provided. Prospective Review Means Utilization Review conducted prior to an Admission or a course of treatment. Reinstatement Means restoring a Contract that has been terminated (for example, because of nonpayment of Premiums). Retrospective Review Means Utilization Review of Medical Necessity that is conducted after services have been provided to a patient, but does not include the review of a claim that is limited to an evaluation of reimbursement levels, veracity of documentation, accuracy of coding or adjudication for payment. Second Opinion Means an opportunity or requirement to obtain a clinical evaluation by a provider other than the one originally making a recommendation for a proposed health service to assess the clinical necessity and appropriateness of the initial proposed health services. Service Area (Sometimes referred to as "Our Service Area") means the geographic area served by Us. Contact Us to determine the geographic area We serve. Skilled Nursing Facility Means a facility that: a. Operates pursuant to law; b. Provides 24-hour nursing services by registered nurses (R.N.’s) on duty or on call; and c. Provides convalescent and long-term illness care with continuous nursing and other Health Care Services by, or under the supervision of, a staff of one or more Physicians and registered nurses. The Skilled Nursing Facility may be operated either independently or as part of an accredited general Hospital. Skilled Nursing Facility also means an extended care facility, convalescent care facility, intermediate care facility or long-term illness facility. Skilled Nursing Facilities are classified as follows: a. Participating Provider Skilled Nursing Facility means a Skilled Nursing Facility that contracts with Us or any Blue Cross and/or Blue Shield Plan to provide the Skilled Nursing Facility Covered Services, if any, described in the Contract and accepts the Allowable Charge as full payment for Covered Services except for Copayments, Coinsurance and/or Deductibles if any. b. Non-Participating Provider Skilled Nursing Facility means a Skilled Nursing Facility which does not have a contract with Us or any Blue Cross and/or Blue Shield Plan. Special Enrollment Period Means a period of time during which a new Dependent may enroll for coverage. It also means a period of time during which an individual who did not enroll for coverage during the individual's Initial Enrollment Period may be eligible to enroll for coverage. Specialist Means Doctors of Medicine (M.D.), Doctors of Osteopathy (D.O.), except Primary Care Physicians, and other medical practitioners when the services performed are within the lawful scope of the practitioner's license, including, but not limited to, optometrists, chiropractors and psychologists. Spira Care Center Means a designated healthcare facility that has contracted with Us to provide primary care and care coordination services exclusively to Covered Persons in Our Service Area as indicated in the Benefit Schedule. Spira Care Center Provider Means any individuals or entities who are 1) Performing covered services in a Spira Care Center, including Primary Care Physicians, Physician Extenders, or behavioral health providers; 2) Performing lab tests or other analyses when the lab was drawn and ordered in a Spira Care Center; and 3) Certain designated providers operating outside a Spira Care Center to provide certain additional Covered Services. A complete list of designated Spira Care providers may be obtained by contacting Us at the telephone number listed on your ID card. Stabilize Means with respect to an Emergency Medical Condition, that no material deterioration of the condition is likely to result or occur before an individual may be transferred. Terminally Ill Refers to a patient that a Physician has certified has 6 months or less to live. Utilization Review Means a set of formal techniques designed to monitor the use of, or evaluate the clinical necessity, appropriateness, efficacy, or efficiency of, Health Care Services, procedures, or settings. Techniques may include Ambulatory Review, Prospective Review, Second Opinion, Certification, Concurrent Review, case management, Discharge Planning or Retrospective Review. Utilization Review shall not include elective requests for clarification of coverage. Waiting Period Means the length of time an Employee must continuously work for the Employer before he is eligible to enroll for coverage under the Contract. The terms of any eligibility condition or Waiting Period imposed will not exceed 90 days in a manner that violates the Affordable Care Act. The terms of any eligibility condition or Waiting Period imposed will not exceed 90 days in a manner that violates the Affordable Care Act. We, Us, Our Means Blue Cross and Blue Shield of Kansas City, the company legally responsible for providing the Benefits for Covered Services under the Contract. You, Your Refers to the Covered Person. SECTION B. ELIGIBILITY, ENROLLMENT AND EFFECTIVE DATE 1. Employee Eligibility To be eligible to enroll as an Employee, a person must be: a. In an eligible class of Employees listed in the Contract and satisfy any Waiting Periods required by the Employer; and b. A legal alien residing in the United States, or a United States citizen. 2. Dependent Eligibility To be eligible to enroll as a Dependent, a person must be: a. The Employee's legal spouse; b. The Employee's or Employee's legal spouse's child. Such child includes: (1) a child by birth; (2) an adopted child; (3) a child under the age of 18 who has been placed with the Employee for the purpose of adoption for whom the Employee has a legal obligation to support; or (4) a child under the age of 18 who has been placed under the Employee’s legal guardianship. Coverage for a Dependent child under this section will apply without regard to whether such child (defined above) is: married, a tax dependent of the Employee or Employee’s spouse, a student, actively employed, or residing with or receiving financial support from the Employee or Employee’s legal spouse. Coverage will be provided until the end of the Calendar Year in which such child reaches the Dependent limiting age; or c. The Employee’s or Employee’s legal spouse’s, unmarried Dependent child (defined above) who has reached the limiting age but who cannot support himself because of a physical or mental handicap. The Dependent’s handicap must have started before the end of the Calendar Year in which the Dependent reached the limiting age and the Dependent must have been continuously covered by Us or a prior health plan at the time of reaching the limiting age. We must receive satisfactory proof of the child’s handicap within 31 days before the Dependent reaches the limiting age, or within 31 days after the Dependent is enrolled for coverage under the Contract to continue coverage beyond the Dependent Limiting Age. In addition, We must receive such satisfactory proof annually following the Dependent's attainment of the limiting age. For disabled dependents, if the Social Security Administration ("SSA") determines that such dependent is totally disabled, then such determination will be accepted as proof for a disabled dependent without further review. For disabled dependents with no SSA determination, or a determination of partial disability, an affidavit is required to be submitted as proof of the disability. The affidavit includes a physician attestation regarding the health of the dependent, as well as criteria regarding the duration of the disability and ability of the dependent to be gainfully employed. It is the Employee’s responsibility to see that Dependent information is kept current. If necessary Dependent information is not in Our files, claims will be rejected for such individuals. Dependents will not be eligible for coverage unless the Employee is covered under the Contract. 3. Enrollment a. Annual Enrollment Period If an Employee has elected coverage under another health plan offered by his Employer, such Employee and his Dependents will not be eligible for coverage under this Contract unless they enroll during the Annual Enrollment Period. During the Employer designated Annual Enrollment Period, an individual who is eligible for coverage as an Employee or Dependent may apply for coverage by submitting to Us a completed Employee application. A Late Enrollee may enroll for coverage during an Annual Enrollment Period. b. Initial Enrollment Period for a Newly Eligible Employee The Effective Date of coverage of a person who first becomes eligible as an Employee will be based on the Employer's Employee Benefit policy, but not later than the first day of the month immediately following satisfaction of the waiting period, if any, and not earlier than the date of hire. If an Employee has Dependents on the date the Employee’s coverage becomes effective, coverage for those Dependents will begin on the Employee’s coverage Effective Date, provided the Employee requests coverage for the Dependents on the Employee application when the Employee enrolled. c. Special Enrollment Periods (1) New Dependents: If a new Dependent is acquired by an Employee due to marriage, birth of a child, adoption of a child, or placement for adoption of a child, the new Dependent, the spouse of an Employee and/or an Employee who previously declined coverage may enroll during this Special Enrollment Period, even if coverage was previously declined. To enroll during this Special Enrollment Period, an Employee must submit to Us a completed Employee application and any additional Premium due within 31 days after the date of marriage, birth, adoption, or placement for adoption. Documentation verifying the event must be provided, if requested. Notwithstanding the above paragraph, if the Employee previously has elected Dependent coverage and such coverage is in effect on the date of the newborn child’s birth, then the Employee’s newborn child will be covered automatically for 31 days from the moment of birth. No additional Premium will be assessed for coverage for these 31 days. If additional Premium is due, the Employee must submit to Us a completed Employee application requesting coverage for such newborn to be added within 31 days of the child’s birth in order to continue such child’s coverage beyond the initial 31 days. Coverage for such a newborn will be subject to all of the terms and conditions of the Contract. If the Employer is advised of the birth either verbally or in writing within 31 days of the date of birth, the Employer must: (i) Provide the Employee with forms and instructions; and (ii) Allow an additional 10 days from the date on which enrollment forms and instructions were provided for the Employee to complete and return the enrollment materials for the newborn. If a child placed for adoption is not legally adopted, coverage for such child will end the earlier of the date on which the Employee’s legal support obligation for the child ends or 280 days after such child’s date of placement. If the new Dependent does not enroll within 31 days of becoming eligible, then the Dependent will be considered a Late Enrollee. (2) Loss of Other Coverage: If an Employee has previously declined coverage for himself and/or his Dependent(s) and the Employee and/or his Dependent(s) were covered under another health plan (including Medicaid, Children’s Health Insurance Plan (CHIP), and nationalized health insurance provided by a foreign government), the Employee and/or his Dependent(s) may enroll if any of the following conditions are satisfied: a. (i) The employer’s contributions toward such coverage were terminated; (ii) The Employee’s and/or his Dependent’s COBRA or state continuation coverage has been exhausted; or (iii) The Employee’s and/or his Dependent’s coverage terminated as a result of loss of eligibility for coverage. Loss of eligibility for coverage does not include termination due to untimely payment of Premiums or termination for cause. Events that could result in a loss of eligibility for coverage include: 1. Legal separation, divorce, no longer qualifying as a dependent under the other coverage, death of an Employee, termination of employment or reduction in the number of hours of employment. 2. Reaching a Lifetime Maximum on all Benefits under coverage offered by an employer. 3. An employer no longer offers any health coverage to a class of similarly situated individuals. b. Except as provided below, the Employee must submit to Us a completed Employee application and any additional Premium due within 31 days after the loss of such other coverage and provide appropriate documentation verifying the loss of such other coverage, if requested. c. If the Employee and/or Dependent lost Medicaid or CHIP coverage, the Employee must submit to Us a completed Employee application and any additional Premium due within 60 days after the loss of such coverage and provide appropriate documentation verifying the loss of such coverage, if requested. (3) Eligibility for Premium Assistance under Medicaid or CHIP. Except as provided below, if an Employee and/or his Dependent become eligible for premium assistance under Medicaid or CHIP and the coverage provided under the Contract is not a high deductible health plan as defined under IRS Code §223, the eligible Employee and/or his eligible Dependents may enroll during this Special Enrollment Period, even if coverage was previously declined. To enroll during this Special Enrollment Period, an Employee must submit to Us a completed Employee application and any additional Premium due within 60 days after eligibility is determined and provide appropriate documentation verifying the eligibility, if requested. (4) Coverage Options: The Employee and/or his Dependents may enroll in any health benefit plan offered by his Employer subject to any qualified employer coverage requirements under the premium assistance rules for Medicaid or CHIP. d. Guardianship A child placed with an Employee for legal guardianship may enroll by submitting to Us a completed Employee application, a copy of the court order awarding guardianship, and any additional Employee Premium due within 31 days of the effective date of the court order. If the Employee does not enroll the child within 31 days of the date of the court order awarding guardianship, then the child will be considered a Late Enrollee. e. Qualified Medical Child Support Order If a Qualified Medical Child Support Order is issued, We must receive a completed Employee application and any additional Employee Premium due within 31 days of the date of the court order. If the child is not enrolled within 31 days of the date of the court order, then the child will be considered a Late Enrollee. f. Employee Application Employees must fully and accurately complete and sign the Employee application. Coverage for all Covered Persons may become null and void from inception if it is determined that You intentionally misrepresented material facts or committed fraud. 4. Effective Date of Coverage Coverage is effective at 12:01 a.m. on the following specified dates subject to all of the terms and conditions of the Contract and the payment of applicable Premium, as follows: a. Annual Enrollment Period If You are eligible for coverage on the Effective Date of the Contract, Your coverage will become effective on that date. If You enroll during any subsequent Annual Enrollment Period, the Effective Date of coverage is the Contract anniversary date. b. Initial Enrollment Period for a Newly Eligible Employee The Effective Date of coverage of a person who first becomes eligible as an Employee will be based on the Employer's Employee Benefit policy, but not later than the first day of the month immediately following satisfaction of the waiting period, if any, and not earlier than the date of hire. If an Employee has Dependents on the date the Employee’s coverage becomes effective, coverage for those Dependents will begin on the Employee’s coverage Effective Date, provided the Employee requests coverage for the Dependents on the Employee application when the Employee enrolled. c. Special Enrollment Period (1) New Dependents: If an individual enrolls during a Special Enrollment Period due to acquiring a new Dependent, coverage is effective as follows: (a) In the case of marriage, the first day of the month following the date of the marriage. (b) In the case of the birth of a child, the date of such birth. (c) In the case of adoption of a child, the earlier of: (i) the moment of birth for a newborn child if a petition for adoption was filed within 31 days of the birth of the child; (ii) the date the petition for adoption was filed; or (iii) on the child’s date of placement. Date of placement means the date You assume the legal obligation for total or partial support of the child to be adopted in connection with formal adoption proceedings. (2) Loss of Other Coverage: If an individual enrolls under the Special Enrollment Period due to a loss of coverage, coverage is effective on the first day following the date the other coverage terminates. (3) Eligibility for Premium Assistance under Medicaid or CHIP. If an individual enrolls under the Special Enrollment Period due to becoming eligible for premium assistance under Medicaid or CHIP, coverage is effective on the first day following the date that eligibility for the premium assistance subsidy is determined or as otherwise required by law. d. Late Enrollees The Effective Date of coverage for an individual who is a Late Enrollee is the next Contract anniversary date. e. Guardianship In the case of a child placed for guardianship, the Effective Date of coverage is the date the court order awarding guardianship is legally effective. f. Qualified Medical Child Support Order Notwithstanding any provision in the Contract to the contrary, children who are the subject of a "Qualified Medical Child Support Order" will be eligible for coverage in accordance with such order, provided the order is "qualified" in accordance with Section 609 of ERISA. In the event a medical child support order is received, the Employer will: (1) Promptly notify the participant and each alternate recipient of such order and the procedures for determining whether an order is a Qualified Medical Child Support Order; (2) Within a reasonable period after receipt of such order, determine whether such order is a Qualified Medical Child Support Order and notify the participant and each alternate recipient of such determination; and (3) Permit an alternate recipient to designate a representative for receipt of copies of notices that are sent to the alternate recipient with respect to a medical child support order. Coverage for such child will be provided in accordance with the requirements of the order, applicable federal laws, and all other terms and conditions of the Contract. g. Extension of Benefits from Prior Plan If You are covered under an extension of benefits under a prior plan, coverage under the Contract will become effective in accordance with the above provisions and coverage under this Contract will be primary. Services or supplies that are covered, or required to be covered, under an extension of benefits provision under the prior plan will be covered under the Contract subject to the Contract's Covered Services section and Coordination of Benefits section. 5. Dual Coverage For the same Employer-sponsored coverage, an individual cannot be covered under this Contract simultaneously as an Employee and a Dependent, nor can an individual be covered under this Contract simultaneously as a Dependent of more than one Employee. If an eligible Employee and/or Dependent declines coverage under this Contract due to having Dependent coverage under the “other” Employee’s coverage and subsequently ceases to be an eligible Dependent under such “other” Employee’s coverage, such individual may be eligible for Employee coverage, and, if applicable, Dependent coverage subject to the Special Enrollment Periods section of this Contract. 6. Section 125 Eligibility The eligibility provisions of Your Employer’s Section 125 plan are incorporated into this Section provided such provisions are consistent with the final permitted mid-year election changes outlined under Treas. Reg. §1.125-4 and §1.125-3. Your Employer will determine who is eligible under this provision and will advise Us of such person’s eligibility and Effective Dates of coverage. SECTION C. COVERED SERVICES This section describes the Benefits for Covered Services available under the Contract. All Covered Services are subject to the conditions, limitations and exclusions of the Contract. Covered Services Covered Services under the Contract are set forth in this section. All Covered Services are subject to Deductible, Copayment, and Coinsurance requirements and the limitations and exclusions of the Contract. The specified services and supplies will be Covered Services only if they are: a. Incurred for a Covered Person while coverage is effective; b. Performed, prescribed or ordered by a Physician; c. Medically Necessary for the treatment of Your injury or illness, except for specifically listed routine preventive or diagnostic services; d. Not excluded under the Contract; and e. Received in accordance with the requirements of the Contract. f. Received from In-Network Providers, except as described in the Emergency Services provision, Mental Health provision or if You receive services from an Out-of-Network Provider Prior Authorized by Us due to being diagnosed with a life threatening condition or disabling degenerative disease. Benefits We provide Benefits for Covered Services in excess of the Deductible and Copayments. All Covered Services are subject to the maximums and other limits and conditions specified in the Contract. Services from Out-of-Network Providers If You have a life-threatening condition or disease, or a degenerative and disabling condition or disease, either of which requires specialized Prior Authorized by Us medical care over a prolonged period of time, You may receive services from an Out-of-Network specialty care center with expertise in treating such condition when such services are Prior Authorized by Us. If We or Your In-Network Provider, in consultation with one of Our Medical Directors, determines that Your care would be most appropriately provided by a specialty care center, We shall Prior Authorize these services from such center. Such services shall be pursuant to a treatment plan developed by the specialty care center and approved by Us, in consultation with the In-Network Provider, if any, or a Specialist as designated previously, and You or Your designee. If We Prior Authorize services from a specialty care center which is not an In-Network Provider, services provided pursuant to the approved treatment plan shall be provided at no greater cost to You than if such services were obtained from an In-Network Provider. A specialty care center shall mean only such centers accredited or designated by an agency of the state or federal government or by a voluntary national health organization as having special expertise in treating such condition or disease for which it is accredited or designated. You must satisfy the Deductible requirement for services received from In-Network Providers and a separate Deductible requirement for services received from Out-of-Network Providers. Amounts You pay towards satisfaction of the Deductible requirement for Emergency Services will apply to Your In-Network Provider Deductible, regardless of whether services are received from an In-Network or Out-of-Network Provider. Copayments Copayments are a specified charge that You must pay each time You receive a service of a particular type or in a designated setting. Whenever a Copayment applies towards a Covered Service, the Deductible does not apply, except as specified for Emergency Services. Copayments are shown in the Benefit Schedule. Out-of-Pocket Maximum After a combination of covered family members have satisfied the family Out-of-Pocket Maximum for a Calendar Year, the Out-of-Pocket Maximum will be considered satisfied for all family members. You will have an Out-of-Pocket Maximum for services received from In-Network Providers. The only exception is for Cost-Sharing for Emergency Services, which will apply to Your In-Network Provider Out-of-Pocket Maximum, regardless of whether services are received from an In-Network or Out-of-Network Provider. Please see the definition of Out-of-Pocket Maximum for a listing of expenses that do not apply to the Out-of-Pocket Maximum. Prior Authorization Services that must be Prior Authorized by Us will state so in the applicable Covered Service provision. Please visit http://www.bluekc.com/pa for the current list of services that must be Prior Authorized. The following explanation outlines Your responsibilities for obtaining such approval and the consequences of obtaining such services when they have not been Prior Authorized. Services Received from In-Network Providers Inside Our Service Area – If these services are not Prior Authorized, the admitting Physician, provider and/or Hospital will be responsible for the cost associated with such services, regardless of Medical Necessity. Services Received from In-Network Providers Outside Our Service Area – If these services are not Prior Authorized, You will be responsible for the cost associated with such services, regardless of Medical Necessity. In the case of a maternity or an inpatient Admission due to an Emergency Medical Condition, You must notify Us within 48 hours of the Admission or as soon thereafter as reasonably possible. Benefits will be limited to the length of stay approved by Us. When the approved length of stay must be extended for Medically Necessary reasons, You or Your attending Physician, on Your behalf, must contact Us in advance to obtain Our approval for the additional days. Failure to provide such notice or obtain Prior Authorization or approval for additional days will result in You being responsible for the cost of the service regardless of Medical Necessity. The following information provides a detailed description of Covered Services: 1. Accident-Related and Other Dental Services Accidental Injury We provide Benefits for dental services only when such services are for treatment of an Accidental Injury. Covered Services are limited to treatment of natural teeth and the purchase, repair or replacement of dental prostheses needed as a direct result of an Accidental Injury (except injury resulting from biting or chewing). Treatment must be completed within 12 months of the date of the Accidental Injury to be considered a Covered Service, unless the medical condition of the Covered Person prevents treatment from being rendered within 12 months of the date of the Accidental Injury. Covered Services also include treatment of jaw fractures or complete dislocations and diagnostic x-rays in connection with these fractures and dislocations. We provide Benefits for: Tooth Extractions Extraction of the tooth (teeth) and services related to such extraction(s) when performed in conjunction with the treatment of head and/or neck tumor(s). Dental Implants Dental implants and bone grafts for the following conditions: a. The repair of defects in the jaw due to tumor/cyst removal; b. Severe atrophy in a toothless arch; c. Exposure of nerves; d. Non-union of a jaw fracture; e. Loss of tooth (teeth) due to an Accidental Injury; and f. Correction of a defect diagnosed within 31 days of birth. Dental prostheses over an implant are not covered unless the dental implant was due to an Accidental Injury or due to a correction of a defect diagnosed within 31 days of birth. Dental implants and bone grafts must be Prior Authorized by Us. Orthognathic Surgery We provide Benefits for orthognathic surgery for the following conditions: a. Correction of a congenital birth defect or abnormality diagnosed within 31 days of birth; or b. Correction of a defect due to an Accidental Injury. Treatment for correction of a defect due to an Accidental Injury must be completed within 12 months of the date of the Accidental Injury to be considered a Covered Service, unless the medical condition of the Covered Person prevents treatment from being rendered within 12 months of the date of the Accidental Injury. c. For the treatment of medically diagnosed cleft lip, cleft palate, ectodermal dysplasia, non-dental lesions, and incision/drainage of infection of soft tissue (not including odontogenic cysts or abscesses) d. Correction of other medical conditions according to Our medical policy (such as difficulty swallowing, speech abnormalities, intraoral trauma related to malocclusion, masticatory dysfunction or malocclusion, or obstructive sleep apnea. Temporomandibular Joint Disorder We provide Benefits for the surgical treatment of temporomandibular joint disorder. We provide Benefits for the medical or dental management of temporomandibular joint disorder only in connection with acute dislocation of the mandible due to trauma, fractures or tumors. Complications of Dental Treatment We provide Benefits for inpatient Hospital services required as a result of complications of dental treatment. Covered Services are limited to services that cannot be adequately provided in an outpatient setting. 2. Allergy We provide Benefits for allergy services provided in a Physician’s office. Covered Services are limited to office visits and Medically Necessary testing, injections, and allergy antigens. 3. Ambulance Services We provide Benefits for transportation by a licensed Ambulance service when it is Medically Necessary to transport You from the place where an Accidental Injury or other Emergency Medical Condition occurred, to the nearest facility where appropriate treatment can be obtained. Covered Services include ambulance services provided by ground, water, and air Ambulance. Covered Services include transportation by an air Ambulance only when it is Medically Necessary to utilize an air Ambulance and will be limited to transportation to the nearest facility where appropriate treatment can be obtained. Benefits for a ground Ambulance may be limited to a maximum allowable charge for each usage if indicated in the Benefit Schedule. 4. Anesthesia Medical We provide Benefits for anesthesia materials and their administration if the surgical, orthopedic, diagnostic, or obstetrical service requiring the anesthesia is covered. Covered Services must be provided by a Physician (other than the operating Physician) or Certified Registered Nurse Anesthetist (CRNA). Anesthesia services provided in an In-Network facility will be subject to the In-Network Provider Deductible and In-Network Provider Out-of-Pocket Maximum provisions of the Contract and will be paid at the In-Network Provider Coinsurance level. Dental We provide Benefits for general anesthesia materials, their administration, and medical care facility charges for dental care if provided to the following Covered Persons: a. Children age 5 and under; b. Persons who are severely disabled; or c. Persons who have medical or behavioral conditions requiring hospitalization or general anesthesia when dental care is provided; whether such services are provided in a Hospital, surgical center, or office. Covered Services must be provided by a Physician, Certified Registered Nurse Anesthetist (CRNA) or Dentist. 5. Autism Spectrum Disorder The following definitions apply to this section: Applied Behavior Analysis (ABA) means the design, implementation, and evaluation of environmental modifications, using behavioral stimuli and consequences, to produce socially significant improvement in human behavior, including the use of direct observation, measurement, and functional analysis of the relationships between environment and behavior. Applied Behavior Analysis does not include cognitive therapies or psychological testing, personality assessment, intellectual assessment, neuropsychological assessment, psychotherapy, cognitive therapy, sex therapy, psychoanalysis, hypnotherapy, family therapy and long-term counseling as treatment modalities. Autism Service Provider means: a. Any person, entity, or group that provides diagnostic or treatment services for Autism Spectrum Disorders who is licensed or certified by the state in which services were rendered to provide health care services; or b. In states that do not have licensure and/or certification requirements, any person who is a Behavioral Analyst with national certification from the Behavior Analyst Certification Board; c. Any person who is licensed by the Kansas Behavioral Sciences Regulatory Board as a licensed behavior analyst or a licensed assistant behavior analyst, or who is obtaining supervised field experience under a licensed behavior analyst. Autism Spectrum Disorders means a neurobiological disorder, an illness of the nervous system, which includes Autistic Disorder, Asperger's Disorder, Pervasive Developmental Disorder Not Otherwise Specified, Rett's Disorder, and Childhood Disintegrative Disorder as defined within the DSM-IV. Diagnosis of Autism Spectrum Disorders means medically necessary assessments, evaluations, or tests performed by a licensed physician, licensed psychologist, or licensed specialist clinical social worker in order to diagnose whether an individual has an Autism Spectrum Disorder. Treatment for Autism Spectrum Disorder means care prescribed or ordered for an individual diagnosed with an Autism Spectrum Disorder by a licensed physician or licensed psychologist or licensed specialist clinical social worker, including equipment medically necessary for such care, pursuant to the powers granted under such licensed physician's or licensed psychologist's license. We provide Benefits for the diagnosis and treatment of Autism Spectrum Disorders when prescribed or ordered for an individual diagnosed with an Autism Spectrum Disorder by a licensed physician or licensed psychologist, including equipment medically necessary for such care. The Benefits for Applied Behavior Analysis are subject to the same Copayment and/or Coinsurance provisions as other Covered Services for Covered Persons until their 19th birthday. Such maximum benefit limit may be exceeded, upon prior approval by Lucet, if the provision of ABA therapy beyond the maximum limit is Medically Necessary for a Covered Person. Coverage for Applied Behavior Analysis is limited to Medically Necessary treatment ordered by the treating physician or psychologist in accordance with the treatment plan for Covered Persons under the age of 19. An ABA therapy treatment plan must include all elements necessary for Us to pay the claim. Except for inpatient services, We have the right to review the treatment plan once every six months unless the treating physician agrees a more frequent review is necessary. Notwithstanding any provision in the Certificate to the contrary, services provided by an Autism Service Provider for Speech Therapy, Occupational Therapy or Physical Therapy will not be subject to any visit limits and shall not be subject to the age limitations described in this subsection, except for Applied Behavior Analysis. ABA services must be Prior Authorized by Lucet. 6. Bone Marrow Testing We provide Benefits for bone marrow testing. Covered Services are limited to Human Leukocyte Antigen testing for A, B and DR antigens used in bone marrow transplantation. 7. Chemotherapy We provide Benefits for chemotherapy, including oral chemotherapy drugs. 8. Clinical Trials We provide Benefits for Routine Patient Care Costs as the result of a Phase I, II, III, or IV clinical trial for the purposes of prevention, early detection, or treatment of cancer or other life-threatening disease or condition, if approved by one of the following entities and the treating facility and personnel have the expertise and training to provide the treatment and treat a sufficient number of patients: a. National Institute of Health (NIH); b. Center for Disease Control and Prevention (CDC); c. Agency for Health Care Research and Quality; d. Centers for Medicare and Medicaid Services; e. A cooperative group or center of those listed in a. through d., or of the Department of Defense or Veteran Affairs f. A qualified non-research entity identified in the guidelines issued by the NIH g. If certain conditions are met, the Department of Veteran Affairs, the Department of Defense, or the Department of Energy h. The FDA in the form of an investigational new drug application i. A drug trial that is exempt from the requirement of a FDA new drug application Routine Patient Care Costs are defined as follows: a. Drugs and devices that have been approved for sale by the FDA, regardless of whether they have been approved by the FDA for use in treating the patient’s particular condition; b. Reasonable and Medically Necessary services needed to administer a drug or device under evaluation in a clinical trial; and c. All other items and services that are otherwise generally available in the clinical trial, except: i. The Investigational item, device, or service itself; ii. Items and services provided solely to satisfy data collection and analysis needs and that are not used in the direct clinical management of the patient; iii. Costs for services clearly inconsistent with widely accepted and established standards of care for a particular diagnosis, or iv. Items and services customarily provided by the research sponsors free of charge for any enrollee in the trial. These services must be Prior Authorized by Us. 9. Cochlear Implants We provide Benefits for cochlear implants. Covered Services include the initial cochlear implant, Medically Necessary repairs and replacements that are no longer covered under warranty, and related implant services (including batteries). Initial and replacement cochlear implants must be Prior Authorized by Us. Implant repairs and replacement parts (including batteries) do not require Prior Authorization. 10. Cranial (head) Remodeling Devices We provide Benefits for cranial (head) remodeling devices, including but not limited to Dynamic Orthotic Cranioplasty ("DOC Bands") when Medically Necessary for the treatment of congenital birth defects and birth abnormalities. 11. Diabetes We provide Benefits for the treatment of diabetes. Covered Services are limited to self-management training (including diet counseling from a registered dietician or certified diabetes educator) and Physician prescribed Medically Necessary equipment and Tier 1 supplies used in the management and treatment of diabetes. Benefits are available only for Covered Persons with gestational, type I or type II diabetes. Insulin, oral anti-diabetic agents, syringes, test strips, lancets, needles and glucometers are Covered Services under the Outpatient Prescription Drug Benefit. We provide Benefits for one pair of Diabetic Shoes and up to a maximum of 3 pair of inserts for the diabetic shoes per Covered Person per Calendar Year. 12. Diagnostic Services We provide Benefits for diagnostic services including x-ray examinations, laboratory services, other diagnostic procedures and tests required to diagnose an illness, injury, or other Covered Service. Covered Services do not include screening examinations or routine physical examinations unless these services are specifically listed as Covered Services under the Routine Preventive Care Benefit in this section. Benefits for diagnostic services may vary based on where the services are rendered as indicated in the Benefit Schedule. Any Diagnostic Services provided in a Spira Care Center will be covered at 100% as indicated in the Benefit Schedule. Prostate Specific Antigen (PSA) Tests, Pap Smears, and Mammograms The lab and x-ray services related to Prostate Specific Antigen (PSA) tests, pap smears, and mammograms will be covered at 100% of the Allowable Charge when provided by an In-Network Provider. Any office visit charges incurred in conjunction with these services will be subject to the office visit Cost-Sharing requirements of the Contract, the same as any other services. Outpatient Colorectal Cancer Exams and lab tests Outpatient Colorectal cancer exams, and laboratory tests and related Physician Services consisting of a digital rectal exam and including fecal occult blood tests; flexible sigmoidoscopy; colonoscopy; or double contrast barium enema will be covered at 100% of the Allowable Charge when provided by an In-Network Provider. Computed Tomography (CT), Computed Tomography Angiography (CTA), Magnetic Resonance Imaging (MRI), Magnetic Resonance Angiogram (MRA), Positron Emission Tomography (PET), Nuclear Medicine, Cardiac Nuclear Medicine, Echo, and Stress Echo must be Prior Authorized by Us. 13. Dialysis We provide Benefits for hemodialysis and peritoneal dialysis services. 14. Durable Medical Equipment We provide Benefits for the rental or purchase of durable medical equipment (DME) for use outside a Hospital subject to the following conditions: a. Use of DME will be authorized for a limited period of time; b. We retain the right to possess the equipment and You agree to cooperate with Us in arrangements to return the equipment following Your authorized use; and c. We have the right to stop covering the rental when the item is no longer Medically Necessary. Covered Services are limited to the basic DME which meets the minimum specifications which are Medically Necessary. Covered Services include: a. Hand-operated wheelchairs; b. Hand-operated hospital-type beds; c. Oxygen and the equipment for its administration; d. Mechanical equipment for the treatment of chronic or acute respiratory failure (ventilators and respirators); and e. Oral appliances for sleep apnea. When Medically Necessary, an electrically operated bed or wheelchair may be covered. The wide variety of DME and continuing development of patient care equipment makes it impractical to provide a complete listing. Covered DME includes those items covered by Medicare unless otherwise specified. Covered Services include some warning or monitoring devices, including but not limited to home apnea monitors for infants, 24 hour event monitors (not including 24 hour blood pressure devices), 24 hour ECG monitors ("Holter"), and home oximetry monitors. Covered Services do not include repair or replacement required as a result of abuse or misuse of DME. Covered Services also do not include repair or replacement required as the result of stolen, lost, destroyed, or damaged DME. If repair or replacement of DME is authorized, We retain the option to determine whether to repair or replace the equipment. Covered Services do not include muscle stimulators; portable paraffin bath units; sitz bath units; stethoscopes, or blood pressure devices; nor items for comfort or convenience, such as but not limited to spas, whirlpools, Jacuzzis, hot tubs, humidifiers, dehumidifiers and air conditioners. Covered Services also do not include DME that would normally be provided by a Skilled Nursing Facility. See the Exclusions section of the Contract for additional exclusions which may apply. DME must be Prior Authorized by Us. 15. Elective Sterilization We provide Benefits for elective sterilization. Elective sterilization services for women and men are Covered Services under the Routine Preventive Care Benefit. 16. Electrical Stimulation We provide Benefits for certain types of electrical stimulation. Covered Services are limited to: a. Spinal cord electrical stimulation and electrical stimulation for bone growth; b. electrical stimulation of the spine as an adjunct to spinal fusion and sacral nerve neuromodulation; c. spinal cord stimulation for chronic pain unresponsive to standard therapies; d. electrical bone growth stimulation for fracture nonunions or congenital pseudoarthroses; e. electrical bone growth stimulation of the spine as an adjunct to spinal fusion; f. sacral nerve neuromodulation for urinary dysfunction; g. vagus nerve stimulation for the treatment of refractory or intractable seizures; h. deep brain stimulation for tremor associated with Parkinson’s or essential tremor; i. phrenic nerve stimulation. 17. Emergency Services And Supplies We provide Benefits for the treatment of Emergency Medical Conditions. You must notify Us of any emergency Admission within 48 hours of the time of the Admission or as soon as is reasonably possible. Emergency Services are subject to the Deductible requirements of the Contract if any. If you are admitted to an Out-of-Network Hospital following an observation stay, services are subject to the Deductible requirements of the Contract. Services will be covered under this Benefit to evaluate or treat an Emergency Medical Condition. A subsequent admission to the hospital will be covered under the Inpatient Hospital Services benefit. 18. Formula and Food Products for Phenylketonuria (PKU) We provide Benefits for formula and low protein modified food products recommended by a Physician for the treatment of Phenylketonuria (PKU) or any inherited disease of amino and organic acids. Covered Services may be limited to a Calendar Year Maximum if indicated in the Benefit Schedule. Low protein modified food products are limited to those products specifically formulated to have less than one gram of protein per serving and are intended to be used under the direction of a Physician for the dietary treatment of any inherited metabolic disease. Low protein modified food products do not include foods that are naturally low in protein. These services must be Prior Authorized by Us. 19. Home Health Services We provide Benefits for home health services provided in the home or other outpatient setting. Covered Services may be limited to a Calendar Year Maximum if indicated in the Benefit Schedule and are subject to all of the following conditions: a. Covered Services are limited to part-time skilled nursing care, part-time services from home health aides, private duty nursing, physical therapy, occupational therapy or speech therapy; b. The services are received as an alternative to inpatient Confinement in a Hospital or Skilled Nursing Facility; and c. Your Physician determines that You need home health care and designs a home health care plan for You. A visit is defined as no more than 2 hours. If private duty nursing is approved, services exceeding the 2 hour limit will accumulate as one or more additional visits. Covered Services do not include meals delivered to Your home, custodial care, companionship, and homemaker services. 20. Hospice Services We provide Benefits for Hospice services if a Physician certifies that You are Terminally Ill. Covered Services are limited to palliative care. If We determine the care provided is not palliative care, Benefits under Hospice Services are not Covered Services. Home Hospice a. Covered Services are limited to the following home Hospice services: (1) Assessment and initial testing. (2) Family counseling of Immediate Family Members. (3) Non-prescription pharmaceuticals. (4) Medical supplies. (5) Respite care. (6) Professional, medical, social, and pastoral counseling services provided by salaried employees of the Hospice. (7) Supportive services to the bereaved family members for up to 3 months following the death of the Covered Person. b. Covered Services do not include: (1) Services for which there is no charge. (2) Services related to organization or dispensation of nonmedical, personal, legal, and financial affairs such as, but not limited to, the execution of a will. (3) Services received in a free standing Hospice facility, a Hospital-based Hospice, or provided to a Hospital bed patient except that Covered Services will be provided for an assessment visit, family counseling and supportive services to the bereaved Immediate Family Members. (4) Services received by persons other than the Covered Person or his Immediate Family Members. (5) Services received from Hospice organizations that do not have a contract with a Blue Cross and/or Blue Shield Plan to provide such services to Covered Persons. Inpatient Hospice a. Covered Services are limited to services and supplies furnished by an Inpatient Hospice. Covered Services are limited to those You are eligible to receive as a Hospital bed patient and that would otherwise require confinement in a Hospital or Skilled Nursing Facility and also include the following services. (1) Assessment and initial testing. (2) Family counseling of Immediate Family Members. (3) Professional, medical, social, and pastoral counseling services provided by salaried employees of the Hospice. (4) Supportive services to the bereaved family members for up to 3 months following the death of the Covered Person. b. Covered Services do not include: (1) Services for which there is no charge. (2) Services related to organization or dispensation of nonmedical, personal, legal, and financial affairs such as, but not limited to, the execution of a will. (3) Services received by persons other than the Covered Person or his Immediate Family Members. (4) Services received from Hospice organizations that do not have a contract with a Blue Cross and/or Blue Shield Plan to provide such services to Covered Persons. (5) Respite care. Covered Services may be limited to a lifetime maximum if indicated in the Benefit Schedule. Inpatient Hospice services must be Prior Authorized by Us. ### 21. Immunizations for Children We provide Benefits for routine and necessary childhood immunizations for covered Dependent children. Covered Services include: (1) at least 5 doses of vaccine against diphtheria, pertussis, tetanus; (2) at least 4 doses of vaccine against polio, Haemophilus Influenza Type b (Hib); (3) at least 3 doses of vaccine against Hepatitis B; (4) 2 doses of vaccine against measles, mumps, and rubella; (5) 2 doses of vaccine against varicella; (6) at least 4 doses of vaccine against pediatric pneumococcal (PCV7); (7) 1 dose of vaccine against influenza; (8) at least one dose of vaccine against Hepatitis A; (9) 3 doses of vaccine against Rotavirus; and (10) such other vaccines and dosages as may be prescribed by the State Department of Health. Covered Services are limited to immunizations administered to each covered Dependent child age 6 and under. Covered Services for routine and necessary immunizations will be provided at 100% of the Allowable. Covered Services include catch-up immunizations for a Dependent child over the age of 6 who has not previously received the immunization. Catch-up immunizations for Covered Persons over the age of 6 will not be subject to any Cost-Sharing when received from an In-Network Provider. Any office visit charges incurred in conjunction with these immunizations will be subject to any applicable office visit Deductible requirements of the Contract as outlined in the Benefit Schedule, the same as any other services. For information regarding Benefits for other immunizations, if any, see the Routine Preventive Care Benefit in the Covered Services Section. 22. Infertility/Impotency Benefit We provide Benefits for the diagnosis and treatment (including drugs) of infertility and/or impotency. Covered Services may be limited to a combined Lifetime Maximum if indicated in the Benefit Schedule. Infertility We provide Benefits for procedures, services or supplies (including drugs) received for or in preparation for any diagnosis or treatment of infertility and any related complications. Covered Services do NOT include reversal of sterilization, all artificial means of conception including but not limited to sperm collection and/or preservation, egg collection and/or preservation, artificial insemination, in vitro fertilization, in vivo fertilization, embryo transplants, gamete intra fallopian transplant (GIFT), zygote intra fallopian transplant (ZIFT), and related tests and procedures, surrogate parenting, not Medically Necessary amniocentesis, and any other experimental fertilization procedure. ‘Infertility’ as used here means any medical condition causing the inability or diminished ability to reproduce. Impotency We provide Benefits for procedures, services, or supplies (including drugs and devices) received for or in preparation for any diagnosis or treatment of impotency and any related complications. Covered Services do NOT include penile implants. 23. Infusion Therapy and Self-Injectables Infusion Therapy We provide Benefits for infusion therapy services and supplies. Infusion therapy is the administration of drugs or nutrients using specialized delivery systems which otherwise would have required You to be hospitalized. Infusion therapy in Your home or a Physician’s office will be a Covered Service only if all of the following conditions are met: a. If You did not receive infusion therapy at home or in Your Physician's office, You would have to receive such services in a Hospital or Skilled Nursing Facility; b. The services are ordered by a Physician and provided by an infusion therapy provider or Physician licensed to provide such services. c. Services are Prior Authorized by Us. Injectables We provide Benefits for injectables administered in the Physician’s office or in the home setting. These services may require Prior Authorization by Us. Covered Services for growth hormones are limited to treatment for pediatric growth deficiency. Most injectables are processed under Your outpatient prescription drug benefit; however, selected injectables may be processed under Your medical benefit. Please refer to the Prescription Drug List for a listing of injectables that are processed under Your medical benefit or visit Our website at www.bluekc.com for a current listing. This list is subject to change without prior notice and is based on the recommendations of community Physicians and pharmacists. Allergy injections and insulin are not Covered Services under this Benefit. Please see the Allergy and Diabetes Benefits in the Contract for a description of how allergy injections and insulin are covered. Covered Services for infusion therapy and injectables are subject to the home health Benefit visit limit, if any, when provided by a Home Health Agency in conjunction with home health services that have been Prior Authorized by Us. Certain infusion therapy / injectable drugs may not be Medically Necessary when received in an outpatient hospital facility. However, such infusion therapy / injectable drugs may be covered when received at certain outpatient hospital facilities. Please contact Customer Service for a list of such drugs and facilities. 24. Inpatient Hospital Services We provide Benefits for inpatient services at a Hospital for evaluation or treatment of conditions that cannot be adequately treated in an outpatient setting. Covered Services include room and board; general nursing care; intensive care services; operating and treatment rooms and their equipment; drugs, medications, and biologicals; durable medical equipment; emergency rooms and their equipment and supplies; dressings, splints, and casts; electroshock or drug-induced shock therapy; blood and the administration of blood and blood products. Personal care or convenience items are not covered. All Admissions, except maternity and emergency Admissions, must be Prior Authorized by Us. We require notification of emergency and maternity Admissions within 48 hours of the Admission or as soon as reasonably possible. 25. Maternity Services and Related Newborn Care We provide Benefits for maternity services. Covered Services include a nuchal translucency scan at 12-14 weeks gestation and a routine obstetrical ultrasound at 20 weeks. Covered Services are limited to prenatal, obstetrical and postpartum services. Covered Services also include genetic testing of fetal tissue. Covered Services do not include carrier genetic testing. Covered Services include an inpatient stay of at least 48 hours for a covered mother and a covered newborn child following any vaginal delivery or 96 hours following a cesarean section delivery. If the attending Physician, after consulting with the mother, authorizes a shorter inpatient Confinement, We will provide Benefits for post-discharge care. If the mother and newborn child are discharged early, Covered Services include post-discharge care for a covered mother and a covered newborn child for 2 visits (at least 1 visit in home) by a Physician or registered professional nurse with experience in maternal and child health nursing. Such services include, but are not limited to, physical assessment of the mother and newborn child; parent education; assistance and training in breast or bottle feeding; education and services for immunizations; and, appropriate chemical tests and submission of a metabolic specimen to the state laboratory. Services provided for a covered newborn child and routine Hospital nursery services provided during the Hospital Confinement, are eligible for Benefits under the newborn child’s Dependent coverage. Benefits shall also include coverage during the confinement for injury or sickness including the necessary care and treatment of medically diagnosed congenital defects and birth abnormalities. If both the mother and newborn child are covered under this Contract, the routine Hospital nursery services are not subject to the child’s Deductible. If Your plan provides coverage for routine Physician examinations, the Physician services associated with the routine Hospital nursery stay will be subject to the child’s Deductible. Routine Physician examinations will be covered at no Cost-Sharing if indicated under the Routine Preventive Care Benefit. Dependent daughters are not covered for maternity services. Complications of Pregnancy Covered Services include care (medical or surgical) required for medical Complications of Pregnancy resulting from or occurring during a pregnancy. If a child is adopted by a covered Employee within 90 days of birth, Covered Services include obstetrical and delivery expenses only for the birth mother incurred at the time of the birth of such child. Covered Services do not include elective pregnancy termination, except when the life of the mother would be endangered if the fetus was carried to term. --- 26. Mental Illness and Substance Abuse We provide Benefits for the treatment of Mental Illness and Substance Abuse as indicated in the Benefit Schedule. Lucet performs intake services designed to provide crisis intervention, assessment, benefits management and referral services. Covered Services are provided for Medically Necessary outpatient evaluation and treatment of Mental Illness and Substance Abuse. Covered Services for inpatient services are limited to Hospital and Physician services when You are confined in any Hospital or other residential facility licensed to provide such treatment. Inpatient and Residential Mental Illness and Substance Abuse Services must be Prior Authorized by Lucet. Mental Illness and Substance Abuse Services rendered by In-Network Providers are provided as follows: a. Outpatient Treatment Services for outpatient treatment will be covered to the same extent as any other illness as indicated in the Benefit Schedule. Covered Services include partial outpatient hospitalization and intensive outpatient services. These services will be subject to the Cost-Sharing indicated for Outpatient Mental Illness Therapy or Outpatient Substance Abuse Treatment. b. Inpatient Treatment (including Residential Treatment) Services for inpatient treatment will be covered to the same extent as any other illness as indicated in the Benefit Schedule. For coverage for psychotherapeutic drugs, please see the Outpatient Prescription Drug Benefit. --- 27. Nutritional/Diet Counseling We provide Benefits for office visits for nutritional or diet counseling for any diagnosis when received at a facility or from a Physician. 28. Organ Transplants We provide Benefits for Organ Transplants. These services must be Prior Authorized by Us. If it appears that You may need an Organ Transplant, We encourage You to review these Covered Services with Your Physician. Covered Services may be limited to an Organ Transplant Lifetime Maximum if indicated in the Benefit Schedule. Covered Organ Transplant Services Covered Services are limited to services and supplies for Organ Transplants when ordered by a Physician. Such services include, but are not limited to, Hospital charges, Physician charges, organ procurement, and ancillary services. Designated Transplant Provider A Designated Transplant Provider is a provider who has entered into an agreement with Us, or through a national organ transplant network with which We contract to render Organ Transplant Services. Designated Transplant Providers will be determined by Us and may or may not be located within Our Service Area. In-Network Providers Benefits will be paid at the In-Network Provider level only if Organ transplant services are provided at a Designated Transplant Provider. Donor Covered Services The following apply when a human Organ Transplant is provided from a living donor to a transplant recipient: a. When both the recipient and the donor are covered under the Contract, Covered Services received by the donor and recipient will be provided. b. When only the recipient is covered under the Contract, both the donor and the recipient are entitled to the Covered Services of the Contract. The donor's Covered Services are limited to only those Benefits which are not provided by or available to the donor from any other source. This includes, but is not limited to, other health care plan coverage or any government program. Covered Services provided to a donor will be applied towards the recipient’s Benefit limits under the Contract. c. When only the donor is covered under the Contract, Covered Services are limited to only those services which are not provided by or available to the donor from any other source. This includes, but is not limited to, other health care plan coverage or any government program. No Covered Services will be provided to a transplant recipient who is not covered under the Contract. d. If any organ or tissue is sold rather than donated to a recipient covered under the Contract, no Covered Services will be provided for the purchase price of such organ or tissue. However, other costs related to evaluation and organ "Procurement Services" are covered. As used herein, "Procurement Services" are the services provided to match the human organ donor to the transplant recipient, surgically remove the organ from the donor and transport the organ to the location of the recipient within 24 hours after the match is made. Immunosuppressant Drugs We provide Benefits for immunosuppressant drugs required as a result of a covered Organ Transplant under the Outpatient Prescription Drug Benefit. Such Benefits do not apply toward and are not limited by Your prescription drug Calendar Year Maximum, if any. Limitations A Covered Person is eligible for Benefits for retransplantation as deemed Medically Necessary and appropriate by Us. Review for a retransplantation request will include review of the Covered Person’s compliance with relevant transplant selection criteria including, but not limited to, adherence to medication regimens and abstinence from the use of alcohol and drugs. All retransplantations must be Prior Authorized by Us. Exclusions You have no Benefit for a nonhuman or mechanical Organ Transplant. You have no Benefit for transplant services which are Experimental or Investigative. You have no Benefit for testing, typing, or screening when the person does not become a transplant or tissue donor. 29. Osteoporosis We provide Benefits for the diagnosis, treatment and appropriate management of osteoporosis including bone density studies if Medically Necessary. Bone density studies for screening (non-symptomatic or no medical history) purposes are not covered. 30. Outpatient Prescription Drugs Introduction/Prior Authorization: We provide Benefits for drugs and medicines for use outside a Hospital that require a Physician's prescription, including psychotherapeutic drugs. Certain medications or classes of medication may require Prior Authorization. To receive Prior Authorization, Your Physician will need to submit to Us a statement of Medical Necessity. Certain medications are subject to utilization programs that require You to try to use a therapeutic alternative before another medication will be considered a Covered Service. Your Physician may submit to Us a statement of Medical Necessity if the utilization program is not appropriate for Your medical condition. Certain medications may be subject to a utilization program that limits the dispensed quantity of prescription medications in compliance with FDA-approved dosage guidelines. Call customer service for a copy of the Prescription Drug List or visit Our website at www.bluekc.com for the most current information. The list of drugs is subject to change without prior notice based on the recommendations of community Physicians and pharmacists. Drug Rebates and Credits: We contract with a pharmacy benefit manager ("PBM") for certain prescription drug administrative services, including prescription drug rebate administration and pharmacy network contracting services. Under the agreement, PBM obtains rebates from drug manufacturers based on the utilization of certain prescription products by You and other Covered Persons, and PBM retains the benefit of the rebate funds prior to disbursement. In addition, pharmaceutical manufacturers pay administrative fees to PBM in connection with PBM’s services of administering, invoicing, allocating, and/or collecting rebates. Such administrative fees retained by PBM in connection with its rebate program do not exceed the greater of (i) 4.58% of the Average Wholesale Price, or (ii) 5.5% of the wholesale acquisition cost of the products. AWP does not represent a true wholesale price, but rather is a fluctuating benchmark provided by third party pricing sources. PBM may also receive other service fees from manufacturers as compensation for various services unrelated to rebates or rebate-associated administrative fees. In addition, We and the PBM also contract with pharmacies to provide prescription products at discounted rates for Our Members. The discounted rates paid by PBM and Us to these pharmacies differ among pharmacies within a network, as well as between networks. For pharmacies that contract with the PBM, We pay a uniform discount rate under Our contract with the PBM regardless of the various discount rates PBM pays to the pharmacies. Thus, where Our rate exceeds the rate the PBM negotiated with a particular pharmacy, the PBM will realize a positive margin on the applicable prescription. The reverse may also be true, resulting in negative margin for the PBM. In addition, when the PBM receives payment from Us before payment to a pharmacy is due, the PBM retains the benefit of the use of these funds between these payments. We also guarantee a minimum level of discount whether through the PBM or where we directly contract with network pharmacies, which could result in the amount paid by You to be more or less than the amount PBM and/or We pay to pharmacies. We are not acting as a fiduciary with respect to rebate administration, pharmacy network management, or the prescription drug plan. We receive rebates from the PBM and may receive positive margin in connection with the pharmacy network, as well as other financial credits, administrative fees and/or other amounts from network pharmacies, drug manufacturers or the PBM (collectively “Financial Credits”). We retain sole and exclusive right to all Financial Credits, which constitute Our property (and are not plan assets), and We may use such Financial Credits in Our sole and absolute discretion, including, for example, to help stabilize Our overall rates and to offset expenses, and We do not share Financial Credits with You. Without limitation to the foregoing, the following ("Financial Credit Rules") apply: (1) You have no right to receive, claim or possess any beneficial interest in any Financial Credits; (2) Applicable drug benefit Copayment, and/or maximum allowable benefits (including without limitation Calendar Year Maximum and Lifetime Maximum benefits) are in no way adjusted or otherwise affected as a result of any Financial Credits; except as may be required by law; (3) Any Coinsurance that You must pay for prescription drugs is based upon the Allowable Charge at the pharmacy, and does not change as a result of any Financial Credits, except as may be required by law; and (4) Amounts paid to pharmacies or any prices charged at pharmacies are in no way adjusted or otherwise affected as a result of any Financial Credits. Covered Drugs: Covered Services are limited to: a. Legend drugs that by federal law can only be dispensed upon written prescription from an authorized prescriber b. Compound medications that contain at least one legend drug in a therapeutic amount c. Off-label use of prescription drugs when treatment of the indication is recognized in one of the standard reference compendia or in substantially accepted peer-reviewed medical literature. Your Physician must submit documentation supporting the proposed off-label use or uses if requested by Us For this specific Benefit, the following terms are defined as follows: "Peer-reviewed medical literature" means a published scientific study in a journal or other publication in which original manuscripts have been published only after having been critically reviewed for scientific accuracy, validity and reliability by unbiased independent experts, and that has been determined by the international committee of medical journal editors to have met the uniform requirements for manuscripts submitted to biomedical journals. Peer-reviewed medical literature does not include publications or supplements to publications that are sponsored to a significant extent by a pharmaceutical manufacturing company or health carrier. "Off-label use of prescription drugs" means prescribing prescription drugs for treatments other than those stated in the labeling approved by the Food and Drug Administration. "Standard reference compendia" means the United States pharmacopoeia drug information, the American Hospital formulary service drug information, or the American Medical Association drug evaluation or other sources that We deem credible. d. Insulin, syringes, needles, lancets, test strips, oral anti-diabetic agents and glucometers e. Oral and injectable contraceptive drugs f. Contraceptive devices and implants which require a Physician’s prescription g. Smoking cessation agents by prescription only Covered Services are limited to drugs and medicines that have been approved for use in the United States by the Federal Food and Drug Administration (FDA) regardless of where the drugs are obtained. Drugs or medicines approved by the FDA for Experimental or Investigative Services are not covered. We may impose administrative limits on the quantity or frequency by which a drug may be dispensed. These limits will be based on recommendations of the drug manufacturer or by community Physicians and pharmacists. Calendar Year Maximum: Covered Services may be limited to a Calendar Year Maximum for each Covered Person if indicated in the Benefit Schedule. Selected outpatient prescription drugs may not apply to the Calendar Year Maximum. Please refer to the Prescription Drug List for a listing of drugs that do not apply toward the Calendar Year Maximum. Short-Term Supplies: In-Network Pharmacies: When a prescription is purchased at an In-Network pharmacy, You must pay the applicable Copayment for each prescription up to a 34 day supply. If Your Physician prescribes a prescription for more than a 34 day supply, You must obtain a refill for any quantity above a 34 day supply. The pharmacy will then file the claim for the prescription. See Your provider directory for a listing of participating pharmacies. Short-term prescriptions are for up to a 34 day supply. You must pay a Copayment for each short-term prescription obtained from an In-Network pharmacy if indicated in the Benefit Schedule. Only one Copayment will apply for a prescription even if the prescription requires dispensing in a combination of different manufactured dosage amounts. If You are required to pay more than one Copayment at the pharmacy, You must submit a claim to Us for reimbursement. Long-Term Supplies: Mail Order Prescription Drugs: We provide Benefits for long-term prescriptions when obtained from a designated mail order prescription drug program. Call Us for instructions and forms for obtaining prescription drugs through the mail. Long-term prescriptions are for a 35 to 102 day supply. You must pay a Copayment for each long-term prescription if indicated in the Benefit Schedule. Specialty Pharmaceuticals: We provide Benefits for Specialty Pharmaceuticals when obtained from a designated specialty pharmacy. Refer to the Prescription Drug List for a listing of Specialty Pharmaceuticals and specialty pharmacies. In some cases, these drugs will be delivered to Your home. Specialty Pharmaceuticals means biotechnology drugs or other drug products that may require special ordering, handling, clinical monitoring and/or customer service. Specialty Pharmaceuticals are limited to a 34 day supply and are subject to the applicable Prescription Drug Copayment, or any applicable Coinsurance if indicated in the Benefit Schedule. Fertility Drugs: Fertility drugs are covered at 50% Coinsurance after any applicable Copayment. Fertility drugs are subject to Your Calendar Year Maximum for prescription drugs, if any. Impotency Drugs: Drugs for the treatment of impotency are covered at 50% Coinsurance after any applicable Copayment. Impotency drugs are subject to Your Calendar Year Maximum for prescription drugs, if any. Exclusions: Benefits for prescription drugs are subject to the exclusions stated in the Exclusions section of the Contract. In addition, Covered Services do not include any of the following: a. Tier 2 and Tier 3 drugs for the first 6 months following FDA approval unless a shorter exclusions period is recommended by Our Pharmacy and Therapeutics Committee, which includes community physicians and pharmacists b. Appetite suppressants, anorexiants and anti-obesity drugs c. Compounded medications with ingredients that do not require a prescription d. Experimental, Investigative or unproven services and medications; medications used for Experimental indications and/or dosage regimens determined by Us to be Experimental (including, but not limited to those labeled "caution - limited by federal law to investigational use" and drugs found by the Food and Drug Administration to be ineffective) e. Medications for cosmetic purposes, such as but not limited to isotretinoin, tretinoin (Retin-A), topical minoxidil, and finasteride f. Non-prescription/over-the-counter medications for smoking cessation or smoking deterrents (such as but not limited to nicotine replacement or other pharmacological agents used for smoking cessation) or antidepressants prescribed in conjunction with smoking cessation g. Medications and other items available over-the-counter, including any medication that is equivalent to an over-the-counter medication, that do not require a prescription order or refill by federal or state law (whether provided with or without a prescription, except as otherwise specified in the Routine Preventive Care Benefit). Medications with no approved FDA indications i. Immunization agents j. Drugs related to treatment that is not a Covered Service under the Contract k. Prescription drugs that are not Medically Necessary unless otherwise specified l. Anabolic steroids, anti-wrinkle agents, dietary supplements, Fluoride supplements, growth hormones prescribed for anyone over age 18, except as specifically provided in the Contract, blood or blood plasma, irrigational solutions and supplies m. Lifestyle enhancing drugs, unless otherwise specified n. Drugs and devices that are intended to induce an abortion o. Drugs obtained outside the United States for consumption in the United States. 31. Outpatient Surgery and Services We provide Benefits for outpatient surgery provided under the direction of a Physician at a Hospital or an outpatient facility. Covered Services are limited to the same services You would receive under the same conditions in a Hospital as a bed patient, except for the Hospital daily service charge. Please visit [http://www.bluekc.com/pa](http://www.bluekc.com/pa) for the current list of outpatient surgeries and services that must be Prior Authorized. 32. Outpatient Therapy We provide Benefits for Speech Therapy, Hearing Therapy, Physical Therapy and Occupational Therapy provided on an outpatient basis. For Covered Persons age 65 and older with a history of falls, please see the Routine Preventive Care Benefit for physical or occupational therapy. Physical or occupational therapy provided under Routine Preventive Care will not be subject to the visit limits stated in the Benefit Schedule. Speech Therapy and Hearing Therapy This is treatment for the loss or impairment of speech or hearing disorders provided by a speech pathologist, speech/language pathologist or audiologist licensed by the State Board of Healing Arts or certified by the American Speech-Language and Hearing Association (ASHA), or both, and which fall within the scope of such license or certification. Covered Services include examination, evaluation, counseling and any testing required to diagnose any loss or impairment of speech or hearing. Covered Services may be limited to a Calendar Year Maximum if indicated in the Benefit Schedule Covered Services do not include screening examinations or services arranged by, or received under any health plan offered by, any governmental body or entity including school districts for their students. See the Exclusions section of the Contract for other exclusions which may apply. Physical Therapy Physical Therapy Services, including skeletal manipulations, provided by a Physician, Registered Physical Therapist (R.P.T.) or Licensed Physical Therapist (L.P.T.) are covered when these services are expected to result in significant improvement in a Covered Person's condition. Covered Services may be limited to a Calendar Year Maximum if indicated in the Benefit Schedule Occupational Therapy Occupational Therapy Services provided by a Physician or Registered Occupational Therapist (O.T.R.) are covered when these services are expected to result in significant improvement in a Covered Person's condition. Occupational therapy is provided only for purposes of training Covered Persons to perform the activities of daily living. Covered Services do not include occupational therapy provided on a routine basis as part of a standard program for all patients. Covered Services for therapy services combined (including evaluation) may be limited to a Calendar Year Maximum if indicated in the Benefit Schedule. This limit will not apply to speech, physical or occupational therapy services provided by a Home Health Care Agency pursuant to a home health plan of treatment Prior Authorized by Us. Such services will be subject to the limit, if any for Home Health Services. --- 33. Physician Services We provide Benefits for Physician services unless otherwise noted. Covered Services are limited to the following: a. Office visits. Each Primary Care Physician office visit is subject to Your Deductible if indicated in the Benefit Schedule. Your Deductible will apply to each Specialist Office Visit as indicated in the Benefit Schedule. Lab services that are drawn and processed in a Spira Care Center, except for allergy testing, will be covered at 100% of the Allowable Charge. Other procedures, including x-rays, performed in a Spira Care Center will be covered at 100% of the Allowable Charge as indicated in the Benefit Schedule. Procedures and lab services, including allergy testing, x-ray, and other radiology procedures performed outside of a Spira Care Center are subject to the In-Network Provider Deductible as indicated in the Benefit Schedule. MRI, MRA, CT, PET, Ultrasound, Nuclear Medicine, Cardiac Nuclear Medicine are eligible for coverage under the Diagnostic Services Benefit. Allergy testing and treatment benefits are eligible for coverage under the Allergy Services benefit. b. Surgical and orthopedic services. Covered Services are limited to cutting and other operative procedures for treating illness or injury. c. Surgical assistant services provided by a Physician. Covered Services are limited to the assistance at the operating table which is given to the operating Physician by another Physician. This assistance must be Medically Necessary, as determined by Us and in connection with procedures that normally require assistance. Covered Services do not include any activities of internship or residency, or any type of training. d. Inpatient Specialist services. Covered Services are limited to those that are provided when a Covered Person has a medical condition that is not in the attending Physician's specialty and the attending Physician asks the opinion of a Physician with that specialty. Covered Services do not include staff consultations required by Hospital rules and regulations. e. Hospital bed patient care by a Physician. (1) General care. Covered Services are limited to a Physician's visits to a Covered Person if the reason for the Hospital stay is strictly to treat a medical condition and no surgical, orthopedic or obstetrical services are performed during that Confinement. (2) Preoperative care. Covered Services are limited to visits by a Physician with a specialty different from that of the operating Physician, assistant surgeon or anesthesiologist for treatment of a condition unrelated to surgery. (3) Postoperative care. Covered Services are limited to visits by a Physician other than the operating Physician, assistant surgeon or anesthesiologist if the reason for the visits is to treat a Covered Person for an acute phase of a medical condition a Covered Person either had before the surgical services, or that first began during the postoperative period. (4) Intensive care. Covered Services are limited to visits by a Physician treating a Covered Person for a medical condition that requires constant attendance or frequent visits in a short period of time. (5) Inpatient Hospice. Covered Services are limited to visits by a Physician treating a Covered Person for a medical condition while in an Inpatient Hospice Setting. f. Home visits by a Physician. g. Telehealth services for medical information exchanged from one site to another via electronic communication to the extent the same service would be covered if provided through face to face diagnosis, consultation, or treatment. Such services are limited to Physicians who are In-Network Providers. Covered Services do not include site origination fees, technological fees, or costs for the provision of telehealth services. Telehealth services will be subject to the same Cost-Sharing that would be applicable if the service were provided face to face. 34. Podiatry Routine Care We provide Benefits for routine foot care only if the Covered Person has a disease such as diabetes that can potentially affect circulation and/or the loss of feeling in lower limbs. Routine foot care means the paring and removal of corns and calluses or trimming of nails. Bone Surgery We provide Benefits for bone surgery on the foot. 35. Pre-Surgery Testing We provide Benefits for lab tests, x-rays, other necessary diagnostic tests and exams ordered by Your Physician prior to an outpatient or inpatient surgery covered under the Contract. 36. Prosthetic and Orthotic Appliances We provide Benefits for prosthetics and orthotics other than foot orthotics (including shoes). Please see the Diabetes Benefit in the Contract for a description of how diabetic shoes are covered. Covered Services are limited to the purchase and fitting of prosthetic and orthotic devices that are necessary as a result of congenital defects, injury or sickness. Repairs or replacement of prosthetics are Covered Services only when necessary because of any of the following: a. A change in the physiological condition of the patient; b. An irreparable change in the condition of the device; or c. The condition of the device requires repairs and the cost of such repairs would be more than 60% of the cost of a replacement device. Purchase and fitting means the entire process necessary to provide a Covered Person’s prosthesis (whether paid by Us or someone else) and may include one or more temporary prostheses when Medically Necessary. Repairs and replacement are not Covered Services if the need for repair or replacement is due to misuse or abuse of the device, or to the extent the device is covered under any warranty. Covered Services also do not include replacement of prosthetic and orthotic devices due to changes in technology. Prosthetics that may enhance function after initial purchase are not Covered Services. Benefits are limited to the amount available for a basic (standard) item which meets the minimum specifications to allow for necessary activities of daily living. Activities of daily living include bathing, dressing, eating, continence, toileting, transferring and/or ambulating. Charges for deluxe prosthetic or orthotic devices are not covered, except for those prosthetic or orthotic devices that are Medically Necessary for the Covered Person. See the Reconstructive Surgery/Prosthetic Devices Following a Mastectomy Benefit in the Contract/Certificate for a description of how prosthetic bras are covered. Prosthetic and orthotic devices must be Prior Authorized by Us. 37. Radiation Therapy We provide Benefits for treatment of a medical condition with x-ray, radium, or radioactive isotopes. 38. Reconstructive Surgery/Prosthetic Devices Following a Mastectomy We provide Benefits for prosthetic devices and/or reconstructive surgery following a mastectomy. Covered Services are limited to: 1) reconstructive surgery on the breast on which the mastectomy was performed; 2) reconstructive surgery on the unaffected breast that is required to produce a symmetrical appearance; and 3) breast prostheses and physical complications in all stages of mastectomy, including lymphedemas. No time limit will be imposed on a Covered Person for the receipt of a prosthetic device or reconstructive surgery following a mastectomy. 39. Routine Preventive Care We provide Benefits for routine preventive care as required by state or federal law. These services are not limited and do not apply to the Calendar Year Maximum indicated in the Benefit Schedule. Covered Services are limited to the following: a. Prostate exams and prostate specific antigen (PSA) tests, b. Pelvic exams and pap smears, including those performed at the direction of a Physician in a mobile facility certified by Centers for Medicare and Medicaid Services (CMS), c. Mammograms if ordered by a Physician, including those performed at the direction of a Physician in a mobile facility certified by CMS, d. Colorectal cancer exams and laboratory tests consisting of a digital rectal exam and the following: (1) fecal occult blood test; (2) fecal colon cancer tests; (3) flexible sigmoidoscopy; (4) colonoscopy; (5) double contrast barium enema, e. Newborn hearing screening, audiological assessment and follow-up, f. Childhood immunizations as referenced in the Immunizations for Children Benefit of this Contract, g. Lead testing, and h. The related office visit. We also provide the following Benefits for routine preventive care to evaluate and manage a well person’s health status according to the Covered Person's age. Covered Services may be limited to a Calendar Year Maximum if indicated in the Benefit Schedule. Covered Services are limited as follows: a. Physician Examinations b. Additional examinations, testing and services: (1) Hemoglobin/Complete Blood Count (CBC) (2) Metabolic screening (3) Hearing exams (4) Immunizations: Covered Immunizations are limited to the parameters recommended by the Advisory Committee on Immunization Practices and adopted by the Center for Disease Control. i. Catch-up for Hepatitis B ii. Catch-up for varicella iii. Catch-up for MMR iv. Tetanus boosters as necessary, including tetanus, diphtheria and pertussis; diphtheria and tetanus; and tetanus only v. Pneumococcal vaccine vi. Influenza virus vaccine vii. Meningococcal vaccine viii. Catch-up for Hepatitis A ix. HPV vaccine x. Zoster vaccine xi. Polio vaccine xii Haemophilus Influenza Type b (Hib) vaccine (5) Urinalysis (6) Glucose screening (7) Thyroid stimulating hormone screening (8) Lipid cholesterol panel (9) HIV Screening (10) HPV Testing (11) Chlamydia Trachomatis Testing (12) Gonorrhea Testing (13) Electrocardiogram (EKG) (14) Chest X-ray Benefits for Routine Preventive Services are paid the same as any other service unless otherwise indicated in the Benefits Schedule. In addition, Covered Services do not include any of the following: - Examinations or testing for or in connection with extracurricular school activities or any recreational activities; exercise programs or equipment such as, but not limited to, bicycles or treadmills; - Examinations and testing for or in connection with entering school, licensing, employment, insurance, adoption, immigration and naturalization, premarital blood testing; - For immunizations unless specifically covered under the Contract, including but not limited to, immunizations required only for travel, work-related immunizations, Anthrax vaccine and Lyme Disease vaccine. Covered Services include preventive care services that are evidence-based items or services that have a rating of A or B in the current recommendations of the United States Preventive Task Force ("USPSTF"). With respect to women, Benefits are provided for evidence-informed preventive care and screenings described in comprehensive guidelines supported by the Health Resources and Services Administration ("HRSA"), as long as they are not otherwise addressed by the recommendations of the USPSTF. This includes bone density screenings for women. This also includes coverage for contraceptives that require a prescription to obtain and elective sterilization for women. Such contraceptives are limited to Tier 1 (generic) drugs, unless a generic version is not available or Prior Authorization has been obtained for a Tier 2 or Tier 3 drug. If a generic version is available or Prior Authorization is not obtained, Tier 2 or Tier 3 drugs are Covered Services under the Outpatient Prescription Drug Benefit. Covered Services also include evidence-informed preventive care and screenings for infants, children, and adolescents provided for in the HRSA comprehensive guidelines. Covered Services include immunizations for routine use in children, adolescents, and adults that have in effect a recommendation from the Advisory Committee on Immunization Practices of the Centers for Disease Control and Prevention. The recommended list of required preventive care services described above may change periodically. When the list of recommended preventive care services changes, We will modify Your coverage when required to do so by PPACA. A complete list of the covered preventive care services can be located at www.bluekc.com or by contacting Us at the telephone number listed on Your ID card. If the PPACA required preventive care services are received from an In-Network Provider, such services will not be subject to any Copayment or Deductible in a manner consistent with PPACA. However, if You obtain a Tier 2 or Tier 3 contraceptive drug without Prior Authorization, the drug will be subject to the applicable Copayment, Deductible, and/or Coinsurance indicated for Outpatient Prescription Drugs in the Benefit Schedule. Deductible will not apply to an office visit billed in conjunction with the preventive care services. However, if the primary reason for Your office visit is not for preventive care services, the office visit will be subject to the applicable Deductible listed in the Benefit Schedule. 40. Skilled Nursing Facility We provide Benefits for services and supplies furnished by a Skilled Nursing Facility for the treatment of a medical or surgical condition when authorized by Your Physician. Covered Services may be limited to a Calendar Year Maximum if indicated in the Benefit Schedule. These services are limited to those You are eligible to receive as a Hospital bed patient and that would otherwise require Confinement in a Hospital. These Benefits are not available unless Prior Authorized by Us. No Benefits are available under this provision for custodial care or for the care of a nervous or mental condition, drug addiction, alcoholism or chemical dependency. 41. Urgent Care Center We provide Benefits for Urgent Care services obtained at urgent care centers. Urgent care services are Health Care Services required in order to prevent serious deterioration of Your health as a result of an unforeseen sickness or injury. Urgent care services provided in a Physician’s office on an urgent basis are covered under the Physician Services Benefit. Covered procedures performed in an Urgent Care Center are subject to Your Deductible as specified in the Benefit Schedule. Lab Services that are drawn and processed in the urgent care center will be subject to Your Deductible as indicated in the Benefit Schedule. Other procedures, including allergy testing, x-ray and other radiology procedures, performed in an Urgent Care Center are subject to the In-Network Provider Deductible indicated in the Benefit Schedule. Other procedures including allergy testing, x-ray and other radiology procedures, performed in an Urgent Care Center are subject to the Deductible indicated in the Benefit Schedule. 42. Vision Care We provide Benefits for either the first pair of eyeglasses or non-disposable contact lenses or refractive keratoplasty, only following cataract surgery, and for eye exams including refraction, needed as a result of a covered medical illness or Accidental Injury. Benefits are limited to the amount available for a basic (standard) pair of eyeglasses which meet the minimum specifications to allow for necessary vision correction. Charges for eyeglasses which exceed a basic pair of eyeglasses are not covered, beyond the extent allowed for basic eyeglasses. We also provide benefits for Medically Necessary orthoptic training for convergence insufficiency for children under the age of 18. This Benefit is subject to a Lifetime Maximum of 12 visits. 43. Weight Management Services We provide Benefits, in conjunction with Your Employer, for weight management services through the Naturally Slim® program. The Naturally Slim® program consists of online sessions with a plan established provider that promote weight loss and reduce the symptoms of metabolic syndrome. These sessions are limited to one Foundations Program or one Maintenance Program per Calendar Year at no cost to You. A Foundations Program consists of weekly lessons to learn new weight management skills, bi-weekly lessons to reinforce new habits, and monthly lessons to keep the weight off. A Maintenance Program consists of bi-weekly lessons to reinforce healthy eating habits and monthly lessons to keep the weight off. Covered Persons age 18 and older must complete a self-assessment to determine their eligibility. If the self-assessment indicates You have a Body Mass Index (BMI) greater than or equal to 25, elevated cholesterol, high blood pressure, or high glucose levels, Your self-assessment will be reviewed by a clinician to determine if it is clinically appropriate for You to participate. Please contact Your Employer or Us for additional information about this Benefit. The EPO-CERT-18-KAN document is a standard for quality management systems in the European Patent Office (EPO). It outlines the requirements and guidelines for implementing an effective quality management system within the EPO, ensuring that all processes and procedures meet the necessary standards for excellence and efficiency. The document covers various aspects of quality management, including: 1. Scope: Defines the scope of the quality management system, specifying which areas and processes are covered by the standard. 2. Normative references: Lists the relevant international and national standards that form the basis of the EPO-CERT-18-KAN. 3. Terms and definitions: Provides a comprehensive glossary of terms used throughout the document to ensure clarity and consistency. 4. Principles: Outlines the fundamental principles that should guide the implementation of the quality management system. 5. Management commitment: Emphasizes the importance of top management's commitment to quality and the role they play in establishing and maintaining the system. 6. Quality policy: Describes the overall quality policy of the EPO, setting out the organization's vision and objectives related to quality. 7. Quality objectives: Details the specific quality objectives set by the EPO, aligned with its mission and strategic goals. 8. Customer focus: Highlights the importance of understanding and meeting customer needs and expectations. 9. Leadership: Discusses the responsibilities and roles of leaders at different levels within the organization. 10. Planning: Covers the planning activities required to establish, implement, maintain, and improve the quality management system. 11. Support: Includes provisions for resources, infrastructure, human resources, and communication. 12. Operation: Describes the processes and activities involved in delivering products and services. 13. Performance evaluation: Focuses on monitoring and measuring performance, including internal audits and management reviews. 14. Improvement: Emphasizes the continuous improvement of processes and systems to enhance effectiveness and efficiency. The EPO-CERT-18-KAN document serves as a valuable resource for organizations seeking to establish or refine their quality management systems, providing a structured framework for achieving excellence in all aspects of their operations. SECTION D. EXCLUSIONS AND LIMITATIONS Covered Services do not include, and no Benefits will be provided for any of the following services, supplies, equipment or care; or for any complications, related to, or received in connection with, such services, supplies, equipment or care that are: 1. For services or supplies received from an Out-of-Network Provider unless specifically covered under the Contract. 2. For services or supplies received if there is no legal obligation for payment or for which no charge had been made; or for services or supplies received where a portion of the charge has been waived. This includes, but is not limited to full or partial waiver of any applicable Deductible, Coinsurance or Copayment amounts. 3. Subject to Our Prior Authorization requirement and such approval was not obtained. 4. For injuries or illnesses related to Your job to the extent You are covered or are required to be covered by a state or Federal workers’ compensation law for work-related injuries whether or not You file a claim. If You enter into a settlement giving up Your right to recover past or future medical benefits under a workers’ compensation law, We will not pay past or future medical benefits that are the subject of or related to that settlement. In addition, if You are covered by a workers’ compensation program that limits benefits to certain authorized providers, We will not pay for services You receive from providers, authorized or unauthorized, by Your workers’ compensation program. 5. Not Medically Necessary. 6. Not specifically covered under the Contract. 7. Experimental or Investigative as determined by Us except as specifically provided under Clinical Trials and Outpatient Prescription Drugs for off-label use of drugs. 8. For military service connected disabilities or conditions for which You are legally entitled to services and for which You have no obligation to pay. 9. For losses due in whole or in part to war or any action of war. 10. For Custodial, convalescent, or respite care, except as specifically provided under the Home Hospice Benefit including but not limited to meals delivered to Your home, companionship, and homemaker services, that do not require services of licensed professional nurses in Our opinion even if provided by skilled nursing personnel. 11. For music therapy, remedial reading, recreational therapy, and other forms of education or special education except as specified under the Diabetes benefit. 12. For marital counseling or counseling to assist in achieving more effective intra or interpersonal development; dietary counseling, except as specifically provided; decisional; social; or educational development; vocational development; or work hardening programs. 13. For cosmetic purposes, except as specifically provided under the Contract. Removal or replacement of a breast implant that was initially done for augmentation or for cosmetic purposes. Cosmetic rhinoplasty whether an independent procedure or done in conjunction with any other surgical procedure. Cosmetic is defined as surgery, procedure or therapy intended to: 1) improve or alter an individual’s appearance, self-esteem, where functional impairment is not present; or 2) treat an individual’s psychological symptoms or psychosocial complaint related to the individual’s appearance. 14. For any equipment or supplies that condition the air, including environmental evaluations; heating pads; cooling pads (circulating or non-circulating), including hot water bottles; personal care items; wigs and their care. For items for comfort and convenience, such as spas; whirlpools; Jacuzzis; and any other primarily nonmedical equipment; stethoscopes; blood pressure devices; and Durable Medical Equipment that would normally be provided by a Skilled Nursing Facility. Repairs and replacement of prosthetic and orthotic devices are Covered Services only when Medically Necessary and necessitated by normal anatomical changes or when necessitated as indicated in the Covered Services section. 15. For hypnotism, hypnotic anesthesia, acupuncture, acupressure, biofeedback (including neurofeedback), rolfing, massage therapy, and/or any services provided by a massage therapist, aromatherapy and other forms of alternative treatment. 16. For genetic testing unless specifically covered under the Contract; or examinations or treatment ordered by a court. 17. For collection and storage of autologous (self-donated) blood, umbilical cord blood, or any other blood or blood product in the absence of a known disease or planned surgical procedure. 18. Provided by You, Your Immediate Family Members or members of Your immediate household. 19. For vision services and hearing care services and cochlear implants, except as otherwise specifically provided in the Contract, including but not limited to hearing aids, pleoptic training, and orthoptic training that is not for convergence insufficiency, eyeglasses, contact lenses, and the examination for fitting of these items. 20. Unless specifically covered under the Contract, for all dental services, complications of dental treatment; temporomandibular joint disorder; and orthognathic surgery. Injections for treatment of pain that are in close proximity to the teeth or jaw and due to a dental cause. For orthodontic treatment and surgical correction of a malocclusion. For dental splints, dental prostheses, extractions or any treatment on or to the teeth, gums or jaws and other services customarily provided by a dentist. Services related to injuries caused by or arising out of the act of biting or chewing are also excluded. 21. For drugs and medicines that do not require a prescription for their use, except as otherwise specified in the Routine Preventive Care Benefit, or prescription drugs purchased from a Physician for self-administration outside a Hospital. 22. Chemosurgery, laser, dermabrasion, chemical peel, salabrasion, collagen injections or other skin abrasion procedures associated with the removal of scars, tattoos, and/or which are performed as a treatment of scarring secondary to acne or chicken pox. 23. For staff consultations required by Hospital rules and regulations. 24. For the treatment of obesity or morbid obesity, except as otherwise specified in the Contract. For services including but not limited to Mason Shunt, banding, gastroplasty, intestinal bypass, gastric balloons, stomach stapling, jejunal bypass, wiring of the jaw. For related office visits, laboratory services, prescription drugs, medical weight reduction programs, nutrients, diet counseling and health services of a similar nature whether or not it is part of a treatment plan for another illness, except as specified in the Contract. This exclusion also applies to any complications arising from any of the above, except for Emergency Medical Conditions. 25. For surgical procedures on the cornea including radial keratotomy and other refractive keratoplasty procedures, except when used to correct medical conditions other than refractive errors (such as nearsightedness) or following cataract surgery. 26. For hairplasty or hair removal, regardless of reason or diagnosis. 27. For, or related to the surgical insertion of a penile prosthesis including the cost of the prosthesis, unless required for approved gender reassignment surgery. 28. For orthotics unless otherwise specified. 29. For foot orthotics, including shoes, except as specifically covered under the Diabetes benefit. 30. For support/surgical stockings (for the lower extremities), including but not limited to custom made stockings. 31. For corrective shoes unless permanently attached to a brace. 32. For routine foot care, unless specifically covered under the Contract. 33. For, or related to an Organ Transplant not specifically covered in the Contract. 34. For health and dental services resulting from Accidental Injuries arising out of a motor vehicle accident to the extent such services are payable under any expense payment provisions (by whatever terminology used, including such benefits mandated by law) of any automobile insurance policy. 35. For lodging or travel to and from a health professional or health facility. 36. For interest charges, document processing or copying fees, mailing costs, collection fees, telephone consultations, for charges when no direct patient contact is provided; including but not limited to Physician team conferences, charges for missed appointments, charges for completion of forms or other non-medical charges. 37. Provided for an Emergency Medical Condition Admission in excess of the first 48 hours if We are not notified within 48 hours of the Admission, or as soon as reasonably possible. 38. Obtained in an emergency room which are not Emergency Services. 39. Health services and associated expenses for megavitamin therapy; psychosurgery; nutritional-based therapy for alcoholism, chemical dependency, or other medical conditions; services and supplies for smoking cessation programs and treatment of nicotine addiction, unless otherwise stated in the Outpatient Prescription Drug benefit. 40. Health services which are related to complications arising from treatments or services otherwise excluded under the Contract except when such services are received for an Emergency Medical Condition or for complications related to maternity care as indicated in the Contract. 41. Mental Illness and/or Substance Abuse services received from a Non-Participating Provider provided in connection with or to comply with involuntary inpatient commitments after the Covered Person has been screened and stabilized, unless the Covered Person cannot be safely transferred or there is not an In-Network Provider who will accept the transfer. For any services required by a diversion agreement or by order of a court to attend an alcohol or drug safety action program, or for evaluations and diagnostic tests ordered or requested in connection with criminal actions, divorce, child custody, or child visitation proceedings. 42. For non-prescription enteral feedings and other nutritional and electrolyte supplement. This does not apply to the treatment of phenylketonuria or any inherited disease of amino or organic acids. 43. For personal care and convenience items. 44. Occupational therapy provided on a routine basis as part of a standard program for all patients. 45. For the reversal of sterilization, all artificial means of conception including but not limited to sperm collection and/or preservation, egg collection and/or preservation, artificial insemination, in vitro fertilization, in vivo fertilization, embryo transplants, gamete intra fallopian transplant (GIFT), zygote intra fallopian transplant (ZIFT), and related tests and procedures, surrogate parenting (which includes donating ovum or ova, or carrying the fetus to term for another woman), not Medically Necessary amniocentesis, and any other experimental fertilization procedure. ‘Infertility’ as used here means any medical condition causing the inability or diminished ability to reproduce. 46. For health services and associated expenses for elective pregnancy termination, except when the life of the mother would be endangered if the fetus was carried to term. 47. For growth therapy for the diagnosis of idiopathic or genetic short stature, intrauterine growth retardation or small for gestational age. Testing for growth hormone deficiencies in Covered Persons ages 19 or older, except as specifically provided under the Contract. 48. For cranial (head) remodeling devices, including but not limited to Dynamic Orthotic Cranioplasty ("DOC Bands") except for post-operative care of congenital birth defects and birth abnormalities caused by synostotic plagiocephaly and craniosynostosis. 49. Vocal cord training/retraining due to vocational strain and/or weak cords, speech therapy for psychosocial speech and conductive hearing loss due to otitis media and ear infections. 50. Screening examinations or services available, arranged by, or received from any governmental body or entity, including school districts. 51. Except as specifically provided under the Contract, and Weight Management Service, charges incurred as a result of virtual office visits on the Internet, including those for prescription drugs. A virtual office visit on the Internet occurs when a Covered Person was not physically seen or physically examined. 52. For services or supplies received from any provider in a country where the terms of any sanction, embargo, boycott, Executive Order or other legislative or regulatory action taken by the Congress, President or an administrative agency of the United States would prohibit payment or reimbursement by Us for such services. 53. For sales tax. 54. For services, supplies, equipment or care received in connection with a non-covered service, supply, equipment or care. 55. For extracorporeal shock wave therapy due to musculoskeletal pain or musculoskeletal conditions and for electrical stimulation, except as specifically provided in the Contract. 56. For nutritional assessment testing and saliva hormone testing. 57. For measurement of exhaled nitric oxide or exhaled breath condensate in the diagnosis and management of asthma and other respiratory diseases. 58. Mental illness and substance abuse services provided by a residential facility that is not licensed or certified by the state in which such services are provided will not be covered. 59. For certain infusion therapy/injectables unless obtained from a designated specialty pharmacy or designated home infusion vendor. 60. Tier 2 and Tier 3 drugs for the first 6 months following FDA approval for a new indication of an existing drug unless a shorter exclusion period is recommended by Our Pharmacy and Therapeutics Committee, which includes community physicians and pharmacists. Limitations: If an individual is enrolled in Medicare, Benefits for Covered Services will be coordinated with any benefits paid by Medicare. This limitation will not apply if the Employer, by law, is not permitted to allow the Contract to be secondary to Medicare. SECTION E. HOW TO FILE A CLAIM 1. Claim Procedures We are responsible for evaluating all Claims under the Contract. We may secure independent medical or other advice and require such other evidence, as We deem necessary to decide Your Claim. If We deny, in whole or in part, Your Pre-Service Claim or Post-Service Claim, You will be furnished with a written notice of the denial setting forth: a. The reason or reasons for the denial, b. Reference to the specific Contract provision on which the denial is based, c. A description of any additional material or information necessary for You to complete Your Claim and an explanation of why such material or information is necessary, and d. Appropriate information as to the steps to be taken if You wish to appeal Our decision, including Your right to file suit under the Employee Retirement Income Security Act "ERISA" (if Your plan is subject to ERISA) with respect to any Claim denial after appeal of Your Claim. 2. Post-Service Claims a. Hospital and other Facility Services (1) For care received inside Our Service Area. (a) In-Network Providers will file Your Post-Service Claims for You. The facility will be paid directly by Us. You may be asked to make arrangements with such facility to pay for any non-Covered Services, Deductible, Copayment or Coinsurance amounts. (2) For care received outside Our Service Area. Post-Service Claims should be filed directly with Us. If a Hospital or other facility will not file Your Post-Service Claim for You, You can obtain a Post-Service Claim form from Our Customer Service Department. The form will give You instructions for filing the Post-Service Claim. b. Physician Services (1) For care received inside Our Service Area. (a) In-Network Providers will file Your Post-Service Claim for You. The Physician will be paid directly by Us. After the Physician receives Our payment, the Physician may bill You for any non-Covered Services, Deductible, Copayment or Coinsurance amounts for which You are responsible. (2) For care received outside Our Service Area. If You ask, a Physician outside Our Service Area will frequently file Your Post-Service Claim for You. Post-Service Claims must be filed with Us. If the Physician declines to file Your Post-Service Claim for You, You can obtain a Post-Service Claim form from Our Customer Service Department. The form will give You instructions for filing the Post-Service Claim. c. Services Received From Providers Other Than Hospitals, Physicians and Facilities It is necessary for You to file a completed Post-Service Claim form with Us for these services. Contact Our Customer Service Department for the proper Post-Service Claim forms. The form will give You instructions for filing the Post-Service Claim. The presentation of a prescription at an In-Network Pharmacy is not a Claim. If You disagree with the amount of Copayment, Coinsurance, Deductible or whether the prescription would be covered under the Contract, You must file a completed Post-Service Claim form with Us. d. Time Limits for Filing Post-Service Claims We must receive proof of a Post-Service Claim for reimbursement for Covered Services no later than 365 days after the end of the Calendar Year in which the service was received, except if it was not reasonably possible to give notice of proof within this time. We will deny any Post-Service Claim not received within this time limit. e. Processing of the Filed Post-Service Claim We will process Your Post-Service Claim as soon as reasonably possible but in no more than thirty (30) calendar days after receipt. We will notify You within thirty (30) calendar days after receipt if additional information is necessary to process the Post-Service Claim. You have forty-five (45) calendar days from the date You receive Our request to provide Us with the additional information. Upon receipt of the additional information, We will process Your Post-Service Claim within fifteen (15) calendar days. If You fail to provide Us with the 3. Pre-Service Claims Requests for Pre-Service Claims must be made in accordance with Section L. The presentation of a prescription at an In-Network Pharmacy that requires Prior Authorization is not a Claim. If You disagree with whether the prescription would be covered under the Contract, You must request Prior Authorization in accordance with Section L. SECTION F. COORDINATION OF BENEFITS (COB) 1. Coordination of Benefits Individuals typically send their claims for medical services to every Plan that covers them. As a result, most plans have a Coordination of Benefits (COB) provision. A COB provision allows Plans to work together so that the total amount of all payments by all Plans will never be more than the Allowable Expense. If You are covered by more than one health benefit plan, You should file all Your claims with each plan. 2. Definitions Applicable to this Section a. Allowable Expense means a medical expense or service including Deductibles, Coinsurance or Copayments that is covered in full or in part by one or more of the Plans covering the person for whom the claim is made. An Allowable Expense does not include dental coverage, routine vision coverage, outpatient prescription drug coverage, or group-type accident only coverage. If a Plan is advised that all plans covering a Covered Person are high-deductible health plans and the Covered Person intends to contribute to a health savings account, the primary high-deductible health plan’s deductible is not an Allowable Expense, except for any health care expense incurred that is not subject to the deductible as described in Section 223(c)(2)(C) of the Internal Revenue Code of 1986. A medical expense or service or a portion of an expense or service that is not covered by any of the Plans is not an Allowable Expense. Any expense that a provider by law or in accordance with a contractual agreement is prohibited from charging a Covered Person is not an Allowable Expense. The difference between the cost of a private Hospital room and the cost of a semi-private Hospital room is not considered an Allowable Expense unless the private room is Medically Necessary. When a Plan provides benefits in the form of services, the reasonable cash value of each service will be considered as both an Allowable Expense and a benefit paid. When benefits are reduced under a primary Plan because a Covered Person did not comply with the Plan provisions, the amount of that reduction will not be considered an Allowable Expense. Examples of these provisions are those related to second surgical opinions, precertification of admissions or services, or because the Covered Person has a lower benefit because the Covered Person did not use an In-Network Provider. If the primary Plan is a Closed Panel Plan and the secondary Plan is not a Closed Panel Plan, the secondary Plan will pay or provide benefits as if it were primary when a Covered Person uses a non-Closed Panel provider, except for Emergency Services or authorized referrals that are paid or provided by the primary Plan. If a Covered Person is covered under 2 or more Plans that compute their benefit payments on the basis of usual and customary fees or relative value schedule reimbursement or other similar reimbursement methodology, any amount charged by the provider in excess of the highest reimbursement amount for a specified benefit is not an Allowable Expense. If a Covered Person is covered under 2 or more Plans that provide benefits or services on the basis of negotiated fees or if one Plan calculates its benefits or services on the basis of usual, customary and reasonable fees and another Plan provides its benefit on the basis of negotiated fees then any amount in excess of the highest of the Plan’s fees is not an Allowable Expense. b. Closed Panel Plan means a plan that provides health benefits to covered persons primarily in the form of services through a panel or provider that have contracted with or are employed by the plan, and that limits or excludes benefits for services provided by other providers, except in cases of emergency or referral by a panel member. c. Plan means any arrangement that provides coverage for medical services. COB applies to only the following Plans: (1) Group coverage, including insured, self-funded, or Closed Panel Plans. (2) Individual coverage, including insured or Closed Panel Plans, issued on or after January 1, 2014. (3) Coverage under any governmental program(s) to include any coverage required or provided by statute(s). Benefits available from Part A and Part B of Medicare are included. However, benefits under a state Medicaid program or Children's Health Insurance Plan (CHIP) are not included; (4) The medical care components of group long-term care contracts, such as skilled nursing care. The term “Plan” applies separately to each policy, contract, or other arrangement for medical services. The term “Plan” also applies separately to that part of any such policy, contract, or other arrangement for medical services that coordinates its benefits with other Plans and to that part that does not. The term “Plan” does not include: (1) Hospital indemnity coverage or other fixed indemnity coverage; (2) Accident only coverage; (3) Specified disease or specified accident coverage; (4) Long-term care insurance policies for non-medical services; (5) Medicare supplement policies; (6) Medicaid; or (7) Governmental plan which, by law, provides benefits that are in excess of those of any private insurance plan or other non-governmental plan. 3. Order of Benefit Determination Rules Plans use COB to determine which Plan should pay first (primary Plan) for the medical service. Benefits payable under another Plan include the benefits that would have been payable if You had filed a claim for them. The order of benefit determination is based on the first of the following rules which applies: a. Non-Dependent: The benefits of a Plan which covers the person as other than a Dependent will be determined before the benefits of a Plan which covers such person as a Dependent. b. Dependent Child/Parents not Separated or Divorced: Except for a Dependent child whose parents are separated or divorced, the benefits of a Plan of the parent whose birthday falls earlier in a year are determined before those of the Plan of the parent whose birthday falls later in that year. If both parents have the same birthday, the benefits of the Plan which covered the parent longer are determined before those of the Plan which covered the other parent for a shorter period of time. The word birthday refers only to the month and day in a Calendar Year, not the year in which the person was born. If a Plan does not have the provisions of this paragraph b. regarding Dependents, which results either in each Plan determining its benefits before the other or each Plan determining its benefits after the other, the provisions of this paragraph b. shall not apply, and the rule set forth in the Plan which does not have the provisions of this paragraph b. shall determine the order of benefits. c. Dependent Child/Parents Separated or Divorced: In the case of a Dependent child whose parents are separated or divorced, benefits for the child are determined in this order: (1) First, the Plan of the parent with custody of the child; (2) Then, the Plan of the spouse of the parent with custody of the child; (3) Then, the Plan of the parent not having custody of the child; (4) Finally, the Plan of the spouse of the noncustodial parent. Notwithstanding (1), (2), (3) and (4) above, if there is a court decree which would otherwise establish financial responsibility for the medical expenses with respect to the child, the benefits of a Plan which covers the child as a Dependent of the parent with such financial responsibility shall be determined before the benefits of any other Plan which covers the child as a Dependent child. If a court decree states both parents have financial responsibility for the medical expenses, then the provisions of paragraph b. of this subsection apply. d. Dependent Child/Joint Custody: If the specific terms of the court decree state that the parents shall share joint custody, without stating that one of the parents is responsible for the medical expenses of the child, the Plans covering the child shall follow the rules outlined in b. above for a Dependent child of parents who are not separated or divorced. e. Dependent Child of Non-Parents In the case of a Dependent child covered under more than one plan of individuals who are not the parents of the child, the order of benefits shall be determined, as applicable, under paragraph b. or c. of this subsection as if those individuals were parents of the child. f. Dependent Child / Spouse Coverage If a person has coverage as a Dependent child under either or both parents’ plans and also has his or her own coverage as a dependent under a spouse’s plan, the Plans shall follow the rules outlined in paragraph i. below. If the coverage under the Plans began on the same date, the order of benefits shall be determined by applying the birthday rule outlined in paragraph b. above to the dependent’s parent(s) and spouse. g. Active/Inactive Employee: The benefits of a Plan which covers a person as an Employee who is neither laid off nor retired (or as that Employee’s Dependent) are determined before those of a Plan which covers that person as a laid off or retired Employee (or as that Employee’s Dependent). If the other Plan does not have this rule and if, as a result, the Plans do not agree on the order of benefits, this rule is ignored. h. Continuation Coverage: If a person whose coverage is provided under continuation of coverage pursuant to federal or state law is also covered under another Plan, benefits are determined in the following order: (1) First, the Plan covering the person as an Employee (or as that person's Dependent); and (2) Second, the benefits under the continuation coverage. If the other Plan does not have this rule and if as a result, the Plans do not agree on the order of benefits, this rule is ignored. i. Longer/Shorter Length of Coverage: If the above rules do not establish an order of benefit determination, the benefits of a Plan which has covered the person for a longer period of time shall be determined before the benefits of a Plan which has covered such person for a shorter period of time. The claimant's length of time covered under a Plan is measured from his first date of coverage under that Plan. If that date is not readily available, the date the claimant first became a member of the group shall be used as the date from which to determine the length of time the claimant's coverage under the present Plan has been in force. j. Medicare: When benefits under the Contract are being coordinated with any benefits available by Medicare, the Federal Medicare Secondary Payor Rules in effect at that time will apply and this Coordination of Benefits section shall not apply. k. Plans without COB Provisions: If a Plan does not have a COB provision, it will always be considered as the primary Plan. l. Plans Share Equally: If none of the above rules determine the primary Plan, the Allowable Expenses shall be shared equally between the Plans. 4. Effect on the Benefits of this Plan a. When this Plan is secondary, it may reduce its benefits so that the total benefits paid or provided by all Plans for the claim does not exceed 100% of the total Allowable Expense for that claim. In determining the amount to be paid for any claims, the secondary plan will calculate the benefits it would have paid in the absence of other health care coverage and apply that calculated amount to any allowable expense under its plan that is unpaid by the Primary plan. The secondary plan may then reduce its payment by the amount so that, when combined with the amount paid by the primary plan, the total benefits paid or provided by all plans for the claim do not exceed the total Allowable Expense for that claim. In addition, the secondary plan shall credit to its plan deductible any amounts it would have credited to its deductible in the absence of other health care coverage. b. If a Covered Person is enrolled in two or more Closed Panel Plans and if, for any reason, including the provision of service by a non-Closed Panel provider, benefits are not payable by one Closed Panel Plan, COB shall not apply between that Plan and the other Closed Panel Plan. 5. Right to Receive and Release Necessary Information In order to decide if this COB section (or any other Plan's COB section) applies to a claim, We (without the consent of or notice to any person) have the right to: a. Release to any person, insurance company or organization, the necessary claim information. b. Receive from any person, insurance company or organization, the necessary claim information. Any person claiming Benefits under the Contract must give Us any information needed by Us to coordinate those Benefits. 6. Facility of Payment If another Plan makes a benefit payment that should have been made by Us, then We have the right to pay that other Plan any amount necessary to satisfy Our obligation. SECTION G. PREMIUM PAYMENT, GRACE PERIOD AND CHANGES 1. Premium Payment Initial Premiums are due and payable by Your Employer on or before the Contract effective date. Subsequent Premiums are due and payable by Your Employer on or before the monthly Due Date. 2. Grace Period The Employer shall have a grace period of 31 days for the payment of any Premium, during which time the Contract shall continue in force. In no event shall the grace period extend beyond the date the Contract terminates. Coverage under the Contract will automatically terminate on the last day of the period for which Premiums have been paid if the grace period expires and any Premium remains unpaid. 3. Reinstatement If coverage under the Contract is terminated for nonpayment of Premiums, We have the right to decide whether or not to reinstate such Contract. Such decision will occur in writing within 45 days of receiving Your resubmission of a new application. 4. Changes in Premiums After the initial term of the Contract, We reserve the right to change Premiums upon 31 days prior written notice to Your Employer. Notwithstanding the foregoing, We may change the Premiums at any time upon 31 days prior written notice whenever the terms of the Contract are changed. If We find that Your Employer falls into a different risk classification due to a misrepresentation made by You in Your application, We may change the amount of Your Employer's Premiums. If Your Employer's Premiums would have been higher had We known the correct information, Your Employer will owe Blue KC the difference between what Your Employer Premiums would have been and the Premiums Your Employer was charged. This amount will be calculated from the effective date of Your Employer's Contract. If under the Contract, Your Premiums are age rated, We will automatically change the amount of Your Premiums on the first day of the month in which the birthday occurs which places the Covered Person into the next age classification upon which Premiums are based. We may change the amount of Your Premiums on any monthly Due Date if the Premiums of Your entire age classification are changed and We give the Employer 31 days prior written notice. EPO-CERT-18-KAN 14274000-PPK0117-0124 SECTION H. TERMINATION AND EXTENSION OF COVERAGE 1. Terminating a Covered Person’s Coverage We may terminate a Covered Person's coverage on the earliest of the dates specified below. a. On the date the Contract is terminated. The Employer is responsible for notifying You of the termination of the Contract. Failure of the Employer to notify the Employee of termination will not continue coverage beyond the effective date of termination of this Contract; b. On the last day of the month for which Premium has been paid if You fail to pay any required contribution toward such Premium. We may recover from You Benefits We paid subsequent to the date of termination; c. The date outlined by the Employer’s Employee Benefit policy, but not later than the last day of the month following the date the Employee ceases to meet the eligibility requirements set forth in the “Employee Eligibility” provision of the “Eligibility, Enrollment and Effective Date” section of the Contract, and not earlier than the date the Employee ceases to meet the eligibility requirements set forth in the “Employee Eligibility” provision of the “Eligibility, Enrollment and Effective Date” section of the Contract; d. The date outlined by the Employer’s Employee Benefit policy, but not later than the last day of the month following the date a Dependent ceases to meet the eligibility requirements set forth in the “Dependent Eligibility” provision of the “Eligibility, Enrollment and Effective Date” section of the Contract, and not earlier than the date a Dependent ceases to meet the eligibility requirements set forth in the “Dependent Eligibility” provision of the “Eligibility, Enrollment and Effective Date” section of the Contract; e. On the date a Covered Person becomes covered under another health plan sponsored by the Employer; f. On the original Effective Date of coverage if coverage is terminated by Us due to a Covered Person committing fraud or intentionally misrepresenting a material fact on the Employee application; g. On the date a Covered Person allows an unauthorized person to use the Covered Person's identification card, or files a fraudulent claim; or h. On the date a Covered Person chooses Medicare as primary coverage, and the Employer, by law, is not permitted to allow the Contract to be secondary to Medicare; or i. On the last day of the month in which coverage under the Contract is terminated because We cease offering the particular type of coverage in the market provided by this Contract in accordance with applicable laws and regulations. If We discontinue offering this particular type of coverage, We will provide You 90 days written notice prior to the date coverage is discontinued and will offer You, on a guaranteed issue basis, the option to purchase any other such appropriate group health insurance coverage that we are currently offering. When a Covered Person's coverage terminates, he may have continuation of coverage or conversion rights. See "Continuation and Conversion" section of the Contract. 2. Extension of Coverage If a Covered Person is confined in a Hospital on the date the Contract is terminated, the Covered Person's coverage will be extended without payment of Premium. Coverage under this extension will only be for Covered Services directly related to the Hospital Confinement; provided, however, the benefits of the new plan will be determined before the Benefits under this Contract. The total amount payable under the new plan and under this Contract shall never be more than the Allowable Expense as that term is defined under the Coordination of Benefits section of the Contract. The extended coverage will terminate on the earlier of the following: a. The date the Hospital Confinement ends; or b. The end of a 31 day period following the date the Contract is terminated. SECTION I. CONTINUATION AND CONVERSION 1. Continuation of Coverage Certain persons whose group health coverage would otherwise be terminated as a result of a qualifying event may be allowed to continue that coverage for a limited time, in accordance with state or federal COBRA laws. The federal COBRA law applies to most Employers with 20 or more Employees. (It does not apply to Employers with fewer than 20 Employees, plans for federal Employees or church plans.) If an Employer is subject to the federal law, the federal law takes precedence over the state law. If an Employer is not subject to the federal law, state law applies. In general, if Your Employer has fewer than 20 Employees, then state law applies. (State law also applies to church groups, regardless of size.) Contact Your Employer to determine whether state or federal continuation is available. 2. Continuation of Coverage under Federal Law ("COBRA") The following COBRA continuation provisions apply to most Employers who employed twenty (20) or more Employees on at least half of its business days during the preceding Calendar Year. The COBRA provisions of the Contract will conform with the minimum requirements of the COBRA law, provided that the Employer and Covered Persons comply with COBRA requirements. Coverage under the Contract will not be continued if the Employer or the Covered Person(s) do not comply with the COBRA requirements. a. Qualifying Events If coverage is terminated for an Employee or a Dependent as a result of one of the following “qualifying events,” any of those individuals may elect to continue their group health coverage regardless of whether the Employee or Dependent is currently covered by another group health plan or entitled to Medicare. The qualifying events are: (1) Termination of employment (other than for gross misconduct); (2) Reduction in work hours; (3) Death of the Employee; (4) The Employee becomes entitled (eligible and enrolled) to Medicare Benefits; (5) Divorce or legal separation; (6) A Dependent child ceases to qualify as a Dependent under the terms of the Plan; or (7) The Employer files for Chapter 11 bankruptcy, but only for a retired Employee and his covered Dependents. The Employee, or the covered Dependents must notify the Employer (or their designated Plan Administrator) within 60 days of a divorce, legal separation, or a child’s ceasing to be a Dependent child under the terms of the Contract or within 60 days of the date coverage under the Contract terminates as a result of one of these events, if later. If such timely notice is not received, the provisions of this section will not apply with respect to that event. Consult the Employer for information on the procedures to comply with these notice requirements. b. Qualified Beneficiary A qualified beneficiary is any individual who, on the day before a qualifying event, is covered under the Contract or any child who is born to or placed for adoption with a covered Employee during a period of COBRA continuation coverage. If a child is born to or placed for adoption with the Employee during the continuation period, the child is considered a qualified beneficiary only when the initial qualifying event is termination or reduction in hours of the covered Employee’s employment. The Employee has the right to elect continuation coverage for the child, provided the child satisfies the plan eligibility requirements. The Employee must notify the Employer or plan administrator within 30 days of the birth or placement for adoption. A qualified beneficiary does not include an individual who marries any qualified beneficiary on or after the date of the qualifying event and a newborn or adopted child (other than one born to or placed for adoption with a covered Employee). c. Maximum Coverage Period If coverage is terminated because of the Employee’s termination of employment or reduction in work hours, the qualified beneficiary may continue coverage for up to 18 months after that qualifying event. If coverage is terminated as a result of the Employee’s death, Medicare entitlement, divorce or legal separation, or a child ceasing to be a Dependent child under the Contract, qualified beneficiaries may continue coverage for up to 36 months after that qualifying event. However, if the Employee became entitled to Medicare within 18 months before the termination or reduction of hours, the qualified beneficiaries (other than the Employee) may continue coverage up to 36 months after the date of Medicare entitlement. d. Second Qualifying Event If continuation coverage is elected following the Employee’s termination of employment or reduction in work hours, and then another qualifying event occurs during that continuation period, covered Dependents (including Dependents born or adopted within the original 18-month continuation period) may continue their coverage for up to 36 months, rather than only 18 months. Such 36 month period will be measured from the date of the termination of employment or reduction in work hours, rather than from the date of the second event. Only an event giving rise to a 36 month maximum coverage period can be considered a second qualifying event. Therefore, termination of employment that follows a reduction in hours of employment is not considered a multiple qualifying event. In addition, if during the continuation period the former Employee becomes entitled to Medicare Benefits and such event would not have resulted in coverage termination, such second event shall not be considered a second qualifying event. Covered Dependents must notify the Employer (or its designated Plan Administrator) within 60 days of any second qualifying event. If such timely notice is not received, the provisions of this section will not apply with respect to that event. Consult the Employer for information on the procedures to comply with these notice requirements. e. Social Security Disability A special rule applies if a qualified beneficiary is found to have been disabled during the first 60 days of continuation coverage. All qualified beneficiaries may be eligible to continue coverage for up to 29 months. The determination of disability must be made by the Social Security Administration, and must be issued within the disabled individual’s initial 18 months of continuation coverage. That individual must then notify the Employer of the Social Security Administration’s disability determination as follows: (1) within 60 days of the later of the date after the determination is issued, the date of the qualifying event, or the date coverage under the Contract is terminated as a result of termination of employment or a reduction in hours; and (2) within the individual’s first 18 months of continuation coverage. This extension applies for all qualified beneficiaries, including a qualified beneficiary born or adopted during the continuation period, if notice is given within 60 days of such birth or adoption. If the Social Security Administration later determines that an individual is no longer disabled, that individual must notify the Employer within 30 days after the date of that second determination. The individual and other qualified beneficiaries’ right to the 11 month extension of continuation coverage will terminate as of the first day of the month that begins more than 30 days after the second determination is issued. However, if another qualifying event occurs giving rise to 36 months of continuation coverage during the 11 month disability extension, the qualified beneficiaries receive the full 36 months of coverage beginning from the initial date of continuation coverage. This extension cannot be shortened if disability ceases. f. Electing Continuation Coverage An individual who wishes to continue coverage must complete a COBRA election form that is postmarked within 60 days after the person’s coverage would terminate due to the Qualifying Event; or, 60 days after the Employer or plan administrator sends notice of the continuation right; whichever is later. An individual must then pay the initial Premium within 45 days after electing continuation. If an Employee or Covered Dependent contacts Us regarding a qualifying event, such contact does not constitute notice to the Employer or its designated Plan Administrator, and We will not be obligated to provide continuation of coverage to a Covered Person as a result of any such contact from the Employee or Covered Dependent. In no event shall We be obligated to provide continuation of coverage to a Covered Person if the Employer or its designated plan administrator fails to notify the Covered Person in a timely manner of his right to continuation of coverage; or, if they fail to notify Us in a timely manner, of the Covered Person’s election of continuation of coverage. g. Effective Date of Continuation Coverage Upon receipt of both the first month's Premium and the election form, Continuation Coverage will be effective on the date coverage would have otherwise terminated. h. Coverage Changes If the terms of the Contract or Covered Services are changed, the COBRA coverage is also subject to the amended terms of the Contract or Covered Services. The qualified beneficiary has the same right to change benefit programs as the active Employees. If the active Employee is allowed to change to another benefit program during the Employer’s Annual Enrollment Period or under a Special Enrollment Period under the Health Insurance Portability and Accountability Act (HIPAA), a qualified beneficiary is allowed the same opportunity. If the Employer changes insurance carriers during the period of COBRA continuation, the COBRA covered individual for that Employer will be terminated as to the coverage under this Contract and become the responsibility of the new insurance carrier or health plan. i. Termination of COBRA Continuation Coverage COBRA continuation of coverage will end on the earliest of the following dates: (1) 18 months from the date continuation began if coverage ended because of the Employee’s termination of employment or reduction in hours worked or 36 months for qualified beneficiaries (other than the Employee) after the date of Medicare entitlement if the Employee became entitled to Medicare within 18 months before the termination or reduction of hours; (2) 29 months from the date continuation began for a qualified beneficiary who is totally disabled in accordance with the Social Security Disability provisions above; (3) 36 months from the date continuation began if coverage ended because of the Employee’s death, divorce, legal separation or a child’s loss of Dependent status; (4) The date coverage terminates under the Contract for failure to make timely payment of the required Premium; if the individual fails to make the required Premium payment within the grace period (payment of Premium must be postmarked no later than last day of the grace period); (5) The date the individual first becomes, after the date of election, covered under any other group health plan (as an Employee or otherwise). However, an individual who becomes covered under a group health plan which has a preexisting condition limit must be allowed to continue COBRA coverage for the length of a preexisting condition or to the COBRA maximum coverage period, if less. COBRA coverage may be terminated if the individual becomes covered under a group health plan with a preexisting condition limit, if the preexisting condition limit does not apply to (or is satisfied by) the individual by reason of HIPAA, ERISA or the Public Health Services Act; (6) The date the Covered Person becomes entitled to Medicare Benefits, if after the date of COBRA election; (7) For retirees, in the case of a qualifying event that is the Chapter 11 bankruptcy of an Employer, the earlier of the date of the qualified beneficiary's death or the date that is 36 months after the death of the retired covered Employee; (8) The date any Covered Person allows someone other than an eligible Dependent to use his or her identification card, or submits a fraudulent claim; or (9) The date the Contract terminates. 3. Continuation Coverage under Uniformed Services Employment and Reemployment Act of 1994 (USERRA) The following USERRA continuation provisions apply to all Employers regardless of size. The USERRA provisions of the Contract conform with the minimum requirements of the USERRA law, provided that the Employer and Covered Person(s) comply with the USERRA requirements. Coverage under this Contract will not be continued if the Employer or the Covered Person(s) do not comply with the USERRA requirements. Apart from other rights to continued coverage provided under the Contract, if coverage would terminate for an Employee due to a leave for uniformed service, the Employee and his covered Dependents may be entitled to up to 24 months of continuation of such coverage, and certain reinstatement rights following a period of uniformed service. a. Eligibility An Employee who is absent from employment from his Employer due to uniformed service may continue his Employee and Dependent coverage beginning on the date on which the Employee is first absent from employment by reason of uniformed service. Any election made by an Employee applies to the Employee and the Employee’s Dependents who otherwise would lose coverage under the Contract. No separate election may be made by any Dependent. The coverage that Employees are allowed to continue on behalf of themselves and their Dependents will be the same as that provided to Employees and their Dependents under the Contract. Except in connection with circumstances that permit other Employees to make changes, an Employee may continue only the type of coverage that he or she was receiving on the day before the Employee first was absent from employment. b. Electing USERRA Continuation Coverage An Employee who wishes to continue coverage must complete an election form that is postmarked within 60 days after the Employee’s coverage would terminate due to a leave for qualified uniformed service, or 60 days after the Employer or plan administrator sends notice of the USERRA continuation rights; whichever is later. An individual must then pay the initial Premium within 45 days after electing USERRA continuation coverage. In no event shall We be obligated to provide USERRA continuation of coverage to a Covered Person if the Employer or its designated plan administrator fails to notify the Covered Person in a timely manner of his right to USERRA continuation coverage; or, if they fail to notify Us in a timely manner, of the Covered Person’s election of USERRA continuation coverage. c. Coverage Changes If the terms of the Contract are changed, the USERRA coverage is also subject to the amended terms of the Contract. If the Employer changes insurance carriers during the period of USERRA continuation, the USERRA covered individuals for that Employer will be terminated as to the coverage under this Contract and become the responsibility of the new insurance carrier or health plan. d. Premium Payment The premium charged for USERRA continuation coverage will be the same for all similarly situated Employees electing coverage under this provision. When the period of uniformed service is less than 31 days, the Employer is required to pay its normal share of the Premium for coverage. When the period of uniformed service is 31 days or more, the Employee will be responsible for both the Employee’s portion and Employer's portion, determined in the same manner as COBRA continuation coverage under the Contract. e. Termination of USERRA Coverage Coverage will end on the earliest of the following dates: (1) 24 months from the date USERRA continuation coverage began; (2) The date the Employee fails to apply for or return to a position of employment; (3) The date coverage terminates under the Contract for failure to make timely payment of the required Premium; if the individual fails to make the required Premium payment within the grace period (payment of Premium must be postmarked no later than the last day of the grace period); or (4) The date the Contract terminates. f. COBRA and USERRA Continuation Rights You may be eligible for both COBRA and USERRA continuation rights simultaneously. 4. Continuation Coverage under State Law Continuation coverage may be available under state law if an individual is not eligible for continuation coverage under federal law. The following applies only to persons who do not have a right to continue coverage under COBRA. State continuation of coverage is available to Employees and their Dependents when coverage terminates or when the Contract terminates. In order to continue coverage, such individuals must have been continuously covered under the Contract (or any similar group contract it replaced) for at least 3 months immediately prior to termination. The maximum period of continuation coverage under Kansas law is 18 months. To continue group coverage, obtain a state continuation of coverage request form from Your Employer. This form must be completed and returned to Us along with the first month’s Premium payment within 31 days of the date coverage would otherwise terminate. a. An Employee or Dependent shall not be entitled to continuation of coverage if: (1) Coverage terminated for failure to pay timely Premium; (2) The individual is or could be covered by Medicare; (3) The individual is, or could be covered to the same extent by any other group plan; (4) The Contract is terminated and replaced by similar group coverage within 31 days; or (5) Coverage is terminated for cause as permitted by the Contract/Certificate. b. Continuation of coverage under state law shall terminate upon the earlier of the following: (1) 18 months after coverage would have otherwise terminated; (2) The end of the period for which premiums were paid if Premiums are not paid timely to Us; (3) The date the person becomes eligible to be covered under Medicare or any other group plan, whether or not covered; or (4) The date on which the Contract is terminated and replaced by similar group coverage within 31 days. 5. Continuation of Coverage Pursuant to a Leave of Absence If an Employee’s coverage would terminate because of a leave of absence approved by the Employer (including absences under the Family and Medical Leave Act (FMLA), if eligible), coverage may be continued if the Employer: 1. forwards the Premium for such continued coverage; and 2. provides continued coverage to all Employees in the same class as the Employee whose coverage would otherwise terminate because of an approved leave of absence. Such continuation of coverage shall terminate no later than: 1. 90 days after the Employee’s coverage would have otherwise terminated were it not for this continuation coverage; or 2. If an Employee is eligible for FMLA leave to care for an injured or ill service member, 180 days after the Employee’s coverage would have otherwise terminated were it not for this continuation coverage; or 3. If an Employee is eligible for FMLA leave for service member-related qualified exigencies, 90 days after the Employee’s coverage would have otherwise terminated were it not for this continuation coverage. 6. Conversion Coverage The following individuals are entitled to convert to Our conversion plan designed for the classification applicable to them provided they have been covered as an Employee or Dependent under the Contract for 3 months, (except that a surviving Dependent of a deceased Employee will be offered an opportunity to enroll in Our conversion plan without regard to the 3 month coverage requirement if the Dependent was covered under the Employee's family coverage at the time of the Employee's death): a. Employees and Dependents whose coverage under the Contract is ending because the Contract is terminated and is not reinstated or replaced within 31 days. b. Employees or Dependents who have continued coverage for the maximum time allowed under state law or federal law (COBRA), whichever is applicable. c. Persons whose continuation coverage terminates because the Contract is discontinued and not replaced within 31 days by similar group coverage. Any waiting period required under the new contract will be reduced by the period of time You had been continuously covered under the Contract. If You had no required Waiting Periods under the Contract, then You have no required waiting period under the conversion coverage. We will mail notice of the right to convert to the Employee's latest address as it appears on Our records when the Employee's coverage is terminated or the address of the Dependent provided to Us when We are notified that the Dependent is no longer an eligible Dependent. A Covered Person has 31 days after termination of such group coverage to apply for conversion coverage and to make the required Premium payment for the period beginning with the day following the date coverage would otherwise terminate. No gap in coverage will be permitted. SECTION J. GENERAL INFORMATION 1. Terms and Conditions of the Contract The Contract is subject to amendment, modification or termination in accordance with any provision hereof by mutual agreement with Us and the Employer without Your consent or concurrence. The Contract may be modified at any time by Us as necessary to comply with state or federal laws or regulations. By electing coverage under the Contract, You agree to all terms, conditions and provisions hereof. 2. Statements No statement made by a Covered Person in the Employee application for coverage shall void coverage or be used in any legal proceeding against the Covered Person unless the Employee application (or an exact copy) is included in or attached to the Contract or has been furnished to the Covered Person. 3. Medical Examination To fulfill the obligations under the Contract, We may require a Covered Person to have a medical examination by a Physician of Our choice and at Our expense. The Covered Person must pay for any medical examination required to restore his Lifetime Maximum. 4. Release of Records During the processing of Your claim, We may need to review Your health records. As a Covered Person, You hereby authorize the release to Us of all physical or mental health records related to Your claim. This authorization constitutes a waiver of any provision of law forbidding such disclosure. Your records will be maintained with strict confidentiality. 5. Reimbursement to Us a. Workers' Compensation As a Covered Person, You agree to reimburse Us for any Benefits We paid to You or on Your behalf for claims paid or payable for injuries or illnesses related to Your job to the extent You are covered or are required to be covered by a state or Federal workers’ compensation law whether or not You file a claim. In addition, if You enter into a settlement giving up Your right to recover past or future medical benefits under a workers’ compensation law, You agree to reimburse Us for any Benefits paid to You or on Your behalf for claims paid or payable for any past or future medical benefits that are the subject of or related to that settlement. If You are covered by a workers’ compensation program that limits certain authorized providers, You agree to reimburse Us for any Benefits We paid to You or on Your behalf for claims paid or payable for services You receive from providers, authorized or unauthorized, by Your workers’ compensation program. Even if You fail to make a claim under a workers’ compensation plan, and You could have received payment under such plan if You had filed, reimbursement must still be made to Us. We have the right of setoff in all cases. b. Errors We have the right to correct Benefits paid in error, including any Benefits We paid that exceed the amount needed to satisfy Our obligation. We have the right to recover the excess amount from You or any persons to, or for, or with respect to, whom such payments were made; any insurance companies or services plans, and/or any other organizations. Such individual or organization has the responsibility to return any overpayments to Us. We have the responsibility to make additional payment if an underpayment is made. c. Misrepresentations We have the right to recover payments from You for Claims submitted on behalf of You or any Covered Person under the Contract in the event that We rescind Your Contract due to fraud or intentional misrepresentation of material fact by You or any Covered Person in Your application. 6. Legal Actions No action at law or equity shall be brought prior to the expiration of 60 days after written proof of loss has been furnished or after the expiration of 5 years after the time written proof of loss is required to be furnished. 7. Conformity with State Laws If any provision of the Contract conflicts with the laws of the state in which it was issued for delivery, those provisions are automatically changed to conform to at least the minimum requirements of such laws. 8. Commission or Omission No Hospital, Physician or other provider of service will be liable for any act of commission or omission by Us. We will not be liable for any act of commission or omission by: (1) any Hospital or Hospital’s agent or employee; (2) any Physician or Physician’s agent or employee; (3) any other providers of services or their agent or employee; or (4) the Employer or the Employer’s agent or employee. 9. Clerical Errors Clerical errors shall not deprive any individual of coverage under the Contract or create a right to additional coverage. 10. Notice Except when required by state law, written notice given by Us to an authorized representative of the Employer is deemed notice to all affected Employees and their covered Dependents in the administration of the Contract, including termination of the Contract. The Employer is responsible for giving notice to Employees. 11. Authority to Change the Contract None of Our agents, employees or representatives, other than the President and Chief Executive Officer and the Board of Directors, are authorized to change the Contract or waive any of its provisions. 12. Assignment The Contract and all the rights, responsibilities and Covered Services under it are personal to You. Except for assignment of claim payment to In-Network Providers, You may not assign them in whole or in part, either before or after services have been received, to any other person, firm, corporation or entity. However, any Covered Services provided under the Contract and furnished by a facility of the uniformed services of the United States will be paid to that facility if a proper claim is submitted by the provider. Such claim will be paid with or without an assignment from You. In addition, any Covered Services provided under the Contract and furnished by a public Hospital or clinic will be paid to the public Hospital or clinic if a proper claim is submitted by the provider and processed before We have made Our payment. Such claim will be paid with or without an assignment from You. No payment for Covered Services will be made to the public Hospital or clinic if payment for Covered Services has been made to You prior to Our receipt of a claim from the public Hospital or clinic. Any payment made to the public Hospital or clinic will satisfy Our liability to the extent of that payment. 13. Medicaid The Covered Services provided under the Contract shall in no way be excluded, limited or restricted because Medicaid benefits, as permitted by title XIX of the Social Security Act of 1965, are or may be available for the same accident or illness. 14. Authority to Construe Terms of the Contract The Employer has no discretion to determine eligibility or construe plan Benefits. This function is Our responsibility. We reserve full discretion and authority to interpret and apply the provisions of Your Contract to the extent permitted by law. Should You disagree with any of the decisions We have made relating to the above provisions, You may file a Complaint or Grievance as provided in the Complaint and Grievance Procedures Section. 15. Plan Sponsor and Plan Administrator For Employee Welfare Benefit Plans subject to the Employee Retirement Income Security Act (ERISA), the Employer is the plan sponsor and the named plan administrator (unless You receive written notice from the Employer that someone else is fulfilling those roles). We are not the plan sponsor or plan administrator. 16. Special Programs As an individual covered under the Contract, You may have the opportunity to take advantage of special programs offered at no additional costs to You. These programs are designed to help You with Your health care and/or related expenses. Special features of these programs are described in separate material provided to You. These programs are made possible through arrangements with various providers and cooperating businesses. Changes in these arrangements and/or their discontinuance may occur at any time in the future at Our discretion. 17. Independent Licensee The Contract constitutes a Contract solely between Employer and Blue Cross and Blue Shield of Kansas City. Blue Cross and Blue Shield of Kansas City is an independent corporation operating under an agreement with the Blue Cross and Blue Shield Association, an association of independent Blue Cross and Blue Shield Plans, (the “Association”) permitting Blue Cross and Blue Shield of Kansas City to use the Blue Cross and Blue Shield Service Mark in a portion of the States of Missouri and Kansas. Blue Cross and Blue Shield of Kansas City is not contracting as the agent of the Association. No person, entity, or organization other than Blue Cross and Blue Shield of Kansas City shall be held accountable or liable to the Employer for any of Blue Cross and Blue Shield of Kansas City’s obligations to the Employer created under the Contract. This paragraph shall not create any additional obligations whatsoever on the part of Blue Cross and Blue Shield of Kansas City other than those obligations created under other provisions of the Contract. 18. Gender Any use of the male pronoun in the Contract shall also apply equally to the female gender. 19. Titles Titles used throughout the Contract are for convenience purposes only and do not change the terms of the Contract. 20. Entire Contract The Employer application, Employee applications, and Certificate(s) issued to the Employee are incorporated by reference in this document and made a part of the Contract. Any conflict between the Contract and the Certificate(s) will be resolved according to the terms which are most favorable to the Covered Person. The definitions contained in the Certificate(s) will have the defined meaning when used in this document with the first letter capitalized. The Contract and any amendments or riders thereto constitute the entire agreement between the parties and any change in the Contract must be signed by an officer of the Company to be valid. No agent or representative has the authority to change the Contract or waive any of the provisions. 21. Time Limit on Certain Defenses In the absence of fraud, all statements made by the Covered Person are considered representations and not warranties and no statement made by the Covered Person voids the coverage or reduces Benefits unless the statement was material to the risk assumed and contained in the written application. Furthermore, after the Covered Person's coverage has been in force for two (2) years from the Effective Date, no statement, except fraudulent statements, he has made will void the coverage or reduce the Benefits. A copy of the written application form is provided to the Employee. 22. Second Opinion Policy You have the right to seek a second medical opinion from an In-Network Provider. Benefits will be provided at the same level as for any other Covered Service rendered by that provider. 23. Provider Directory At no additional cost, Provider Directories are provided by Us and upon request when You call Our Customer Service Department. In addition, You may access Our Provider Directory on Our website at www.BlueKC.com. 24. Incentives We are committed to ensuring Your health and wellness. We may offer incentives to encourage You to access certain medical services and/or to participate in various wellness or disease management programs. Incentives may include, but are not limited to: services / supplies provided at no or minimal cost to you; contributions to a health savings or reimbursement account; gift cards; entries for a prize drawing; and/or merchandise. Eligibility for these incentive programs may be limited to Covered Persons with particular health factors. Participation in such programs has the potential to promote better health and to help prevent disease. SECTION K. UTILIZATION REVIEW Utilization Review is undertaken for all medical/surgical inpatient Admissions, including acute care, skilled nursing and medical rehabilitation. Such review is performed using nationally licensed medical criteria. Our toll free telephone number for Utilization Review is on Your identification card. You must call the number on Your identification card or submit the request in writing to Our Medical Management Department. 1. Initial Determination For initial determinations, We will make the determination within 2 working days of obtaining all necessary information regarding a proposed Admission, procedure or service requiring Prior Authorization. In the case of a determination to certify an Admission, procedure or service, We will notify the provider rendering the service by telephone within 24 hours of making the initial Certification, and provide written or electronic confirmation of the telephone notification to the Covered Person and provider within 2 working days of making the initial Certification. In the case of an Adverse Determination, We will notify the provider rendering the service by telephone within 24 hours of making the Adverse Determination, and will provide written or electronic confirmation of the telephone notification to the Covered Person and the provider within one working day of making the Adverse Determination. We will notify the provider rendering the service within 24 hours for Urgent Care Services and within 5 working days for non-Urgent Care Services after Our receipt of the request for Prior Authorization if the request was incorrectly filed or additional information is needed. If additional information is needed in order to make a determination, You have 48 hours from the time You are notified to provide Us with the requested information for Urgent Care Services, and 45 calendar days from the date You are notified to provide Us with the requested information for non-Urgent Care Services. Failure to provide the information within 48 hours for Urgent Care Services and within 45 calendar days for non-Urgent Care Services will result in the denial of Your request. Upon receipt of the requested information, We will make the determination within 48 hours. Urgent Care Services are: a. Those services that if not provided could seriously jeopardize Your life, health or the ability to regain maximum function; or b. Those that in the opinion of a physician with knowledge of Your medical condition would subject You to severe pain that cannot be adequately managed without the requested care or treatment. 2. Concurrent Review Determination For Concurrent Review Determinations, We will make the determination within one working day of obtaining all necessary information. In the case of a determination to certify an extended stay or additional services, We will notify by telephone the provider rendering the service within one working day of making the Certification, and provide written or electronic confirmation to the Covered Person and the provider within one working day after the telephone notification. The written notification will include the number of extended days or next review date, the new total number of days or services approved, and the date of Admission or initiation of services. In the case of an Adverse Determination, We will notify by telephone the provider rendering the service within 24 hours of making the Adverse Determination, and provide written or electronic notification to the Covered Person and the provider within one working day of the telephone notification. The service will be continued without liability to the Covered Person until the Covered Person has been notified of the determination. If additional information is needed in order to make a determination, We will notify You as soon as possible but no later than 24 hours after receipt of the request for additional services. 3. Reconsideration In the case of an initial determination or a Concurrent Review determination the provider may request a reconsideration of an Adverse Determination. This reconsideration will occur within one working day of the receipt of the request. 4. Retrospective Review Determinations For Retrospective Review determinations, We will make the determination within 30 working days of receiving all necessary information. We will provide notice in writing of Our determination to the Covered Person within 10 working days of making the determination. 5. Case Management Case Management focuses primarily on providing an appropriate level of care in a non-acute setting. The intent of Case Management is to ensure the provision of Medically Necessary care in the most appropriate setting for a Covered Service. Case Management may approve an extension of Covered Services’ Benefits beyond the limits specified in the Contract. In addition to the Covered Services specified in the Contract, Case Management may approve other Medically Necessary services when warranted by the Covered Person’s particular needs. It may also include any plan of care set forth to promote health and prevent illness and injury of the Covered Person. This Case Management plan is not designed to extend Covered Services’ Benefits or provide other Medically Necessary services to persons who do not meet the Case Management plan standards and criteria. We may elect to provide Benefits furnished by any provider pursuant to Our approved alternate treatment plan for case management. We shall provide any extension of Covered Services’ Benefits or other Medically Necessary services when We determine the person meets the appropriate standards and criteria, and only when and for so long as it is determined that the extension of Benefits for Covered Services or provision of other Medically Necessary services is appropriate, Medically Necessary and cost effective. Such Benefits shall count toward a Covered Person’s Calendar Year Maximum (if applicable) and the Lifetime Maximum. The implementation of a Case Management plan shall require the approval of the affected Covered Person or his legal representative and the affected person’s Physician. If We elect to extend Benefits for Covered Services or provide other Medically Necessary services for a Covered Person in one instance, it shall not obligate Us to provide the same or similar services for any Covered Person in any other instance, nor shall it be construed as a waiver of Our right to thereafter administer the Covered Service in strict accordance with the terms of the Contract. We have a formal process that gives You the right to express Complaints, either by telephone or in writing, regarding Our Claim payment decisions or other aspects of Our service, and to receive a response from Us explaining Our actions. This feedback is a valuable tool that helps Us enhance the quality of Our products and services and serve You as effectively as possible. The following procedures will be used to address any Complaints that You or any other Covered Person may have. 1. Definitions Applicable to this Section Inquiry - A question or request for information or action. Usually an Inquiry can be resolved on initial contact with no follow-up action required. Complaint - An oral allegation made by a Covered Person of improper or inappropriate action, or an oral statement of dissatisfaction with Covered Services, Post-Service Claims payment, or policies that do not fall within the definition of a Grievance. Grievance - A written Complaint submitted by or on behalf of a Covered Person to Our Appeals Department regarding: (a) the availability, delivery or quality of Covered Services, including a Complaint regarding an Adverse Determination made pursuant to Utilization Review; (b) Post-Service Claims payment, handling or reimbursement for health care services; or (c) matters pertaining to the contractual relationship between a Covered Person and Us. A Grievance may be submitted by a Covered Person, a Covered Person's representative, or a provider acting on behalf of a Covered Person. Expedited Review - The procedure for the review of a Grievance (which may be submitted either orally or in writing) involving a situation where the time frame of the standard Grievance procedure: (a) would seriously jeopardize the life or health of a Covered Person; (b) would jeopardize the Covered Person's ability to regain maximum function; or (c) in the opinion of a physician with knowledge of the Covered Person's medical condition, would subject the Covered Person to severe pain that cannot be adequately managed without the requested care or treatment. However, for purposes of the Grievance register requirements, the request will not be considered a Grievance unless the request is submitted in writing. Expedited Review Emergency Medical Condition means: (1) The sudden, and at the time, unexpected onset of a health condition that requires immediate medical attention, where failure to provide medical attention would result in a serious impairment to bodily functions, serious dysfunction of a bodily organ or part or would place a person’s health in serious jeopardy.; (2) a medical condition where the time frame for completion of a standard external review would seriously jeopardize the life or health of the insured or would jeopardize the insured’s ability to regain maximum function; or (3) a medical condition for which coverage has been denied based on a determination that the recommended or requested health care service or treatment is experimental or investigational, if the insured’s treating physician certifies, in writing, that the recommended or requested health care service or treatment for the medical condition would be significantly less effective if not promptly initiated. 2. Complaint Procedures Our customer service representatives are available to answer inquiries about Claims and Benefits. However, You are encouraged to discuss Complaints concerning medical care with the Physician or other health care provider. A Covered Person should refer to his identification (I.D.) card for a toll-free number to call for instruction or any questions. Your provider may file a Grievance with Us on Your behalf if You have granted written permission to such provider. We will ensure the independence and impartiality of the decision making process related to claims or appeals. 3. Procedures for Filing a First Level Grievance If You prefer to file a formal Grievance, You may do so by requesting a Member Grievance form from Our Customer Service Department, and submitting the form to Us. In order to request a first level Grievance, Your request must be filed within three hundred sixty-five (365) days from the date: (a) You received notice of an Adverse Determination made pursuant to Utilization Review, or (b) for Post-Service Claims, You received the Explanation of Benefits. For Employee Welfare Benefit Plans subject to the Employee Retirement Income Security Act (ERISA) You must file a first level Grievance before You can bring a civil action under ERISA Section 502(a). Call Your Employer to find out if You are subject to ERISA. The Grievance form must be sent to the attention of the Appeals Department. We will acknowledge receipt of the Grievance in writing within 10 working days unless it is resolved within that period of time. Upon request, We will provide You with copies of all documents, records, and other information relating to the Claim for Benefits. You have the opportunity to submit written comments, documents, records and other information relating to the Claim for Benefits. We must receive such documents prior to Our review of Your Claim. We will take into account all comments, documents, records and other information from You or Your authorized representative, regardless of whether the information was considered in the initial benefit determination. We will conduct a complete investigation of the Grievance within 20 working days or 30 calendar days, whichever is less, after receipt of the Grievance for Pre-Service Claims and within 20 working days after receipt of the Grievance for Post-Service Claims, unless the investigation of the Post-Service Claim cannot be completed within this period of time. If the investigation for Post-Service claims cannot be completed within the 20 working days, We will notify You in writing before the 20th working day. The notice will state the reasons for which additional time is needed for the investigation. The investigation will be completed within 30 working days thereafter, but no more than 60 calendar days after receipt of the Grievance for Post-Service Claim. We will notify You, and Your representative and the person who submitted the Grievance, provided such disclosure does not violate Title II of HIPAA, in writing of Our decision within 5 working days from the day We make a determination. If the denial is upheld, the notification will include the principal reason for the denial and any clinical rationale. The notification will also explain the member’s right to request a second level review and rights to complain to the State Department of Insurance. 4. Procedures for Filing a Second Level Grievance If You are dissatisfied with Our first level Grievance decision, You may request a second level review by a Grievance Advisory Panel (the "Panel"). In order to request a second level Grievance, Your request must be filed within three hundred sixty-five (365) days from the later of the date: (a) You are allowed to file a first level Grievance; or (b) You or Your representative, were sent notification of Our first level Grievance decision. Please note that the second level review is voluntary and We waive Our right to assert that You have failed to exhaust administrative remedies because You did not elect to pursue a second level review. In addition, We agree that any statute of limitations or other defense based on timeliness is tolled during the time that You pursue a second level review. Furthermore, Your decision as to whether or not to submit a Benefit dispute to a second level review will have no effect on Your right to any other Benefit under the Contract. We will not charge You any fee if You elect to pursue a second level review and You have the right to representation at Your own expense. Your written Grievance must be sent to the attention of the Appeals Department. We will acknowledge receipt of the second level Grievance within 10 working days unless it is resolved within that period of time. Upon request, We will provide You with copies of all documents, records and other information relevant to Your Claim for Benefits, not previously provided during the first level Grievance. You have the opportunity to submit written comments, documents, records and other information relating to the Claim for Benefits. We must receive such documents prior to the Panel's review of Your Claim. We will take into account all comments, documents, records and other information from You or Your authorized representative, regardless of whether the information was considered in the initial benefit determination or first level Grievance. The Panel will consist of one or more enrollees and representatives of Ours who have not been involved in the circumstances giving rise to the Grievance. In addition, if the Grievance involves an Adverse Determination, or a service or supply that has been determined to be Experimental or Investigational, the Panel will consist of a majority of persons that are appropriate clinical peers in the same or similar specialty as would typically manage the case being reviewed who were not involved in the circumstances giving rise to the Grievance or in any subsequent investigation or determination. If We obtain advice from a medical or vocational expert in connection with a benefit determination, We will provide You with the identification of the expert upon written request. The Second Level Grievance process will adhere to the same time frames associated with the First Level Grievance process. We will notify You in writing of the Panel's decision within 5 working days from the day the Panel makes a determination and of the right to file an appeal with the office of the Commissioner of Insurance. 5. Procedures to Request an Expedited Review If the time frame of the standard Grievance procedure: (a) would seriously jeopardize the life or health of the Covered Person; (b) would jeopardize the Covered Person's ability to regain maximum function; or (c) in the opinion of a physician with knowledge of the Covered Person's medical condition, would subject the Covered Person to severe pain that cannot be adequately managed without the requested care or treatment, a request for an Expedited Review may be submitted orally or in writing. We will notify You orally within 72 hours after receiving a request for an Expedited Review of Our decision. We will send written confirmation of Our decision within 3 calendar days of providing oral notification of Our decision. 6. External Review of Adverse Determination You have the right to request an independent external review of an Adverse Determination by the external review organization established by the Commissioner of Insurance. Your right to request an independent external review of an Adverse Determination applies only if: a. You have exhausted all available review procedures listed above, unless You have an Expedited Review Emergency Medical Condition in which case the Expedited Review is utilized; or b. You have not received a final decision from Us within 60 days of seeking the above available review procedures, except to the extent that the delay was requested by You. Within 120 days of receiving a notice of an Adverse Determination, You, Your Provider with Your written authorization, or Your legally authorized representative may request an external review in writing to the Commissioner of Insurance. Your request shall include all information in Your possession pertaining to the Adverse Determination, an appeal form and a fully executed medical records release for the Commissioner of Insurance and the external review organization to obtain any necessary medical records. The Commissioner of Insurance will determine whether Your request for an external review will be granted within 10 business days after receiving all necessary information. If granted, the external review organization will issue a written decision regarding Your Adverse Determination to You within 30 business days. In the event that an Expedited Review Emergency Medical Condition exists, the external review organization will issue such decision within not more than 72 hours after the date of receipt of request for an expedited external review, or as expeditiously as the Insured’s medical condition or circumstances require. In no event shall the Insured be held responsible for any portion of the external review organization’s fee for performance. Only 1 external review is available for any request arising out of the same set of facts during a period of 12 consecutive months beginning on the date of the initial request for external review. 7. ERISA Exhaustion of Internal Procedures If Your plan is subject to ERISA and Your request for coverage or Benefits is denied or any other ERISA statutory claim is denied, You have the right to bring a civil action under ERISA Section 502(a) provided You have exhausted Your first level Grievance rights. 8. Exhaustion of Claims and Appeals Procedures In the case of a claim for disability benefits, You will be deemed to have exhausted all claims and appeals procedures if We do not strictly adhere to Our procedures. However, You will not be deemed to have exhausted all claims and appeals procedures when the following are all true: a. Our violation was a minor violation; b. The violation does not cause and is not likely to cause harm or prejudice to You; c. The violation is attributable to a good cause or matters beyond Our control; d. The violation is during the ongoing good-faith exchange of information between You and Us; and e. Not reflective of a pattern or practice of non-compliance by Us. You may request a written explanation of Our rationale for asserting We meet this standard. We must provide this within 10 days of Your request. 9. Department of Insurance You may contact the Kansas Insurance Department by mail or telephone at 1300 SW Arrowhead Road, Topeka, KS 66604 or at 1-785-296-3071 or toll-free at 1-800-432-2484. It is mutually understood and agreed that the Contract is amended as follows: \| COVERED MEDICAL SERVICES \| COST-SHARING AND LIMITATIONS AT IN-NETWORK PROVIDERS \| \|--------------------------\|-----------------------------------------------------\| \| Diagnostic Mammography \| No Copayment \| \| Ultrasound of the Breast, MRI of the Breast \| No Copayment Breast MRI must be Prior Authorized. \| \| Diagnostic Testing \| See section Diagnostic Mammography, Ultrasound of the Breast, MRI of the Breast for those services. \| \| High-Tech Diagnostic Testing \| See section Diagnostic Mammography, Ultrasound of the Breast, MRI of the Breast for those services. \| In Section C. Covered Services, 51. Routine Preventive Care the Following is deleted: (2) c. Mammograms if ordered by a Physician, including those performed at the direction of a Physician in a mobile facility certified by CMS. And Replaced as follows: c. Mammograms, including those performed in a mobile facility certified by CMS. In Section C. Covered Services, 51. Routine Preventive Care the Following is deleted: (4) c. One mammogram per Calendar Year or more frequently if ordered by a Physician, including those performed at the direction of a Physician in a mobile facility certified by CMS And Replaced as follows: c. One mammogram per Calendar Year, including those performed in a mobile facility certified by CMS. In Section C. Covered Services, 15. Diagnostic Services the Following is added: Diagnostic Mammography, Ultrasound of the Breast and MRI of the Breast will be covered at 100% of the Allowable Charge for Out-of-Network Providers when Medically Necessary. In Section C. Covered Services, the following is deleted: Nutritional/Diet Counseling We provide Benefits for office visits for nutritional or diet counseling when received at a facility or from a Physician. And Replaces as follows: Nutritional/Diet Counseling We provide Benefits for nutritional or diet counseling for all diagnosis including obesity and morbid obesity when received at a facility or from a Physician. For the treatment of certain chronic conditions, We provide Benefits for nutritional counseling under the Routine Preventive Care benefit. Such counseling must be provided by a Physician or at a facility. In Section C. Covered Services, the following is added: Cryopreservation for Impending Infertility We provide Benefits for fertility preservation when a Covered Member anticipates becoming infertile as a result of planned gonadotoxic treatments (most often chemotherapy or radiation) or surgery for a medical diagnosis that requires gonadotoxic treatments or surgical removal of reproductive organs. These services must be prior authorized by Us. In Section L. COMPLAINT AND GRIEVANCE PROCEDURES, subsection 4. Procedures for Filing a Second Level Grievance is deleted in its entirety and replaced as follows: If You are dissatisfied with Our first level Grievance decision, You may request a second level review by a Grievance Advisory Panel (the "Panel"). In order to request a second level Grievance, Your request must be filed within three hundred sixty-five (365) days from the later of the date: (a) You are allowed to file a first level Grievance; or (b) You or Your representative, were sent notification of Our first level Grievance decision. Please note that the second level review is voluntary and We waive Our right to assert that You have failed to exhaust administrative remedies because You did not elect to pursue a second level review. In addition, We agree that any statute of limitations or other defense based on timeliness is tolled during the time that You pursue a second level review. Furthermore, Your decision as to whether or not to submit a Benefit dispute to a second level review will have no effect on Your right to any other Benefit under the Contract. We will not charge You any fee if You elect to pursue a second level review and You have the right to representation at Your own expense. Your written Grievance must be sent to the attention of the Appeals Department. We will acknowledge receipt of the second level Grievance within 10 working days unless it is resolved within that period of time. Upon request, We will provide You with copies of all documents, records and other information relevant to Your Claim for Benefits, not previously provided during the first level Grievance. You have the opportunity to submit written comments, documents, records and other information relating to the Claim for Benefits. We must receive such documents prior to the Panel's review of Your Claim. We will take into account all comments, documents, records and other information from You or Your authorized representative, regardless of whether the information was considered in the initial benefit determination or first level Grievance. The Panel will consist of one or more enrollees and representatives of Ours who have not been involved in the circumstances giving rise to the Grievance. Where the grievance involves a clinical adverse determination, and the Panel makes a preliminary decision that the determination should be upheld, We shall submit the grievance for review to two independent clinical peers in the same or similar specialty as would typically manage the case being reviewed who were not involved in the circumstances giving rise to the grievance or in any subsequent investigation or determination of the grievance. In the event that both independent reviews concur with the Panel's preliminary decision, the Panel's decision shall stand. In the event that both independent reviewers disagree with the Panel's preliminary decision, the initial adverse determination shall be overturned. In the event that one of the two independent reviewers disagrees with the Panel's preliminary decision, the Panel shall reconvene and make a final decision in its discretion. If We obtain advice from a medical or vocational expert in connection with a benefit determination, We will provide You with the identification of the expert upon written request. The Second Level Grievance process will adhere to the same time frames associated with the First Level Grievance process. We will notify You in writing of the Panel's decision within 5 working days from the day the Panel makes a determination and of the right to file an appeal with the Insurance Director's Office. In Section C, Covered Services, Outpatient Prescription Drugs, Subsection Exclusions, the following language is deleted: Tier 2 and Tier 3 drugs for the first 6 months following FDA approval unless a shorter exclusions period is recommended by Our Pharmacy and Therapeutics Committee, which includes community physicians and pharmacists And replaced as follows: Tier 2 and Tier 3 drugs for the first 6 months following FDA approval (including new indications) unless a shorter exclusions period is recommended by a Pharmacy and Therapeutics Committee. In Section D, Exclusions and Limitations, the following language is deleted: Tier 2 and Tier 3 drugs for the first 6 months following FDA approval for a new indication of an existing drug unless a shorter exclusion period is recommended by Our Pharmacy and Therapeutics Committee, which includes community physicians and pharmacists. And replaced as follows: Tier 2 and Tier 3 drugs for the first 6 months following FDA approval (including new indications) unless a shorter exclusions period is recommended by a Pharmacy and Therapeutics Committee. In Section D. Exclusions and Limitations, the following is deleted: For marital counseling or counseling to assist in achieving more effective intra or interpersonal development except as specifically provided under the Autism Spectrum Disorder Benefit; dietary counseling, except as specifically provided; decisional; social; or educational development except as specifically provided under the Autism Spectrum Disorder Benefit; vocational development, or work hardening programs. And replaced as follows: For marital counseling or counseling to assist in achieving a more effective intra or interpersonal development, except as specially provided under the Autism Spectrum Disorder Benefit; decisional; social; or educational development except as specially provided for under the Autism Spectrum Disorder Benefit; vocational development or work hardening programs. In Section D. Exclusions and Limitations, the following is deleted: For hypnotism, hypnotic anesthesia, acupuncture, acupressure, biofeedback (including neurofeedback), rolfing, massage therapy and/or any services provided by a massage therapist, aroma therapy and other forms of alternative treatment. And replaced as follows: For hypnotism, hypnotic anesthesia, acupuncture, acupressure, biofeedback (including neurofeedback), rolfing, massage therapy and/or any services provided by a massage therapist, aromatherapy, wilderness, adventure, camping, outdoor, or other similar programs and other forms of alternative treatment, regardless of diagnosis. In Section C. Covered Services, the following is added: Gender Affirming Care We provide Benefits for gender affirmation services. The Covered Person must be diagnosed with gender identity disorder (GID), and an active participant in a recognized gender identity program. Covered Services are limited to services and supplies for gender affirmation and surgery when ordered by a Physician including Medically Necessary treatment related to GID or gender affirmation, counseling by a mental health professional for GID, hormone therapy, and other related surgical/medical procedures that are necessary for gender affirmation. Such services include but are not limited to room and board, general nursing care, supplies, laboratory services, x-rays, and related office visits when such services are Medically Necessary in accordance with Our policies for gender affirmation. Please see the criteria as defined in Our medical policy. Surgeries considered cosmetic would not be covered. In Section C. Covered Services, Electrical Stimulation, the following is deleted: We provide Benefits for certain types of electrical stimulation. Covered Services are limited to: a. Spinal cord electrical stimulation and electrical stimulation for bone growth; b. electrical stimulation of the spine as an adjunct to spinal fusion and sacral nerve neuromodulation; c. spinal cord stimulation for chronic pain unresponsive to standard therapies; d. electrical bone growth stimulation for fracture nonunions or congenital pseudoarthroses; e. electrical bone growth stimulation of the spine as an adjunct to spinal fusion; f. sacral nerve neuromodulation for urinary dysfunction; g. vagus nerve stimulation for the treatment of refractory or intractable seizures; h. Phrenic nerve stimulation; or i. Deep brain stimulation for tremor associated with Parkinson’s or essential tremor. We provide Benefits for electrical stimulation when provided by a physician for the treatment of chronic or acute pain as well as for wound healing. Covered Services include unattended and manual electrical stimulation, as well as Iontophoresis. This does not include home based electrical stimulation or durable medical equipment except as otherwise specified, e.g., TENS. And replaced as follows: Electrical Stimulation We provide Benefits for central and peripheral nervous system stimulation based on medical necessity. Certain Electrical Stimulation services must be Prior Authorized by Us. Please contact Us or visit www.bluekc.com for a complete list. In Section C. Covered Services, Maternity Services and Related Newborn Care, the following is deleted: Covered Services do not include carrier genetic testing. This amendment is attached to and made part of Your Contract. Except as specifically stated, nothing contained in this amendment will be deemed to alter any of the provisions of Your Contract. Erin Stucky President and Chief Executive Officer Blue Cross and Blue Shield of Kansas City AMENDMENT ISSUED BY BLUE CROSS AND BLUE SHIELD OF KANSAS CITY AMENDMENT: BCBSKC-212-19-K In Section A., Definitions, the following is added: Authorized Representative Means an individual (including a provider) whom a Covered Person designates, in writing, to act on his or her behalf to file a claim for benefits or to appeal an Adverse Determination. In Section A., Definitions, the following is added: Delegate Means an entity that We have contracted with to help Us administer Benefits, such as Our pharmacy benefit manager (“PBM”), behavioral health manager (currently New Directions Behavioral Health), or a company performing Utilization Review services for Us. In Section A., Definitions, Medically Necessary (Medical Necessity) is deleted in its entirety and replaced as follows: Medically Necessary (Medical Necessity) Means services and supplies which We, utilizing additional authoritative sources of information and expertise, determine are essential to the health of a Covered Person and are: a. Appropriate and necessary for the symptoms, diagnosis or treatment of a medical or surgical condition; b. In accordance with Our local medical policies and the medical policies of Our Delegates; c. Not primarily for the convenience of the Covered Person, nor the Covered Person’s family, Physician or another provider; d. Consistent with the attainment of reasonably achievable outcomes; e. Reasonably calculated to result in the improvement of the Covered Person’s physiological and psychological functioning; and f. If more than one service or supply would meet the requirements a through e above, furnished in the most cost-effective manner which may be provided safely and effectively to the Covered Person. Our determinations regarding Medical Necessity, just like any other determination, may be appealed pursuant to the grievance procedure. In Section A., Definitions, We, Us, Our is deleted in its entirety and replaced as follows: We, Us, Our Means Blue Cross and Blue Shield of Kansas City, the company legally responsible for providing the Benefits for Covered Services under the Contract, either acting on its own or through one of its Delegates, such as its pharmacy benefit manager (“PBM”), behavioral health manager (currently New Directions Behavioral Health), or a company performing Utilization Review services for Us. In Section C., Covered Services, the following is added under Electrical Stimulation: (j) hypoglossal nerve stimulation; (k) tumor treating fields therapy, as a form of electrical stimulation, for the treatment of glioblastoma multiforme. Certain Electrical Stimulation services must be Prior Authorized by Us. Please contact Us or visit www.bluekc.com for a complete list. In Section D., Exclusions and Limitations, the followed is deleted: 1. For speech therapy for vocal cord training/retraining due to vocational strain and/or weak cords, conceptual handicap, psychosocial speech and conductive hearing loss due to otitis media and ear infections. And replaced as follows: 2. For speech therapy for vocal cord training/retraining due to vocational strain and/or weak cords, conceptual handicap, psychosocial speech. In Section J., General Information, the following is added as subsection c. under Reimbursement to Us: c. Errors If We determine that an erroneous payment for Benefits has been made, We have the right to correct Benefits paid in error, including any Benefits We paid that exceed the amount needed to satisfy Our obligation. We have the right to recover the excess amount from You or any other person or entity receiving the erroneous payment on Your behalf. Such individual or organization has the responsibility to return any overpayments to Us. In the event You, or any other person or entity receiving the erroneous payment on Your behalf do not return to Us the erroneous payment, We shall have the equitable right to recoup such erroneous payment. We have the responsibility to make additional payment if an underpayment is made. In Section J., General Information, the following is deleted: The Contract and all rights, responsibilities, and Covered Services under it are personal to You. Except for assignment of claim payment to In-Network or Out-of-Network Participating Providers, You may not assign them in whole or in part, either before or after services have been received, to any other person, firm, corporation or entity. And replaced as follows: The Contract and all rights, responsibilities, and Covered Services under it are personal to You, including any legal cause of action, or remedy, derived therefrom. Except for assignment of claim payment to In-Network or Out-of-Network Participating Providers, You may not assign them in whole or in part, either before or after services have been received, to any other person, firm, corporation or entity. This amendment is attached to and made a part of Your Certificate. Except as specifically stated, nothing contained in this amendment will be deemed to alter any of the provisions of Your Certificate. Erin Stucky President and Chief Executive Officer Blue Cross and Blue Shield of Kansas City AMENDMENT ISSUED BY BLUE CROSS AND BLUE SHIELD OF KANSAS CITY AMENDMENT: BCBSKC-227-17-MK It is mutually understood and agreed that the Contract is amended as follows: Inter-Plan Arrangements I. Out-of-Area Services Overview We have a variety of relationships with other Blue Cross and/or Blue Shield Licensees. Generally, these relationships are called “Inter-Plan Arrangements.” These Inter-Plan Arrangements work based on rules and procedures issued by the Blue Cross Blue Shield Association (“Association”). Whenever you access healthcare services outside the geographic area We serve, the claim for those services may be processed through one of these Inter-Plan Arrangements. The Inter-Plan Arrangements are described below. When you receive care outside of Our service area, you will receive it from one of two kinds of providers. Most providers (“participating providers”) contract with the local Blue Cross and/or Blue Shield Plan in that geographic area (“Host Blue”). Some providers (“nonparticipating providers”) don’t contract with the Host Blue. We explain below how We pay both kinds of providers. We cover healthcare services received outside of Our service area when received from a participating provider. We cover only limited healthcare services received outside of Our service area from a nonparticipating provider. Such healthcare services are limited to emergency services received from a nonparticipating provider. Any other healthcare services received from a nonparticipating provider will not be covered when processed through any Inter-Plan Arrangements, unless authorized by Us. Inter-Plan Arrangements Eligibility – Claim Types All claim types are eligible to be processed through Inter-Plan Arrangements, as described above, except for all Dental Care Benefits except when paid as medical claims/benefits, and those Prescription Drug Benefits or Vision Care Benefits that may be administered by a third party contracted by Us to provide the specific service or services. A. BlueCard® Program Under the BlueCard® Program, when you receive Covered Services within the geographic area served by a Host Blue, We will remain responsible for doing what we agreed to in the contract. However, the Host Blue is responsible for contracting with and generally handling all interactions with its participating providers. When you receive Covered Services outside Our service area and the claim is processed through the BlueCard Program, the amount you pay for Covered Services is calculated based on the lower of: - The billed charges for Covered Services; or - The negotiated price that the Host Blue makes available to Us. Often, this “negotiated price” will be a simple discount that reflects an actual price that the Host Blue pays to your healthcare provider. Sometimes, it is an estimated price that takes into account special arrangements with your healthcare provider or provider group that may include types of settlements, incentive payments and/or other credits or charges. Occasionally, it may be an average price, based on a discount that results in expected average savings for similar types of healthcare providers after taking into account the same types of transactions as with an estimated price. Estimated pricing and average pricing also take into account adjustments to correct for over- or underestimation of past pricing of claims, as noted above. However, such adjustments will not affect the price We have used for your claim because they will not be applied after a claim has already been paid. B. Special Cases: Value-Based Programs BlueCard® Program If you receive Covered Services under a Value-Based Program inside a Host Blue’s service area, you will not be responsible for paying any of the Provider Incentives, risk-sharing, and/or Care Coordinator Fees that are a part of such an arrangement, except when a Host Blue passes these fees to Us through average pricing or fee schedule adjustments. Value-Based Programs: Negotiated (non–BlueCard Program) Arrangements If We have entered into a Negotiated Arrangement with a Host Blue to provide Value-Based Programs to Employer on your behalf, We will follow the same procedures for Value-Based Programs administration and Care Coordinator Fees as noted above for the BlueCard Program. C. Inter-Plan Programs: Federal/State Taxes/Surcharges/Fees Federal or state laws or regulations may require a surcharge, tax or other fee that applies to insured accounts. If applicable, We will include any such surcharge, tax or other fee as part of the claim charge passed on to you. D. Nonparticipating Providers Outside Our Service Area 1. Member Liability Calculation When Covered Services are provided outside of Our service area by nonparticipating providers, the amount you pay for such services will normally be based on either the Host Blue’s nonparticipating provider local payment or the pricing arrangements required by applicable state law. In these situations, you may be responsible for the difference between the amount that the nonparticipating provider bills and the payment We will make for the Covered Services as set forth in this paragraph. Federal or state law, as applicable, will govern payments for out-of-network emergency services. 2. Exceptions In certain situations, We may use other payment methods, such as billed charges for Covered Services, the payment we would make if the healthcare services had been obtained within our service area, or a special negotiated payment to determine the amount We will pay for services provided by nonparticipating providers. In these situations, you may be liable for the difference between the amount that the nonparticipating provider bills and the payment We will make for the Covered Services as set forth in this paragraph. E. Blue Cross Blue Shield Global Core If you are outside the United States, the Commonwealth of Puerto Rico, and the U.S. Virgin Islands (hereinafter “BlueCard service area”), you may be able to take advantage of Blue Cross Blue Shield Global Core when accessing Covered Services. Blue Cross Blue Shield Global Core is unlike the BlueCard Program available in the BlueCard service area in certain ways. For instance, although Blue Cross Blue Shield Global Core assists you with accessing a network of inpatient, outpatient and professional providers, the network is not served by a Host Blue. As such, when you receive care from providers outside the BlueCard service area, you will typically have to pay the providers and submit the claims yourself to obtain reimbursement for these services. If you need medical assistance services (including locating a doctor or hospital) outside the BlueCard service area, you should call the service center at 1.800.810.BLUE (2583) or call collect at 1.804.673.1177, 24 hours a day, seven days a week. An assistance coordinator, working with a medical professional, can arrange a physician appointment or hospitalization, if necessary. - Inpatient Services In most cases, if you contact the service center for assistance, hospitals will not require you to pay for covered inpatient services, except for your cost-share amounts. In such cases, the hospital will submit your claims to the service center to begin claims processing. However, if you paid in full at the time of service, you must submit a claim to receive reimbursement for Covered Services. You must contact Us to obtain precertification for non-emergency inpatient services. - Outpatient Services Physicians, urgent care centers and other outpatient providers located outside the BlueCard service area will typically require you to pay in full at the time of service. You must submit a claim to obtain reimbursement for Covered Services. - Submitting a Blue Cross Blue Shield Global Core Claim When you pay for Covered Services outside the BlueCard service area, you must submit a claim to obtain reimbursement. For institutional and professional claims, you should complete a Blue Cross Blue Shield Global Core claim form and send the claim form with the provider’s itemized bill(s) to the service center (the address is on the form) to initiate claims processing. Following the instructions on the claim form will help ensure timely processing of your claim. The claim form is available from Us, the service center or online at www.bcbsglobalcore.com. If you need assistance with your claim submission, you should call the service center at 1.800.810.BLUE (2583) or call collect at 1.804.673.1177, 24 hours a day, seven days a week. This amendment is attached to and made part of Your Contract. Except as specifically stated, nothing contained in this amendment will be deemed to alter any of the provisions of Your Contract. Erin Stucky President and Chief Executive Officer Blue Cross Blue Shield of Kansas City AMENDMENT ISSUED BY BLUE CROSS AND BLUE SHIELD OF KANSAS CITY AMENDMENT: BCBSKC-201-19-MK It is mutually understood and agreed that the provisions noted below are amended as follows: In Section A. Definitions, under Deductible, the following is added: Deductible: Applicable Cost Sharing amounts paid for or reimbursed by pharmaceutical manufacturers, for Specialty Prescription Drugs processed under Your Outpatient Prescription Drug Benefit, do not accumulate toward Your Deductible or Out-of-Pocket Maximum. This includes payments made through any discount programs, coupon programs, or similar arrangements. In Section A. Definitions, under Out-of-Pocket Maximum, the following is added: Out-of-Pocket Maximum Applicable Cost Sharing amounts paid for or reimbursed by pharmaceutical, for Specialty Prescription Drugs processed under Your Outpatient Prescription Drug Benefit, do not accumulate toward Your Deductible or Out-of-Pocket Maximum. This includes payments made through any discount programs, coupon programs, or similar arrangements. In Section C., Covered Services, Outpatient Prescription Drugs, the following is added: Deductible and Out-of-Pocket Maximum: The Covered Person is responsible for any Cost Sharing amounts specified in the Schedule of Benefits. Any Cost Sharing amounts that are paid for or reimbursed by pharmaceutical manufacturers, for Specialty Prescription Drugs processed under Your Outpatient Prescription Drug Benefit do not accumulate towards Your Deductible or Out-of-Pocket Maximum. This includes payments made through any discount programs, coupon programs, or similar arrangements. This amendment is attached to and made a part of Your Certificate. Except as specifically stated, nothing contained in this amendment will be deemed to alter any of the provisions of Your Certificate. Erin Stucky President and Chief Executive Officer Blue Cross and Blue Shield of Kansas City In Section C., Covered Services, Outpatient Prescription Drugs, under Specialty Pharmaceuticals, the following is added: Specialty Pharmaceuticals Manufacturer funded Copayment assistance is available for select Specialty Pharmaceuticals. If You are using one of the select medications that qualifies for this Copayment assistance and We will contact You by telephone and/or mail to elect to receive such cost-sharing assistance. If You elect this Cost-Sharing assistance, then this program will automatically adjust Your Cost-Sharing based on the amount of assistance available. When a coupon is used, only the amount You paid for the prescription will apply towards Your Out-of-Pocket Maximum. Please see BlueKC.com or contact Customer Service to determine which Specialty Pharmaceuticals are subject to this program. Erin Stucky President and Chief Executive Officer Blue Cross and Blue Shield of Kansas City AMENDMENT ISSUED BY BLUE CROSS AND BLUE SHIELD OF KANSAS CITY FOR MISSOURI RESIDENTS ONLY AMENDMENT: BCBSKC-201-21-K It is mutually understood and agreed that the Contract is amended as follows: In the Benefit Schedule, the following is added under Outpatient Therapy, Occupational Therapy: While services for the treatment of Autism, Mental Illness or Substance Abuse Disorder or a developmental or physical disability are not subject to or limited by the Calendar Year Maximum, occupational therapy for the treatment of Autism or a developmental or physical disability must be Prior Authorized if the Occupational Therapy Calendar Year Maximum has been met. In the Benefit Schedule, the following is added under Outpatient Therapy, Physical Therapy: While services for the treatment of Autism, Mental Illness or Substance Abuse Disorder or a developmental or physical disability are not subject to or limited by the Calendar Year Maximum, physical therapy for the treatment of Autism or a developmental or physical disability must be Prior Authorized if the Physical Therapy Calendar Year Maximum has been met. In the Benefit Schedule, the following is added under Outpatient Therapy, Speech Therapy: While services for the treatment of Autism, Mental Illness or Substance Abuse Disorder or a developmental or physical disability are not subject to or limited by the Calendar Year Maximum, speech therapy for the treatment of Autism or a developmental or physical disability must be Prior Authorized if the Speech Therapy Calendar Year Maximum has been met. In Section A., Definitions, the following is added: Developmental or Physical Disability means a severe chronic disability that: a. Is attributable to cerebral palsy, epilepsy, or any other condition other than mental illness or autism spectrum disorder which results in impairment of general intellectual functioning or adaptive behavior and requires treatment or services; b. Manifests before the individual reaches age nineteen; c. Is likely to continue indefinitely; and d. Results in substantial functional limitations in three or more of the following areas of major life activities: (1) Self-care; (2) Understanding and use of language; (3) Learning; (4) Mobility; (5) Self-direction; or (6) Capacity for independent living. This amendment is attached to and made a part of Your Contract. Except as specifically stated, nothing contained in this amendment will be deemed to alter any of the provisions of Your Contract. Erin Stucky President and Chief Executive Officer Blue Cross Blue Shield of Kansas City AMENDMENT ISSUED BY BLUE CROSS AND BLUE SHIELD OF KANSAS CITY AMENDMENT: BCBSKC-231-18-MK It is mutually understood and agreed that the provisions noted below are amended as follows: In Section D., Exclusions and Limitations, the following exclusions are added: 1. Amounts for services or supplies billed by Out-of-Network Providers that are Non-Participating that are not eligible for separate reimbursement according to Our payment policy. 2. Amounts for non-Emergency services billed by Out-of-Network Providers that are Non-Participating when proof of service is not established or supported by Your medical record. This amendment is attached to and made a part of Your Certificate. Except as specifically stated, nothing contained in this amendment will be deemed to alter any of the provisions of Your Certificate. Erin Stucky President and Chief Executive Officer Blue Cross and Blue Shield of Kansas City AMENDMENT ISSUED BY BLUE CROSS AND BLUE SHEILD OF KANSAS CITY AMENDMENT: EPO-206-22-K It is mutually understood and agreed that the provisions noted below are amended as follows: In Section C., Covered Services, the following is added to Outpatient Prescription Drugs: The following Medication-assisted Treatment (MAT) medications will be subject to the Cost-Sharing indicated for Tier 1 Drugs: Buprenorphine tablets; Methadone; Naloxone; Extended-release injectable naltrexone; and Buprenorphine/naloxone combination. In Section C., Covered Services, the following is added to Outpatient Prescription Drugs: Covered Services include diabetic continuous glucose monitors and the associated supplies. In Section D., Exclusions and Limitations, the followed is deleted: Obtained in an emergency room which are not Emergency Services. In Section C., Covered Services, the following is added under Electrical Stimulation: Certain Electrical Stimulation services must be Prior Authorized by Us. Please contact Us or visit www.bluekc.com for a complete list. This amendment is attached to and made a part of Your Certificate. Except as specifically stated, nothing contained in this amendment will be deemed to alter any of the provisions of Your Certificate. Erin Stucky President and Chief Executive Officer Blue Cross and Blue Shield of Kansas City AMENDMENT ISSUED BY BLUE CROSS AND BLUE SHIELD OF KANSAS CITY AMENDMENT: EPO-207-21-MK It is mutually understood and agreed that the Contract is amended as follows: Effective upon the later of Your Effective Date or January 1, 2020 and ending upon the earlier of termination of Your enrollment or December 31, 2021 the following applies. Covered Individuals shall not be subject to Cost-Sharing for Inpatient Hospital Services, Inpatient Physician Services, and other Inpatient related services for the treatment of Covid-19 to the extent such services are covered under the Contract for dates of service from January 1, 2020 through December 31, 2021. Effective January 1, 2022, the following applies. Covered Individuals shall be subject to the Cost-Sharing in the Benefit Schedule for Inpatient Hospital Services, Inpatient Physician Services, and other Inpatient related services for the treatment of Covid-19 to the extent such services are covered under the Contract for all dates of service beginning January 1, 2022 and after. For Inpatient Hospital Services, the date of service is the date of admission. This amendment is attached to and made part of Your Contract. Except as specifically stated, nothing contained in this amendment will be deemed to alter any of the provisions of Your Contract. Erin Stucky President and Chief Executive Officer Blue Cross and Blue Shield of Kansas City The following is added to the Benefit Schedule: \| COVID-19 Lab Test \| IN-NETWORK PROVIDERS \| \|-------------------\|----------------------\| \| This will only apply for dates of service on or after March 9, 2020 through the end of date of the Public Health Emergency. \| No Cost-Sharing \| \| This will only apply when the test is ordered by an attending healthcare provider licensed or otherwise authorized under applicable state law who individually makes a clinical determination that the test is proper from a medical perspective for the Covered Person and is consistent with prevailing medical standards, acting within the scope of the provider’s license or authorization, and who is responsible for providing care to the Covered Person. \| \| These tests will not be covered to screen for general workplace health and safety (such as employee “return to work” programs) or for public health surveillance for SARS-CoV-2 or for any other purpose not primarily intended for individualized diagnosis or treatment of COVID-19. \| \| This will apply regardless of whether services are received from In-Network or Out-of-Network Providers. \| \| This includes Antigen, PCR, and Antibody COVID-19 testing. Testing not to exceed 5 respiratory pathogens. \| \| COVID-19 Lab Test Related Services \| IN-NETWORK PROVIDERS \| \|-----------------------------------\|----------------------\| \| This will only apply for dates of service on or after March 9, 2020 through the end of date of the Public Health Emergency. \| No Cost-Sharing \| \| This will only apply when the test is ordered by an attending healthcare provider licensed or otherwise authorized under applicable state law who individually makes a clinical determination that the test is proper from a medical perspective for the covered person and is consistent with prevailing medical standards, acting within the scope of the provider’s license or authorization, and who is responsible for providing care to the Covered Person. \| \| Related Services are those items and services furnished during the office visit, telehealth visit, urgent care visit or emergency room visit that results in an order for or administration of the COVID-19 test, but only to the extent such item and service relates to the furnishing or administration of the COVID-19 test or to the evaluation of such individual for purposes of determining the need \| Telehealth for In-Network Providers \| IN-NETWORK PROVIDERS \| \|----------------------------------------\|--------------------------\| \| This will only apply for dates of service on or after March 9, 2020 through the end of date of the Public Health Emergency. Including virtual face-to-face, telephone, email and text visits \| No Cost-Sharing \| \| Cost-Sharing does apply to certain telehealth therapy services. Telehealth physical, occupational, speech, or hearing therapy services will be subject to the Cost-Sharing indicated in the Benefit Schedule for Outpatient Therapy Services. \| \| Skilled Nursing Facility Prior Authorization \| IN-NETWORK PROVIDERS \| \|-------------------------------------------------\|--------------------------\| \| This will only apply for dates of service on or after March 9, 2020 through the end of date of the Public Health Emergency. \| There shall be no Prior Authorization requirement when a hospital transfers a patient to an In-Network Skilled Nursing Facility. \| \| COVID-19 Over The Counter Antigen Test \| IN-NETWORK PROVIDERS \| \|--------------------------------------------\|--------------------------\| \| This will only apply for dates of service on or after January 15, 2022 through the end of date of the Public Health Emergency. \| No Cost-Sharing \| \| These tests are limited to 8 per Covered Person per 30 day period. This will apply regardless of whether services are received from In-Network or Out-of-Network Providers. Tests must be purchased from pharmacies, retail stores or online retailers. Tests must be self-administered and self-read. Tests must be for personal use, not for employment purposes, have not or will not be reimbursed by another source and may not be resold. Tests must be authorized or approved by the FDA. Sales tax and delivery charges are not covered. \| \| COVID-19 Vaccines \| IN-NETWORK PROVIDERS \| \|-----------------------\|--------------------------\| \| This will only apply for dates of service on or after March 9, 2020 through the end of date of the Public Health Emergency. \| No Cost-Sharing \| \| The administrative costs associated with the COVID-19 Vaccine are covered entirely by Blue Cross and Blue Shield of Kansas City for In-Network and Out-of-Network Providers, starting when the specific COVID-19 vaccine at issue gained Emergency Use Authorization. \| Unless otherwise required by federal, state, or local laws and regulations, all other provisions of Your Certificate are applicable. This amendment is attached to and made part of Your Contract. Except as specifically stated, nothing contained in this amendment will be deemed to alter any of the provisions of Your Contract. Erin Stucky President and Chief Executive Officer Blue Cross and Blue Shield of Kansas City AMENDMENT ISSUED BY BLUE CROSS AND BLUE SHIELD OF KANSAS CITY AMENDMENT: EPO-203-22-K In Section C. Covered Services, the following language is deleted: Outpatient Prescription Drugs: Exclusions: Tier 2 and Tier 3 drugs for the first 6 months following FDA approval unless a shorter exclusions period is recommended by Our Pharmacy and Therapeutics Committee, which includes community physicians and pharmacists. And replaced as follows: New pharmaceutical product/medical therapies for the first 6 months following FDA approval (including new indications) unless a shorter exclusions period is recommended by a Pharmacy and Therapeutics Committee. In Section D, Exclusions and Limitations, the following language is deleted: Tier 2 and Tier 3 drugs for the first 6 months following FDA approval for a new indication of an existing drug unless a shorter exclusion period is recommended by Our Pharmacy and Therapeutics Committee, which includes community physicians and pharmacists. And replaced as follows: New pharmaceutical product/medical therapies drugs for the first 6 months following FDA approval (including new indications) unless a shorter exclusions period is recommended by a Pharmacy and Therapeutics Committee. This amendment is attached to and made part of Your Certificate. Except as specifically stated, nothing contained in this amendment will be deemed to alter any of the provisions of Your Certificate. Erin Stucky President and Chief Executive Officer Blue Cross and Blue Shield of Kansas City EPO-201-22-MK 138 14274000-PPK0117-0124 In Section A., Definitions, Allowable Charge is deleted in its entirety and replaced as follows: Allowable Charge Means the dollar amount upon which Benefits will be determined. Any amounts for Covered Services (other than Copayments) a Covered Person is required to pay will be based on this Allowable Charge. Benefit limits, if any, will also be based on this Allowable Charge. The Allowable Charge may vary depending upon whether or not the provider has a contract with Us to participate in the BlueSelect Plus network and the terms of such contract. The Allowable Charge for an office visit at the Spira Care Center includes any ancillary services rendered by the Spira Care Center, regardless of date of service. Providers are identified as In-Network and Out-of-Network. You may be responsible for the difference between the amount that the Out-of-Network Provider bills and the payment We will make for the Covered Services as set forth in this paragraph. This practice is called balance billing, and the difference can be significant. Unless otherwise specified the following explains what the Allowable Charge is for different providers a. For Hospitals, other institutional health care facilities, Physicians or suppliers of medical goods and services which are In-Network providers- (1) The amount the provider has agreed to accept as payment in full as of the date of service; or (2) The provider’s billed charges. b. For non-Emergency Services provided by Hospitals, other institutional health care facilities, Physicians or suppliers of medical goods and services which are Out-of-Network Providers inside Our Service Area- The Allowable Charge is the lesser of: (1) The amount the provider has agreed to accept as payment in full as of the date of service; or (2) An amount that is based on 100% of the Medicare fee schedule. This percentage will be periodically evaluated and adjusted if deemed appropriate by Blue KC. If the fee schedule does not include a specific code for the service provided, Blue KC will apply the same methodology used to establish an Allowable Charge for an Out-of-Network Participating Provider; or (3) The provider’s billed charges. c. For Emergency Services provided by Hospitals, other institutional health care facilities, Physicians or suppliers of medical goods and services which are Out-of-Network Providers inside Our Service Area – The Allowable Charge is the greater of: (1) The median amount with in-network providers or (2) An amount that is based on 100% of the Medicare fee schedule. This percentage will be periodically evaluated and adjusted if deemed appropriate by Blue KC. If the fee schedule does not include a specific code for the service provided, Blue KC will apply the same methodology used to establish an Allowable Charge for an Out-of-Network Provider. d. For Ambulance services provided by Out-of-Network inside Our Service Area – The Allowable Charge is the lesser of: (1) The amount the provider has agreed to accept as payment in full as of the date of service; or (2) An amount that is based on 150% of the Medicare fee schedule. This percentage will be periodically evaluated and adjusted if deemed appropriate by Blue KC. If the fee schedule does not include a specific code for the service provided, Blue KC will apply the same methodology used to establish an Allowable Charge for an Out-of-Network Provider; or (3) The provider’s billed charges. e. For In-Network pharmacies- The Allowable Charge is the lesser of: (1) The negotiated rate the pharmacy has agreed to accept for Our members; or (2) The Usual and Customary Charge For purposes of this paragraph, Usual and Customary Charge means the amount that the participating pharmacy would have charged You if You were a cash paying customer. Such amount includes all applicable discounts, including, without limitation, senior citizen’s discounts, coupon discounts, non-insurance discounts, or other special discounts offered to attract customers. f. For Out-of-Network pharmacies— The Allowable Charge is 50% of the balance of the provider’s billed charges after Your Cost-Sharing has been applied. This amendment is attached to and made a part of Your Certificate. Except as specifically stated, nothing contained in this amendment will be deemed to alter any of the provisions of Your Certificate. Erin Stucky President and Chief Executive Officer Blue Cross and Blue Shield of Kansas City AMENDMENT ISSUED BY BLUE CROSS AND BLUE SHIELD OF KANSAS CITY AMENDMENT: EPO-201-21-MK It is mutually understood and agreed that Your Contract is amended as follows: In Section C. Covered Services, the following is deleted: Orthognathic Surgery We provide Benefits for orthognathic surgery for the following conditions: a. Correction of a defect diagnosed within 31 days of birth; or b. Correction of a defect due to an Accidental Injury. Treatment for correction of a defect due to an Accidental Injury must be completed within 12 months of the date of the Accidental Injury to be considered a Covered Service, unless the medical condition of the Covered Person prevents treatment from being rendered within 12 months of the date of the Accidental Injury. And is replaced with: Orthognathic Surgery We provide Benefits for orthognathic surgery for the following conditions: a. Correction of a congenital birth defect or abnormality diagnosed within 31 days of birth; or b. Correction of a defect due to an Accidental Injury. Treatment for correction of a defect due to an Accidental Injury must be completed within 12 months of the date of the Accidental Injury to be considered a Covered Service, unless the medical condition of the Covered Person prevents treatment from being rendered within 12 months of the date of the Accidental Injury. c. Correction of other medical conditions according to Our medical policy (such as difficulty swallowing, speech abnormalities, intraoral trauma related to malocclusion, masticatory dysfunction or malocclusion, or obstructive sleep apnea). This amendment is attached to and made a part of Your Contract. Except as specifically stated, nothing contained in this amendment will be deemed to alter any of the provisions of Your Contract. Erin Stucky President and Chief Executive Officer Blue Cross and Blue Shield of Kansas City AMENDMENT ISSUED BY BLUE CROSS AND BLUE SHIELD OF KANSAS CITY AMENDMENT: BCBSKC-229-19-MK In Section C., Covered Services, the following is added: Genetic Testing We provided Benefits for genetic testing in accordance with Our Medical Necessity criteria. Certain genetic tests for women who have a family history associated with an increased risk for mutations in the BRCA1 or BRCA2 genes are Covered Services under the Routine Preventive Care Benefit. Genetic Testing must be Prior Authorized by Us. This amendment is attached to and made a part of Your Certificate. Except as specifically stated, nothing contained in this amendment will be deemed to alter any of the provisions of Your Certificate. Erin Stucky President and Chief Executive Officer Blue Cross and Blue Shield of Kansas City AMENDMENT ISSUED BY BLUE CROSS AND BLUE SHIELD OF KANSAS CITY AMENDMENT: BCBSKC-215-18-MK It is mutually understood and agreed that the provisions noted below are amended as follows: In Section C., Covered Services, the following is added under Anesthesia, Medical: Anesthesia services provided in an In-Network facility will be subject to the In-Network Provider Deductible and In-Network Provider Out-of-Pocket Maximum provisions of the Contract and will be paid at the In-Network Provider Coinsurance level. In Section C., Covered Services, the following is added under Diagnostic Services: Radiology services and pathology services provided in an In-Network facility will be subject to the In-Network Provider Deductible and In-Network Provider Out-of-Pocket Maximum provisions of the Contract and will be paid at the In-Network Provider Coinsurance level. This amendment is attached to and made a part of Your Contract. Except as specifically stated, nothing contained in this amendment will be deemed to alter any of the provisions of Your Contract. Erin Stucky President and Chief Executive Officer Blue Cross and Blue Shield of Kansas City AMENDMENT ISSUED BY BLUE CROSS AND BLUE SHIELD OF KANSAS CITY AMENDMENT: BCBSKC-226-18-MK It is mutually understood and agreed that the provisions noted below are amended as follows: In Section C., Covered Services, the following is added under Durable Medical Equipment: We provide Benefits for pediatric gait trainers (including posterior, anterior, and upright gait trainers, as well as other assistive walking devices), when Medically Necessary, for Covered Persons under age 19. These services must be Prior Authorized by Us. This amendment is attached to and made a part of Your Certificate. Except as specifically stated, nothing contained in this amendment will be deemed to alter any of the provisions of Your Certificate. Erin Stucky President and Chief Executive Officer Blue Cross and Blue Shield of Kansas City AMENDMENT ISSUED BY BLUE CROSS AND BLUE SHIELD OF KANSAS CITY FOR MISSOURI RESIDENTS ONLY AMENDMENT: BCBSKC-235-17-K It is mutually understood and agreed that the Contract is amended as follows: In Section C., Covered Services, Autism Spectrum Disorder is added as follows: Autism Spectrum Disorder The following definitions apply to this section: Applied Behavior Analysis (ABA) means the design, implementation, and evaluation of environmental modifications, using behavioral stimuli and consequences, to produce socially significant improvement in human behavior, including the use of direct observation, measurement, and functional analysis of the relationships between environment and behavior. Applied Behavior Analysis does not include cognitive therapies or psychological testing, personality assessment, intellectual assessment, neuropsychological assessment, psychotherapy, cognitive therapy, sex therapy, psychoanalysis, hypnotherapy, family therapy and long-term counseling as treatment modalities. Autism Service Provider means: a. any person, entity, or group that provides diagnostic or treatment services for Autism Spectrum Disorders who is licensed or certified by the state in which services were rendered to provide health care services; or b. Any person who is licensed under Missouri Chapter 377 or by the state in which services were rendered, as a board certified behavior analyst by the behavior analyst certification board or as an assistant board certified behavior analyst. Autism Spectrum Disorders means a neurobiological disorder, an illness of the nervous system, which includes Autistic Disorder, Asperger's Disorder, Pervasive Developmental Disorder Not Otherwise Specified, Rett's Disorder, and Childhood Disintegrative Disorder, as defined in the most recent edition of the Diagnostic and Statistical Manual of Mental Disorders of the American Psychiatric Association. Diagnosis of Autism Spectrum Disorders means medically necessary assessments, evaluations, or tests in order to diagnose whether an individual has an Autism Spectrum Disorder. Habilitative or Rehabilitative care means professional, counseling, and guidance services and treatment programs, including Applied Behavior Analysis, that are necessary to develop the functioning of an individual. Pharmacy care means medications used to address symptoms of an autism spectrum disorder prescribed by a licensed physician, and any health-related services deemed medically necessary to determine the need or effectiveness of the medications only to the extent that such medications are included in the insured's health benefit plan; Psychiatric care means direct or consultative services provided by a psychiatrist licensed in the state in which the psychiatrist practices. Psychological care means direct or consultative services provided by a psychologist licensed in the state in which the psychologist practices Therapeutic care services means provided by licensed speech therapists, occupational therapists, or physical therapists; Treatment for Autism Spectrum Disorder means care prescribed or ordered for an individual diagnosed with an Autism Spectrum Disorder by a licensed physician or licensed psychologist, including equipment medically necessary for such care, pursuant to the powers granted under such licensed physician's or licensed psychologist's license., including, but not limited to: a. Psychiatric care; b. Psychological care; c. Habilitative or rehabilitative care, including Applied Behavior Analysis therapy; d. Therapeutic care; e. Pharmacy care. We provide Benefits for the diagnosis and treatment of Autism Spectrum Disorders when prescribed or ordered for an individual diagnosed with an Autism Spectrum Disorder by a licensed physician or licensed psychologist, including equipment medically necessary for such care including but not limited to: (a) Psychiatric care; (b) Psychological care; (c) Habilitative or Rehabilitative care, including Applied Behavior Analysis therapy; (d) Therapeutic care; and (e) Pharmacy care. The Benefits for Applied Behavior Analysis are subject to the same Cost-Sharing as All Other Covered Services as specified in the Benefit Schedule. Benefits for ABA therapy will be provided to the extent that such coverage is the better of: a. The Benefits for Applied Behavior Analysis are subject to the same Cost-Sharing as All Other Covered Services for Covered Persons until their 19th birthday. Such maximum benefit limit may be exceeded, upon prior approval by New Directions, if the provision of ABA therapy beyond the maximum limit is Medically Necessary for a Covered Person.; or b. The Benefits for Applied Behavior Analysis are subject to the same Cost-Sharing as All Other Covered Services. For Covered Persons diagnosed with an Autism Spectrum Disorder between birth and five years of age, ABA coverage is limited to 1,300 hours per Calendar Year for the first four years of such coverage. After the first four years of coverage, and for Covered Persons diagnosed with an Autism Spectrum Disorder after five years of age, ABA coverage is limited to 520 hours per Calendar Year until reaching age 12. Coverage for Applied Behavior Analysis is limited to Medically Necessary treatment ordered by the treating physician or psychologist in accordance with the treatment plan for Covered Persons under the age of 19. An ABA therapy treatment plan must include all elements necessary for Us to pay the claim. Except for inpatient services, We have the right to review the treatment plan once every six months unless the treating physician agrees a more frequent review is necessary. Notwithstanding any provision in the Certificate to the contrary, services provided by an Autism Service Provider for Speech Therapy, Occupational Therapy or Physical Therapy will not be subject to any visit limits and shall not be subject to the age limitations described in this subsection, except for Applied Behavior Analysis. ABA services must be Prior Authorized by Us. In Section D., Exclusions and Limitations, the following is deleted in its entirety: For marital counseling or counseling to assist in achieving more effective intra or interpersonal development; dietary counseling, except as specifically provided; decisional; social; or educational development; vocational development, or work hardening programs. And replaced as follows: For marital counseling or counseling to assist in achieving more effective intra or interpersonal development except as specifically provided under the Autism Spectrum Disorder Benefit; dietary counseling, except as specifically provided; decisional; social; or educational development except as specifically provided under the Autism Spectrum Disorder Benefit; vocational development, or work hardening programs. In Section D., Exclusions and Limitations, the following is added: For Applied Behavior Analysis services received as part of any Part C early intervention program or provided by any school district. In Section J., General Information, subsection 12., Assignment, the following is added: We shall reimburse the Part C Early Intervention System for claims for early intervention services (i.e. speech and language therapy, occupational therapy, physical therapy, and assistive technology devices) provided to Covered Persons under the age of three who are Missouri residents and are identified as eligible for services under Part C of the Individuals with Disabilities Education Act. Claims for early intervention services will be subject to the same Cost-Sharing as All Other Covered Services, and reimbursement for each Covered Person is limited to $3,000 per year and not to exceed $9,000 per lifetime. Early intervention services must be provided and billed by the Department of Elementary and Secondary Education (DESE). Any payment made to the Part C Early Intervention System will satisfy Our liability to extent of that payment. This amendment is attached to and made part of Your Contract. Except as specifically stated, nothing contained in this amendment will be deemed to alter any of the provisions of Your Contract. Erin Stucky President and Chief Executive Officer Blue Cross Blue Shield of Kansas City AMENDMENT ISSUED BY BLUE CROSS AND BLUE SHIELD OF KANSAS CITY AMENDMENT: BCBSKC-201-20-MK It is mutually understood and agreed that the Certificate is amended as follows: In Section C. Covered Services, Radiation Therapy is deleted in its entirety and replaced as follows: Radiation Therapy We provide Benefits for treatment of a medical condition with x-ray, radium, or radioactive isotopes. These services must be Prior Authorized by Us. This amendment is attached to and made a part of Your Certificate. Except as specifically stated, nothing contained in this amendment will be deemed to alter any of the provisions of Your Certificate. Erin Stucky President and Chief Executive Officer Blue Cross and Blue Shield of Kansas City The following pages are not a part of this Certificate, but contain important information and are provided here for your convenience in locating this information if needed. COVERED PERSON’S RIGHTS AND RESPONSIBILITIES 1. You have the right to: a. Receive considerate and courteous care with respect and recognition of personal privacy, dignity and confidentiality. b. Have a candid discussion of medically necessary and appropriate treatment options or services for your condition from any participating physician, regardless of cost or benefit. c. Receive medically necessary and appropriate care or services from any participating physician or other participating healthcare provider from those available as listed in your managed care plan directory or from any non-participating physician or other healthcare provider. d. Receive information in clear and understandable terms, and ask questions to ensure you understand what you are told by your physician and other medical personnel. e. Participate with practitioner in making decisions about your health care, including accepting and refusing medical or surgical treatments. f. Give informed consent to treatment and make advance treatment directives, including the right to name a surrogate decision maker in the event you cannot participate in decision making. g. Discuss your medical records with your physician and have health records kept confidential, except when disclosure is required by law or to further your treatment. h. Be provided with information about your EPO managed healthcare plan, its services, and the practitioners and providers providing care, as well as have the opportunity to make recommendations about your rights and responsibilities. i. Communicate any concerns with your EPO managed healthcare plan regarding care or services you received, receive an answer to those concerns within a reasonable time, and initiate the complaint and grievance procedure if you are not satisfied. 2. You have the responsibility to: a. Respect the dignity of other members and those who provide care and services through your EPO managed health care plan. b. Ask questions of your treatment physician or treatment provider until you fully understand the care you are receiving and participate in developing mutually agreed upon treatment goals to the degree possible. c. Follow the mutually agreed upon plans and instructions for care that you have discussed with your healthcare practitioner, including those regarding medications. Comply with all treatment follow-up plans, and be aware of the medical consequences of not following instructions. d. Communicate openly and honestly with your treatment provider regarding your medical history, health conditions and the care you receive. e. Keep all scheduled healthcare appointments and provide advance notification to the appropriate provider if it is necessary to cancel an appointment. f. Know how to use the services of your EPO managed healthcare plan properly. g. Supply information (to the extent possible) that the organization and its practitioners and providers need in order to provide care. GENERAL PURPOSES AND LIMITATIONS OF THE KANSAS LIFE AND HEALTH INSURANCE GUARANTY ASSOCIATION K.S.A. 40-3001, et. seq. DISCLAIMER THE KANSAS LIFE AND HEALTH INSURANCE GUARANTY ASSOCIATION MAY NOT PROVIDE COVERAGE FOR ALL OR A PORTION OF THIS POLICY. IF COVERAGE IS PROVIDED, IT MAY BE SUBJECT TO SUBSTANTIAL LIMITATIONS AND EXCLUSIONS, AND IS CONDITIONED UPON RESIDENCY IN THIS STATE. THEREFORE, YOU SHOULD NOT RELY UPON COVERAGE BY THE KANSAS LIFE AND HEALTH INSURANCE GUARANTY ASSOCIATION IN SELECTING AN INSURANCE COMPANY OR IN SELECTING AN INSURANCE POLICY. INSURANCE COMPANIES AND THEIR AGENTS ARE PROHIBITED BY LAW FROM USING THE EXISTENCE OF THE KANSAS LIFE AND HEALTH INSURANCE GUARANTY ASSOCIATION IN SELLING YOU ANY FORM OF AN INSURANCE POLICY, OR TO INDUCE YOU TO PURCHASE ANY FORM OF AN INSURANCE POLICY. EITHER THE KANSAS LIFE AND HEALTH INSURANCE GUARANTY ASSOCIATION OR THE KANSAS INSURANCE DEPARTMENT WILL RESPOND TO ANY QUESTIONS YOU HAVE REGARDING THIS DOCUMENT. Kansas Life and Health Insurance Guaranty Association 2909 SW Maupin Lane Topeka, KS 66614 Ph.: 785-271-1199 Fax: 785-272-0242 Kansas Insurance Department 420 SW 9th Street Topeka, KS 66612 Ph.: 785-296-3071 This is a brief summary of the Kansas Life and Health Insurance Guaranty Association (“the Association”) and the protection it provides for policyholders. If there is any inconsistency between this notice and Kansas law, then Kansas law will control. The Association was established to provide protection in the unlikely event that Your life, annuity or health insurance company becomes financially unable to meet its obligations and is taken over by its Insurance Department. If this should happen, the Association will typically arrange to continue coverage and pay claims, in accordance with Kansas law, with funding from assessments paid by other insurance companies. This safety net was created under Kansas law, which determines who and what is covered and the amounts of coverage. The basic protections provided by the Association are: - Life Insurance - $300,000 in death benefits - $100,000 in cash surrender or withdrawal values - Health Insurance - $500,000 in hospital, medical and surgical insurance benefits - $300,000 in disability insurance benefits - $300,000 in long-term care insurance benefits - $100,000 in other types of health insurance benefits - Annuities - $250,000 in withdrawal and cash values The maximum amount of protection for each individual, regardless of the number of policies or contracts, is $300,000. Special rules may apply with regard to hospital, medical and surgical insurance benefits, as well as certain aggregate limits. THIS NOTICE DESCRIBES HOW PERSONAL AND MEDICAL INFORMATION ABOUT YOU MAY BE USED AND DISCLOSED AND HOW YOU CAN GET ACCESS TO THIS INFORMATION. PLEASE REVIEW IT CAREFULLY. THE PRIVACY OF YOUR MEDICAL INFORMATION IS IMPORTANT TO US. Organizations Covered by this Notice This notice applies to the privacy practices of the organizations participating in the organized health care arrangement for the provision of services through the Spira Care program (collectively “We” or “Spira Care”). The Spira Care program includes a health plan offered to you by your employer. Through your enrollment in the Spira Care program, you are provided health coverage through Blue Cross and Blue Shield of Kansas City and access to certain Spira Care health care clinics where health care and other associated services are provided by third-party professionals such as physicians and/or physician groups, laboratory providers, pharmacies and mental health professionals (the “Professional Service Providers”). Blue Cross and Blue Shield of Kansas City and the Professional Service Providers listed on the Spira Care website at www.spiracare.com have formed an organized health care arrangement to facilitate the Spira Care program. Each organization participating in the organized health care arrangement has agreed to abide by this joint notice of privacy practices. Contact Information The complete Notice of Privacy Practices is available on our website www.spiracare.com and is posted in each Spira Care clinic. For more information about our privacy practices, to discuss questions or concerns, or to get additional copies of this notice or copies in other languages, please contact our Privacy Officer or the Spira Care Clinic where you receive services. Privacy Office: Spira Care Privacy Office P. O. Box 417012 Kansas City, MO 64141 Telephone: 816-395-3784 or toll free at 1-800-932-1114 Fax: 816-395-2862 E-mail: firstname.lastname@example.org Spira Care Clinic: Please inquire at the front desk of your Spira Care clinic for the privacy coordinator. Our Legal Duty We are required by applicable federal and state law to maintain the privacy of your personal and medical information. We are also required to give you this notice about our privacy practices, our legal duties, and your rights concerning your medical information. We must follow the privacy practices that are described in this notice while it is in effect. This notice takes effect January 1, 2018 and will remain in effect unless we replace it. We reserve the right to change our privacy practices and the terms of this notice at any time, provided such changes are permitted by applicable law. We reserve the right to make any change in our privacy practices and the new terms of our notice applicable to all personal and medical information we maintain, including medical information we created or received before we made the change. Before we make a significant change in our privacy practices, we will change this notice and send the new notice to our health plan subscribers/patients at the time of the change. Uses and Disclosures of Your Medical Information Treatment: We may disclose your medical information, without your permission, to provide you with medical treatment or services. We may disclose medical information about you to physicians, nurses, technicians, or other health care professionals involved in your care. Health care professionals may share information about you in order to coordinate the different services you need, such as prescriptions, lab work and x-rays. Payment: We may use and disclose your medical information, without your permission, to pay claims from physicians, hospitals and other health care providers for services delivered to you that are covered by your health plan, to determine your eligibility for benefits, to coordinate your benefits with other payers, to determine the medical necessity of care delivered to you, to obtain premiums for your health coverage, to issue explanations of benefits to the subscriber of the health plan in which you participate, and the like. We may disclose your medical information to a health care provider or another health plan for that provider or plan to obtain payment or engage in other payment activities. Health Care Operations: We may use and disclose your medical information, without your permission, for health care operations. Health care operations include: - health care quality assessment and improvement activities; - reviewing and evaluating health care provider and health plan performance, qualifications and competence, health care training programs, health care provider and health plan accreditation, certification, licensing and credentialing activities; - conducting or arranging for medical reviews, audits, and legal services, including fraud and abuse detection and prevention; - underwriting and premium rating our risk for health coverage, and obtaining stop-loss and similar reinsurance for our health coverage obligations (although we are prohibited from using or disclosing any genetic information for these underwriting purposes); and - business planning, development, management, and general administration, including customer service, grievance resolution, claims payment and health coverage improvement activities, deidentifying medical information, and creating limited data sets for health care operations, public health activities, and research. Organized Health Care Arrangement: We may use and disclose your medical information among the organizations participating in the organized health care arrangement for purposes of the organized health care arrangement and operation of the Spira Care program. For example, the Spira Care coordinators are available to assist you both with scheduling appointments and coordinating medical services through the Spira Care clinics as well as providing information regarding satisfaction of your health plan deductibles or coverage of services. We may electronically connect the medical information we receive regarding you and documented in medical claims and medical records of the Professional Service Providers providing care at the Spira Care clinics, including, at minimum, available information regarding your demographics, insurance, problem list, visit history, medication list, radiology reports, lab reports, and provider documentation. The sharing of this information is for the purpose of promoting the efficiency and quality of your medical care. All of the individuals and organizations participating in the organized health care arrangement have agreed to only use this information as permitted under this Notice of Privacy Practices. Your Authorization: You may give us written authorization to use your medical information or to disclose it to anyone for any purpose. The following types of uses and disclosures of medical information will be made only with your written permission, unless required by law: - Psychotherapy Notes. Psychotherapy notes are notes that your mental health professional maintains separate and apart from your medical record. These notes require your written authorization for disclosure unless the disclosure is required or permitted by law, the disclosure is to defend the mental health professional in a lawsuit brought by you, or the disclosure is used to treat you or to train students. - Marketing. We must get your permission to use your medical information for marketing unless we are having a face-to-face talk about the new health care product or service, or unless we are giving you a gift that does not cost much to tell you about the new health care product or service. We must also tell you if we are getting paid by someone else to tell you about a new health care item or service. - Selling Medical Information. We are not allowed to sell your medical information without your permission and we must tell you if we are getting paid. However, certain activities are not viewed as selling your medical information and do not require your consent. For example, we can sell our business, we can pay our contractors and subcontractors who work for us, we can participate in research studies, we can get paid for treating you, we can provide you with copies or an accounting of disclosures of your medical information, or we can use or disclose your medical information without your permission if we are required or permitted by law, such as for public health purposes. If you provide us with authorization to use or disclose medical information about you, you may revoke that permission, in writing, at any time. If you revoke your permission, we will no longer use or disclose medical information about you for the reasons covered by your written authorization. You understand that we are unable to take back any disclosures we have already made with your permission, and that we are required to retain our records of the services that we provided to you. Family, Friends, and Others Involved in Your Care or Payment for Care: We may disclose your medical information to a family member, friend or any other person you involve in your care or payment for your health care. We will disclose only the medical information that is relevant to the person’s involvement. We may use or disclose your name, location, and general condition to notify, or to assist an appropriate public or private agency to locate and notify, a person responsible for your care in appropriate situations, such as a medical emergency or during disaster relief efforts. We will provide you with an opportunity to object to these disclosures, unless you are not present or are incapacitated or it is an emergency or disaster relief situation. In those situations, we will use our professional judgment to determine whether disclosing your medical information is in your best interest under the circumstances. Your Employer: We may disclose to your employer whether you are enrolled or dis-enrolled in a health plan that your employer sponsors. We may disclose summary health information to your employer to use to obtain premium bids for the health insurance coverage offered under the group health plan in which you participate or to decide whether to modify, amend or terminate that group health plan. Summary health information is aggregated claims history, claims expenses or types of claims experienced by the enrollees in your group health plan. Although summary health information will be stripped of all direct identifiers of these enrollees, it still may be possible to identify medical information contained in the summary health information as yours. We may disclose your medical information and the medical information of others enrolled in your group health plan to your employer to administer your group health plan. Before we may do that, your employer must amend the plan document for your group health plan to establish the limited uses and disclosures it may make of your medical information. Please see your group health plan document for a full explanation of those limitations. Health-Related Products and Services: Where permitted by law, we may use your medical information to communicate with you about health-related products, benefits and services, and payment for those products, benefits and services that we provide or include in our benefits plan. We may use your medical information to communicate with you about treatment alternatives that may be of interest to you. These communications may include information about the health care providers in our networks, about replacement of or enhancements to your health plan, and about health-related products or services that are available only to our enrollees that add value to our benefits plans. 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Uses and Disclosures of Your Personal Information Where permitted by law, we may use your personal information to communicate with you and certain state/federal government agencies: (1) in support of efficient operation of a health insurance marketplace (e.g., qualified health plan application assistance); (2) about health-related products, benefits and services; and (3) about payment for those products, benefits and services that we provide or include in our benefits plan. We may use your personal information to communicate with you about the health care providers in our networks, replacement of or enhancements to your health plan, and health-related products or services that are available only to our enrollees that add value to our benefits plans. Your Rights If you wish to exercise any of the rights set out in this section, you should submit your request in writing to our Privacy Office. You may obtain a form by calling the phone number on the back of your ID card to make your request. Access: You have the right to examine and to receive a copy of your personal and medical information, with limited exceptions. This may include an electronic copy in certain circumstances if you make this request in writing. We may charge you reasonable, cost-based fees for a copy of your personal and medical information, for mailing the copy to you, and for preparing any summary or explanation of your personal and medical information you request. Contact our Privacy Office for information about our fees. Disclosure Accounting: You have the right to a list of instances in which we disclose your personal and medical information for purposes other than treatment, payment, health care operations, as authorized by you, and for certain other activities. We will provide you with information about each accountable disclosure that we made during the period for which you request the accounting, except we are not obligated to account for a disclosure that occurred more than 6 years before the date of your request. If you request this accounting more than once in a 12-month period, we may charge you a reasonable, cost-based fee for responding to your additional requests. Contact our Privacy Office for information about our fees. Amendment: You have the right to request that we amend your personal and medical information. We may deny your request only for certain reasons. If we deny your request, we will provide you a written explanation. If we accept your request, we will make your amendment part of your medical information and use reasonable efforts to inform others of the amendment who we know may have and rely on the unamended information to your detriment, as well as persons you want to receive the amendment. Restriction: You have the right to request that we restrict our use or disclosure of your personal and medical information for treatment, payment or health care operations, as part of the organized health care arrangement, or with family, friends or others you identify. We are not required to agree to your request, except in limited circumstances where you wish to pay for medical services out-of-pocket in full at the time of the service and have requested that we not disclose your medical information to a health plan. In such cases, we will refer you to a non-Spira Care clinic for care. If we do agree, we will abide by our agreement, except in a medical emergency or as required or authorized by law. Any agreement we may make to a request for restriction must be in writing signed by a person authorized to bind us to such an agreement. Confidential Communication: You have the right to request that we communicate with you about your personal and medical information in confidence by means or to locations that you specify. You must make your request in writing. We will accommodate your request if it is reasonable, specifies the means or location for communicating with you, and continues to permit us to collect premiums and pay claims under your health plan. Please note that an explanation of benefits and other information that we issue to the subscriber about health care that you received for which you did not request confidential communications, or about health care received by the subscriber or by others covered by the health plan in which you participate, may contain sufficient information to reveal that you obtained health care for which we paid, even though you requested that we communicate with you about that health care in confidence. Electronic Notice: If you receive this notice on our website or by electronic mail (e-mail), you are entitled to receive this notice in written form. Please contact our Privacy Office to obtain this notice in written form. Breach Notification: In the event of breach of your unsecured personal and health information, we will provide you notification of such a breach as required by law or where we otherwise deem appropriate. Right to Decline Participation in Health Information Exchange: The Professional Service Providers at the Spira Care clinics may choose to share medical information electronically with other health care providers located near or in the same state as the Spira Care clinics through regional or state health information exchanges, such as Missouri Health Connection (“MHC”), LACIE and Kansas Health Information Exchange or through a provider-specific network such as iNetwork. You may choose not to allow your medical information to be shared through regional, state, or provider-specific health information exchanges by either refusing to sign an authorization form or contacting the Privacy Officer, depending on the consent process of the regional or state health information exchange. This means that it may take longer for your health care providers to get information they may need to treat you. However, even if you do not want to participate in a state health information exchange, certain state law reporting requirements, such as an immunization registry, will still be fulfilled through health information exchange, and some states still allow health care providers to access your medical information through a regional or state health information exchange if needed to treat you in an emergency. If you have any questions regarding the Professional Service Providers or Spira Care’s participation in exchanges or how to opt out, please contact the Privacy Officer at the number listed on the first page of this Notice. Complaints If you are concerned that we may have violated your privacy rights, or you disagree with a decision we made about access to your personal and medical information, about amending your personal and medical information, about restricting our use or disclosure of your personal and medical information, or about how we communicate with you about your personal and medical information, you may complain to our Privacy Office. You also may submit a written complaint to the Office for Civil Rights of the United States Department of Health and Human Services, 200 Independence Avenue, SW, HHH Building, Washington, D.C. 20201. You may contact the Office for Civil Rights’ Hotline at 1-800-368-1019 or e-mail email@example.com. We support your right to the privacy of your personal and medical information. We will not retaliate in any way if you choose to file a complaint with us or with the U.S. Department of Health and Human Services. Discrimination is Against the Law We comply with applicable Federal civil rights laws and does not discriminate on the basis of race, color, national origin, age, disability, or sex. We do not exclude people or treat them differently because of race, color, national origin, age, disability, or sex. We: - Provide free aids and services to people with disabilities to communicate effectively with us, such as: - Qualified sign language interpreters - Written information in other formats (large print, audio, accessible electronic formats, other formats) - Provide free language services to people whose primary language is not English, such as: - Qualified interpreters - Information written in other languages If you need these services, contact Spira Care at the number listed on your insurance identification card (Toll free) or send an email to firstname.lastname@example.org. If you believe that we have failed to provide these services or discriminated in another way on the basis of race, color, national origin, age, disability, or sex, you can file a grievance with Spira Care, PO Box 419169, Kansas City, MO 64141-6169, 816-395-3537, TTY: 816842-5607, email@example.com. You can file a grievance in person or by mail or email. If you need help filing a grievance, the Spira Care is available to help you. You can also file a civil rights complaint with the U.S. Department of Health and Human Services, Office for Civil Rights electronically through the Office for Civil Rights Complaint Portal, available at https://ocrportal.hhs.gov/ocr/portal/lobby.jsf, or by mail or phone at: U.S. Department of Health and Human Services 200 Independence Avenue, SW Room 509F, HHH Building Washington, D.C. 20201 1-800-368-1019, 800-537-7697 (TDD) Complaint forms are available at http://www.hhs.gov/ocr/office/file/index.html. باشنید داشته، Blue KC مورد در سوال، میکنید کمک او به شما که کسی با شما، اگر 7 نمایید حاصل تماس.1-877-337-7472 تماپید دریافت رایگان طور به را خود زبان به اطلاعات کمکو که دارید را این حق. Cushite: Isin yookan namni biraa isin deeggartan Blue KC irratti gaaffii yo qabaattan, kaffaltii irraa bilisa haala ta’een afaan keessaniin odeeffannoo argachuu fi deeggarsa argachuuf mirga ni qabdu. Nama isiniif ibsu argachuuf, lakkoofsa bilbilaa 1-877-337-7472 tiin bilbilaa. Portuguese: Se você, ou alguém a quem você está ajudando, tem perguntas sobre o Blue KC, você tem o direito de obter ajuda e informação em seu idioma e sem custos. Para falar com um intérprete, ligue para 1-877-337-7472. For TTY services, please call 1-816-842-5607.
From the Bench to the Bedside: the Challenge of Bringing an Innovative Diagnostic Test to the Market Empresas que diseñan el futuro The thesis behind the creation of Life Length • Life span has increased by over 30 years since WWII; in next 30 years, people will routinely live to more than 100 years • But there is an increasing gap between life span and “health span” – the period in which individuals live with their physical and mental capabilities largely intact • Chronic “silent” age-related diseases (the big ones cancer, cardiovascular, neurogenerative diseases) are now the biggest problem we face as individuals and societally; ending health and life span The thesis behind the creation of Life Length • All these diseases, and many more share in common one thing, they are rarely developed by young people and are “age-related” diseases. • Underlying all these diseases is a fundamental component of human biology—and indeed of all living things—telomeres. • Huge investments are now being made to “cure aging” and the future of serious preventive and personalized medicine has arrived. • Life Length is perfectly positioned at the forefront of a global trend by individuals seeking to live longer, healthier lives as the world leader in this key component of human biology. Key facts • Life Length - the world’s leading healthcare diagnostic company for telomere measurement and testing Corporate clients (B2B) Academic studies with universities and research centers (B2E) For individuals and doctors in preventive and personalized medicine through distribution partnerships with major diagnostic laboratories worldwide (B2C) Potential annual market size estimated to be more than $3 billion Key facts • Life Length’s business plan is focused on building major barriers to entry to protect its global leadership position in this field. • Most important early stage healthcare / diagnostic company in Spain. The Company was recipient of three awards in 2013: Best new technology company in Spain – award given by leading Spanish business newspaper Expansión – June 2013 Best company for technological innovation in the Community of Madrid – award given by the Fundación Madri+d – October 2013 Best investment opportunity – award given by Spanish Business Angels competition in which more than 130 companies competed – November 2013 A picture of human telomeres inside living cells. The greater the fluorescent intensity, the longer the telomeres and the healthier the individual. A telomere measures approximately, $1 / 100,000$ of a meter. Life Length’s technology is able to detect differences as small as $1 / 10,000,000$ of a meter. Telomeres play a central role in the development of age-related diseases; nearly 18,000 published scientific and medical articles have demonstrated this. DISEASE LEVEL - STRESS, ALZHEIMER’S, PARKINSONS, DEMENTIA - CARDIOVASCULAR DISEASE - MACULAR DEGENERATION - ASTHMA / ALLERGIES - CANCER - WRINKLES, ARTHRITIS, OSTEOPOROSIS - INFERTILITY, MENOPAUSE - DIABETES ORGAN LEVEL - BRAIN - HEART - EYES - LUNGS CELL LEVEL - DNA Damage - Senescence & Apoptosis What is Life Length? • Life Length - world’s leading healthcare diagnostic in telomere biology • Spin-off of the prestigious Spanish National Cancer Research Institute (CNIO) • Telomere length - the most accurate indicator of cellular aging and best approach to estimating biological age • Approximately €28 million investment to date since technology development by government to current stage • Life Length holds the exclusive worldwide rights to the commercial exploitation of the technology in exchange for royalties • Currently 25 employees but more than 1,500 people working with Life Length in over 20 countries worldwide Who are Life Length’s clients? Technology - The broadest portfolio of accurate, scalable technologies to measure telomeres in the world Value - General health/biological indicator & biomarker - Innovative tool to test the efficacy and safety of compounds and products Business lines Clients \| INDIVIDUALS \| CORPORATE AND INSTITUTIONS \| \|-------------\|-----------------------------\| \| Clinical Analyses (laboratories / hospitals) \| Product Development (R&D departments) \| \| Scientific and Academic Research \| INDIVIDUALS - Individuals - Doctors - Clinics - Hospitals CORPORATE AND INSTITUTIONS - Pharmaceutical / Biotech - Nutraceuticals and supplements - Skin care & cosmetics - Food and nutrition - Animal health Scientific and Academic Research - Oncology - Cardiology - CNS / Neurology - Infertility - Other diseases (Diabetes, CKD, AIDS etc.) Example of telomere length analysis report - Individuals One-page-summary results The extended graph shows a comparison between your median telomere length in your sample compared to other database samples. Each line represents a specific percentile of our database. For example, falling in the 70th percentile means that 30% of people of your age have a longer median telomere length than you do. It is therefore best if your results falls into one of the highest bands. Quantitative information The histogram shows the distribution of telomere lengths in four cell types (of particular length on x-axis). The 20th percentile indicates the proportion of telomeres which are shorter than 10 Kb and the 80th percentile indicates the proportion of telomeres which are longer than 10 Kb. A high percentage of short telomeres indicates a relatively high percentage of short telomeres. The more representative the distribution of the telomere lengths, the narrower the histogram indicates relative homogeneity of telomere length (uniformity), which, in turn, could suggest poor telomere elongation. Real image of the telomeres analyzed This is an image of four core telomeres, using a fix. These come from four blood samples, which was identified and measured using Life Length’s state-of-the-art microscope, which allows us to take and process images on a sub-cellular level. The image shows the nuclei of some of four cells from four blood samples (each cell is shown in a separate panel). A higher intensity of fluorescence in the red dots indicates greater telomere length or a lower percentage of short telomeres. FAQs What are chromosomes? Chromosomes are highly condensed rods of Deoxyribonucleic Acid (DNA), the genetic material which contains the building blocks of life. DNA carries a specific code that gives instructions to our body on how to grow, develop and function. This code is contained within genes, which are segments of DNA that contain the instructions for this important material, periodically dividing along with cells and replicating to make copies of the DNA they contain. Chromosomes are found inside the nucleus of each cell, which is the part of the cell that contains all the genetic material on to descendants. In organisms with cell nuclei, known as eukaryotes, chromosomes are found inside the nucleus. Most of the time, the chromosomes are not visible because they are tightly coiled up. However, when a cell divides to form a complete set of chromosomes, in what is known as diploid form, referred to the fact that the chromosomes contain two copies of each gene. In order for sexual reproduction like eggs or sperm, each cell only has half of the parent organism’s chromosomes, which is shaped from among the each parent passing down one copy of its genes. What are telomeres? Telomeres are the ends of chromosomes, which have an essential role in protecting their integrity in the process of cellular replication. One common analogy is that they are like the plastic caps at the end of shoe laces which keep the lace from fraying. Telomeres are made up of a repeating sequence of DNA called telomeric repeat sequence (TTAGGG in vertebrates) and associated proteins (the so-called telomere-binding proteins or “shelterins”). The function of shelterins is to protect the ends of chromosomes from chromosome fusions and degradation, therefore, ensuring the proper functionality and viability of cells. The report contains highly valuable information for doctors and medical institutions, but is also readily understandable and insightful for the individual who takes the test Note: Complete report is not shown here How our TAT is being used by doctors in clinical medicine • To assess and help treat the risk of developing heart disease which can potentially detect CVD in advance of traditional diagnostic tests • For assessing cancer risk – particularly breast, ovarian/uterine, prostate, skin and certain other cancers • To diagnosis and help treat potential infertility problems in women • For diagnosing people who may be at greater risk of developing metabolic diseases including Diabetes Type 2 • For assessing and to help treat the risk of developing arthritis and osteoporosis • For assessing the risk of developing CNS (Central Nervous System) diseases including dementia, Parkinson’s and Alzheimer’s • As an indicator of overall stress and how you cope with stress How our TAT is being used by doctors in clinical medicine • And as a general assessment, especially used on an annual basis, in proactive and preventive medicine and check-ups to follow your rate of aging and the risk of developing major age-related diseases. • And to take appropriate steps in each case to minimize the risks of developing these diseases and see the beneficial effects of having a healthy life-style which will contribute to help slowing the aging process therefore contribute towards longevity and health span. Life Length has achieved an unprecedented level of global recognition in the media. Life Length has been featured prominently in cover articles in many of the world’s most prestigious newspapers and magazines. Life Length currently operates in 13 languages; the only diagnostic lab in the world that does so. We are an independent laboratory that specializes in telomere length testing, which is used to assess the biological age of an individual. Our company is the only one in the world that offers this service in 13 languages. Life Length already has 13 major lab partners and is selling in more than 20 countries from the U.S. to Russia to Japan and Australia. - Laboratory partnership in place - In negotiations or conversations - Distribution partnership requests Life Length is rapidly becoming the gold standard for clinical and academic telomere research. \| Project \| Description \| \|---------\|-------------\| \| BRAINAGE \| Environmental influences in prenatal life have a major impact on brain aging and age-associated brain disorders \| \| EUROBATS \| Study on 8,000 identical twins to identify predictors of aging \| \| FRAILOMIC \| Utility of omic-based biomarkers in characterizing older individuals at risk for frailty, its progression to disability and general consequences to health and well-being \| We are also conducting numerous studies for corporate clients with nutraceutical products and which want to evaluate their impact on telomeres. Life Length has world-class Scientific Advisory Board demonstrating the quality and importance of its science and technology. Life Length advisors include scientists from: - Southwestern Texas Medical Center - Yale University - Barts and The London School of Medicine (UK) - Juntendo University (Japan) Life Length has established very significant barriers to entry - Science - Technology - Database - Partnerships - Team - Service - 1st Mover Advantage - Gold Standard - Brand 1964 Warning on Fats, Despite FDA NEW YORK Nix on all that steak and butter and cream pastry. Instead eat plenty of fish, vegetable oils and fruit. They’re better for you. They may ward off heart attacks and strokes. That’s the import of a new statement by the American Heart Association, which yesterday [June 9] urged the public to change its traditional diet, so liberally laced with animal fats. The association’s position runs counter to the policy of the Food and Drug Administration. The FDA’s policy, formulated by unnamed medical officers, said: “The role of cholesterol in heart and artery disease has not been established.” ... and there are now more than 600 scientific and medical publications regarding telomere length and cardiovascular disease ... J. Craig Venter is the latest wealthy entrepreneur to think he can cheat aging and death. And he hopes to do so by resorting to his first love: sequencing genomes. On Tuesday, Dr. Venter announced that he was starting a new company, Human Longevity, which will focus on figuring out how people can live longer and healthier lives. Slowing aging, if it can be done, could be a way to prevent many diseases, an alternative to treating one disease at a time. “Your age is your No. 1 risk factor for almost every disease, but it’s not a disease itself,” Dr. Venter said in an interview. Still, his company will also work on treating individual diseases of aging. Human Longevity said it had raised $70 million, most of it from wealthy individuals . . . Google's Calico biotech company is ready to begin battling age-related diseases — and ready to profit from its drugs and therapies, too. Calico ("California Longevity Company"), the independent company led by Genentech chairman Art Levinson in which Google is the main investor, said Wednesday it will join forces with North Chicago-based pharmaceutical company AbbVie to bolster the visions of Calico, which seeks to improve human health and longevity . . . We hope that Life Length’s unique technology will form part of this future to help us live longer, healthier lives. Collection Kit Know your risk™ for chronic disease ClevelandHeartLab® Know your risk. www.clevelandheartlab.com in partnership with LIFE LENGTH www.lifelength.com Datos de Contacto. Si estás interesado en colaborar con Life Length o conocer su edad biológica y cómo envejecer de forma más sana y lenta, por favor, contáctanos: Por correo: email@example.com Teléfono: 91 737 1298 c/ Miguel Ángel, 11 – 2º Madrid 28010 www.lifelength.com Muchas gracias por vuestra atención. LIFE LENGTH www.lifelength.com
Department of Biochemistry, Microbiology & Immunology FALL 2020 NEWSLETTER IN THIS ISSUE MESSAGE FROM THE DEPARTMENT HEAD FINISH READING ON PG. 2 DEPARTMENT NEWS FINISH READING ON PG. 3-6 RESEARCH SUCCESS FINISH READING ON PG. 7-9 TEACHING EXCELLENCE FINISH READING ON PG. 10 UNDERGRADUATE STUDENT ACHIEVEMENT FINISH READING ON PG. 11-12 GRADUATE STUDENT SUCCESS FINISH READING ON PG. 13 SPOTLIGHT ON DEPARTMENT EVENTS FINISH READING ON PG. 14-15 The Department has just wrapped up its second year of existence following the merger of the departments of Biochemistry and Microbiology & Immunology in 2018. Students, staff, and faculty have all contributed to making the merger a great success story, and in this second annual newsletter we showcase some of the highlights of the past year. A number of merger-related tasks that we had been working on since the inception of the new department were completed. These included the creation and approval of a new biomedical sciences major in Biochemistry, Microbiology & Immunology. This major will provide undergraduate students with a degree which integrates the knowledge of the three disciplines yet with sufficient flexibility to allow students to focus on a particular area if desired. We also merged our graduate programs in Biochemistry and Microbiology & Immunology into a single integrated BMI program. This will greatly simplify the administration of the programs since the two previous programs had some significant differences in requirements and policies. From a graduate student perspective, it will also ensure that we have a “level-playing field” for all of our students, having in place a single set of requirements, policies and procedures to help guide them through their program. Faculty renewal is also occurring at a rapid pace. Two faculty retired this past year who are highlighted in this newsletter. On May 1, 2020, we welcomed two new faculty to our department, Jenny-Lee Thomassin and Yannick Tremblay, and a third recruit, Anil Kumar, will join the department in October. These recruits greatly strengthen one of the department’s strategic areas of research, that being host-pathogen interactions. You will find additional information on the profiles of these new faculty members in this newsletter. We are also in the process of recruiting two additional researchers with expertise in the area of immunology, which will result in us recruiting six new faculty since the merger in 2018. This will provide significant rejuvenation and energization of the research enterprise and additional training opportunities for students. There is no doubt that COVID-19 and its impact on the academic and research enterprises was the “biggest” story of the year. While some animal-related research was allowed to continue through the lock-down, most research in the department was halted. While it was allowed to resume in mid-June, the restrictions and policies that were put in place prevented the resumption of research to pre-pandemic levels. Despite the challenges and frustrations caused by the pandemic, it has also presented some opportunities which some of our faculty were able to capitalize on. CIHR announced a new program in late March that provided rapid funding of projects aimed at addressing COVID-19-related issues. Three of our faculty who are highlighted in this newsletter received funding through this initiative. What was really impressive is that two of the applications ranked in the top 5 of all applications submitted! We are privileged as a department to be able to contribute to the battle against COVID-19 that will eventually allow Canada and the world to move beyond this pandemic and prepare for the next one if and when another arrives. The COVID-19 research along with other research activities in the department highlight how we are contributing to the University’s aspiration to “Be What the World Needs”. I hope you enjoy reading this newsletter. We are proud of the contributions that our students, staff and faculty make to our Department, the College and University, and to the world we live in, and this newsletter is one way to showcase these activities. NEW FACULTY: JENNY-LEE THOMASSIN Jenny-Lee joined the department on May 1, 2020 as an Assistant Professor. She received her Ph.D. in Microbiology and Immunology from McGill University in 2014, and when recruited, was a Postdoctoral Fellow at the Institut Pasteur in Paris, France. Her research focuses on the molecular pathogenesis mediated by the type II secretion system of Klebsiella pneumoniae and attaching and effacing pathogens. Jenny-Lee highlighted her research in episode 8 of the College of Medicine’s Researchers Under the Scope Podcast. Listen [here](#). NEW FACULTY: YANNICK TREMBLAY Yannick joined the department on May 1, 2020 as a Lecturer. He received his Ph.D. in Microbiology and Immunology from Dalhousie University in 2010, and when recruited, was a Research Associate in Microbiology at the Institut Pasteur in France where he was investigating biofilm formation by Clostridium difficile. Yannick gained teaching experience as a post-doctoral fellow at the Université de Montréal where he taught microbiology to veterinary students and bacterial pathogenesis to graduate students. NEW FACULTY: ANIL KUMAR Anil will be joining the department on October 1, 2020 as Assistant Professor. He received his Ph.D. from the University of Heidelberg in 2010, and when recruited, was a Research Associate at the University of Alberta. His research at the U of S will focus on virus-host interaction studies of positive-strand RNA viruses especially arboviruses and enteroviruses using reverse-genetic systems and high-throughput screens. NEW FACULTY: DEBBY BURSHTYN Debby was recruited to the University of Saskatchewan as the new Dean for the College of Graduate and Postdoctoral Studies. Given her expertise in Immunology, providing her with an academic appointment in our department was a “no-brainer” and we are thrilled to provide a research home to her and her team. You can find out more about her research and her career [here](#). NEW STAFF: WOJCIECH DAWICKI Laboratory Coordinator Wojciech joined the department this year to help manage and deliver some of the undergraduate lab courses offered by the department. He has a PhD in Immunology from the University of Toronto, and brings a wealth of experience in basic and applied immunological, biochemical, and microbiological research and techniques that our students will greatly benefit from. Prior to joining our department, he was a Professional Research Associate in the College of Pharmacy and Nutrition under Dr. Ekaterina Dadachova. NEW STAFF: KATIE ADEOYE Financial Analyst Katie joined the team in September 2019 after 11 years of accounting experience in the automotive industry. She comes to us with a proven ability to manage rapidly changing technologies and processes with a focus on detail and collaboration. She holds a Business Accountancy Diploma and a Master of Science (Vet Micro) degree from USask. ACCOMPLISHMENTS: YEARS OF SERVICE Four members of our Department celebrated significant milestones in their careers at the University. While the “celebrations” had to be curtailed due to COVID-19, we honour them here in our annual newsletter. We thank them for their dedication and service to the University throughout their careers. Ramji Khandelwal: 40 years Sidney Hayes: 40 years Wei Xiao: 35 years Cindy Thomson: 35 years RETIREMENT: CALIOPi HAVELE Popi Havele joined the Department of Microbiology in the College of Medicine in 1988 after having completed her PhD in Immunology at the University of Alberta as well as a postdoctoral fellowship at the same institution. Soon after arriving at the U of S, she received funding from the Medical Research Council of Canada to support her work exploring the role of a specific type of T-cell (CD4+) in autoimmunity. She is passionate about the field of immunology, and was eager to share her knowledge and enthusiasm with young trainees. Over her career, she had a number of undergraduate and graduate students cycle through her lab which gave her the opportunity to expose these young minds to a real-life laboratory experience. Her passion for her discipline was so strong that she also initiated the process in the 1990s to change the name of the department to reflect the discipline of Immunology and its close connection to many aspects of Microbiology. In 1998, the formal name change to the Department of Microbiology & Immunology was approved by all levels of the University. Popi devoted herself to the academic mission of the department, and served on many committees that dealt with academic programs and standards. She truly cared about the student experience, and worked tirelessly to ensure that all students in the Microbiology & Immunology program received the best education possible. But her concern for students, both undergraduate and graduate, went beyond just that related to their academic experience. She was viewed by the students as someone who cared about them on a personal level as well. In fact, it was the graduate students in the Microbiology & Immunology program that initiated the planning of a retirement party for Popi in December of 2019. As part of that they assembled a video tribute to her, and the sentiments expressed in the video were evidence of the inspiration that Popi has been to our students and of their appreciation for her interest in their careers and their lives. We will all miss having Popi in our midst, but wish her all the best in retirement. RETIREMENT: PETER HOWARD Peter Howard joined the U of S and College of Medicine as a faculty member in the Department of Microbiology & Immunology in 2002. In the department he served on the Graduate Affairs Committee and in the University he served as part of the President’s Review Committee and University Faculty Council. He was Chair of the department from 2013 – 2016. Among these administrative duties he also carried out a research program that was funded by CIHR, NSERC, and SHRF, which focused on elucidating how bacteria assemble macromolecular structures that function to secrete toxic bacterial molecules into host cells. He made several novel discoveries of protein components making up this structure throughout his career and supervised over 40 undergraduate students, graduate students, and postdoctoral fellows combined. He was an eloquent teacher, teaching many bacterial genetics and physiology courses throughout his career, and had a knack for explaining the most complex systems and ideas in a simple way for anyone to grasp the concept in order to move on to deeper understanding. As a colleague, Peter was passionate and energetic. He was collaborative, practical, and resourceful. Always up for a good conversation about life or academia in general, he always provided interesting dialogues. Mostly people will remember that he fiercely defended and upheld the principle of academic freedom. During many University structural changes throughout his career and especially when he served as Chair, he voiced his concerns when he felt faculty freedoms were being impinged upon and was an admirable representative for all of those he served. His energy for research and the presence he brought with him as a colleague will be deeply missed. UPDATE ON THE NEW BIOMEDICAL SCIENCES PROGRAM This year we saw the changes to the undergraduate biomedical sciences program finally come to full fruition. This includes the new degree and majors, the option for direct entry into the program from high school, and the formalizing of a true partnership between the Colleges of Medicine and Arts and Science as exemplified by the new BMSC Academic Program Committee equally populated by members of each college as well as the dual signatures of the Deans of each college on the degree parchment. The new program will offer exciting opportunities for our students to prepare them for careers within the biomedical sciences as well as health related professions. This new program exemplifies university priorities for cross college collaboration. Read more here. PROMOTION & TENURE Congratulations to the four faculty members who received either promotion or tenure as of July 1, 2020. 1. Kyle Anderson: Tenure as Assistant Professor 2. Kerri Kobryn: Promotion to Associate Professor 3. Erique Lukong: Promotion to Professor 4. Joyce Wilson: Promotion to Professor IN THE NEWS: TROY HARKNESS BMI Faculty member, Troy Harkness, was recently featured in a CBC news article for reaching his goal of running each and every street in Saskatoon. Read the full article here. WE HAVE MOVED! The Biomedical Sciences administrative office moved to a renovated suite in the A-Wing of the Health Sciences Building in October 2019. Although our team is working remotely for the time being, we can typically be found in suite GA20. KIVEN ERIQUE LUKONG New Frontiers in Research Fund Erique Lukong is part of a team that was recently awarded a $250K federal grant from the New Frontiers in Research fund to develop novel technology to diagnose gastrointestinal cancers. SYLVIA VAN DEN HURK CIHR Grant Sylvia van den Hurk was awarded a $753K CIHR grant to develop a vaccine designed to combat respiratory syncytial virus (RSV), which causes a significant proportion of severe respiratory disease and deaths in the elderly, similar to influenza. COVID-19 Research Funding Sylvia is among a team of researchers led by Darryl Falzarano (VIDO) that received just under one million dollars to identify what common lab and agricultural animals may be infected with SARS-CoV-2. Click here to read more. YULIANG WU Cancer Research Society Grant Yuliang Wu received a grant valued at $120,000 from the Cancer Research Society to pursue studies investigating the mechanisms whereby a recently discovered protein called SSB1 functions to maintain the stability of the human genome. SHRF Collaborative Innovation Development Grant Yuliang also received a SHRF Collaborative Innovation Development Grant. His project is a collaboration with Drs. John DeCoteau, Jim Xiang and Mark Bosch, and focuses on understanding the role of mutations in a gene coding for a protein called DDX41 in the development of a type of leukemia. It is hoped that this research will help to identify drugs targeting DDX41, with the aim of specifically killing leukemia cells. Sylvia is also a member of the COVID-19 Vaccine Task force, which provides advice to the Government of Canada on COVID-19 vaccines; prioritizing vaccine projects seeking support within Canada and providing scientific and technical advice to the government on a portfolio of leading international vaccine candidates. KERRY LAVENDER CIHR Rapid Response to COVID-19 Program Grant Kerry Lavender, with co-applicant Dr. Darryl Falzarano, received $267K in funding from the CIHR Rapid Response to COVID-19 Program Grant. Their research uses a “humanized mouse” model to evaluate the application of therapeutics in the fight against COVID-19. To read more, click here and here. Kerry’s research was featured in episode 7 of the College of Medicine’s Researchers Under the Scope Podcast. In this podcast, she discusses how she “gives” human lungs and immune systems to mice to allow testing of therapies. To listen to the podcast, click here. JOYCE WILSON SHRF Collaborative Innovation Development Grant Joyce Wilson received a SHRF Collaborative Innovation Development Grant for her project which studies how a process called RNA Interference and associated proteins in the host influence infections from viruses such as Hepatitis C, Dengue, and Influenza. CIHR Rapid Response to COVID-19 Program Grant Joyce, along with collaborators Drs. Franco Vizeacoumar and Darryl Falzarano, received $449K in funding from the CIHR Rapid Response to COVID-19 Program Grant. Their research aims to identify existing drugs that can be used to treat patients with COVID-19. To read more, click here and here. Joyce highlighted her research in episode 5 of the College of Medicine’s Researchers Under the Scope Podcast. Listen here. MIREK CYGLER Research on Pathogens A recent USask news article featured Mirek Cygler’s research on pathogenic bacteria and how they cause disease. To read the full article, click here. JO-ANNE DILLON Research on Antibiotic Resistance Jo-Anne Dillon was part of a panel of some of the country’s top microbiology scientists who filed an eye-opening, federally commissioned report “When Antibiotics Fail” in November of 2019. The report warns of the growing threat of antimicrobial resistance (AMR) in bacteria and the risk it poses to Canadians and the global population. Read the full article here. LINDA CHELICO Publication of Significance Linda Chelico, along with a team of researchers, published a paper in Nature Communications solving the structure of a protein first discovered 18 years ago. This was a long sought after full length structure of the flagship enzyme in a larger family of cytidine deaminases. To read the full article, click here. Linda was also corresponding author on an opinion piece published in AIDS. This article serves as a tool for biomedical scientists to navigate Indigenous health research where there are many gaps in University Research Ethics Boards on proper protocols. Click here to read more. Supporting Indigenous Communities Last year, Linda partnered with Dr. Alexandra King (College of Medicine; Cameco Chair in Indigenous Health) to make a difference in the health of Indigenous communities in Saskatchewan. This collaboration continues today, and was featured in a USask article published here. A second USask article highlights Linda’s career path and provides advice for building a successful career in research. For more, click here. SIDNEY HAYES Guest Editor for Special Issue Sidney Hayes was Guest Editor for Special Issue "Developing Bacterial Virus Deterrents to Challenges of Impending Postantibiotic Era: Phage Product Engineering, Therapy, Vaccines". SCOTT NAPPER USSU Teaching Excellence Award Winner Scott Napper was awarded a University of Saskatchewan Students’ Union Teaching Excellence Award for his teaching in BMSC 200 in Term 1. Dr. Napper has now received the award on 4 separate occasions, making this the most times the distinction has ever been presented to a single individual. Thank you to Scott for his commitment to his students and congratulations on this achievement! HAROLD BULL BMSC 210 Poster Project Harold Bull recently introduced a team-based poster project in the department’s introductory microbiology course BMSC 210. It has been a big hit with the students as it allowed them to work with other students to enhance their learning on a specific microbe of their choosing. Dr. Bull and two other colleagues recently published a study that reported on the feasibility of implementing this team-based project and the learning outcomes. The students demonstrated their appreciation for this initiative and other aspects of this teaching by nominating him for a USSU Teaching Award. KYLE ANDERSON USSU Teaching Excellence Award Nominee Kyle Anderson was nominated for a USSU Teaching Excellence Award in 2019 by students enrolled in his BMSC 240 course. Dr. Anderson won this award in the previous year and has been nominated a number of times since appointment. “Logic will get you from A to B. Imagination will take you everywhere.” — Albert Einstein Congratulations to the students who were awarded Biochemistry Undergraduate Scholarships! The luncheon to present awards took place on Wednesday, January 29, 2020. Scholarships: Dr. Louis T.J. Delbaere Memorial Scholarship This scholarship is awarded to a fourth-year student majoring in Biochemistry who has demonstrated the potential and interest to pursue a career in Biochemistry. $2,000 award. Recipient: Maddy Owens Manju Khandelwal Memorial Scholarship This scholarship is awarded to a fourth-year female Biochemistry student who has demonstrated excellence in Biochemistry courses. $500 award. Recipient: Lexie Landreth Dr. Dorothy Kline Memorial Scholarship This scholarship is awarded to students majoring in Biochemistry with the highest academic averages in BMSC 200 and BMSC 230. Two $500 awards. Recipients: Nick Bauer & Luke Wandzura The Department of Biochemistry Scholarship This scholarship is awarded to students entering their final year of a B.Sc. 4-year or Honours degree program in Biochemistry. It is based on the overall academic achievement in all 300 and 400 level Biochemistry courses. Two $500 awards. Recipients: Tomas Pelletier & Erin White --- NSERC UNDERGRADUATE STUDENT RESEARCH AWARDS Several BMI students received NSERC USRA’s in 2020. Congratulations! - Ananna Arna (Supervisor: Yuliang Wu) - Nicholas Bauer (Supervisor: Scot Stone) - Christopher Chivers (Supervisor: Troy Harkness) - Namrata Das (Supervisor: Yuliang Wu) - Daphnee Ferland (Supervisor: Kerry Lavender) - Sarah Ghezelbash (Supervisor: Joyce Wilson) - Justin Hall (Supervisor: Kerri Kobryn) CONVOCATION AWARDS Two of our convocating undergraduate students received awards during the virtual 2020 Arts & Science Graduation Awards ceremony. JUSTIN HALL Recipient of the J.F. Morgan Memorial Award for the most outstanding graduate in Microbiology & Immunology. Justin has been accepted into the USask MD program this fall. ERIN WHITE Recipient of the Most Outstanding Graduate in Biochemistry. This fall, Erin will be studying Nutrition at the U of S in the College of Pharmacy and Nutrition program. AURORA LEPE ZEPEDA USSU Project Symposium Award Winner Aurora Lepe Zepeda, a student pursuing an honours degree in Microbiology & Immunology, received two poster awards at the USSU Project Symposium held on January 30, 2020. 1. First place in Science and Engineering ($1000) 2. The Mayor and University President’s Award in City-Building ($500) Congratulations Aurora! Update from the Microbiology & Immunology Student Association: MISA had a great year. We were excited to make use of the new Health Sciences student lounge, in which we hosted many potluck and board game nights. The tutorials and information nights were very well attended. For the first time all four student associations (Anatomy & Cell Biology, Physiology & Pharmacology, Biochemistry, and Microbiology & Immunology) hosted one large social to bring everyone together. Although our graduation banquet had to be cancelled due to the shutdown, MISA is very excited for our plans in the upcoming year to merge with the Biochemistry Student Association (BSA) to form one group for all BMI students. The 2019-2020 executive committee consisted of Cole Simon (President), Quinlan Carter (Vice-President), Kiara Ernst (Secretary), Toni-Anne Saworski (Public Relations), Fatima Masood (Third Year Rep), Aurora Lepe Zepeda (Fourth Year Rep). IVANTHI KUMASARUGE SaskCanola Dr. Roger Rimmer Graduate Student Scholarship Ivanthi Kumasaruge, an MSc student working under the supervision of Dr. Wei Xiao, was the successful recipient of the SaskCanola Dr. Roger Rimmer Graduate Student Scholarship. This scholarship provides support of $18,000 per year for a two-year period. Ivanthi’s research involves exploring ways to combat clubroot disease in canola using the CRISPR-Cas9 gene editing technology. GABRIELLE MERCIER Canada Graduate Scholarship Master’s (CGSM) Award New graduate student, Gabrielle, received a prestigious Canada Graduate Scholarship-Masters award this year. Gabrielle, who is working under the supervision of Dr. Troy Harkness, is looking into the role of the Anaphase Promoting Complex and its involvement in triple negative breast cancer progression. To improve patient outcomes, it is hypothesized that activation of this complex using synthetic peptides will slow cancer cell migration and tumor growth. MARIA YOUSEFI 2020 Saskatchewan Innovation & Opportunity Scholarship: Microbiology and Immunology Maria Yousefi, an MSc student researching under the direction of Dr. Linda Chelico, received the 2020 Saskatchewan Innovation & Opportunity Scholarship for Microbiology and Immunology. Maria’s research focuses on APOBEC3 enzymes, their ability to restrict HIV, and how different variants of APOBEC3s going to affect the restriction processes. She will also test the function of co-expressed APOBEC3F and APOBEC3H in restriction of HIV. MAMATA PANIGRAHI & AIYANG LIN Irene Grodums Memorial Graduate Scholarship This year the Irene Grodums Memorial Graduate Scholarship was awarded to two students. Aiyang Lin is a PhD student studying under the supervision of Dr. Wei Xiao. Her research investigates the mechanism of cyanamide (CY) induced DDI2/3 expression in Saccharomyces cerevisiae. Mamata Panigrahi is a PhD student researching under the supervision of Dr. Joyce Wilson. Her aim is to understand why a liver specific factor called miR-122 is essential for Hepatitis C virus replication by using mutant viruses, which can replicate in the absence of miR-122 as a model system. WELCOME BACK BARBEQUE New and returning undergraduate students were hosted at the BMI Welcome Back BBQ on Wednesday, September 11, 2019. FESTIVE FACULTY OUTING Some faculty celebrated the holiday season with an evening of music, fun, and old-fashioned sleigh rides at Champêtre County, a country-themed vacation farm located 35 km East of Saskatoon. GRADUATE STUDENT ASSOCIATION HALLOWEEN PARTY The Microbiology & Immunology Graduate Student Association hosted a Halloween party for students and faculty in the Health Sciences building. LET’S STAY CONNECTED! We welcome your feedback. Please contact us at: email@example.com Department of BMI GA20, Health Sciences Building 107 Wiggins Road Saskatoon, SK S7N 5E5
Fallen in a dead ear: intralabyrinthine preservation of stapes in fossil artiodactyls MAEVA J. ORLIAc, GUILLAUME BILLETb aInstitut des Sciences de l’Evolution, UMR 5554 CNRS, IRD, EPHE, Université de Montpellier, Place Eugène Bataillon, 34095 Montpellier cedex 5, France bCR2P – Sorbonne Universités, UMR 7207 CNRS, MNHN, Univ Paris 06 – Muséum national d’Histoire naturelle, 8 rue Buffon, CP 38, 75005 Paris, France * Corresponding author: firstname.lastname@example.org Abstract: The stapes is the last of the middle ear ossicle chain and the smallest bone of the mammalian skeleton. Because it rests on the membrane of the fenestra vestibuli during life, the stapes may often fall within the bony labyrinth cavity when soft structures decay after death. In this work, we highlight the unexpected role that the bony labyrinth plays in the preservation of the stapes. Systematic investigation of the bony labyrinth of 50 petrosal bones of extinct and extant artiodactyls led to the discovery of eight cases of “intralabyrinthine” stapes. Three dimensional reconstructions of these stapes allow documenting stapes morphology of four extinct artiodactyl taxa: Microstonyx erymanthus (Suidae), Elomeryx borbonicus (Hippopotamoidae), ?Helohyus plicodon (Helohyidae), and an undetermined Cainotheriidae; and four extant ones Choeropsis and Hippopotamus (Hippopotamidae), and Tayassu and Phacochoerus (Suoidea). ?Helohyus plicodon from the Middle Eocene documents the oldest stapes known for the order Artiodactyla. Morphological study and metric analyses of our sample of artiodactyl stapes show that stapes are likely to carry relevant phylogenetic characters/signal within artiodactyls, and a potential Euungulata signature. Keywords: inner ear, bony labyrinth, allometry, middle ear ossicles Submitted 9 September 2015, Accepted 27 January 2016 Published Online 9 March 2016, doi: 10.18563/pv.40.1.e3 © Copyright Maeva Orliac March 2016 INTRODUCTION The middle ear ossicles, the malleus, the incus, and the stapes, are contained within the middle ear space. They play a crucial role in sound transmission to the inner ear of mammals by performing an anatomical impedance match that permits sound waves from the air (and the tympanic membrane) to enter the fluid-filled labyrinth (cochlea). The stapes is the most internal of the middle ear ossicle chain and contacts the membrane of the fenestra vestibuli. These ossicles are the smallest bones of the skeleton of modern mammals; their small size in adult therians is due to a large negative ontogenetic allometry (Luo, 2011). Their size and fragility in therians explain why few middle ear ossicles are found in the fossil record. However, some stapes – the smallest of ear ossicles (Nummela, 1995) – have been described from taxa known from the Mesozoic Period for fossil Mammaliaformes (e.g., few fragmentary stapes from Morganucodon and Haldanodon (Kermack et al., 1981; Ruf et al., 2013)). Several multituberculate stapes have been documented from Palaeocene deposits (e.g., Meng, 1992; Miao & Lillegrauen, 1986; Lillegrauen & Krusat, 1991; Allin & Hopson, 1992; Crompton & Luo, 1993), and Eutherian stapes have been found in the Late Cretaceous (Archibald, 1979). Given the interest for the first steps of inner ear bones evolution, stapes have been intensively searched for in basal therian groups. On the other hand, relatively few fossil stapes are documented for the crown clade Placentalia. To our knowledge, these include some primates (e.g., the Eocene genera Notharcus and Djebellemur (Gregory, 1920; Benoit et al., 2013); Pliocene Homininae (Moggi-Cecchi & Collard, 2002)), the Eocene palaenodont Metacheiramys (Patterson et al., 1992), a variety of fossil sloths and cingulates (e.g., Woodward, 1900; Guth, 1957, 1961; Patterson et al., 1992, Blanco & Rinderknecht, 2012), basilosauroids (e.g., Lancaster, 1990), and elephantimorphs (Ekdale, 2011). The morphology of the stapes varies significantly among species of placental mammals (e.g., as illustrated by Fleischer, 1973; Nummela, 1995; Solntseva, 2013). It has even been suspected once to reflect major divisions among Placentalia (Novacek & Wyss, 1986), a view which has however been abandoned since (e.g., Patterson et al., 1992). Still, the phylogenetic signal carried by this bone might be important at least at other taxonomic levels. Pioneering and foundational work on stapes morphology include that of Doran (1878), Fleischer (1973), and Nummela (1995). In the semantic works of Doran (1878) and Fleischer (1973), the stapes of a dozen of extant artiodactyl taxa are described. Recent developments of micro-CT scan techniques have provided new tools to investigate the ear region of fossil mammals, giving an unprecedented access to its finest structures. During micro-CT scan investigation of the bony labyrinth of fossil artiodactyls one of the authors (MO) noticed numerous cases of post mortem preservation of the stapes in the bony labyrinth, a hollow cavity that shelters fluids and membranous parts of the inner ear organs. A systematic search for stapes trapped in the inner ear cavity was performed on a sample of 50 petrosals of extant and extinct artiodactyls. Among these 50 petrosal bones investigated, eight preserved this ossicle in the bony labyrinth space, indicating a not so rare occurrence of this case. Because it rests on the membrane of the fenestra vestibuli during life, the stapes may often fall within the bony labyrinth cavity when soft structures such as the tympanic membrane decay after death. In this work, we highlight the unexpected role that the bony labyrinth plays in the preservation of the stapes, the smallest and most fragile bone of the mammalian skeleton. We document the anatomy of fossil stapes of four extinct artiodactyl taxa: one Suidae, Microstonyx erymanthius; one Hippopotamoidea, Elomeryx borbonicus; one Helohyidae, ?Helohyus plicodon; and one undetermined Cainotheriidae. ?Helohyus plicodon from the Middle Eocene documents the oldest stapes known for the order Artiodactyla. “Intralabyrinthine stapes” have also been retrieved from bony labyrinths of four extant artiodactyls that had been chemically prepared: Hippopotamidae (Choeropsis; Hippopotamus), and Suoidea (Tayassu, Phacochoerus) and are included in this study. Measurements of the fossil stapes described are used to explore how the dimensions of several aspects of the stapes in Artiodactyla vary relative to one another and relative to the body mass and vestibule volume. Thanks to the availability of outgroup comparative data for the stapedial footplate, a comparison of the artiodactyl condition with that of other placentals could also be performed. The dimensions of the footplate area of the reconstructed stapes also allowed us to calculate low and high frequency limit estimates for the present artiodactyl sample, which adds to the wealth of information provided by this rarely preserved bone. MATERIAL AND METHODS Material Over 50 petrosals of artiodactyls investigated, four fossil and four extant specimens yielded intralabyrinthine stapes. The stapes of the dichobunoid ?Helohyus plicodon is described from the virtual reconstruction of the right in situ bony labyrinth of specimen AMNH 13079 from the Bridger Formation locality B5, Sweetwater County, Wyoming. The stapes of a small undetermined cainotheriid species is described from an isolated right petrosal (UM PDS 3352) from Pech Desse, Quercy, France (MP 28, Late Oligocene, BiochroM’97). That of the hippopotamoid Elomeryx borbonicus is known from a right isolated petrosal (MHNL H 67) from Saint Henri, Bouches du Rhône (MP 26, early Late Oligocene). The stapes of Microstonyx erymanthus is documented from the interior of the bony labyrinth endocast of the mechanically prepared petrosal MNHN.F.MAR3299 illustrated by Orliac (2012: figs. 2-3) from the Late Miocene locality of Maragheh, Iran. Intralabyrinthine stapes have also been retrieved from bony labyrinths of four extant artiodactyls that had been chemically prepared for zoology collections: two hippopotamids Choeropsis liberiensis (UPPal-M09-5-005a) and Hippopotamus amphibius (AMNH-M 24289), and two suoids Tayassu tajacu (UM N03) and Phacochoerus sp. (AMNH unknown number). CT scanning and digital endocast extraction The specimens were scanned using either the high resolution GE phoenix/tomeX s240 industrial micro-CT scanner at the American Museum of Natural History (New York), the Skyscan 1076 in vivo CT scanner at the ISE-M (UM), or the Viscom X8050-16 CT scanner at the IPHEP. Specimen numbers, CT scan institutions and resolution of each scan is summarized in Table 1. We extracted the digital endocasts of the bony labyrinths and the stapes using the segmentation tools of AVIZO 6.3 (Visualization Sciences Group) and calculated volumes by surface integration. The segmentation process was performed slice-by-slice manually with the limited range only option of the brush tool of AVIZO 6.3. We segmented the vestibules and semicircular canals in two separate label fields to estimate these volumes separately. The resolution of the CT scan data is, for most specimens, sufficient but not optimal to reconstruct an object as small as the stapes. Besides, taphonomic bias such as recrystallization and partial preservation sometimes led us to use different thresholds to reconstruct as much of the structure as possible. Using different thresholds might impact slightly the thickness of some reconstructed parts (Gunz et al., 2012) such as the crura (see Fig. 1) that are very thin. However, the general picture and the measured proportions of the stapes are preserved and reliable, except for one specimen (Elomeryx) whose footplate is possibly uncomplete and has been removed from some analyses (see Results). To minimize reconstruction bias, for all specimens of this study, the surface rendering was performed with the “none” smoothing type option. ![Figure 1](image) Figure 1. Illustration of stapes morphology following the nomenclature of Fleisher (1973). \| suprafamilial classification \| taxon \| specimen number \| side \| CT scan institution \| voxel size (µm) \| \|------------------------------\|------------------------------\|-----------------\|------\|---------------------\|-----------------\| \| Dichobunoidea \| ?Helohyus plicodon \| USNM 13079 \| right\| AMNH \| 61.66 \| \| \| Cainotheriidae indet \| PDS 3352 \| right\| UM \| 35.84 \| \| Hippopotamoidea \| Elomeryx borbonicus \| MHNL H 67 \| right\| UM \| 35.84 \| \| \| Choeropsis liberiensis \| UPPal-M09-5-005a\| right\| IPHEP \| 100 \| \| \| Hippopotamus amphibius \| AMNH-M 24289 \| left \| AMNH \| 120 \| \| Suoidea \| Tayassu tajacu \| UM N03 \| right\| UM \| 35.81 \| \| Suoidea \| Microstonyx erymanthus \| MNHN MAR3299 \| right\| UM \| 35.81 \| \| Suoidea \| Phacochoerus \| AMNH-M \| left \| AMNH \| 63.94 \| Table 1. Specimen related and technical parameters. For institution acronyms, see Materials and Methods. Measurements We made linear measurements from the inner ear model using the 3-D measurement tool of AVIZO 6.3. The “vestibule volume” includes the semicircular canals but not the vestibular aqueduct. Measurements of the fossil stapes described here are provided in Table 2. Relationships between the dimensions of several aspects of the stapes or of one stapedial dimension relative to body mass and vestibule volume were investigated through log/log linear regression analyses calculated with Past (Hammer et al., 2001). When the relation was not found to be significant, we subsequently verified if it may however be otherwise when phylogenetic effects are considered. This was done using the ages of divergence and a pattern of relationships constructed from Gatesy et al. (2013) in order to perform Phylogenetic Independent Contrasts PICS (Felsenstein, 1985) with Mesquite module PDAP version 1.14 (Maddison & Maddison, 2009, Midford, Garland & Maddison, 2008). The cladogram used for this analysis and the branch lengths used are provided in Supplementary Online Material (nex file). For a comparison of the variation of the stapes dimensions relative to body mass with taxa outside Artiodactyla, data on the stapedial footplate dimensions in various placentals have been taken from Fleischer (1973; only specimens with non-ambiguous specific attribution have been considered here; all measurements and sources for body masses are indicated in Supplementary Online Material). Body mass estimates for fossil artiodactyl taxa have been calculated from total skull length estimates for the small-sized cainotheriid species using Janis (1990) equation and from astragalus dimensions for Elomeryx borbonicus (based on four specimens from St Henri, using the equation of Martinez & Sudre, 1995). Body mass estimates for Microstonyx erymanthius were taken from the NOW database (Fortelius 2013), and estimates for ?Helohyus plicodon was taken from Alroy (1998). Abbreviations for collections and institutions AMNH, American Museum of Natural History, New York, USA; IPHEP, Institut de Paléoprimatologie, Paléontologie humaine : Evolution et Paléoenvironnements, Poitiers, France; MHNL, Muséum d’Histoire Naturelle de Lyon, Lyon, France ; MNHN, Muséum National d’Histoire Naturelle, Paris, France; UM, Université de Montpellier, Montpellier, France. \| taxon \| fenestra vestibuli (L; W) \| stapes length \| footplate (L; W) \| footplate ratio \| foramen intercurrele (L; W) \| estimated bodymass \| vestibule volume \| \|----------------\|---------------------------\|---------------\|------------------\|-----------------\|----------------------------\|--------------------\|-----------------\| \| ?H. plicodon \| 1.29; 0.91 \| 0.95 \| 0.96; 0.59 \| 1.63 \| 0.46; 0.51 \| 5000 \| 8.24 \| \| Cainotheriidae.\| 1.34; 0.82 \| 1.21 \| 1.17; 0.75 \| 1.56 \| 0.77; 0.66 \| 1000 \| 8.92 \| \| E. borbonicus\| 3.09; 1.62 \| 2.5 \| 2.16; 0.95 \| 2.27 \| 1.63; 1.07 \| 105500 \| 44.69 \| \| Hi. amphibius\| 4.46; 3.40 \| 3.7 \| 3.68; 2.36 \| 1.56 \| 1.02; 0.78 \| 1850000 \| 398.56 \| \| C. liberiensis\| 3.17; 1.84 \| 2.69 \| 2.83; 1.58 \| 1.79 \| 1.61; 1.36 \| 215000 \| 155.5 \| \| T. tajacu \| 1.65; 0.9 \| 1.68 \| 1.65; 0.86 \| 1.86 \| 0.86; 0.67 \| 22000 \| 27.2 \| \| Phacochoerus sp. \| 2.29; 1.19 \| 2.26 \| 1.93; 1.07 \| 1.80 \| 1.26; 0.93 \| 75000 \| 51.38 \| \| M. erymanthus\| 2.29; 1.65 \| 2.2 \| 2.06; 1.08 \| 1.90 \| 1.5; 1.14 \| 270000 \| 51.38 \| Table 2. Measurements of stapes and bony labyrinth of associated petrosal, and body mass estimates of artiodactyl taxa described in the present study. Sources for body mass estimates are provided in the material and method section. All linear measures in mm, body mass in g, volume in mm$^3$. Abbreviations: L refers to length and W refers to width. it is more quadrangular in E. borbonicus, H. amphibius and the suoid species. This difference in shape is mainly due to differences in the antero-posterior width of the head of the stapes capitulum. Half of the stapes of our sample are asymmetrical. As in the case of Helohyus, the two hippopotamid species, and Tayassu, where one crus is thicker than the other (Fig. 2). The internal surface of the crura is concave in all the specimens investigated. The Proc. muscularis stapedis can be identified on all the stapes except for the two extant hippos. In our sample, the distinction between the capitulum of the stapes and the crura is not visible (Fig. 2). This could primarily be due to the less-than-optimal resolution of the reconstructions. However, in its descriptions of artiodactyl stapes, Fleischer (1973) mentions the lack of demarcation of the capitulum in Sus and in Hippopotamus, and a weak demarcation in Camelus. In turn, according to the same author, the demarcation between the capitulum and the crura is well marked in the Ruminantia Capreolus and Giraffa. The footplates of our artiodactyl sample are oblong with a ratio comprised between 1.56 and 2.27 for the different taxa. Elomeryx borbonicus is remarkable by the slenderness of its footplate (ratio=2.27), although part of it might be missing. Suoidea show a large head compared to the size of the footplate. This is particularly visible in dorsal and posterior views in Fig. 2. Also, the width of the crura is large ![Figure 2](image.png) Figure 2. 3D stapes model reconstructions of Helohyus plicodon (right) (A); Cainotherium sp. (right) (B); Elomeryx borbonicus (right) (C); Choeropsis liberiensis (right) (D); Hippopotamus amphibius (left mirror view) (E); Tayassu tajacu (right) (F); Microstonyx erymanthius (G); Phacochoerus aegypticus (left mirror view) (H), in from left to right medial, posterior, lateral, ventral, and dorsal views. Abbreviation: pm, Proc. muscularis stapedis. Scale bar = 1 mm. relative to the width of the footplate and compared to the other taxa of our sample (visible in lateral view Fig. 2). METRIC ANALYSES Analyses of relationships between linear measurements taken on the stapes within our artiodactyl sample indicate that the length of the stapedial footplate varies almost isometrically with the length of the stapes (Fig. 3A, Table 2). The same is also true for the footplate width relative to the footplate length, and for the stapes length relative to the vestibule volume (Fig. 3B-C, Table 2). In contrast, the stapes length is clearly negatively allometrically correlated to the body mass (Fig. 3D, Table 2; NB: considering body mass as a three-dimensional variable, the scaling exponent should be $-0.333$ to reach isometry, whereas it is 0.196 in our analysis). Concerning the footplate dimensions, we have been able to gather a large sample including our data in artiodactyls and the measurements given by Fleischer (1973) in a number of other placentals and four additional artiodactyl specimens. It includes data for 12 artiodactyl individuals belonging to 11 different species and for 26 non-artiodactyl individuals (Supplementary Online Material). The footplate length and width are both clearly negatively allometric to body mass in this sample (i.e., slope less than one third; see above) (note that, as should be expected, similar results are obtained when plotting the footplate area against the body mass). Interestingly, artiodactyls appear to plot separately from most other placentals (Fig. 4A-B) for both the footplate length and width. The artiodactyl regression line actually indeed differs clearly from the regression line calculated for the sample of other placentals (non-Artiodactyla placentals). Both footplate length and width fit to a regression line that corresponds to a relatively smaller footplate in comparison with the non-Artiodactyla placentals regression line (Fig. 4A-B). The few placental taxa plotting close to the artiodactyl regression line for both length and width of the footplate include the perissodactyls Tapirus and Equus, the capybara and the aardvark. Finally, the footplate ratio shows no significant relationship to the stapes length in our artiodactyl sample ($R^2=0.0619$, $p=0.55$), whether it includes or not Elomeryx whose footplate may be missing some lateral part. When taking phylogenetic effects into account (PICs analysis; see Material and Methods), ![Figure 3](image) Figure 3. Regression analyses between stapes measurements, cube root of vestibule volume and body mass (see data in Table 2) for a sample of eight artiodactyl species. Abbreviations: Ci, Cainotheriidae indet.; Cl, Choeropsis liberiensis; Eb, Elomeryx borbonicus; Hp, ?Helohyus plicodon; Ha, Hippopotamus amphibius; Me, Microstonyx erymanthus; Ph, Phacochoerus; Tt, Tayassu tajacu. the analysis provides a similar result ($R^2=0.14$; $p=0.36$) (Supplementary Online Material). This shows that the variation of the footplate ratio is clearly not dependent on the stapes length in our sample. Instead, there might be some phylogenetic influence on the footplate ratio because the highest values (E. borbonicus excepted) are found in the suoid clade (Tayassu (Microstonyx, Phacochoerus)) (values between 1.80 and 1.90). Furthermore, the values of the footplate ratio in artiodactyls (range = 1.56-2.27) are close to the mean of our placental sample excluding artiodactyls (mean = 0.55). Therefore, though artiodactyls may be distinguished from liotyphlan taxa which show a very high ratio ($\geq 2.50$), their footplate ratio is not diagnostic when compared to most other placentals in our sample (Supplementary Online Material; Excel file). DISCUSSION Frequency and location of « intralabyrinthine » preservation of stapes Cases of fossil stapes retrieved from intra-labyrinth space occur in several placental groups, but most remain unpublished until now. While several cases have been observed at least in primates (Benoit et al., 2013; R. Lebrun pers. comm.), notoungulates, liotopiforms, xenarthrans (G. Billet pers. observ.), and proboscideans (A. Schmitt pers. comm.), intralabyrinthine preservation of stapes has not been reported from studies based on a rather wide sample of fossil perissodactyls including equoids (L. Danilo pers. comm.) and rhinocerotids (M. J. Orliac unpublished data). The stapes rests on the membrane of the fenestra vestibuli during life; it is connected to this fenestra by an annular ligament (Fleischer, 1973). Comparison of the stapodial footplate dimensions to the dimensions of the fenestra vestibuli indicates that in most cases in our sample, the latter is much larger than the former (Table 2), making it easy for the stapes to fall in the inner ear space after the soft tissue decays. Artiodactyls present an ossified bulla, and, as such, preservation of in situ stapes, or stapes trapped in the middle ear space, within the bulla would be expected. However, for artiodactyls of our sample that did preserve the auditory bulla, no stapes was recovered in the middle ear cavity but they were recovered in the bony labyrinth of the inner ear. Besides, stapes were recovered more frequently from isolated petrosal (five cases) than from in situ petrosals (two cases). This observation suggests that once it is trapped in the bony labyrinth, a stapes has little chance to fall out of it, even if the cranial remains are displaced/moved/after death, most probably because of the small size of the fenestrae compared to the dimensions of the stapes (Fig. 5). In half of the cases, the stapes are preserved in the ampullar area (e.g., ?Heloyus, Fig. 5A-C; Microstonyx, Fig. 5J-L); it is otherwise preserved in the elliptical/spherical recesses (e.g., Elomeryx, Fig. 5D-F; Choropsis) or in the space of the basal turn of the cochlea (e.g., Cainotheriidae indet., Fig. 5G-I). Stapes dimensions in artiodactyls Regression analyses on our small artiodactyl sample indicate close isometry between several dimensions of the stapes such as its length and the length and width of its footplate, which denotes that these dimensions can be directly compared using ratios. Moreover, the stapes length is also closely isometrically correlated with the vestibule volume of the bony labyrinth in our sample, whereas it is clearly negatively allometrically correlated to the body mass. This indicates that the stapes and vestibule may present a similar slower growth pace relative to the body mass in artiodactyls. This is not surprising as strong negative allometry has already been shown for both the middle-ear ossicles and the bony labyrinth of the inner ear relative to other cranial elements and/or body mass (e.g., Nummela, 1995; Luo et al., 2001; Nummela & Sánchez-Villagra, 2006; Spoor et al., 2007; Billet et al., 2015). In addition, comparison of stapodial footplate dimensions relative to body mass between artiodactyls and other placentals demonstrate that the former group may possess relatively small stapes (or at least small stapodial footplates). Interestingly, the two perissodactyls included in our sample also show a similar pattern to artiodactyls. The relative small size of the stapodial footplate might therefore be a synapomorphy of Euungulata, the clade that gathers Artiodactyla and Perissodactyla (Asher --- Figure 4. Regression analyses between stapodial footplate dimensions (A, footplate length; B, footplate width) and the body mass in a sample of 11 artiodactyl species (12 individuals) and 26 non-artiodactyl placental species (data provided in Supplementary Online Material). Abbreviations: Ez, Equus zebra; Hh, Hydrochoerus hydrochaeris; Oa, Oryctopus afer; Ti, Tapirus indicus. Moreover, as the stapedial footplate rests on the membrane of the fenestra vestibuli during life, the dimensions of this fenestra may also be reduced in euungulates in comparison to other placentals. This might also be connected to the relative light weight of the malleus and incus in several artiodactyls and perissodactyls (Nummela, 1995). These preliminary results, which may have significant phylogenetic and potential functional implications (see below hearing estimates based on the footplate area), thus clearly deserve to be investigated in larger samples of placentals in the future. Finally, we have also shown, based on our small artiodactyl sample, that footplate shape is probably not influenced by allometry in these ungulates. Therefore, footplate shape may be examined in order to detect phylogenetically significant differences between artiodactyl groups. Though a larger sampling is required to confirm it, an elongated stapedial footplate (high footplate ratio) may for example constitute a synapomorphy of the clade Suoidea. Stapes morphology of Hippopotamidae and amphibious communication In fully aquatic and semi-aquatic mammals, like cetaceans, sirenians and phocids, underwater hearing implies a modification of the ossicular chain morphology and mass, in relation to bone conduction of sounds (for review see Nummela, 2008). Most of the morphological modifications described in relation to the adaptation of underwater hearing concern the malleus and incus (larger and denser than in terrestrial mammals). Yet, the relation of the mass of the stapes to that of the malleus plus incus is very close to isometry (Nummela, 1995) and the stapes has to be solid enough to stand the inertial force produced by the swing induced by the malleus and incus. The available sample of stapes illustrated for aquatic and semi aquatic mammals show that the stapes of these taxa is massive and presents wide and thick crura, as well as a very small or closed foramen intercurreurale (e.g., Phocaena, Balaenoptera, Manatus, Arctocephalus, Otaria, Phoca; see Doran, 1878:Pl. 59, 626-63; Fleisher, 1973:figs 36, 41, 52.). Hippos are semi aquatic mammals, spending most of their day in the water but feeding mostly on land. With its head in an “amphibious position” (eyes, nostrils and ears above water, mouth and throat below), H. amphibius can respond to sounds emitted underwater: with the ears out of the water, it is able to hear directionally in air and water simultaneously (Barklow, 2004). Virtually no information is available for C. liberiensis regarding its ability to hear sound directionally underwater, but the morphology of its petrosal bone, with a pachyostotic tegmen tympani also suggests a specialization of sound perception pathway (O’Leary et al., 2012, Orliac et al., 2014). The way sound waves are transmitted from water to the inner ear underwater in hippos is still unclear, but it most probably implies bone conduction (Barklow, 2004). A few stapes of H. amphibius are illustrated in Doran (1878) and Fleischer (1973). Doran (1878) mentions that the three specimens of H. amphibius he could observe present a large foramen intercurrerale. It is also the case of the specimen illustrated by Fleischer (1973) and for the two specimen of Hippopotamidae illustrated in this work. In H. amphibius, as well as in C. liberiensis, the crura are slender when compared to the aquatic and semi aquatic mammals that perform bone conduction cited above. Despite their ability to directionally hear sound underwater, hippos do not show the common morphological modifications of the stapes found in other amphibious mammals. Auditory capabilities of extant and extinct species Correlations between middle ear ossicles size and shape, and auditory capacities have been demonstrated in therian mammals (e.g., Rosowski & Graybeal, 1991; Hemila et al., 1995; Mason, 2004; Nummela & Sanchez-Villagra, 2006; Nummela et al., 2007). Rosowski & Graybeal (1991:fig. 8) used stapedial footplate area to estimate the audible hearing range of the extinct mammaliform Morganucodon. This correlation has subsequently been used to propose estimates for early placental mammals (Meng & Fox, 1995). We use here the equations of Rosowski & Graybeal (1991) to calculate low and high frequency limit estimates of our artiodactyl sample based on the footplate area of the reconstructed stapes. Results are provided in Table 3. The lowest values for low frequency limit estimates are found in extant hippos, H. amphibius (low limit = 0.05 kHz, high limit = 15.77 kHz) and C. liberiensis (low limit = 0.10 kHz, high limit = 20.57 kHz). Hearing limits for these taxa have, to our knowledge, never been determined. The extant Hippopotamus amphibius communicates using a variety of sounds, including surface calls with peak frequency at 0.205 ± 0.188 kHz on the surface (Barklow, 2004), a value consistent with ![Figure 5](image-url) \| taxon \| footplate area (mm²) \| low frequency limit (kHz) \| high frequency limit (kHz) \| \|-----------------------\|----------------------\|---------------------------\|----------------------------\| \| ?H. plicodon \| 0.44 \| 0.98 \| 47.01 \| \| Cainotheriidae indet \| 0.69 \| 0.6 \| 39.46 \| \| E. borbonicus \| 1.61 \| 0.24 \| 28.09 \| \| Hi. amphibius \| 6.82 \| 0.05 \| 15.77 \| \| C. liberiensis \| 3.51 \| 0.10 \| 20.57 \| \| T. tajacu \| 1.11 \| 0.36 \| 32.56 \| \| Phacochoerus sp. \| 1.62 \| 0.23 \| 28.02 \| \| M. erymanthus \| 1.75 \| 0.22 \| 27.20 \| \| Diacodexis ilicis \| 0.58 \| 0.73 \| 42.24 \| Table 3. Audible hearing range estimates (expressed in kHz at 60 dB SPL re: 20 uPa) for the artiodactyl sample of the present study based on stapedial footplate area (in mm²). Low and high frequency limit estimates are calculated after the equations of Rosowski & Graybeal (1991). * footplate area for D. ilicis calculated after the dimensions of the fenestra vestibuli. The hearing range estimated here for this taxon based on stapes dimensions. H. amphibius also communicates underwater and produce sounds underwater (Barklow, 2004). The mean peak frequency measured underwater equals $2.087 \pm 1.487$ kHz (Barklow, 2004), a value which is also consistent with the present estimates. Interestingly, the values found for the extinct smaller hippopotamoid Elomeryx borbonicus (low limit = 0.24 kHz, high limit = 28.09 kHz) are higher than those calculated for extant hippos and correspond to the hearing range estimated for suoid taxa (Table 3). The estimates calculated here for suoid taxa are close to the hearing range of the extant suid Sus scrofa at 60 dB (low limit = 0.04 kHz, high limit = 40.5 kHz, Heffner & Heffner, 1990), although low frequency limits seem to be overestimated. The small Paleogene artiodactyls ?H. plicodon and the undetermined cainotheriid taxon are the smallest taxa of our sample (see Supplementary Online Material). Their calculated audible hearing range show high upper and lower limits. Their low limit values are superior to that estimated for Diacodexis ilicis based on cochlear coiling (0.543 kHz, Orljac et al., 2012); but closer values are found when Rosowski & Graybeal (1991) equation is used for D. ilicis (Table 3). Finding higher limit estimates for smaller taxa is not surprising as the audible range correlates with interaural distance for taxa using binaural cues (Heffner & Heffner, 1992, 2008) and taxa with small heads and close set ears will be able to hear higher frequencies than taxa with large heads. These results indicate that, based on their stapedial footplate area, ?H. plicodon and the undetermined cainotheriid taxon, were most probably not low frequency hearing specialists, and had hearing limits values congruent with their small size. Footplate area allows calculating estimates of the audible hearing range of extinct taxa. This proxy would need to be complemented by other methods using measurements of the bony labyrinth such as power functions based on basilar membrane length and cochlear canal coiling that show good correlations with hearing limits (West, 1985). As this work focuses on the morphology of the stapes, we chose to use measurements from the stapes only, and not to include data from the bony labyrinth to calculate low and high frequency limit estimates. CONCLUSIONS Fossil stapes are likely to be found in a wide array of bony labyrinth of mammals. In artiodactyls, we report a quite frequent occurrence of stapes fallen in the bony labyrinth after death and tissue decay. Stapes are either preserved in the ampulla, in the elliptical/spherical recesses, or in the basal turn of the cochlea. Artiodactyla stapes show diverse morphologies, and stapes are likely to carry potentially relevant phylogenetic characters. Metric analyses show that, in our sample, the stapes length is closely isometric with the vestibule volume of the bony labyrinth, whereas it is strongly negatively allometric to body mass. Regression analyses between stapedial footplate dimensions and the body mass in a sample of placentals demonstrate that artiodactyls and perissodactyls may possess relatively small stapes compared to other placental mammals. These preliminary results achieved on a reduced sample show that stapedial morphology clearly deserves to be investigated in larger samples of placentals in the future. ACKNOWLEDGMENTS We first want to acknowledge R. O’Leary (AMNH), J. Meng (AMNH), D. Berthet (Musée des Confluences, Lyon), S. Jiquel (UM) for access to the collections they are in charge of. We are grateful to M. Hill (AMNH), F. Guy (IPHEP), and R. Lebrun (UM) for access to CT scan facilities in the American Museum of Natural History, New York, in the Université de Poitiers, France, and in the Université de Montpellier, France, respectively. We are also grateful to L. Danilo, A. Schmitt (MNHN), and R. Lebrun for providing us with information about occurrences of stapes in the material they study. 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NOTICE OF ADOPTED AMENDMENT 12/28/2010 TO: Subscribers to Notice of Adopted Plan or Land Use Regulation Amendments FROM: Plan Amendment Program Specialist SUBJECT: Jackson County Plan Amendment DLCD File Number 004-10 The Department of Land Conservation and Development (DLCD) received the attached notice of adoption. A Copy of the adopted plan amendment is available for review at the DLCD office in Salem and the local government office. Appeal Procedures* DLCD ACKNOWLEDGMENT or DEADLINE TO APPEAL: Monday, January 10, 2011 This amendment was submitted to DLCD for review prior to adoption with less than the required 45-day notice. Pursuant to ORS 197.830(2)(b) only persons who participated in the local government proceedings leading to adoption of the amendment are eligible to appeal this decision to the Land Use Board of Appeals (LUBA). If you wish to appeal, you must file a notice of intent to appeal with the Land Use Board of Appeals (LUBA) no later than 21 days from the date the decision was mailed to you by the local government. If you have questions, check with the local government to determine the appeal deadline. Copies of the notice of intent to appeal must be served upon the local government and others who received written notice of the final decision from the local government. The notice of intent to appeal must be served and filed in the form and manner prescribed by LUBA, (OAR Chapter 661, Division 10). Please call LUBA at 503-373-1265, if you have questions about appeal procedures. *NOTE: The Acknowledgment or Appeal Deadline is based upon the date the decision was mailed by local government. A decision may have been mailed to you on a different date than it was mailed to DLCD. As a result, your appeal deadline may be earlier than the above date specified. NO LUBA Notification to the jurisdiction of an appeal by the deadline, this Plan Amendment is acknowledged. Cc: Craig Anderson, Jackson County Jon Jinings, DLCD Community Services Specialist Ed Moore, DLCD Regional Representative <paa> YA Jurisdiction: Jackson Date of Adoption: 12/15/10 Local file number: LRP2010-00008 Date Mailed: 12/20/10 Was a Notice of Proposed Amendment (Form 1) mailed to DLCD? Yes Date: 10/11/10 Comprehensive Plan Text Amendment Land Use Regulation Amendment New Land Use Regulation Comprehensive Plan Map Amendment Zoning Map Amendment Other: UGBA Summarize the adopted amendment. Do not use technical terms. Do not write “See Attached”. Amend the Medford UGB to correct a mapping error. An addition of 0.22 acres to Medford’s UGB will result. The City of Medford has already approved a correction to the mapping error. The mapping error is a cartographic mistake, misprint, or omission that is technical in nature and not the result of new information or changing attitudes or policies. Does the Adoption differ from proposal? No, no explanation is necessary. Plan Map Changed from: N/A to: Zone Map Changed from: N/A to: Location: 1270’ South of W. Main St. & 180’ West of Clover Lane, Medford Acres Involved: .22 Specify Density: Previous: N/A New: N/A Applicable statewide planning goals: 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 Was an Exception Adopted? □ YES ☑ NO Did DLCD receive a Notice of Proposed Amendment... 45-days prior to first evidentiary hearing? If no, do the statewide planning goals apply? If no, did Emergency Circumstances require immediate adoption? DLCD file No. 004-10 (18582) [16463] Please list all affected State or Federal Agencies, Local Governments or Special Districts: DLCD, City of Medford Local Contact: Craig Anderson Address: 10 S. Oakdale Ave. City: Medford Phone: (541) 774-6918 Fax Number: 541-774-6791 Zip: 97501 E-mail Address: email@example.com ADOPTION SUBMITTAL REQUIREMENTS This form must be mailed to DLCD within 5 working days after the final decision per ORS 197.610, OAR Chapter 660 - Division 18. 1. Send this Form and TWO Complete Copies (documents and maps) of the Adopted Amendment to: ATTENTION: PLAN AMENDMENT SPECIALIST DEPARTMENT OF LAND CONSERVATION AND DEVELOPMENT 635 CAPITOL STREET NE, SUITE 150 SALEM, OREGON 97301-2540 2. Electronic Submittals: At least one hard copy must be sent by mail or in person, or by emailing firstname.lastname@example.org. 3. Please Note: Adopted materials must be sent to DLCD not later than FIVE (5) working days following the date of the final decision on the amendment. 4. Submittal of this Notice of Adoption must include the text of the amendment plus adopted findings and supplementary information. 5. The deadline to appeal will not be extended if you submit this notice of adoption within five working days of the final decision. Appeals to LUBA may be filed within twenty-one (21) days of the date, the Notice of Adoption is sent to DLCD. 6. In addition to sending the Notice of Adoption to DLCD, you must notify persons who participated in the local hearing and requested notice of the final decision. 7. Need More Copies? You can now access these forms online at http://www.lcd.state.or.us/. Please print on 8-1/2x11 green paper only. You may also call the DLCD Office at (503) 373-0050; or Fax your request to: (503) 378-5518; or Email your request to email@example.com - Attention: Plan Amendment Specialist. Updated March 17, 2009 BEFORE THE BOARD OF COMMISSIONERS STATE OF OREGON, COUNTY OF JACKSON IN THE MATTER OF AN URBAN GROWTH BOUNDARY (UGB) AMENDMENT TO THE CITY OF MEDFORD UGB TO CORRECT A MAPPING ERROR ON THE JACKSON COUNTY COMPREHENSIVE PLAN MAP AND ZONING MAP TO INCLUDE WITHIN THE MEDFORD UGB APPROXIMATELY 0.22 ACRES LOCATED APPROXIMATELY 1,270' SOUTH OF WEST MAIN STREET, AND APPROXIMATELY 180' WEST OF CLOVER LANE AND LEGALLY DESCRIBED AS TOWNSHIP 37 SOUTH, RANGE 2 WEST, SECTION 26DB, TAX LOT 6000 AND 6100, AND A PORTION OF TAX LOT 5900. FILE NO. LRP2010-00008. ORDINANCE NO. 2010-13 RECITALS: 1. Pursuant to Chapter 197 and 215 of the Oregon Revised Statutes, and in conformance with the Statewide Planning Goals, Jackson County's Comprehensive Plan (JCCP) and implementing ordinances have been acknowledged by the Oregon Land Conservation and Development Commission (LCDC). 2. The standards justifying minor map amendments to the Jackson County Comprehensive Plan Map and Zoning Map are contained in the Jackson County Comprehensive Plan and in the Jackson County Land Development Ordinance (JCLDO) Chapter 3. 3. The Medford-Jackson County Urban Growth Management Agreement identifies the criteria that must be met in order to correct mapping errors. 1- ORDINANCE; FILE LRP2010-00008 Applicant: Jackson County and City of Medford 4. The Jackson County Board of Commissioners (Board) received a letter from the City of Medford, dated September 1, 2010, requesting the Board to initiate a public hearing on a mapping error correction to the City of Medford Urban Growth Boundary (UGB). This ordinance is the result of that request. PROCEDURAL FINDINGS: 1. A notice of the proposed amendment was provided to the Department of Land Conservation and Development (DLCD) on October 1, 2010, 47 days prior to the first evidentiary hearing. A notice was published on Sunday, November 7, 2010 in the Medford Mail Tribune that a first evidentiary hearing was scheduled before the Jackson County Board of Commissioners on Wednesday, November 17, 2010 at 1:30 p.m. in the Jackson County Auditorium. 2. On November 17, 2010, the Board held a properly advertised public hearing to consider the evidence and testimony on this application. After considering the evidence and testimony submitted, the Board, by motion and vote, approved the application. Now, therefore, The Jackson County Board of Commissioners finds and concludes as follows: SECTION 1. FINDINGS OF FACT: Based upon the evidence and arguments presented, the Board makes the following findings of fact with respect to this application. Where factual conflicts arose, the Board has resolved them consistent with these findings. 1.1 The Board finds that proper legal notice was provided to the applicant, property owners within 750 feet of the subject properties, and affected agencies, on October 27, 2010 for a public hearing on this matter. Legal notice was published in the Sunday, November 7, 2010 edition of the Medford Mail Tribune. 1.2 The Board finds that a Staff Report was prepared for the initial public hearing and the Board hereby adopts, as its own, the Staff Report, incorporated herein and attached as Exhibit “A”. SECTION 2. LEGAL FINDINGS: 2.1 The Board hereby adopts, as its own, the Findings/Conclusion and Recommendation contained in the Staff Report, incorporated herein and attached as Exhibit “A”. SECTION 3. CONCLUSIONS: 3.1 The Board concludes that proper public notice was given. 3.2 The Findings/Conclusions and Recommendation in the Staff Report demonstrate that the criteria have been satisfied in order to correct an error to the Medford-Jackson County Urban Growth Management Boundary (UGB). The Board concludes that the mapping error is a cartographic mistake, is technical in nature, and is not the result of new information or changing attitudes or policies. SECTION 4. DECISION: Now, therefore, The Board of County Commissioners of Jackson County ordains as follows: 4.1 Based on the record, evidence, and testimony at the public hearing, the Board approves an Urban Growth Boundary (UGB) Amendment to the City of Medford UGB to correct a mapping error on the Jackson County Comprehensive Plan Map and Zoning Map to include approximately 0.22 acres located approximately 1,270' south of West Main Street, and approximately 180' west of Clover Lane. The property is legally described as Township 37 South, Range 2 West, Section 26DB, tax lot 6000 and 6100, and a portion of tax lot 5900. APPROVED this 15th day of December, 2010, at Medford, Oregon. The Board of County Commissioner's Ordinance is the final decision on this action. This decision may be appealed to the Oregon Land Use Board of Appeals (LUBA). You must appeal this decision within 21 days of the date it is mailed. This decision is being mailed on December 20, 2010, and the LUBA appeal period will expire on January 10, 2011. Please contact LUBA for specific appeal information. They are located at 550 Capitol Street N.E. Suite 235, Salem, Oregon 97301-2552. They can be reached at (503) 373-1265. 4- ORDINANCE; FILE LRP2010-00008 Applicant: Jackson County and City of Medford JACKSON COUNTY DEVELOPMENT SERVICES FILE LRP2010-00008 City of Medford Urban Growth Boundary Mapping Error Correction APPLICANT: Jackson County 10 S. Oakdale Medford, OR 97501 OWNERS: David Young 348 S. Modoc Avenue Medford, OR 07504 (taxlots 6000, 6001) Nick and Dana Lazzareschi 196 Clover Lane Medford, OR 95701 (taxlot 5900) MAP DESCRIPTION: TOWNSHIP: 37S RANGE: 2W SECTION: 26DB TAX LOT: 5900 (portion) TOWNSHIP: 37S RANGE: 2W SECTION: 26DB TAX LOT: 6000 TOWNSHIP: 37S RANGE: 2W SECTION: 26DB TAX LOT: 6100 LOCATION: Approximately 1,270' south of West Main Street, and approximately 180' west of Clover Lane. NATURE OF APPLICATION: This is an Urban Growth Boundary (UGB) mapping error correction to add two tax lots, and a portion of a third, within the City of Medford's UGB. The addition totals approximately 0.22 acres. BACKGROUND: The Jackson County Comprehensive Plan defines an error as a cartographic mistake, or a misprint, omission, or duplication in the text that is technical in nature, and not the result of new information or changing attitudes or policies. It states that if the City Council and County Board of Commissioners become aware of an error, both bodies may initiate an immediate amendment to correct the error, after mutual agreement is reached. It requires that corrections be made by ordinance, following a public hearing conducted by both governing bodies. Public hearings before the Planning Commissions are not required. The City of Medford's review of zoning maps has resulted in the discovery of a mapping error which incorrectly depicts the City's UGB. The area in question is a portion of abandoned railroad right-of-way. According to the City of Medford, the error occurred sometime after 1999. Prior to that time, City maps showed the UGB as a straight line running east-west along the south boundary of the subject tax lots. The error jogged the UGB north, moving said tax lots from inside of the UGB to outside of the UGB. The Medford City Council adopted Ordinance 2010-115 approving a UGB mapping error correction to the Medford General Land Use Plan (GLUP) Map and the Medford Zoning Map to include the area described above within the Medford UGB. The Medford City Council now requests that the Jackson County Board of Commissioners take similar action. I. KEY ISSUES Determine whether a mapping error has occurred regarding the Medford Urban Growth Boundary. II. APPLICABLE CRITERIA To approve this application, the County must determine that the application is in conformance with Medford-Jackson County Urban Growth Management Agreement, Amendment Procedures for the Urban Growth Boundary and Urbanization Policies section, Correction of Errors under the aforementioned section. III. FINDINGS OF CONFORMANCE WITH THE LAND DEVELOPMENT ORDINANCE 1) The Medford-Jackson County Urban Growth Management Agreement, Correction of Errors section states the following: 1) An error is generally considered to be a cartographic mistake, or a misprint, omission, or duplication in the text. They are technical in nature and not the result of new information or changing attitudes or policies. 2) If the City Council and Board of County Commissioners become aware of an error in the map(s) or text of this mutually-adopted urbanization program, both bodies may cause an immediate amendment to correct the error, after mutual agreement is reached. 3) Corrections shall be made by ordinance, following a public hearing conducted by both governing bodies. Public hearings before the planning commissions shall not be required when an amendment is intended specifically to correct the error. FINDING/CONCLUSION: The City of Medford adopted Ordinance 2010-115 approving an Urban Growth mapping error correction to the Medford General Land Use Plan (GLUP) Map and the Medford Zoning Map. The mapping correction results in the addition of approximately 0.22 acres to the City’s UGB. The subject property, consisting of two tax lots and a portion of a third, is located approximately 1,270’ south of West Main Street, and approximately 180’ west of Clover Lane. A map of the subject property is incorporated by this reference as ‘Exhibit 1.’ In a letter dated September 9, 2010, the City of Medford Planning Department requests that the Board conduct a public hearing and take action by ordinance to correct the above-referenced error on County maps. The letter and attached materials from the City, incorporated by this reference as ‘Exhibit 2,’ demonstrate that maps showing the UGB “jogging north,” and thereby excluding the subject tax lots from the UGB, are in error. An objection to the City’s proposed mapping error correction was submitted by an affected property owner. This objection is documented within the attached ‘Exhibit 2.’ The property owner’s objections have since been rescinded as demonstrated through a letter incorporated by this reference as ‘Exhibit 3.’ Staff finds the property owner’s original objections without merit. In any case, such objections are immaterial given that they have now been withdrawn. Staff finds that, in a map of the City’s UGB on file with Jackson County, the subject tax lots are shown as being within the City’s UGB. This map, incorporated by this reference as ‘Exhibit 4,’ shows that the City’s UGB, “as of 1989,” does not jog north and exclude the subject tax lots. Any subsequent mapping that depicts the subject tax lots as being outside of the City's UGB is a cartographic mistake, misprint, or omission. Staff finds that such an error is technical in nature and not the result of new information or changing attitudes or policies. Finally, staff finds that, apparently due to recent changes in County assessment records, any reference to tax lot number 37S 2W 26DB 6001 in any of the above-mentioned exhibits should instead be referenced as 37S 2W 26DB 6100. IV. RECOMMENDATION Staff recommends that the Board of Commissioners find that a cartographic mistake, misprint, or omission occurred in the mapping of the Medford Urban Growth Boundary. The actual Medford UGB should officially be the boundary depicted on Exhibit B of City file number CP-10-021, incorporated herein as page 5 of 'Exhibit 2.' JACKSON COUNTY PLANNING DIVISION By: Craig M. Anderson Planner III Date: 10-12-10 cc: file Attachments: Exhibit 1 – Map of City of Medford UGB and subject properties Exhibit 2 – City of Medford letter, staff report and supporting documentation Exhibit 3 – Letter from Richard Stevens & Associates rescinding objections to mapping error correction Exhibit 4 – Map from Jackson County/City of Medford UGBA file showing UGB "as of July 1989" Development Services 10 South Oakdale Ave., Room 100 Medford, Oregon 97501-2902 DLCD ATTN: PLAN AMENDMENT SPECIALIST 635 CAPITOL STREET NE STE 150 SALEM OR 97301-2540
The Extension Newsletter, Issue 80, Fall 2013 Wright State University Retirees Association Follow this and additional works at: https://corescholar.libraries.wright.edu/wsura_newsletter Part of the Arts and Humanities Commons Repository Citation Wright State University Retirees Association (2013). The Extension Newsletter, Issue 80, Fall 2013. . Campus Reconnect Marlene Bireley Fall Semester has started and the WSURA Board has been busy planning many activities for its members. After a fruitful brainstorming session in July, the Board has set as one of its highest priorities increasing the number of members involved in social, service and intellectual activities whether planned by WSURA or made available by the WSU community. This issue is filled with ideas that we hope will appeal to each and every one of you who still live in the Miami Valley. We know that parking on campus is a deterrent for some of you. Good news! President-Elect Jim Sayer has spoken with Robert Kretzer, Director of Parking and Transportation and has this report: There is no problem parking! Besides being able to park in the Visitor’s lot next to the Student Union, there are additional visitor parking spaces in other lots throughout campus. You may also park in F/S and commuter student spaces if the visitor spaces are full. For convenience, you may request and print a visitor permit in advance at firstname.lastname@example.org. You do not have to stop at the booth by the Student Union to pick up the permit. So, come out to campus for seminars, performances, presentations, and everything else that keeps WSU vibrant. And, remember: you can park! Presidential Message Abe Bassett The joint is jumping! And so are the Retirees! Your Board of Directors came together in July for a special meeting to determine priorities and projects for the new academic year. Out of this meeting came several exciting initiatives and projects designed to encourage retired faculty and staff to return to campus to enjoy the life of the University. In spite of the fact that our meetings are very enjoyable—often filled with humor and always with camaraderie—we have agreed to reduce our decision time from two hours to 90 minutes. This will allow us to invite administrators and faculty to meet with us in the last half hour. We will learn more about their work and they will learn about the retirees. We have arranged for the speakers to address us in the Millett Hall Atrium so that you can attend. By the time you receive this newsletter, we will have heard from our first guest, Dean Kristen Sobolik, College of Liberal Arts. However, please join us on October 2 when Dean Joanne Li, Soin College of Business and Administration will speak, and on November 6, when the University’s new Provost Sundaram Narayanan will be our guest. In order to have room for you to join us, we are holding these meetings in the Millett Hall Atrium, beginning no later than 11:30 a.m. In other action, the Board was unanimous in saying we need to upgrade our website. We now have appointed one of our members, Amy Hopkins, to act as Webmaster and a small ad hoc committee is hard at work to determine the content. We know you will be pleased with the results. A developing relationship with the WSU Alumni Association promises many benefits, the details of which will be announced throughout the coming months. Retirees will now be able to join the special travel tours offered by the Alumni Association. I have experienced an Alumni tour with the Ohio State Alumni Association and found the tour to be well organized. Great companionship develops on these tours, and the destinations are outstanding. We have had discussions with the Friends of the Libraries to be program co-sponsors, and soon hope to have an announcement about an outstanding presentation. Speaking of companionship, please note Bob Wagley’s article on Dining In. Two events have already been scheduled for this year. You must tell Bob that you wish to be a member of the group, because future notices will be sent to only those who have indicated a desire of being part of the group. The Socrates Café discussion group has been a part of the retirees programs for a good number of years now and will continue. You don’t have to be a member of the group, but email notices and reports will be sent only to those who wish to be informed. This discussion group is jointly sponsored by the Universalist Unitarian Fellowship and Temple Beth Or. In another new venture, Board Member Peggy Bott is establishing a WSU Retirees Book Club. Please refer to the article in this edition for details. Activities Chair Mary Gromosiak is at work planning another season of activities. As you can see, your retiree organization is alive, well, and very active, providing opportunities for you to stay in contact with the University and with fellow retirees. It won’t be too long before we come looking for retirees to join the board, and in the meantime if you have anything you would like to say, please do so. Send an email to me at email@example.com. WSURA Sponsored Activities September 11, 2013 Socrates Café Location: Temple Beth Or. Time: 1:00 (Brown bag lunch) 1:30-3:00 (Discussion) October 2, 2013 Presentation by Dean Joanne Li, Soin College of Business and Administration Location: 1st floor atrium, Millett Hall Time: 11:30 October 9, 2013 Woodland Cemetery Historic Tour Walking tour is contingent upon the weather; the grounds are not handicap accessible, but it is allowable to follow by car. Total walking distance is slightly over a mile. 12:15 pm: Lunch at Coco’s Bistro; 250 Wayne Avenue, Dayton October 10, 2013 Socrates Café (See above for details) October 11, 2013 Dining In Hosted by: Abe and Sharon Bassett (See article by Bob Wagley for details) October 23, 2013 Health Fair Location: Student Union Apollo Room Time: 10:00-2:00 Be sure to visit the WSURA booth for treats and sign up for a door prize! November 14, 2013 Socrates Café (See above for details) December 8, 2013 Dining-In Holiday Brunch Hosted by: Tom and Helen Listerman Time: 11:00-2:00 Cost: Cost for entrees to be shared among those attending. Contact Helen Listerman to choose a menu item to share. Choices: Meat and egg dish, side (fruit, potatoes, bread, rolls), appetizers Address: 161 Wynstone Ct., Xenia, OH 45385 Phone: 937-352-6265 December 12, 2013 Socrates Café (See above for details) Other WSU Activities of Interest Friends of the Libraries’ Workshop Series Time: 10:30-12:30 Saturdays Coffee and light snacks included Location: Dunbar Library Cost: $12 for Friends’ members; $15 for nonmembers Register by calling 937-775-2380 or online at Libraries.wright.edu/calendar/events/ October 12, 2013 Your Life Story Make a digital scrapbook using your own photos. November 16, 2013 Grandparents Online Learn to use Facebook, Twitter, YouTube, Instagram and many more. January 11, 2014 Research Your Roots Beginning genealogy. Learn what materials are available to get started. February 8, 2014 History in Newspapers Learn how to research historical newspapers for local history, stories and more. November 14, 2013 Presidential Lecture Series David Frum Author of six books, advisor to George Bush and Rudy Giuliani Time: 7PM in the Student Union September 17, 2013 Wright State Physicians Lecture Series Justin Lodge, P.T., D.P.T. A physical therapist with Wright State University Topic: Proper exercise and the prevention of common injuries Location: Family Medicine Conference Room in the Wright State Physicians Building (725 University Blvd) Time: 7:00 pm October 15 & November 19 Topics and speakers TBA Book Club Peggy Bott If you are interested in joining a WSURA book club, please e-mail me at firstname.lastname@example.org (and include your preference for meeting time: afternoon or evening and day of the week). I will notify you of the time and place of our first meeting. The format I am considering is having each member take a turn choosing a book and leading the discussion on this book. However we can discuss this more at the first meeting that will be just for working out the details of how the group will function. I am looking forward to hearing from you. Dining In Bob Wagley We are now in our fifth year of “Dining In” (it is patterned after the Gourmet A La Carte dinners sponsored by the Wright State University Women’s Association in the 1970s and 1980s), bringing together people throughout the university for evenings of good food and conversation. This was an unparalleled opportunity to meet people from outside your department then and it still is. WSURA changed the name two years ago to Dining In to distinguish it from our Dining Out activities and to better reflect our changing lifestyles. We hope that you will be able to join us for the coming year--three dinners are planned again for this year. The menus and the hosts will soon be posted on our website. http://www.wright.edu/admin/retirees. How does it work? Once you notify us that you are interested, we will email information as to how and when to contact the host(s). When you contact them, indicate what menu item you would like to prepare. This menu item selection is on a first-come-first-served basis so act fast. Some host sites have limited seating so this is another reason for responding soon after receiving the contact information. Keep track of how much you spend in preparing your menu item because at the evening’s end, each person or couple presents the cost of preparing their dish and accounts are settled so that the total cost of the evening is equally divided. We would love to have you join us this year. Please email email@example.com by September 20 with your contact information (email and home phone number) so we can include you in our mailings. Please also include whether you would be coming as a single or with a friend, partner, spouse or whatever. We always hope that all who sign up will attend each meal but we realize that this is sometimes impossible given our busy social and travel schedules. If you are willing to host one of the meals this year, please indicate this when you reply. Deaths Jud Yalkut, Art, COLA, July 2013 Jeff Vernooy, Director, Office of Disability Services, August 2013 Beverly (Bunnie) Byrum Robinson, Professor, Communication. COLA, August 2013 WSURA Board Members 2013-2014 Officers: President Abe Bassett firstname.lastname@example.org Vice-President Jim Sayer email@example.com Secretary Donna Curtin firstname.lastname@example.org Treasurer Gail Whitaker email@example.com Communications Marlene Bireley firstname.lastname@example.org Past-President Gary Pacernick email@example.com Members at Large: Member at Large Peggy Bott firstname.lastname@example.org Member at Large Sally Clayton email@example.com Member at Large Mary Kenton firstname.lastname@example.org Member at Large Leone Low email@example.com Member at Large Blair Rowley firstname.lastname@example.org Member at Large Carol Stevenson email@example.com Committee Chairs: Activities Mary Gromosiak firstname.lastname@example.org By-Laws/Elections Judy Rose email@example.com Historical Preservation Lew Shupe firstname.lastname@example.org OCHER Rich Johnson email@example.com Membership Development Gerry Petrak firstname.lastname@example.org Scholarship Paul Wolfe email@example.com Sunshine Marlene Bireley firstname.lastname@example.org Liaisons: Athletic Council Mary Kenton email@example.com Friends of the Library Gary Barlow firstname.lastname@example.org International Bob Wagley email@example.com Webmaster Amy Hopkins firstname.lastname@example.org Picnics Galore! WSU Summer Picnic “Indoor” Picnic at the Wagleys’ Fiesta at the Gromosiaks WSURA Membership Form New____ Renewal____ Date______________ Name_________________________________________ Date of Birth_________________________ Spouse's Name__________________________________ Date of Birth_________________________ Primary Address_________________________________ Phone_______________________________ City___________________________________________ State_____ Zip_____________________ Wright State Department at Retirement_____________________________________________________ Spouse's Department at Retirement_________________________________________________________ Email Address____________________________________ Year_______________________________ Check One: _____ Faculty _____ Unclassified _____ Classified Life Membership: _______ $100 (Ages 59 and below) _______ $75 (Ages 60-69 ) _______ $50 (Ages 70 and above) Annual Membership: _______ $10 Patron (membership in WSURA not required): No set amount. Donations are tax deductible. Contributions should be sent directly to the Foundation as follows: Wright State University Foundation 3640 Colonel Glenn Hwy. Dayton, OH 45435-0001 Make Your Check Payable to: Wright State University Foundation Note on Check Memo Line: 551327 WSURA Patron Donations Fund Please fill in the information requested above and send it with your dues (please do not send cash) to: WSURA, Attn: Treasurer, 139 Millett Hall, Wright State University, Dayton, OH 45435
February 23, 2021 Patrick Woodcock Commissioner Department of Energy Resources 100 Cambridge St. Suite 1020, Boston, MA 02114 Subject: 1600 MW Offshore Wind RFP The Environmental Protection Agency (EPA) defined Environmental Justice as follows: “Environmental justice (EJ) is the fair treatment and meaningful involvement of all people regardless of race, color, national origin, or income with respect to the development, implementation and enforcement of environmental laws, regulations and policies”. In other words, Environmental Justice is racial justice. As currently drafted, the 1600 MW Offshore Wind RFP fails to make support of environmental justice an important element of the RFP selection criteria, thus leaving the opportunity for the project to have a profound environmental and economic impact on the Commonwealth’s too numerous environmental justice communities to the good will of project developers. We can and must do better. This is the largest such project in the Commonwealth’s history and represents a capital investment of between $4-5B. The workers and companies engaged in this solicitation have a leg up to become the leaders of tomorrow’s offshore wind industry. Your Administration projects that half of Massachusetts’ energy may come from offshore wind by 2050. This solicitation represents just the beginning of what will be tens of billions of dollars’ worth of economic activity and tens of thousands of jobs in the decades ahead. Choices made today set the course for industry growth and workforce development for the years to come. The Commonwealth should require comprehensive Diversity & Inclusion Plans to be included with developers’ submissions and give significant weight to these Plans when evaluating the proposals. We encourage you to model this offshore wind solicitation on the Commonwealth’s successful case studies for racial inclusion and minority economic participation, namely the Massport Model and the Gaming Commission. Rather than set prescriptive criteria, DOER should create the conditions for healthy competition and ongoing accountability. The Massport and Gaming models succeeded because the state set a high bar and gave bidders the flexibility to harness their innovation, creativity and expertise. We urge DOER to: 1. Evaluate proposals, in significant part, based on submitted plans for creating opportunities for minority and disadvantaged workers, businesses and investors. Among other features, this component of proposals should address: - The respondent’s plan for training and workforce development, focused on minority and disadvantaged workers; - The respondent’s plan to solicit business from minority and disadvantaged contractors; and; • The respondent’s plan to solicit investment from minority and disadvantaged investors; • The respondent’s plan to provide creative and innovative strategies for reducing the energy burden many residents of environmental justice communities suffer with on a daily basis as depicted on the MA GIS Energy Burden in EJC System (https://nu.maps.arcgis.com/apps/opsdashboard/index.html#/4f9039e0f10642128ed767fa7d385916) 2. Require bidders to partner with the Mass Clean Energy Center, the Supplier Diversity Office and other state agencies focused on minority and disadvantaged business creation and development; 3. Require that bidders explain how their proposal will mitigate environmental harm and create economic opportunities in environmental justice communities; and 4. Establish a process for the ongoing evaluation of commitments made in selected bids, including by requiring successful bidders to provide regular updates and statistics regarding their progress towards achieving or improving upon those commitments. Thank you for your consideration. Sincerely, ______________________________ Gregory King Managing Director, TSK Energy Solutions REQUEST FOR PROPOSALS FOR LONG-TERM CONTRACTS FOR OFFSHORE WIND ENERGY PROJECTS Issuance Date: TBD Distribution Companies: Fitchburg Gas & Electric Light Company d/b/a Unitil Massachusetts Electric Company d/b/a National Grid Nantucket Electric Company d/b/a National Grid NSTAR Electric Company d/b/a Eversource Energy Massachusetts Department of Energy Resources Definitions 1. Introduction and Overview ........................................................................................................ 1 1.1 Purpose of the Request for Proposal .................................................................................. 1 1.2 The Framework Established Pursuant to Section 83C ..................................................... 2 1.3 Solicitation by Distribution Companies in Coordination with the Department of Energy Resources ........................................................................................................................................... 3 1.4 Overview of the Procurement Process ............................................................................... 3 1.5 Independent Evaluator ....................................................................................................... 4 1.6 Communications Between the Evaluation Team and Bidders and Filing Protocol .......... 5 1.7 Proposal Submission Deadline/ Proposal Effectiveness .................................................... 5 1.7.1 Confidential Proposal Submission Deadline .............................................................. 5 1.7.2 Public Proposal Submission Deadline ......................................................................... 6 1.7.3 Proposal Validity ........................................................................................................ 6 1.7.4 Submission Requirements .......................................................................................... 6 220.127.116.11 Public Versions of Proposals .............................................................................. 6 18.104.22.168 Confidential Versions of Proposals ................................................................. 7 1.7.5 Confidential Information ............................................................................................ 7 22.214.171.124 Confidential Information Sharing Authorization for ISO-NE and Certain Government and Other Authorities Personnel ........................................................................... 8 1.7.6 Appendices ................................................................................................................ 9 1.8 Bidder Certification .......................................................................................................... 9 1.9 Changes or Cancellations ................................................................................................. 10 1.10 Non-Refundable Bid Fees ............................................................................................... 10 2 Bid Evaluation and Selection Criteria and Process ................................................................. 11 2.1 Introduction/Overview of the Process .............................................................................. 11 2.2 Stage One ....................................................................................................................... 11 2.2.1 Eligibility, Threshold, and Other Minimum Requirements ....................................... 11 126.96.36.199 Eligible Bidder .................................................................................................. 12 188.8.131.52 Eligible Proposal Size ....................................................................................... 12 184.108.40.206 Eligible Bid Categories ..................................................................................... 12 220.127.116.11 Pricing Requirements; Allowable Forms of Pricing ....................................... 15 18.104.22.168 Bidder Disclosure of Affiliations and Affiliate Relationships ......................... 17 22.214.171.124 Contract Term ................................................................. 18 126.96.36.199 Capacity Requirements .................................................. 19 188.8.131.52 Interconnection and Delivery Requirements ....................... 20 184.108.40.206 Proposal Completeness: Bidder Response Forms and the Form PPAs .............. 22 220.127.116.11.1 Bid Fees ........................................................................... 23 2.2.2 Threshold Requirements ..................................................... 23 18.104.22.168 Site Control and Related Agreements .................................. 23 22.214.171.124 Technical and Logistical Viability, Ability to Finance the Proposed Project . 25 126.96.36.199 Experience ............................................................................ 25 188.8.131.52 Providing Enhanced Electricity Reliability within the Commonwealth........ 26 184.108.40.206 Contribution to Reducing Winter Electricity Price Spikes ..................... 26 220.127.116.11 Avoid Line Loss and Mitigating Transmission Costs to the Extent Possible and Ensuring that Transmission Cost Overruns, if any, are not Borne by Ratepayers .......... 26 18.104.22.168.1 Abandonment Costs .......................................................... 26 22.214.171.124 Adequately Demonstrate Project Viability in a Commercially Reasonable Timeframe ........................................................................ 26 126.96.36.199 Contribution to Employment; Economic Development Benefits ............. 27 188.8.131.52 Utilizing an Appropriate Tracking System to Account and Enable for GWSA Goals 27 184.108.40.206 Environmental and Related Impacts ........................................... 28 220.127.116.11 Security Requirements .......................................................... 28 18.104.22.168 Unreasonable Balance Sheet Impacts ...................................... 28 22.214.171.124 Facilitate Financing of Offshore Wind Energy Generation .................. 29 2.3 Stage Two—Quantitative and Qualitative Analysis ................................. 29 2.3.1 Evaluation Using Quantitative Evaluation Criteria ............................. 29 126.96.36.199 Direct Contract Costs & Benefits ........................................... 29 188.8.131.52 Other Costs & Benefits to Retail Consumers .......................... 30 184.108.40.206 Quantitative Evaluation Metrics ............................................. 31 2.3.2 Qualitative Evaluation .................................................................. 31 2.4 Stage Three .................................................................................. 34 2.5 Contracting/Tariff Process ............................................................... 35 2.5.1 Contracts .................................................................................. 35 2.5.2 FERC-Jurisdictional Tariffs ....................................................... 35 2.6 Contract Negotiation Process ............................................................ 35 2.7 Regulatory Approval ................................................................. 36 2.7.1 DPU Regulatory Process .................................................. 36 2.7.2 FERC ............................................................................. 37 3 Instructions to Bidders ................................................................. 37 3.1 Schedule for the Bidding Process ........................................... 37 3.2 Bidders Conference; Bidder Questions; Notice of Intent to Bid .... 37 3.3 Preparation of Proposals ....................................................... 38 3.4 Organization of the Proposal ............................................... 38 3.5 Updates to the Proposal ....................................................... 39 3.6 Modification or Cancellation of the RFP and Solicitation Process .. 39 3.7 Requests for Additional Information ...................................... 40 3.8 Limitation of Liability ......................................................... 40 Appendix A Bidders Response Package Appendix B-1 Form of Power Purchase Agreement (National Grid) Appendix B-2 Form of Power Purchase Agreement (Eversource/Unitil) Appendix C Certification Appendix D Procurement Statutes Appendix E Confidential Information Appendix F-1 Standard of Conduct - National Grid Appendix F-2 Standard of Conduct – Eversource Appendix G Commitment Agreement Appendix H Bid Submittal Instructions Appendix I Deliverability Constraint Analysis Appendix J Environmental and Socioeconomic Impact Criteria Appendix K Explanation of Allowable Phasing Definitions “Affiliated Company” means an affiliated company as defined in Section 85 of Chapter 164 of the Massachusetts General Laws.$^1$ “Clean Peak Energy Certificate” (CPEC). A credit received for each megawatt hour of energy or energy reserves at NEPOOL GIS that is adjusted by applicable Clean Peak Energy Certificate Multipliers and provided during a Seasonal Peak Period that represents a compliance mechanism as defined in the regulations. “Clean Peak Standard” has the meaning as outlined in 225 CMR 21.00 “Control Area” means a geographic region in which a common generation control system is used to maintain scheduled interchange of Energy within and outside the region. “BOEM” means the United States Bureau of Ocean Energy Management and includes its successors. “Delivery”, “Deliveries”, “Deliver”, or “Delivered” means Energy that is: i) injected in the New England Control Area at a specified and agreed upon pricing node (e.g., the generator asset node applicable to an internal resource or the external interface node applicable to an import). “Department of Energy Resources” or “DOER” means the Massachusetts Department of Energy Resources established by Section 1 of Chapter 25A of the Massachusetts General Laws.$^2$ “Distribution Company” means a distribution company as defined in Section 1 of Chapter 164 of the Massachusetts General Laws.$^3$ “Energy” means electric “energy,” as such term is defined in the ISO-NE Tariff, generated by the Generation Unit as measured in MWh in Eastern Prevailing Time as metered at the delivery point, which quantity will never be less than zero. “Energy Diversity Act” means chapter 188 of the Acts of 2016, An Act to Promote Energy Diversity. “Energy Storage System” means a commercially available technology that is paired with the proposed Offshore Wind Energy Generation facility and is capable of absorbing energy, storing it for a period of time and thereafter dispatching the energy and which may be owned by an electric distribution company; provided, however, that an Energy Storage System shall: (i) reduce the emission of greenhouse gases; (ii) reduce demand for peak electrical generation; (iii) defer or substitute for an investment in generation, transmission or distribution assets; or (iv) improve the --- $^1$ [https://malegislature.gov/Laws/GeneralLaws/PartI/TitleXXII/Chapter164/Section85](https://malegislature.gov/Laws/GeneralLaws/PartI/TitleXXII/Chapter164/Section85). $^2$ [https://malegislature.gov/Laws/GeneralLaws/PartI/TitleII/Chapter25A/Section1](https://malegislature.gov/Laws/GeneralLaws/PartI/TitleII/Chapter25A/Section1). $^3$ [https://malegislature.gov/Laws/GeneralLaws/PartI/TitleXXII/Chapter164/Section1](https://malegislature.gov/Laws/GeneralLaws/PartI/TitleXXII/Chapter164/Section1). reliable operation of the electrical transmission or distribution grid; and provided further, that an Energy Storage System shall: (1) use mechanical, chemical or thermal processes to store energy that was generated for use at a later time; (2) store thermal energy for direct heating or cooling use at a later time in a manner that avoids the need to use electricity at that later time; (3) use mechanical, chemical or thermal processes to store energy generated from renewable resources for use at a later time; or (4) use mechanical, chemical or thermal processes to capture or harness waste electricity and to store the waste electricity generated from mechanical processes for delivery at a later time.$^4$ “Environmental Attributes” means all present and future attributes under any and all international, federal, regional, state or other law or market, including without limitation all credits or certificates that are associated, either now or by future action, with the Offshore Wind Energy Generation, including but not limited to those provided for in 310 C.M.R. 7.75 and G.L. c. 25A, § 17. “Environmental Justice Community” means a neighborhood whose annual median household income is equal to or less than 65 percent of the statewide median or whose population is made up 25 percent Minority, Foreign Born, or Lacking English Language Proficiency. “Evaluation Team” means the Distribution Companies and the Department of Energy Resources. “Evaluation Team Consultant” means an entity or entities that will contract with one or more of the Distribution Companies to assist the Evaluation Team in the evaluation process. “FERC” means the United States Federal Energy Regulatory Commission, and includes its successors. “Generation Unit” means a facility that converts a fuel or an energy resource into electrical energy. “GIS” means the New England Power Pool (“NEPOOL”) Generation Information System or any successor thereto, which includes a generation information database and certificate system, operated by NEPOOL, its designee or successor entity, that accounts for generation attributes of electricity generated or consumed within New England. “Interconnection Agreement” means an agreement pursuant to the relevant section(s) of the ISO-NE Tariff among the facility owner, the interconnecting utility and ISO-NE, as applicable, regarding the interconnection of the Facility to the transmission system, as the same may be amended from time to time. “Interconnection Customer’s Interconnection Facilities” (“ICIF”) means all facilities and equipment located between bidder’s Offshore Wind Energy Generation facilities collector system step-up transformers and the point of change of ownership at the onshore interconnection, including any modification, addition, or upgrades to such facilities and equipment, constructed to physically and electrically interconnect the bidder’s Offshore Wind Energy Generation facilities to the onshore transmission system. \footnote{https://malegislature.gov/Laws/GeneralLaws/PartI/TitleXXII/Chapter164/Section1} “ISO” or “ISO-NE” means ISO New England Inc., the independent system operator established in accordance with the RTO arrangements for New England, or its successor. “Long-Term Contract” means a contract for a period of 15 to 20 years for Offshore Wind Energy Generation.$^5$ “New England Control Area” means New England Control Area as set forth in the ISO-NE Tariff. “Offshore Delivery Facilities” means transmission or interconnection facilities constructed by an Offshore Wind Developer to transport Energy from Offshore Wind Energy Generation facilities to existing onshore ISO-NE Pool Transmission Facilities (“PTF”). “Offshore Wind Developer” means a provider of electricity developed from an offshore wind energy generation project that is located on the Outer Continental Shelf, and for which no turbine is located within 10 miles of any inhabited area.$^6$ “Offshore Wind Energy Generation” means offshore electric generating resources derived from wind that: (1) are Class I renewable energy generating sources, as defined in Section 11F of Chapter 25A of the General Laws; (2) have a commercial operations date on or after January 1, 2018, that has been verified by the Department of Energy Resources; and (3) operate in a designated wind energy area for which an initial federal lease was issued on a competitive basis after January 1, 2012.$^7$ The quantity of Offshore Wind Energy Generation delivered shall be measured in MWh. “Other Authorities” means United States federal agencies, state and local agencies and authorities, one or more regional transmission organizations, balancing authorities, or utilities in other Control Areas in which a generation unit is located or through which its Energy may pass. “Rate Schedule” means Rate Schedule as set forth in 18 CFR §35.2(b). “Renewable Energy Certificates” or “RECs” means all of the GIS Certificates and environmental benefits associated with New Class I RPS eligible resources. “Selection Team” means the Distribution Companies. “Service Agreement” has the meaning provided in 18 CFR §35.2(c)(2). “Tariff” has the meaning provided in 18 CFR §35.2(c)(1). $^5$ https://malegislature.gov/Laws/SessionLaws/Acts/2016/Chapter188 $^6$ https://malegislature.gov/Laws/SessionLaws/Acts/2016/Chapter188 $^7$ https://malegislature.gov/Laws/SessionLaws/Acts/2016/Chapter188 “Third-Party Offshore Wind Developer” means any entity developing offshore wind energy generation facilities. 1. Introduction and Overview 1.1 Purpose of the Request for Proposal Fitchburg Gas & Electric Light Company d/b/a Unitil (“Unitil”), Massachusetts Electric Company and Nantucket Electric Company d/b/a National Grid (“National Grid”), NSTAR Electric Company d/b/a Eversource Energy (“Eversource”), as investor-owned electric distribution companies (collectively, “Distribution Companies” and each as “Distribution Company”) serving ratepayers in the Commonwealth of Massachusetts (“Commonwealth”), in coordination with the Massachusetts Department of Energy Resources (“DOER”), are collectively seeking reasonable proposals to enter into cost-effective Long-Term Contracts for Offshore Wind Energy Generation and associated RECs$^8$, which may include associated transmission costs, pursuant to Section 83C of Chapter 169 of the Acts of 2008 (“Section 83C”) \textit{et seq.}, as amended by the Energy Diversity Act. In this Request for Proposals (“RFP”), the Distribution Companies are seeking to procure at least 400 MW and up to 1600 MW overall of Offshore Wind Energy Generation, subject to the provisions of Section 220.127.116.11 hereof.$^9$ Bidders are allowed to offer proposals from 200 MW up to 1600 MW of Offshore Wind Energy Generation. This is the third solicitation and is part of a procurement schedule developed by the Distribution Companies and DOER in accordance with the authority granted to DOER under Section 21(a) of Chapter 227 of the Acts of 2018 (“2018 Act”) to require the Distribution Companies to jointly and competitively conduct additional offshore wind generation solicitations and procurements, subject to the required solicitation and procurement process of said Section 83C, to ensure that the Distribution Companies enter into cost-effective contracts for Offshore Wind Energy Generation equal to an additional approximately 1600 MW of aggregate nameplate capacity not later than December 31, 2035. The Distribution Companies and DOER will issue subsequent solicitations within 24 months of the previous solicitations as necessary, consistent with Section 83C. In addition, Section 83C requires that the Department of Public Utilities shall not approve Long-Term Contracts resulting from the solicitation if the levelized price per megawatt hour, plus associated transmission costs, is greater than or equal to the levelized price per megawatt hour that resulted from the previous solicitation. For more information on the levelized price per megawatt hour resulting from the previous solicitation, see Section 18.104.22.168. --- $^8$ Long Term Contracts for Energy and RECs, and RECs only, will include rights to all associated Environmental Attributes. $^9$ The Commonwealth of Massachusetts in consultation with the Distribution Companies will consider the participation of other states as a means to achieve the Commonwealth’s Offshore Wind Energy Generation goals if such participation has positive net financial impact on Massachusetts ratepayers. If the Commonwealth determines that such participation provides a reasonable means to achieve its Offshore Wind Energy Generation goals cost effectively through multi-state coordination and contract execution, selected projects may be allocated on a load ratio share basis to one or more electric distribution companies in such state, subject to applicable legal requirements in the Commonwealth and the respective state. The terms of any Long-Term Contracts resulting from this solicitation will be finalized between the Distribution Companies and successful bidders based on the proposals submitted and selected in accordance with the process set forth in this RFP.\textsuperscript{10} This RFP includes form Power Purchase Agreements for Offshore Wind Energy Generation (“Form PPAs”, one for National Grid and another for Eversource and Unitil). Section 83C requires the Distribution Companies, in coordination with the DOER, to solicit proposals from developers of Offshore Wind Energy Generation projects in a fair and non-discriminatory fashion, and, provided that reasonable proposals have been received, enter into cost-effective Long-Term Contracts for Offshore Wind Energy Generation. The standards and criteria set forth in this RFP are designed so proposals selected for contract negotiations will serve the interests of Section 83C by furthering those projects that have a strong likelihood of being financed and constructed and that will provide a reliable and cost-effective source of long-term Offshore Wind Energy Generation to the Commonwealth. In addition to the statutory requirements set forth in Section 83C, the Distribution Companies are issuing this RFP in accordance with regulations promulgated under Section 83C by the Department of Public Utilities (“DPU”), 220 C.M.R. § 23.00, \textit{et seq}. This RFP outlines the process that the Distribution Companies plan to follow to satisfy their obligations under Section 83C and 220 C.M.R. § 23.00, \textit{et seq}, and sets forth the timetable regarding the solicitation process, provides information and instructions to prospective bidders, and the bid evaluation process that will be followed once bids are received. \subsection{1.2 The Framework Established Pursuant to Section 83C} The Energy Diversity Act, which includes Section 83D and 83C solicitations, recognizes the necessity of the Commonwealth achieving the goals established pursuant to the GWSA. The GWSA requires the Commonwealth to establish goals and meet targets for the reduction of greenhouse gas emissions by 2020, 2030, 2040, and 2050. The goals established by the Commonwealth specifically require achieving Net Zero greenhouse gas emissions by 2050 and intermediate reductions. Under Section 83C, a Distribution Company may decline to consider proposals having terms and conditions that it determines would require the Long-Term Contract obligation to place an unreasonable burden on the company’s balance sheet. All proposed Long-Term contracts are subject to the review and approval of the DPU prior to becoming effective. \textsuperscript{10} The actual amount of Offshore Wind Energy Generation and/or RECs to be procured by each of the Distribution Companies is determined based upon each Distribution Company’s Massachusetts distribution load-share derived from the most recent full years data which is from 2019 \| Company \| Load-Share \| \|-------------\|------------\| \| National Grid \| 45.04% \| \| Eversource \| 53.96% \| \| Unitil \| 1.00% \| As part of its review and approval process for any proposed Long-Term Contracts, the DPU must take into consideration recommendations from the Office of the Attorney General (“AGO”), which must be submitted to the DPU within forty-five (45) days following the filing of such contracts with the DPU. Section 83C provides that the DPU shall consider both the potential costs and benefits of such contracts and shall approve a contract only upon a finding that it is a cost-effective mechanism for procuring reliable Offshore Wind Energy Generation on a long-term basis, taking into account the factors outlined in Section 83C, as further described below. Finally, if the DOER, in consultation with the Distribution Companies, and the Independent Evaluator as described in Section 1.5 below, determines that reasonable proposals were not received pursuant to this solicitation, the DOER may terminate this solicitation. In addition, if a Distribution Company deems all proposals to be unreasonable, it shall submit a filing to the DPU supporting its decision to decline all proposals. This decision is subject to DPU approval. 1.3 Solicitation by Distribution Companies in Coordination with the Department of Energy Resources The Evaluation Team, in consultation with the Attorney General’s Office and as overseen by the Independent Evaluator, coordinated on this solicitation and evaluation process with respect to this RFP. As a result of this process, the Distribution Companies now issue this RFP, including associated bid forms, Form PPAs, and certain other documents. The purpose of this approach is to inform prospective bidders of bid submittal and evaluation requirements in order to facilitate the bidding process. Responses to this RFP must be returned to the Evaluation Team for joint evaluation consistent with the terms of this RFP. Bidders shall submit proposals contemporaneously to the entire Evaluation Team. Proposals must be submitted in accordance with Section 1.7.3 of this RFP. The Selection Team with DOER serving as an advisory participant, will then be responsible for bid selection, contract negotiations, and contract execution. The Distribution Companies expect to coordinate their negotiation of the contracts and to jointly file the executed Long-Term Contracts with the DPU for approval prior to the Long-Term Contracts become effective. The Form PPAs may vary somewhat to accommodate the contracting requirements that are specific to each Distribution Company. 1.4 Overview of the Procurement Process The Evaluation Team, with the assistance of the Evaluation Team Consultant, will receive the proposals, including confidential materials, and conduct an evaluation of the proposals. Eversource and National Grid have executed the Standard of Conduct documents attached as Appendix F-1 and F-2 to this RFP.$^{11}$ Under these Standards of Conduct, discussion of this RFP and any bid proposed therein between personnel participating on the Distribution Company’s Evaluation Team and personnel involved in the preparation of proposals in response to this RFP on behalf of a Distribution Company affiliate shall be prohibited, other than as part of discussions that are conducted as part of the RFP process (e.g. bidder conferences or formal bidder Q&A), in accordance with the Standard of Conduct. The Evaluation Team will consider the evaluation results and project rankings to determine projects to be considered for selection. The Distribution Companies will be responsible for negotiation and execution of any final Long-Term Contract. The DOER will have the opportunity to monitor contract negotiations between the Distribution Companies and selected bidders. The procurement process has three stages of evaluation, as described in further detail in Section 2 of this RFP. In Stage One, proposals will be reviewed to ensure that they meet eligibility and threshold requirements. In Stage Two, proposals will be evaluated based on specified quantitative and qualitative criteria. In Stage Three, the Evaluation Team will conduct further evaluation of remaining proposals based on the Stage Two quantitative and qualitative evaluation criteria and, at their discretion, additional factors, to ensure selection of viable projects that provide cost-effective, reliable Offshore Wind Energy Generation with limited risk. ### 1.5 Independent Evaluator The DOER and the AGO, as required by Section 83C, have jointly selected, and the DOER has contracted with, an Independent Evaluator to monitor and report on the solicitation and bid selection process. The Independent Evaluator will assist the DOER in determining whether a proposal is reasonable and assist the DPU in its consideration of the Long-Term Contracts filed for approval. In an effort to ensure an open, fair, and transparent solicitation and bid selection process that is not unduly influenced by an Affiliated Company, Section 83C requires the Independent Evaluator: (1) To issue a report to the DPU that analyzes the timetable and method of solicitation and the solicitation process implemented by the Distribution Companies and the DOER; and (2) Upon the opening of an investigation by the DPU into a proposed Long-Term Contract, to file a report with the DPU that summarizes and analyzes the solicitation $^{11}$ Unitil does not have an affiliate that could potentially bid and, therefore, has not executed a Standard of Conduct. If the prospect arises of a Unitil affiliate becoming a bidder, Unitil will execute a standard of conduct. and bid selection process and provides an independent assessment of whether all proposals were evaluated in a fair and non-discriminatory manner. To perform this role, the Independent Evaluator will have access to all information and data related to the solicitation and bid selection process, including any confidential information provided by bidders. The DPU has the discretion to consider the Independent Evaluator’s findings and may adopt its recommendations as a condition for approval. However, if the Independent Evaluator concludes that the solicitation and bid selection of a contract was not fair and objective, and the process was substantially prejudiced as a result, the DPU shall reject the contract per Section 83C.$^{12}$ ### 1.6 Communications Between the Evaluation Team and Bidders and Filing Protocol With the exception of the pre-bid conference (see Section 3.2 below), all pre-bid contact with prospective bidders and other interested parties will be via the Distribution Companies’ website at [MACleanEnergy.com](http://MACleanEnergy.com), and email address firstname.lastname@example.org. All questions must be submitted by email, and responses will be coordinated by the Evaluation Team and posted on the Distribution Companies’ website. Proposals will be submitted directly to the Evaluation Team at the addresses set forth in Appendix H to this RFP. Each proposal must be submitted to the entire Evaluation Team. Following the submission of proposals, communications regarding specific proposals will be between the Evaluation Team and the bidder. Following bid submission, each bidder is responsible to keep the Evaluation Team informed on a timely basis about the status of their proposed projects throughout the evaluation process, and as applicable, the contract negotiation process, and the related DPU proceeding, (including, but not limited to, status updates in obtaining permits, financing, site control and interconnection), but these communications shall not include revisions to the bidder’s proposals, unless directed by the Evaluation Team. Any bidder communications must be provided to the entire Evaluation Team by submission to the email address referenced above. For further information on updating proposals, please refer to Section 3.5. ### 1.7 Proposal Submission Deadline/ Proposal Effectiveness The one-hundred thirty-two (132) day timeline for the bidding process following the issuance of this RFP until the Confidential Proposal Submission Deadline, as well as the schedule for other steps in the process including approval by the DPU is set forth below in Section 3.1 of this RFP. #### 1.7.1 Confidential Proposal Submission Deadline September 16, 2021 at 12:00 (noon) EDT. --- $^{12}$ DOER, at its discretion, may request the Independent Evaluator to monitor contract negotiations between the Distribution Companies and a winning bidder. 1.7.2 Public Proposal Submission Deadline Bidders may submit their Public Proposal after the Confidential Proposal no later than September 23, 2021 at 12:00 (noon) EDT Sec 22.214.171.124. If a bidder does not elect to redact any confidential information pursuant to 126.96.36.199, the public version of the proposal must be submitted on September 16, 2021. 1.7.3 Proposal Validity Proposals shall be valid until March 28, 2022, unless otherwise extended by mutual agreement. 1.7.4 Submission Requirements Bidders must submit separate [electronic submission] of the public version of each proposal and shall also submit separate [electronic submission] drives of the un-redacted confidential version to the contacts in Appendix G to this RFP in the quantities specified. The public version of the proposal may be redacted to remove information that qualifies for confidential treatment pursuant to the Commonwealth’s requirements described in Appendix E to this RFP. Each proposal shall contain the full name and business address of the bidder and the bidder’s contact person and shall be signed by an authorized officer or duly authorized representative of the bidder. Bidders must sign the original proposal and include copies of the signature page with the proposal. The full name and business address of the bidder must be included in the public version of the proposal(s). 188.8.131.52 Public Versions of Proposals Each proposal must be submitted publicly, with confidential material redacted at the bidder’s option, to the Evaluation Team. This public version will be posted on the public website MACleanEnergy.com shortly after the Public Proposal Submission Deadline. The [electronic submission] should include the words “Public Version” to alert the Evaluation Team that the version will be publicly posted. The Public Proposals must be complete in all respects other than the redaction of confidential information. Complete proposals must include a properly completed Certification, Project and Pricing Data (“CPPD”) Form, although at the bidder’s option the CPPD submitted as part of the public version may be a PDF instead of a working Excel file so long as the bidder submits the un-redacted CPPD form as a working Excel file with the confidential version of the proposal. If there is conflicting information between the information in the CPPD and information in other forms, then the information in the CPPD will be used in the evaluation. Information elsewhere in the bid cannot be used by the bidder to modify or qualify any information in the CPPD. The Evaluation Team will not redact the public versions of proposals. Anything submitted in the public version will be made AVAILABLE TO THE PUBLIC. 184.108.40.206 Confidential Versions of Proposals If a bidder elects to redact any confidential information in the public version of its proposal(s), it must also submit an un-redacted, complete version of the proposal(s). The confidential version of the proposal must include the CPPD forms as a working Excel file, with all required information included. The confidential version of the proposal will be treated as confidential and sensitive information by the Evaluation Team, subject to the treatment of confidential information discussed in Section 1.7.5 of this RFP. 1.7.5 Confidential Information Bidders must clearly identify all confidential or proprietary information including pricing. Only legitimate non-public proprietary or sensitive information may be considered confidential, and bidders should not designate any portions of their proposal confidential that do not merit confidential treatment. The Evaluation Team shall use commercially reasonable efforts to treat the confidential information that it receives from bidders in a confidential manner and will not use such information for any purpose other than in connection with this RFP. Additional information concerning the confidentiality of information provided to the DOER is included in Appendix E to this RFP; provided, that DOER will protect any confidential information to the extent possible under applicable public records law. As part of the bid evaluation process the Evaluation Team expects to disclose bid information to the Evaluation Team Consultant, to DOER’s consultant, to ISO-NE and/or to personnel of one or more Other Authorities. The Independent Evaluator will also have access to all proposal information in performing its role. Depending upon the evaluation of proposals received, the Evaluation Team may seek permission from bidders to share proposals with other individuals or entities, subject to a confidentiality agreement. In all such cases, the Evaluation Team will work with bidders on developing appropriate means to protect and limit disclosure of confidential information. Bidders, however, should be aware that the Distribution Companies and the DOER will disclose the pricing of the contracts that are filed for approval at the DPU. If any other confidential information is sought in any regulatory or judicial inquiry or proceeding or pursuant to a request for information by a government agency with supervisory authority over any of the Distribution Companies, reasonable steps shall be taken to limit disclosure and use of said confidential information through the use of non-disclosure agreements or requests for orders seeking protective treatment, and bidders shall be informed that the confidential information is being sought. The bidder shall be responsible for filing, submitting, and/or providing to the Distribution Companies for such filing or submission, any motions or other pleadings (including associated affidavits, etc.) for protective orders or other relief to seek protection of the confidential information, but may not object to the disclosure of the pricing of the contracts that are filed for approval at the DPU. Similarly, bidders shall use commercially reasonable efforts to treat all confidential information received from the Evaluation Team or individual entities serving on the Evaluation Team or the Evaluation Team Consultant in a confidential manner and will not, except as required by law or in a regulatory or judicial proceeding, disclose such information to any third party or use such information for any purpose other than in connection with this RFP; provided, however that if such confidential information is sought in any regulatory or judicial proceeding, the bidders shall take reasonable steps to limit disclosure and use of said confidential information through the use of non-disclosure agreements or requests for orders seeking protective treatment, and shall inform the Evaluation Team that the confidential information is being sought. In the event confidential information is submitted to the Evaluation Team and confidential treatment is not afforded by a governmental agency or other entity exercising proper authority, the entities and individuals on the Evaluation Team any consultants, and the Independent Evaluator shall not be held responsible. Each member of the Evaluation Team and the Independent Evaluator, as well as their employees, agents, and consultants, shall be held harmless for any release of confidential information as long as reasonable efforts to protect the information have been followed. In any event, each member of the Evaluation Team, the Evaluation Team Consultant and the Independent Evaluator, as well as their employees, agents, and consultants, shall be held harmless for any release of confidential information made available through any public source by any other party. 220.127.116.11 Confidential Information Sharing Authorization for ISO–NE and Certain Government and Other Authorities Personnel ISO-NE will, and Other Authorities (including but not limited to state economic development and environmental agencies) may be requested to provide information to the Evaluation Team concerning proposals as part of the proposal evaluation process. Information classified as Critical Energy/Electric Infrastructure Information (“CEII”) will only be shared with members of the Evaluation Team and the Independent Evaluator who are cleared to receive CEII by ISO-NE or any applicable Other Authorities. By participating in this RFP bidders agree that ISO-NE and the Other Authorities may release information related to the projects which may otherwise be considered confidential under the relevant rules or policies of such organizations, to the Evaluation Team and the Independent Evaluator. The Bidder shall provide written confirmation of its consent for the sharing of this information as part of the bidder certification form, and, if requested by the Evaluation Team, the bidder shall specifically request that ISO-NE and/or any of the Other Authorities provide this information to the Evaluation Team and shall pay any costs imposed by ISO-NE or any of the Other Authorities associated with providing that information. Failure to comply with this request will result in disqualification of the bid. The Evaluation Team will treat the information provided as confidential as described above in accordance with the Confidential Information policies and practices described in Section 1.7.4. of this RFP. ### 1.7.6 Appendices All bidders shall sign and submit attached Appendix C to this RFP with their proposals. A proposal will be considered incomplete unless the required Appendix C to this RFP is signed and submitted with the proposal.* \| Appendix \| Description \| \|----------\|-------------\| \| A \| Bidders Response Package \| \| B-1 \| Form of Power Purchase Agreement (National Grid) \| \| B-2 \| Form of Power Purchase Agreement (Eversource and Unitil) \| \| C \| Certification \| \| D \| Procurement Statutes \| \| E \| Confidential Information \| \| F-1 \| Standard of Conduct - National Grid \| \| F-2 \| Standard of Conduct – Eversource \| \| G \| Commitment Agreement \| \| H \| Bid Submittal Instructions \| \| I \| Deliverability Constraint Analysis \| \| J \| Environmental and Socioeconomic Impact Criteria \| \| K \| Explanation of Allowable Phasing \| ### 1.8 Bidder Certification An authorized officer or other duly authorized representative of a bidder is required to certify by the submission of its proposal that: 1. The bidder has reviewed this RFP, and has investigated and familiarized itself with respect to all matters pertinent to this RFP and its proposal; 2. The bidder’s proposal is submitted in compliance with all applicable federal, state and local laws and regulations, including antitrust and anti-corruption laws; 3. The bidder is bidding independently and has no knowledge of non-public information associated with a proposal being submitted by another party in response to this RFP other than: (1) a response submitted (a) by an affiliate of that bidder or (b) for a project in which that bidder is also a project proponent or participant, which, in each case, must be disclosed in writing to the Evaluation Team with each such bidder’s or affiliated bidder’s proposal; or (2) a submission of multiple bids for the same Offshore Wind Energy Generation; 4. The bidder has no knowledge of any confidential information associated with the development of this RFP; 5. The bidder’s proposal has not been developed utilizing knowledge of any non-public information associated with the development of this RFP; 6. The bidder has not obtained any confidential bidding-related information directly or indirectly from any of the Distribution Companies, in preparation of its bid; 7. Except as disclosed by the bidder in the relevant portions of its response, the bidder is not an Affiliated Company of any Massachusetts investor-owned electric Distribution Company and no Distribution Company that is seeking proposals pursuant to this RFP has a financial or voting interest, controlling or otherwise, in the bidder or the bidder’s proposed project; and 8. The bidder accepts that confidential information about their proposal might be shared with any members of the Evaluation Team, the Evaluation Team Consultant, the Independent Evaluator, ISO-NE, or Other Authorities personnel. 9. The bidder will continue to observe these requirements throughout the RFP process. 1.9 Changes or Cancellations The terms and conditions of this RFP may, at any time, be changed, postponed, withdrawn and/or canceled, including any requirement, term or condition of this RFP, any and all of which shall be without any liability to any members of the Evaluation Team. Any changes to or cancellations of this RFP will be posted on MACleanEnergy.com. 1.10 Non-Refundable Bid Fees Each Project shall be required to pay a non-refundable bid fee which will be used to offset the cost of the evaluation of proposals and oversight of the process by the Independent Evaluator. The minimum bid fee will be $500,000. This bid fee includes one pricing offer. Each additional pricing offer will require an additional non – refundable fee of $25,000. The fee for an additional pricing offer only applies for variations in pricing for the same project. For all other cases an additional bid fee of $50,000 is required. For clarity, if there are changes to any physical aspect of a project, including but not limited to project size, technology type(s), Energy Storage System, production/delivery profile, in-service date, or delivery location then a non-refundable bid fee of $50,000 is required. Bid fees must be wired to the Distribution Companies and in the allocation percentages applicable pursuant to the instructions contained in Appendix G to this RFP. The bid fee must be wired no later than the Confidential Proposal Submission Deadline, as defined in Section 1.7.1. No applications will be reviewed without a bid fee. Before bidders submit their proposals and bid fees, they are strongly encouraged to verify that the bid submittal meets all of the requirements of this RFP. Submission of a bid fee does not obligate the Distribution Companies to select any project. If the total amount of the bid fees collected is not adequate to cover the cost of the evaluation, the Distribution Companies may either seek recovery of that shortfall through retail rates or terminate the evaluation and selection process under this RFP. If this RFP is terminated, uncommitted bid fees will be returned. In no other event will any portion of the bid fees be refunded, without regard to whether a bid is selected, or the stage of the evaluation at which a bid may be no longer considered. 2 Bid Evaluation and Selection Criteria and Process 2.1 Introduction/Overview of the Process The review of proposals will occur in three stages. In Stage One, proposals will be reviewed to ensure that they meet eligibility and threshold requirements. In Stage Two, proposals will be evaluated based on specified quantitative and qualitative criteria. In Stage Three, the Evaluation Team will conduct further evaluation of remaining proposals based on the Stage Two quantitative and qualitative evaluation criteria and, at their discretion, additional factors, to ensure selection of viable projects that provide cost-effective, reliable Offshore Wind Energy Generation with limited risk. The Evaluation Team reserves the right, at any stage, to disqualify and eliminate from further consideration any proposal that the Evaluation Team reasonably believes does not meet the requirements set forth below. During any stage of the process, if the Evaluation Team determines that any proposal is deficient and missing applicable information, the Evaluation Team may, at its discretion, notify the respective bidder, and provide that bidder a reasonable opportunity to cure the deficiency and/or supply the missing information.$^{13}$ However, it is the bidder’s responsibility to ensure that all proposals are accurate and complete upon submission. Communication between the Evaluation Team and the bidder will be governed by Section 1.6 of this RFP. 2.2 Stage One 2.2.1 Eligibility, Threshold, and Other Minimum Requirements Proposals that fail to meet one or more of the following eligibility requirements may lead to disqualification of the proposal from further review and evaluation. $^{13}$ Any opportunity to cure a deficiency and/or supply missing information offered by the Evaluation Team will be subject to a limited response period consistent with the stage of the evaluation process and overall schedule identified in Section 3.1 of this RFP. The Evaluation Team will identify applicable response deadlines in its communications to bidders. 18.104.22.168 Eligible Bidder An eligible bidder is the developer of Offshore Wind Energy Generation or is in possession of the development rights to Offshore Wind Energy Generation. 22.214.171.124 Eligible Proposal Size The Distribution Companies are seeking to procure at least 400 MW and up to 1600 MW of Offshore Wind Energy Generation. This solicitation allows bidders to offer proposals from 200 MW up to 1600 MW.$^{14}$ There is no preferred bid size.$^{15}$ Eligible bidders submitting multiple alternative proposals must specify whether any of their proposals are negatively contingent upon any of their other proposals (i.e., eligible bidders must specify whether acceptance of a certain proposal or proposals will preclude the Distribution Companies from accepting some other proposal(s) submitted by the same eligible bidder). [If a bidder proposes to construct an eligible project in phases, there will be limits to the number of phases allowed. In general, a project of 1600 MW being constructed in a single lease area may not consist of more than 4 phases, a project of 800 MW being constructed in a single lease area may not consist of more than two phases, and a project of 400 MW or less being constructed in a single lease area may not consist of more than one phase. Descriptions of additional phasing permutations are discussed in Appendix K]. Associated dates for commercial operation of each phase must be offered. As noted in Section 126.96.36.199 below, in recognition of the 15 to 20 year contract term, the Evaluation Team may issue multiple Long Term Contracts for the selected projects developed in multiple phases. Bidders should state their proposals for the timing of phases and proposed associated contracts. 188.8.131.52 Eligible Bids An eligible bidder proposing to sell Offshore Wind Energy Generation and/or associated RECs pursuant to a Long-Term Contract must propose a $^{14}$ The nominal maximum size of a proposal is 1600 MW; provided that a bidder’s proposal may exceed 1600 MW by an amount that is not more than one-half of the nameplate capacity of the expected wind turbine size proposed by the bidder. $^{15}$ Projects that bidders propose should be optimally sized to efficiently use available lease areas, maximize cost-effective use of the interconnection point(s), and minimize the footprint of transmission cabling and other infrastructure. price schedule for energy deliveries that conforms to this Section 184.108.40.206 and to Section 220.127.116.11 of this RFP. All proposals must provide for a scheduled commercial operation date before January 1, 2030. All proposals must include a commitment to interconnect to the ISO-NE Pool Transmission Facilities ("PTF") at a level equivalent to the Capacity Capability Interconnection Standard, as defined by ISO-NE, and supporting information must accompany the proposal as described below. The bidder must provide delivery profile schedules of Offshore Wind Energy Generation with each proposal. Bidders are encouraged to provide a delivery schedule that is as accurate as possible based on historical weather data and consistent with the expected upgrades. In accordance with Section 83C, proposals must be cost effective for ratepayers over the duration of the Long-Term Contract and allow for the mitigation of environmental impacts. Two or more Eligible Bidders, together, may submit a joint conforming proposal consisting of two or more Offshore Wind Energy Generation projects, provided such bidders propose a sharing, to some extent, of common delivery and/or interconnection facilities. The Distribution Companies may enter into separate Long Term Contracts with each Eligible Bidder for the purchase of the Energy and RECs produced from its Eligible Facility, provided sufficient metering facilities and processes are included to accurately measure the output of each Eligible Facility, and provided that any agreements required between the Eligible Bidders (e.g., as to their individual and/or shared obligations and responsibilities associated with the construction and operation of their common facilities) shall not involve the Distribution Companies, nor affect the obligations and responsibilities each Seller will have under its separate Long Term Contract with the Distribution Companies. With respect to such a joint proposal, the Distribution Companies shall not be responsible for any cost, timing, performance, or other risks associated with such common delivery and/or interconnection facilities,\textsuperscript{16} and the Long Term Contracts executed by the Eligible Bidders shall be fully subject to the requirements of this RFP. [No dispute, or change in the relationship, between the Eligible Bidders shall modify the Eligible Bidders’ contractual obligations toward the Distribution Companies.] \textsuperscript{16} Note that, under the RFP, the Distribution Companies do not bear risks related to delivery or interconnection facilities, whether bids are proposed by single or joint bidders. Proposals may pair Offshore Wind Energy Generation with Energy Storage Systems. If a bidder proposes Energy Storage System pairing as an option to a bid without the Energy Storage System, this will be considered two separate bids by the Evaluation Team. To be paired with the proposed Offshore Wind Energy Generation facility, the operation of the Energy Storage System must be associated with the Offshore Wind Energy Generation and defined in the bidder’s marked Form PPAs. The bidder proposing Offshore Wind Energy Generation paired with Energy Storage Systems must fill out the CPPD form such that the generation profile is provided both with and without the Energy Storage System consistent with the proposed operational requirements and commitments. Bidders should propose Energy Storage operations that demonstrate the most value for Massachusetts ratepayers (e.g. by following the Commonwealth’s anticipated load shape or delivering on peak). The seller for Offshore Wind Energy Generation who fails to deliver energy and/or RECs as agreed in its contract with the Distribution Company may be responsible for liquidated damages for the energy and/or associated RECs not provided. The Form PPAs included in Appendix B-1 and B-2 contain the terms and conditions for the sale of Offshore Wind Energy Generation and RECs.\footnote{The National Grid form includes the potential for additional such liquidated damages in the event of significant underperformance, i.e., over a long period and with appropriate recognition of the intermittency/weather dependency of Offshore Wind Generation, in the delivery of energy and/or RECs as compared with the seller’s proposed delivery profiles used in the evaluation and selection of its project.} An Eligible Bidder’s proposal to sell Offshore Wind Energy Generation and/or associated RECs pursuant to a Long-Term Contract must include the construction and operation of delivery facilities and all associated facilities required for delivery from the Offshore Wind Energy generation facilities directly to the corresponding onshore ISO-NE PTF system facilities.\footnote{Bidders should describe the extent to which their proposed interconnection design and location use the available interconnection point(s) and proposed transmission infrastructure efficiently.} A proposal in which there will be a single point of interconnection and delivery will be considered a single bid. Similarly, a bid in which there will be two points of interconnection and delivery, with a specified allocation of energy delivered to each point of interconnection, will also be considered a single bid for evaluation purposes. If a bid has an alternate point(s) of interconnection and delivery, the alternate interconnection/delivery proposal will be considered a separate bid for evaluation purposes, which will require an additional bid fee pursuant to Section 1.10. Proposals must provide for payment from the Distribution Companies to the bidder through an all-in price schedule for Offshore Wind Energy Generation and/or associated RECs that includes the cost of such delivery facilities via power purchase agreement and is compliant with Section 18.104.22.168 of this RFP. Each bid submitted must also include a commitment to enter into a Voluntary Agreement, (see the Commitment Agreement as provided as Appendix G to this RFP). This Commitment Agreement includes a commitment that, in the event future Third-Party Offshore Wind Developers request interconnection service on the bidder’s Interconnection Customer Interconnection Facilities (ICIF), bidder will negotiate in good faith and use commercially reasonable best efforts to enter into a Voluntary Agreement with such Third-Party Offshore Wind Developers regarding interconnection to and expansion of such ICIF to accommodate the Third-Party Offshore Wind Developer’s request. Such a Voluntary Agreement must incorporate study, interconnection, delivery service, and other provisions at least as favorable to said Third-Party Offshore Wind Developers as the provisions of ISO-NE OATT Schedules 22 and 23 applicable to requesters of service thereunder.$^{19}$ ### 22.214.171.124 Pricing Requirements; Allowable Forms of Pricing i. Pricing for Offshore Wind Energy Generation and/or associated RECs must conform to the following pricing requirements: a. The nominal levelized price of any proposal must be less than $77.76 per MWh.$^{20}$ Pricing must be designed to recover --- $^{19}$ As utilized in this RFP, “Voluntary Agreement” means a voluntary agreement as contemplated in FERC Order No. 807, 150 FERC ¶ 61,211 (2015), at PP 117-18 providing interconnection and/or delivery service to a Third Party Offshore Wind Developer without the need for a FERC order under Sections 210, 211, and 212 of the Federal Power Act (“FPA”). For the avoidance of uncertainty, note that the RFP does not require a bidder to waive any other rights under Order No. 807, including with respect to excess or unused capacity on its ICIF as initially constructed, such as those reserved by FERC regulations at 18 CFR §§ 35.28(d)(2)(ii)(A)-(B). Rather, the RFP requires only that a bidder pursue a voluntary agreement as discussed in FERC Order No. 807 at PP 117-118 if a third party requests studies and potential expansion of the bidder’s ICIF to accommodate third party interconnection without the need for said third party to pursue its rights in the first instance via FPA Sections 210, 211, and 212. Such commitment to enter into a Voluntary Agreement (see the Commitment Agreement included as Appendix G hereto) ultimately executed by the winning bidder in favor of the Distribution Companies, as well as any future Voluntary Agreements, shall be filed with FERC for acceptance pursuant to FPA Section 205. $^{20}$ The $77.76/MWh nominal levelized price is equivalent to the $58.47/MWh 2019 real dollars levelized price from the contracts executed by the Distribution Companies with Mayflower Wind Energy, LLC in the 2019 83C procurement. Section 83C(b) states “the department of public utilities shall not approve a long-term contract that results from a subsequent solicitation and procurement period if the levelized price per megawatt hour, plus associated transmission costs, is greater than or equal to the levelized price per megawatt hour plus transmission costs that resulted from the previous procurement.” A levelized nominal price is calculated in the following manner. The numerator ($) is the product of annual energy bid prices plus annual REC bid prices ($/MWh) multiplied by the annual energy generation (MWh) expected from the project. The denominator (MWh) is the annual energy generation (MWh) expected from the project. The net present value of the numerator and the denominator is discounted over 20-years using the Distribution Companies’ load weighted average cost of capital (WACC) of 7.15% as was utilized in the 2019 83C procurement. The resulting quotient yields the $/MWh metric. The Distribution Companies and Mayflower all costs associated with the proposal, including but not limited to the cost of offshore wind generation, cost of Offshore Delivery Facilities, cost of network upgrades, and, if applicable, energy storage.\footnote{The CPPD Form contains the calculation comparing the Proposal price with the nominal levelized price of the contract produced from the previous procurement. The Evaluation Team will utilize this calculation to determine Proposal eligibility and will not rely on any independent bidder calculations for nominal levelized price per MWH.} \textbf{National Grid Proposal (in lieu of a. above, and only if approved by the DPU would apply to proposals to all three Distribution Companies):} i. The nominal levelized price of any proposal must be less than $77.76 per MWh,\footnote{The methodology and discount rate used to calculate this value is the same as described in footnote 20. Pricing must be designed to recover all costs associated with the proposal, including but not limited to the cost of offshore wind generation, cost of Offshore Delivery Facilities, cost of network upgrades, and, if applicable, energy storage.} subject to the following: ii. In the event that the project receiving PPAs under 83C Round 2 (Mayflower Wind) goes into service and qualifies for the 30\% ITC, resulting in a reduction in price under the Mayflower Wind PPAs from $77.76 per MWh to $70.26 per MWh, then the nominal levelized price of any proposal must be less than $70.26 per MWh. To effectuate compliance with these limitations, any proposal submitted with a nominal levelized price less than $77.76 per MWh (in accordance with the pricing requirement in i. above) but greater than or equal to $70.26 per MWh (i.e. the levelized price/MWh resulting from the previous procurement in the event the project from that procurement qualifies for the 30\% ITC) must also include an additional nominal levelized price (with pricing designed and calculated as described in i. above) that is less than $70.26 per MWh, and commit to that additional price as the Price per MWh for the Products in the event the project from the prior procurement does achieve the 30\% ITC upon its COD. Other than the price differences due to differences in ITC, proposals under i. and ii. must be identical in every respect. No additional bid fee is required for any proposal required to submit this additional price. Proposals with one price submitted pursuant to i. above which is both less than $77.76 and less than $70.26 are not required to submit an additional price, and will be committing to that one Price per MWh for the Products regardless of whether the project from the prior procurement achieves the 30% ITC. b. A proposal to sell Offshore Wind Energy Generation and/or associated RECs, or both, must propose a price on a fixed $/MWh and/or $/REC basis, as applicable. Prices may be the same each year or change by a defined rate or amount over time. If bidders are proposing the pairing of an Energy Storage System, any applicable costs must be included in the proposal to sell Wind Energy Generation and/or RECs and must be on a $/MWh and $/REC basis, as applicable. c. Payments must be calculated on a $/MWh and/or $/REC basis for actual production following delivery. No lump sum payments, pre-payments or fees shall be paid. d. If a bidder is proposing a multi-phased project under multiple contracts (one for each phase), the nominal levelized price per MWh must be the same across all phases. e. Proposals including Offshore Wind Energy Generation and RECs must provide separate prices for such Offshore Wind Energy Generation and RECs. Pricing for RECs as a percentage of the total proposed pricing of both Offshore Wind Energy Generation and RECs must be no less than [5]% for each contract year of a project proposal. f. Proposals for RECs only must be priced in $/REC, and only RECs produced by the designated facility that conform to the RPS Class 1 eligibility criteria will be purchased. Under the terms of the Long Term Contract, in the event that the Locational Marginal Pricing (“LMP”) for the Offshore Wind Energy Generation at delivery point is less than $0.00 per MWh in any hour, then the Buyer will purchase the Delivered Energy and/or RECs at the contract rate and Seller shall credit to Buyer, on the appropriate monthly invoice, an amount equal to the product of (i) such Offshore Wind Energy Generation Delivered in each such hour; and (ii) the absolute value of the hourly LMP at such Delivery Point. 126.96.36.199 Bidder Disclosure of Affiliations and Affiliate Relationships All bidders are required to disclose any and all affiliations and affiliate relationships, joint ventures or other project teams or associations, or wholly owned subsidiaries in such detail as to allow the Evaluation Team to be able adequately determine the bidder’s corporate structure as described in Appendix A to this RFP. Bidders are required to provide complete and accurate information. Any bidder failing to provide complete and adequate information will not be considered eligible under this solicitation. In addition, bidders are required to disclose and document any and all direct and indirect affiliations and affiliate relationships, contractual, financial or otherwise, between the bidder and any of the Distribution Companies and their affiliates, including any relationship in which any of the Distribution Companies or their affiliates has a financial or voting interest (direct or indirect) in the bidder or the bidder’s proposed project. These relationships would encompass, but are not be limited to: - Corporate or other joint arrangements, joint ventures, joint operations whether control exists or not; - Minority ownership (less than 50 percent (50%) investee); - Joint development agreements; - Project agreements; - Operating segments that are consolidated as part of the financial reporting process; - Related parties with common ownership; - Credit, debenture, and financing arrangements, whether a convertible equity feature is present or not; and - Wholly owned subsidiaries. 188.8.131.52 Contract Term The contract term for Long-Term Contracts is defined by Section 83C as a contract for a period of 15 to 20 years. Within these statutory parameters, bidders are encouraged to make their own determination as to the product delivery term that best fit their needs while meeting the requirements of this RFP. [If a bidder proposes to construct an eligible project in phases, there will be limits to the number of phases allowed. In general, a project of 1600 MW being constructed in a single lease area may not consist of more than 4 phases, a project of 800 MW being constructed in a single lease area may not consist of more than two phases, and a project of 400 MW or less being constructed in a single lease area may not consist of more than one phase. Descriptions of additional phasing permutations are discussed in Appendix K]. In recognition of the 15 to 20-year contract term specified in Section 83C and if projects are developed in multiple phases, the Distribution Companies will consider issuance of multiple contracts (but not to exceed four for a 1600 MW proposal). Bidders should state their proposed number and timing of contracts consistent with these requirements. 184.108.40.206 Capacity Requirements a. Each proposal must include a commitment to interconnect to the ISO-NE PTF at a Capacity Capability Interconnection Standard (“CCIS”) equivalent level. Each proposal must include a commitment to complete the Forward Capacity Auction Qualification (“FCAQ”) process set forth in Section III.13.1 of Market Rule 1 of ISO-NE’s Transmission Markets and Services Tariff, and to meet all FCAQ requirements in order to establish its ability to interconnect at this level. Each Bidder’s proposal must use the ISO-NE FCA Wind Qualification Template spreadsheet to approximate the qualified capacity associated with its proposed Offshore Wind Energy Generation project. The final amount of capacity to be requested and submitted by the bidder under the FCAQ will be determined in the ISO-NE FCA Wind Qualification Template spreadsheet, updated by the bidder with the required time series data for each of the most recent Capability Years for which there is supporting data at that time. b. Final determination of the network upgrades and other interconnection features required to support a bidder’s CCIS-equivalent interconnection will be determined by the ISO-NE under the FCAQ process. However, each proposal must include a realistic and specific plan to implement any transmission system upgrades or other work anticipated to be needed to achieve CCIS-equivalent interconnection, as identified under the FCAQ process. To the extent that ISO-NE studies have not yet been conducted to ascertain the network upgrades and other interconnection costs required to achieve such CCIS-equivalent interconnection at the time of bidding, a bidder may include a preliminary non-binding overlapping impact study conducted by ISO-NE to identify the potential upgrades and associated costs that would be required by ISO-NE’s CCIS interconnection determination, or may identify such costs through relevant studies and analyses performed by them or their consultants that approximate the ISO-NE interconnection process. These studies and their supporting documentation, assumptions, and data must match closely ISO-NE study requirements for CCIS-equivalent interconnection. The Evaluation Team expects bidders to provide studies that are consistent with ISO-NE’s approach and that approximate what the ISO-NE results would be. c. Notwithstanding a. and b. above, once a bidder has completed the FCAQ process to establish the upgrades necessary to interconnect to the PTF at the CCIS level, it need not continue on to actually obtain a Capacity Supply Obligation (“CSO”) or participate in any Forward Capacity Auction (“FCA”). Obtaining a CSO or participating in any FCA is at the discretion of the bidder. The Distribution Companies will not purchase capacity under the Long-Term Contracts, and bidders will retain any Forward Capacity Market (“FCM”) revenues received from ISO-NE. 220.127.116.11 Interconnection and Delivery Requirements The delivery of Offshore Wind Energy Generation from a generation unit must occur throughout the term of the contract. Substitution of non-Offshore Wind Energy Generation is not allowed for delivery or firming of delivery. It is the responsibility of the bidder to satisfy the delivery requirement. The delivery point must be located so that Distribution Companies are not responsible for wheeling charges to move energy to the PTF. The Distribution Companies will not be responsible for any costs associated with delivery other than the payment of the bid prices. Similarly, Distribution Companies will not be responsible for any scheduling associated with delivery. The bidder will be responsible for all costs associated with and/or arising from: (a) qualification in the FCAQ and interconnecting its project to the PTF at both the Network Capability Interconnection Standard (“NCIS”) and a CCIS-equivalent level and (b) for ensuring that the Offshore Wind Energy Generation is recognized in ISO-NE’s settlement system as injected in the ISO-NE energy market at the specified and agreed delivery point. Regardless of whether or not the bidder elects to obtain a CSO and participate in the FCA, the bidder must complete any upgrades that are identified in the FCAQ process to interconnect at a level equivalent to CCIS. Bidders must demonstrate that their proposed point of delivery into ISO-NE, along with their proposed interconnection and transmission upgrades, is sufficient to ensure full delivery of the proposal’s Offshore Wind Energy Generation profile as submitted in their bids. Proposals must include all interconnection and transmission upgrade costs required to ensure full delivery of the proposed Offshore Wind Energy Generation profile, including transmission upgrades that may need to occur beyond the point of interconnection. The delivery profile submitted by the bidder should reflect any remaining projected constraints or curtailments, if any, associated with the proposal (after inclusion of any network upgrades associated with application of the NCIS and CCIS-equivalent interconnection standard). If a bidder desires to reduce further any constraints or curtailments associated with its proposals, it must identify additional network upgrades (which would be instituted through an elective process with ISO-NE for which the bidder would have cost responsibility), estimated costs to achieve this result, and the delivery profile associated with the proposed level of network upgrades, all with supporting studies and information. Regardless of the approach followed, bidders must demonstrate that their Offshore Wind Energy Generation profile (delivery profile) is consistent with the network upgrades identified in their proposal and that their proposed interconnection and transmission upgrades are sufficient to support full delivery of their Offshore Wind Energy Generation profile. At no time will one or more Distribution Companies assume the responsibility of Lead Market Participant, as defined by ISO-NE. The generation unit shall comply with all ISO-NE and FERC interconnection requirements for generation facilities and interregional ties, as applicable. Any RECs associated with the Offshore Wind Energy Generation and purchased pursuant to the Long-Term Contract must be delivered into the Distribution Companies’ NEPOOL GIS accounts. To meet this requirement, bidders must submit a plan that clearly demonstrates how Offshore Wind Energy Generation will be delivered from or by the proposed eligible project to the delivery point that is a PTF Node as outlined in Section 6 of Appendix A to this RFP. The bidder must detail the status (and conclusions, as available) of interconnection applications and studies, as further described in Section 6 of Appendix A to this RFP. All bidders must have filed interconnection requests for Capacity Network Resource service with ISO-NE as necessary and sufficient to gain a full understanding of the maximum expected interconnection costs for their proposed Offshore Wind Generation capacity(ies). Projects that have received their I.3.9 approval from ISO-NE must identify that approval and include such documentation in their proposal. Proposals for projects that do not have I.3.9 approval from ISO-NE must include an ISO-NE Feasibility Study or a study performed by a third party in accordance with the Network Capability Interconnection Standard as defined by ISO-NE Planning Procedure 5-6. All technical reports or system impact studies should approximate the ISO-NE interconnection process, including but not limited to clear documentation of study technical and cost assumptions, reasoning, and justification of such assumptions. Projects with a Qualification Determination Notification (“QDN”) from ISO-NE for their proposed capacity amount and commitment period as described in Section 18.104.22.168 of this RFP must include all QDN documentation in their proposal. All projects that do not have a QDN for their proposed capacity amount and commitment period must provide a study performed by ISO-NE or a third party in accordance with ISO-NE Planning Procedure 10 in order to prove ability to interconnect at the Capacity Capability Interconnection Standard. All technical reports or studies must reflect the current ISO-NE interconnection process and must also detail any assumptions with respect to projects that are ahead of the proposed project in the ISO-NE interconnection queue and any assumptions as to changes to the transmission system that differ from the current ISO-NE Regional System Plan. Proposals are strongly encouraged to include a scenario analysis in their studies that shows how changes in the project interconnection queue could impact their interconnection costs using the current ISO interconnection rules. Proposals are encouraged to include additional reports, analysis, and studies that support their interconnection and deliverability. The burden is on bidders to provide the Evaluation Team with information, analysis, and studies required by the Evaluation Team in order to make a determination that the proposal includes all costs associated with completing the upgrades that would be required by ISO-NE’s NCIS and CCIS. Bidders must provide adequate information and analyses regarding the upgrades and must explain how the identified upgrades will satisfy this interconnection standard. 22.214.171.124.1 Deliverability Study In addition to the studies and analyses provided pursuant to Section 126.96.36.199., above, bidders must also provide the additional deliverability study described in Appendix I. Unlike the studies and analyses required by Section 188.8.131.52, the Appendix I study required under this Section 184.108.40.206.1 is required for informational purposes, and bidders are not required to identify network upgrades or change other aspects of their bids to address any issues disclosed by this study, which is intended to identify constraints or potential constraints to help inform the Evaluation Team’s quantitative modeling, including its understanding of general transmission issues. 220.127.116.11 Proposal Completeness: Bidder Response Forms and the Form PPAs Bidders must follow the instructions provided in Appendix A to this RFP and provide complete responses. Bidders are also required to fill out Appendix C to this RFP. Bidders are required to provide the information specified in each section of the CPPD. If any of the information requested is inconsistent with the type of technology or product proposed, the bidder should include “N/A” and describe the basis for this determination. Appendices B-1 and B-2 to this RFP are the Form PPAs for this solicitation. Bidders must submit with the proposal marked versions of the Form PPAs showing the specific proposed changes to the Form PPAs. The marked Form PPAs should reflect any proposed phases of the project and/or need for multiple contracts (if a Bidder proposes two contracts for two phases, the markup should include both contracts). Bidders must submit any proposed changes to the Commitment Agreement or affirm its willingness to accept the draft agreement as is. Bidders are discouraged from proposing any material changes or conditions to the Form PPAs and the Commitment Agreement, and the Distribution Companies have no obligation to accept any specific proposed changes or conditions. 18.104.22.168.1 Bid Fees Each applicant must submit the bid fee by the Confidential Proposal Submission Deadline for each proposed eligible project as described in Section 1.7.1 of this RFP. 2.2.2 Threshold Requirements Proposals that meet all the eligibility requirements will be evaluated to determine compliance with threshold requirements, which attempt to screen out proposals that are insufficiently mature from a project development perspective; lack technical viability; impose unacceptable balance sheet impacts on the Distribution Companies; do not satisfy the minimum requirements set forth in Section 83C; are not in compliance with RFP requirements; or fail to satisfy minimum standards for bidder experience and ability to finance the proposed project. The threshold requirements for this RFP are set forth below. 22.214.171.124 Site Control and Related Agreements The bidder must demonstrate that it has a federal lease issued on a competitive basis after January 1, 2012 for an Offshore Wind Energy Generation site that is located on the Outer Continental Shelf and for which no turbine is located within 10 miles of any inhabited area. Further, the bidder must demonstrate that it has a valid lease, or option to lease, for marine terminal facilities necessary for staging and deployment of major project components to the project site. The bidder must also detail the proposed interconnection site and both the off-shore and the on-shore route and describe what rights the bidder has to both, and provide a detailed plan and timeline for the acquisition of any additional necessary rights. The bidder may identify alternative offshore and onshore routes to the proposed delivery point(s), describing the factors relevant to which will be ultimately selected. For each route the bidder must: (i) specifically describe the portions of the route for which the bidder has acquired sufficient rights to locate its Offshore Delivery Facilities proposed under section 126.96.36.199, above, and onshore transmission and interconnection facilities, and (ii) provide a reasonable and achievable detailed plan (with a timeline) to acquire sufficient rights to the remainder of the necessary Offshore Delivery Facilities and onshore transmission and interconnection locations. The required information and documentation shall include the following: i. Plans, including a map of the Offshore Wind Energy Generation site, a map showing the location of the marine terminal facility, the proposed water routes to the project site, a map of the proposed interconnection that includes the path from the Offshore Wind Energy Generation site to the onshore interconnection location, and all on-shore transmission and interconnection locations and details and associated Offshore Delivery Facilities. Maps should be of scales required to identify significant marine or terrestrial features, e.g. shellfish management areas, parks, highways, etc. ii. A description and listing of all government-issued permits, approvals, and authorizations that have been obtained or need to be obtained for the use and operation of the Offshore Wind Energy Generation site, the proposed onshore interconnection and transmission locations, and associated Offshore Delivery Facilities and the location(s) of such facilities. Provide copies of any permits, approvals, and authorizations obtained, and a detailed plan and timeline to secure the remaining permits, approvals, and authorizations for all off-shore and on-shore routes; iii. A copy of each of the leases, agreements, easements, and related documents granting the right to use the Offshore Wind Energy Generation site, the marine terminal for deployment of major project components, and, if available, the transmission and interconnection locations (and applicable letters of intent if formal agreements have not been executed); and; iv. A copy of each of the related leases, agreements, easements, and related documents that have been obtained for the route of the Offshore Delivery Facilities proposed under section 188.8.131.52. above (and applicable letters of intent if formal agreements have not been executed); and, \footnote{Thus, site control information as described in this section must be provided for all Offshore Delivery Facilities associated with the bid.} v. Provide a description of the area surrounding any land-based project area, including the marine terminal for deployment of major project components and all transmission and interconnection facility locations, and a copy of each of the related leases, agreements, easements, and related documents that have been obtained (and applicable letters of intent if formal agreements have not been executed). 184.108.40.206 Technical and Logistical Viability, Ability to Finance the Proposed Project The bidder must demonstrate that the technology it proposes to use is technically viable. Technical viability may be demonstrated by showing that the technology is commercially available, is reasonably expected to be commercially available prior to the commencement of project construction, or has been used successfully as outlined in Section 8 of Appendix A to this RFP. The bidder must demonstrate the logistical viability of the project through a construction plan covering the necessary specialized equipment (e.g. vessels), applicable maritime law (e.g. the Jones Act), and local port facilities to complete project deployment. The bidder must also demonstrate the financial viability of the proposed eligible project, including the funding of development costs and the required development period security, the reasonableness of the transmission/network upgrades project scope and cost estimates, and the ability to acquire the required equipment in the time frame proposed (see Section 5 of Appendix A to this RFP). 220.127.116.11 Experience The bidder must demonstrate that it has sufficient relevant experience and expertise, as applicable, to successfully develop, finance, construct, and operate and maintain its proposed eligible project. Development, financing, and construction experience can be established by demonstrating that key member(s) of the bidder’s development team have undertaken project management responsibilities, including: 1. Successful development and construction of a similar type of project; or 2. Successful development and construction of one or more projects of similar size or complexity or requiring similar skill sets; or 3. Experience successfully financing power generation or transmission projects (or demonstrating the financial means to finance the eligible project on the bidder’s, eligible project developer’s or eligible project owner’s balance sheet). Operations and maintenance experience should be addressed as outlined in Section 9 of Appendix A to this RFP. 18.104.22.168 Providing Enhanced Electricity Reliability within the Commonwealth Section 83C requires that the proposed project must demonstrate that it will “provide enhanced electricity reliability.” This requirement can be satisfied by the bidder’s agreement not to commit any qualifying capacity to any control area other than ISO-NE, even if capacity is not included in its bid, as described above. Bidders may provide other demonstrations that will be considered in determining whether this threshold requirement is satisfied. 22.214.171.124 Contribution to Reducing Winter Electricity Price Spikes The project must demonstrate that the proposed project will contribute to a reduction in winter electricity price spikes. 126.96.36.199 Avoid Line Loss and Mitigating Transmission Costs to the Extent Possible and Ensuring that Transmission Cost Overruns, if any, are not Borne by Ratepayers The proposed project must demonstrate its approach to avoiding line loss. Section 83C requires that any transmission cost overruns are not to be borne by ratepayers which can be satisfied by submitting a compliant bid to this RFP. 188.8.131.52.1 Abandonment Costs Under no circumstances will the Distribution Companies be responsible for any abandoned plant cost liability. 184.108.40.206 Adequately Demonstrate Project Viability in a Commercially Reasonable Timeframe A bidder must demonstrate that its proposal can be developed, financed, and constructed within a commercially reasonable timeframe. The proposal must include a schedule with reasonable detail that demonstrates that the bidder has provided sufficient time for the application for, and receipt of, necessary permits, approvals, other commitments, project financing, completion of design work, and equipment procurement and construction in order to complete the project reasonably consistent with the proposed Commercial Operation Date. The bidder should include critical milestones in its markup to the Form PPAs that are consistent with its proposal and are reasonably achievable. 220.127.116.11 Contribution to Employment; Economic Development Benefits Section 83C requires that, where feasible, a proposed project demonstrate that it creates additional employment and economic development in the Commonwealth. This requirement can be satisfied, for example, by a showing of: 1. Employment benefits associated with the proposed project; or, 2. Other economic development benefits associated with the proposed project. The Evaluation Team will consider a broad range of other economic development benefits that could be achieved by a proposed project. The proposal shall include a timeline of the short-term and long-term economic development benefits. The bidder must provide factual support for its employment and economic development projections, and reflect any associated commitments in agreements with applicable governmental and non-governmental entities. Bidders committing to economic development benefits with specific commitments (e.g. specific grants or specific commitments to industries) that are included in the proposal but not reflected in agreements at the time of bidding will be required to negotiate and execute a contractual commitment (e.g. Memorandum of Understanding) with the applicable governmental entity or entities to ensure that the economic benefits are actually obtained. This contractual commitment will be required before the related Long Term Contract resulting from this solicitation are executed by the Distribution Companies. 18.104.22.168 Utilizing an Appropriate Tracking System to Account and Enable for GWSA Goals The proposed project must demonstrate that it will utilize an appropriate tracking system to ensure a unit specific accounting of the delivery of Offshore Wind Energy Generation, to enable the Department of Environmental Protection, in consultation with the DOER, to accurately measure progress in achieving the Commonwealth’s goals under Chapter 298 of the Acts of 2008 or Chapter 21N of the General Laws. 22.214.171.124 Environmental and Related Impacts Section 83C requires that, where possible, a proposed project must demonstrate that it mitigates any environmental impacts. The proposed project must demonstrate through a fisheries mitigation plan its proposed approach to avoid, minimize and mitigate impacts on the commercial fishing industry. 126.96.36.199 Security Requirements Proposals that are selected will be required to post security. The required level of security for each Long-Term Contract is $40,000 multiplied by the Contract Maximum Amount (as defined in the Draft Contract, Appendix B-1 and B-2 to this RFP) in MW for the generation unit. Fifty percent (50%) of the security must be provided at the time of contract execution. The remaining 50 percent (50%) of the security must be provided upon regulatory approval of the Long-Term Contract. Security will be promptly returned if the applicable regulatory agency does not approve the Long-Term Contract. If a project is being developed in phases and under separate contracts, additional security equal to $37,500/MW per Long Term Contract shall be required to secure the completion of both phases to be provided at commercial operation of the first phase of the project. The Distribution Companies will not provide any financial security or parent guaranty under any circumstances. The required security must be in the form of a letter of credit from a U.S. commercial bank or the U.S. branch of a foreign bank, in either case having (x) assets on its most recent balance sheet of at least $10 billion and (y) a credit rating of at least A2/A. More detail on the security requirements is included in the Form PPAs. 188.8.131.52 Unreasonable Balance Sheet Impacts A Distribution Company may decline to pursue a proposal if the proposal’s terms and conditions would result in a contract obligation that places an unreasonable burden on the Distribution Company’s balance sheet. However, Distribution Companies are required to take all reasonable actions to structure their contract pricing or administration for the products purchased to mitigate impacts on the balance sheet or income statement of the Distribution Company or its parent company, subject to approval of the DPU. Mitigation of these measures must not increase costs to ratepayers. Each Distribution Company retains the right to make such a determination based upon the evaluation of particular proposals. 184.108.40.206 Facilitate Financing of Offshore Wind Energy Generation Proposals that seek to qualify for consideration under Section 83C must demonstrate that the proposal advances the goal of Section 83C for the selection of cost-effective Long-Term Contracts that facilitate the financing of Offshore Wind Energy Generation resources. The bidder should specify how Long-Term Contracts resulting from this RFP process would either permit it to finance its project that would otherwise not be financeable or assist it in obtaining financing of its project. 220.127.116.11 Diversity and Inclusion Plan The Department of Energy Resources and the Commonwealth of Massachusetts are strongly committed to ensuring that the investments in renewable energy generation provide opportunities for wealth-creation and workforce participation for businesses and individuals from underserved, environmental justice communities who bear a disproportionate share of the negative impacts of Green House Gas Emissions. Therefore, Proposals must include a narrative setting forth a plan (hereinafter, a “Diversity and Inclusion Plan”) for establishing and overseeing a minority outreach program aimed at creating increased opportunities for people of color, women, and Commonwealth of Massachusetts-certified Minority and Women-Owned Business Enterprises (“M/WBEs”) to participate in the development of the Project. The Diversity and Inclusion Plan should reflect the extent to which the bidders plan to include significant economic participation and management roles by people of color, women, and M/WBEs in as many aspects of the project as possible, including but not limited to: • pre-development (ex. development entity, ownership, equity and debt investment, design, engineering, legal, other consultants); • construction (ex. general contractor, sub-contractor, trades, workers performing construction); and • ongoing operations (ex. transportation services, facilities management, contracted services). Within the Diversity and Inclusion Plan, Bidders shall specify the M/WBE-owned firms participating in the development, the nature of their participation in the particular phase(s) of the development, and the extent to which such M/WBE involvement is committed as of the date of proposal submission. The strategy set forth in the Diversity and Inclusion Plan shall also set forth a plan for M/WBE outreach as the development progresses. A Minority Business Enterprise or “MBE” is a firm that is owned, operated, and controlled by one or more individuals who are African American, Hispanic American, Native American, or Asian American who have at least 51% ownership of the firm. A Woman Business Enterprise or “WBE” is a firm that is owned, operated, and controlled by one or more women who have at least 51% ownership of the firm. Proposals will be considered and rated based on the comprehensiveness of the Bidders’ Diversity and Inclusion Plan for creating increased opportunities for people of color, women and M/WBEs to participate in the development of the Project, including specific strategies to achieve maximum participation by people of color, women, and M/WBEs in pre-development, construction, and operations. The Diversity and Inclusion Plan should discuss why it is realistic, and executable. Proposals that include specific partnerships, specific training, apprentice or internship programs, community outreach plans in environmental justice communities and strategies for promoting M/WBE participation during each aspect of the project will be considered a minimum threshold requirement. 2.3 Stage Two—Quantitative and Qualitative Analysis Proposals that meet the requirements of Stage One will be subject to a quantitative and qualitative analysis in Stage Two, evaluating the costs and benefits of each proposal as a mechanism to procure reliable renewable energy on a long-term basis to the benefit of ratepayers. The results of the quantitative and qualitative analysis will be a relative ranking and scoring of all proposals. Stage Two scoring will be based on a 100-point scale. Proposals will be scored with up to 60.75 points for quantitative factors and up to 40.25 points for qualitative factors for purposes of conducting the Stage Two evaluation. 2.3.1 Evaluation Using Quantitative Evaluation Criteria Proposals will be evaluated on their direct and indirect economic and environmental costs and benefits to ratepayers as detailed in the following sections. 18.104.22.168 Direct Contract Costs & Benefits Proposals will be evaluated on both direct contract price costs and benefits and other costs and benefits as outlined below to retail consumers. Direct contract price costs and benefits for evaluation may include, but may not be limited to: i. Offshore Wind Energy Generation will be evaluated on a mark-to-market comparison of the price of any eligible Offshore Wind Energy Generation under a contract to projected market prices at the delivery point with the project in-service; ii. Offshore Wind Energy Generation resources will be evaluated using a comparison of the price of any RPS Class I eligible RECs under a contract to the avoided cost, with the project not in-service, the RECs are to be used for RPS and Clean Energy Standard compliance by the Distribution Companies or Massachusetts retail electric suppliers, and their projected market prices with the project in-service if the RECs are projected to be sold; iii. Offshore Wind Energy generation resources will be evaluated on the value of their ability to produce and supply CPECs to meet customer needs if such value is reliably quantifiable and meaningful. iv. The direct benefits of any applicable Energy Storage System will be evaluated in accordance with (i), (ii) and (iii) above. 22.214.171.124 Other Costs & Benefits to Retail Consumers The quantitative evaluation process will include an evaluation of additional economic and environmental costs and benefits of the proposals to ratepayers in the Commonwealth, which may include, but may not be limited to: i. The impacts of changes in LMP paid by ratepayers in the Commonwealth, taking into consideration contracts already executed by the Distribution Companies; ii. The impact on RPS and/or Clean Energy Standard compliance costs paid by ratepayers in the Commonwealth; iii. Additional impacts, if any, from the proposal on the Commonwealth’s GHG emission rates and overall ability to meet GWSA requirements will be evaluated using an economic proxy value for their contribution to GWSA requirements, as determined by the Evaluation Team; iv. Indirect impacts, if any and to the extent the Evaluation Team determines such impacts are reliably quantifiable, for retail ratepayers on the capacity or ancillary services market prices with the proposed project in service v. The impact on contributing to reducing winter electricity price spikes; vi. Indirect impacts for retail ratepayers on CPEC market prices, if any, to the extent the Evaluation Team determines such impacts are reliably quantifiable and meaningful, with the proposed project in service The reference case system topology will be based on the most recent ISO New England Capacity, Energy, Load and Transmission (“CELT”) report. The evaluation process will include an evaluation of benefits using the outputs from an electric market simulation model or models. 126.96.36.199 Quantitative Evaluation Metrics The quantitative evaluation will use as the quantitative evaluation metric real levelized dollars per megawatt-hour ($/MWh) or other metric to be determined by the Evaluation Team prior to evaluation of the bids. For purposes of computing the net present value, a discount factor of 6.82% will be used, which is the weighted average value of the Distribution Companies cost of capital. For purposes of comparing bids of different sizes, the Evaluation Team may determine an estimate of avoided costs of Offshore Wind Energy Generation that might be procured in the future (under the 2018 Act and 83C) for proposals that are less than 1600 MW in size. The Offshore Wind Energy Generation production profile provided by the bidder will be evaluated for reasonableness. The Evaluation Team and the Evaluation Team Consultant will also evaluate the reasonableness of cost estimates associated with transmission system upgrades. The bidder is responsible for providing support for the basis for all estimates and underlying assumptions. The Evaluation Team reserves the right to adjust any bidder production profile or estimated cost (i.e., use a different profile or additional transmission system upgrade costs that may be required to ensure full delivery of energy, and RECs to the Distribution Companies) or any other estimate in order to produce a reasonable and appropriate evaluation. Proposals that fail to provide sufficient supporting documentation or information necessary to produce a reasonable and appropriate evaluation may be eliminated from further evaluation. 2.3.2 Qualitative Evaluation The qualitative evaluation will consist of the factors mandated by Section 83C as well as factors deemed important by the Evaluation Team as detailed below. i. Economic Benefits to the Commonwealth - Demonstrated ability and commitment to create and foster short- and long-term employment and economic development in the Commonwealth, where feasible, which may include but is not limited to: - Direct, specific and measurable employment benefits associated with the proposed project, including descriptions of the type, duration, and salary bands of employment created. Bidders should be prepared to provide their proposed strategy to enable access to employment and opportunities for historically marginalized communities (including but not limited to Black, Indigenous and people of color, LGBTQ communities, veterans, immigrants, women and gender minorities), including their strategy to ensure vendors utilized are committed to enabling the same. - Specific commitments to economic activity (project expenditures), including but not limited to: - Investment in supply chain improvements to support the offshore wind industry. - Investment in workforce development to support the offshore wind industry, which may include partnerships with vocational and technical schools, community colleges, labor groups, and community-based organizations to create paid training, internship, apprenticeship programs. These investments could include public-facing educational outreach programs to engage youth, high schools, and residents about offshore wind, clean energy, and climate topics. - Utilization and investment in port facilities and infrastructure during project development, construction, and operation and maintenance of the project. - Investment in offshore wind-related research and innovation initiatives or partnerships. - Support for ongoing science and data collection to improve environmental, wildlife, and fisheries performance of offshore wind, including commitments to data sharing. - Economic development activities and investments that directly benefit economically distressed areas and/or low-income populations. - Proposals that provide opportunities for environmental justice and/or climate action organizations to participate as equity owners and that encourage small investments by community based organizations that generate recurring cash benefits and that offer residents of environmental justice communities with credits that reduce their energy burden. Commitments will be evaluated on scale relative to project size, credibility, and firmness. Commitments that secure long-term benefits are preferred. ii. Low Income Ratepayers in the Commonwealth - Demonstrated direct benefits to low-income ratepayers without iii. Siting, Permitting, Project Schedule, and Financing Plan - Credibility of plan to obtain required permit approvals, including the extent to which opposition to the project materially affects the ability of the project to obtain timely final approval. • Demonstrated progress in the interconnection process and credibility of the proposed interconnection schedule. • Credibility of project schedule and construction plan, including the schedule and construction plan for associated interconnection facilities and transmission system upgrades, and ability to achieve proposed commercial operation date(s). • Identification of required federal, regional, state, and local permits and progress in the associated application and approval processes. • Credibility and status of proposed financing plan. • Extent to which project scope, including interconnection facilities and associated upgrades, and costs are known or estimates are reasonable. • Status and completeness of project stakeholder engagement plan, including demonstrated evidence of past and current productive relationships with project stakeholders... iv. Energy Storage System Benefits • Extent to which the proposed project for Offshore Wind Energy Generation is to be paired with an Energy Storage System that demonstrates reliability and/or operational benefits consistent with the proposed operational requirements and commitments. v. Reliability Benefits • Extent to which the project provides enhanced electricity reliability within the Commonwealth including but not limited to providing benefits to the forward capacity market. vi. Benefits, Costs, and Contract Risk • Extent to which the bidder accepts provisions of the Form PPAs and the draft Commitment Agreement, or shifts risks or costs to buyers and their customers. • Any additional benefit, cost, or risk identified by Evaluation Team that is determined to be reasonably likely to occur but is not reasonably quantifiable vii. Environmental and Socioeconomic Impacts from Siting • Environmental Impacts: Extent to which a project demonstrates that it avoids, minimizes, or mitigates, to the maximum extent practicable, environmental impacts. Fishing Impacts: Extent to which the project avoids, minimizes, and mitigates impacts on commercial and recreational fishing industries. ☐ Environmental Justice Impacts: Extent to which a project demonstrates that it avoids, minimizes, or mitigates, to the maximum extent practicable, environmental justice impacts. Please see Appendix J for further details on the Environmental and Socioeconomic Impacts criteria to be considered in the Qualitative Evaluation. The quantitative evaluation may be conducted before the qualitative evaluation, and the Evaluation Team may elect not to conduct the qualitative evaluation for any proposal that could not be selected based upon the quantitative results even if it could receive the maximum possible qualitative score. The Evaluation Team will determine which proposals proceed to Stage Three following the Stage Two evaluation based on the following considerations: (1) the rank order of the proposals at the end of the Stage Two evaluation; (2) the cost effectiveness of the proposals based on the Stage Two quantitative and qualitative evaluation; and (3) the total MW quantities of the proposal(s), relative to the procurement target. 2.4 Stage Three As stated in Section 83C, the Distribution Companies must select Long-Term Contracts that are cost-effective mechanisms for procuring reliable renewable energy on a long-term basis for the benefit of ratepayers. The Stage Three evaluation of remaining bids will be based on the Stage Two quantitative and qualitative evaluation criteria and, at their discretion, the following additional factors: - Possible portfolio effects; - Overall impact of proposals on the Commonwealth’s policy goals, as directed by the DOER, including GWSA goals and economic development; - Risks associated with project viability of the proposals; - A comparison to a reasonable range of data and analyses on expected offshore wind prices, industry costs, and the anticipated cost impact of future technologies; - Ratepayer bill impacts; - Any benefits, cost, or risks to customers that may not have been fully captured in the Stage Two evaluation; and, - Any other considerations, as appropriate, to ensure selection of the proposal(s) which provide the greatest impact and value consistent with the stated objectives and requirements of Section 83C, as set forth in this RFP. The objective of Stage Three is to select the proposal(s) that provides the greatest impact and value consistent with the stated objectives and requirements of Section 83C, as set forth in this RFP. Generally, the Evaluation Team prefers viable, cost-effective projects with limited risk. However, the Evaluation Team recognizes that any particular project may not be ranked highly with respect to all of these considerations and the extent to which the stated RFP objectives will be satisfied will depend, in large part, on the particulars of the proposals that are submitted. The Evaluation Team will consider the relative merits of a proposal(s) that offers additional benefits, for example economic development benefits including additional manufacturing or innovation, as compared to other top-ranked proposals. Under Section 83C, if the Distribution Companies are unable to agree on the selection of proposals among themselves, then the DOER in consultation with the Independent Evaluator shall make the final binding determination of the winning bid(s). 2.5 Contracting/Tariff Process 2.5.1 Contracts Bidders will be notified whether they have been selected to negotiate a Long-Term Contract. If a proposal is selected by the Distribution Companies, then each Distribution Company will negotiate to contract for its load ratio share. Contract finalization between the selected bidders and the Distribution Companies may occur on a rolling basis throughout the 193-day period during which the proposals are valid. \| National Grid \| Eversource \| Unitil \| \|---------------\|------------\|--------\| \| 45.04% \| 53.96% \| 1.00% \| 2.5.2 FERC-Jurisdictional Tariffs Selected bidders must file any necessary Rate Schedules, Tariff, and Agreements with FERC pursuant to the Federal Power Act and FERC regulations. 2.6 Contract Negotiation Process Bidders must be able to begin negotiations immediately upon notification of selection, including the resolution of any conflicts that their selected counsel or other representatives may have with respect to any of the Distribution Companies. The Distribution Companies expect to coordinate their negotiation of Long-Term Contracts with individual bidders, although there will be differences in the contracts that are specific to the contracting requirements of each Distribution Company. The bidders will enter into separate Long-Term Contracts with each Distribution Company with which they contract. The total energy and/or RECs included in a successful bid will be allocated among the Distribution Companies based upon their total distribution loads in Massachusetts. The Distribution Companies reserve the right to seek improvements (including reduced prices) during the negotiations process with selected bidders. 2.7 Regulatory Approval The Distribution Companies’ obligations to procure Offshore Wind Energy Generation are conditioned upon approval of the Long-Term Contracts, Rate Schedules, and Tariffs and associated cost recovery by the DPU in a form acceptable to the Distribution Companies. Once the parties have executed a Long-Term Contract, the Distribution Companies shall submit the executed Long-Term Contract to the DPU for approval. In the case of rates that fall under federal authority, such charges are subject to the review and approval of FERC pursuant to the Federal Power Act. The Distribution Companies’ obligations under such Rate Schedules are also conditioned upon approval of the associated cost recovery by the DPU in a form acceptable to the Distribution Companies. It is the bidder’s responsibility to identify and obtain all required regulatory approvals from the appropriate regulatory authorities. Any bidder requiring regulatory approval by a certain deadline must state that deadline in its proposal, and that deadline will be considered in assessing the overall viability of the eligible project. 2.7.1 DPU Regulatory Process Under Section 83C the obligations of the Distribution Companies and the successful bidders to perform under each Long-Term Contract shall not become effective or binding until receipt of the approval of the DPU as described in Section 2.6 of this RFP except as it pertains to the contract obligations to provide the initial Development Security and to submit project updates on a timely basis and as otherwise specified in the Long-Term Contract. After a Distribution Company and successful bidder have executed a Long-Term Contract that satisfies the requirements of Section 83C as a result of this RFP process, the Distribution Companies intend to submit the proposed Long-Term Contract to the DPU for review and approval within 45 days of execution, unless circumstances require a longer period to prepare the DPU filing materials. The DPU has promulgated regulations at 220 C.M.R. § 23.00, et seq., setting forth the criteria for its review pursuant to the requirements of Section 83C. When evaluating a proposed Long-Term Contract under Section 83C, the DPU will consider the recommendations of the AGO, which must be submitted to the DPU within 45 days of the filing of the proposed contact. Once the DPU issues a decision approving a Distribution Company’s request for approval of an executed Long-Term Contract under Section 83C, the Distribution Company shall have ten (10) business days after the appeal period has elapsed and after any motions or appeals are resolved to review the form and substance of the DPU’s approval. Each Distribution Company shall have the opportunity to terminate the Long-Term Contract if the DPU’s approval contains terms or conditions that are deemed to be unsatisfactory to the Distribution Company, in its sole discretion. Terms or conditions that may be unsatisfactory include but are not limited to denial of annual remuneration of up to 2.75 percent of the annual payments under the Long-Term Contract, which is required by Section 83C and is intended to compensate the Distribution Company for accepting the financial obligation of the Long-Term Contract at issue. 2.7.2 FERC Any FERC-jurisdictional Rate Schedule or Tariff and Service Agreement agreed upon by the applicable Distribution Companies will be filed with FERC under Section 205 of the Federal Power Act. FERC must accept the filing before the Rate Schedule or Tariff and Service Agreement can become effective. 3 Instructions to Bidders 3.1 Schedule for the Bidding Process The proposed schedule for the bidding process is set forth in Chart 1. Any changes to the schedule up to and including the due date for submission of proposals will be posted at the Distribution Companies website, MACleanEnergy.com. The Evaluation Team reserves the right to revise the schedule as necessary. In addition, the Evaluation Team reserves the right to establish a schedule that is different than the one set forth in this RFP. Chart 1 RFP Schedule \| Event \| Anticipated Dates \| \|--------------------------------------------\|-------------------\| \| Issue RFP \| May 7, 2021 \| \| Bidders Conference \| May 18, 2021 \| \| Deadline for Submission of Questions \| May 25, 2021 \| \| Due Date for Submission of Confidential Proposals \| Sep 16, 2021 \| \| Due Date for Submission of Public Proposals \| Sep 23, 2021 \| \| Selection of Projects/Commence Negotiations \| Dec 17, 2021 \| \| Execute Long Term Contracts \| Mar 28, 2022 \| \| Submit Long Term Contracts for DPU Approval \| Apr 27, 2022 \| 3.2 Bidders Conference; Bidder Questions A Bidders Conference will be held for interested persons approximately 2 weeks after the final RFP document is posted on MACleanEnergy.com. The purpose of the Bidders Conference is to provide the opportunity to clarify any aspects of this RFP. Prospective bidders are encouraged to submit questions about this RFP to the Evaluation Team on or before the deadline for submission of questions listed in the schedule. The Evaluation Team will answer questions submitted by that deadline by posting the questions and answers at MACleanEnergy.com. The Evaluation Team will also accept written questions pertaining to the RFP following the Bidders Conference up to the date set forth in Chart 1, above. Both the questions and the written responses will be posted on MACleanenergy.com (without identifying the bidder who asked the question). Although the Evaluation Team may respond orally to questions posed at the Bidders Conference, only written answers that are provided in response to written questions will be official responses. It is the Bidder’s responsibility to check the website for news and updates. 3.3 Preparation of Proposals Each bidder shall have sole responsibility for carefully reviewing this RFP and all attachments hereto and for thoroughly investigating and informing itself with respect to all matters pertinent to this RFP and its proposal, including pertinent ISO-NE tariffs and documents, market rules, and other information. Bidders should rely only on information provided in this RFP and any associated written updates (including official answers to written questions) when preparing their proposals. Each bidder shall be solely responsible for and shall bear all of its costs incurred in the preparation of its proposal and/or its participation in this RFP. Submission of proposals including confidential information shall be filed in accordance with Section 1.7 of the RFP. 3.4 Organization of the Proposal Bidders are required to organize their proposal consistent with the contents of the Bidder’s Response Package in Appendix A to this RFP. The organization and contents of the proposal should be organized as follows: 1. Certification, Project and Pricing Data (CPPD form) 2. Executive Summary of the Proposal 3. Operational Parameters 4. Energy Resource and Delivery Plan 5. Financial/Legal 6. Siting, Interconnection, and Deliverability 7. Environmental Assessment, Permit Acquisition Plan and Environmental Attributes Certification 8. Engineering and Technology; Commercial Access to Equipment 9. Project Schedule 10. Construction and Logistics 11. Operations and Maintenance 12. Project Management/Experience 13. Emissions 14. Contribution to Employment and Economic Development and Other Direct and Indirect Benefits 15. Exceptions to Form PPAs 16. Exceptions to Commitment Agreement 3.5 Updates to the Proposal While bidders will not be permitted to refresh, restate, or reprice proposals except as provided below, bidders must provide updated information (e.g., the status of obtaining permits and financing) to the Evaluation Team about the eligible project that was not available at the time of their proposal submission. These updates are for informational purposes only and will not be treated as a change or revision to the terms of the bidder’s proposal by the Evaluation Team. If there are material developments, favorable or unfavorable, that impact a proposal or associated project, the bidder must promptly notify the Evaluation Team in writing. The Evaluation Team reserves the right to consider this information during evaluation. While the Distribution Companies do not anticipate requesting bidders to refresh, restate, or reprice their bids, the Distribution Companies nevertheless reserve the right, at their sole discretion, to make such a request at any time during the RFP process. In the absence of such a request, bidders may not refresh, restate, or reprice their bids for any reason. 3.6 Modification or Cancellation of the RFP and Solicitation Process The Distribution Companies may, at any time up to final award, postpone, withdraw and/or cancel this RFP; alter, extend or cancel any schedule date; and/or, alter, amend, withdraw and/or cancel any requirement, term or condition of this RFP, any and all of which shall be without any liability to DOER, the Independent Evaluator, and the Distribution Companies. By submitting a bid, a bidder agrees that the sole recourse that it may have with respect to the conduct of this RFP is by submission of a complaint or similar filing to the DPU in a relevant docket pertaining to this RFP. Additionally, a bidder agrees to take no action inconsistent with the foregoing limitation. 3.7 Requests for Additional Information Following the submission of proposals, the Evaluation Team or the Independent Evaluator may request clarification and additional information from bidders at any time during the evaluation process. Such information will be subject to public posting and protection of confidential information as described elsewhere in this RFP, consistent with other bid submission materials. Bidders that do not respond promptly to such information requests or do not provide adequate information may be eliminated from further consideration, or the Evaluation Team may make appropriate assumptions to produce a reasonable and appropriate evaluation. 3.8 Limitation of Liability Neither this RFP nor any other aspect of this solicitation shall create an agency, partnership, joint venture, or co-tenancy relationship among the members of the Evaluation Team or any other individuals or entities involved in the development or administration of this RFP (collectively, the “RFP Parties”), nor any other relationship or liability beyond those (if any) explicitly adopted in writing and executed by authorized representatives of the applicable RFP Parties. None of the RFP Parties shall be liable for any act or omission of any other RFP Party. Neither this RFP nor any other aspect of this solicitation creates or is intended to create third-party beneficiaries hereunder. In no event will an RFP Party be liable to any person for special, incidental, punitive, exemplary, indirect or consequential damages or lost profits, whether by statute, in tort or contract or otherwise. Appendix J: Environmental and Socioeconomic Impact Criteria This Appendix J provides additional details on the Environmental and Socioeconomic Impact criteria to be considered in the Qualitative Evaluation (RFP section 2.3.2). - Environmental Impacts: Extent to which a project demonstrates that it avoids, minimizes, or mitigates, to the maximum extent practicable, environmental impacts. Factors to be considered may include: - Demonstrated past and current productive relationship with environmental stakeholders and track record of avoiding, minimizing, and mitigating environmental impacts from projects similar to the proposed project. - Preliminary characterization of the potential environmental impacts (onshore and offshore) from the wind farm array, transmission cabling, substations and other infrastructure from pre-construction through the duration of the project, including but not limited to: - Impacts on species protected under the Endangered Species Act - Description of how sensitive habitat areas (e.g. areas with long-lived and easily damaged epifauna, spawning areas, and areas where demersal eggs are deposited) have been or will be identified. - Description of environmental baseline and monitoring data that will be collected beginning from pre-construction through the duration of the project and plans for the use of that data in project development. - Expected environmental impacts to onshore coastal beaches and ecosystems from port infrastructure construction and operation. - Use of co-location or siting with compatible existing infrastructure. - Minimizing the number of transmission cables used, reducing the area of seafloor or shoreline disturbance, and/or reducing the number of cable landfalls. - Descriptions of any potential impacts, both positive and negative, including assessments of cumulative environmental impacts, on Environmental Justice Populations$^1$ and host communities: - A preliminary plan that highlights the approach to avoid, minimize, or mitigate environmental impacts (onshore and offshore) from the wind farm array, transmission cabling, substations and other infrastructure from pre-construction through the duration of the project based on best management practices, including but not limited to: - Description of operational protocol to avoid, minimize, and mitigate impacts to fish, invertebrates, marine mammals, birds and bats. - Impact of planned cable burial depth, use of protective materials, and monitoring of cables to avoid, minimize, and mitigate continuous impacts on --- $^1$ Defined and outlined in the EEA 2017 Environmental Justice Policy, see: https://www.mass.gov/files/documents/2017/11/29/2017-environmental-justice-policy_0.pdf marine species. - Plan to avoid, minimize, or mitigate impacts on the National Marine Fisheries Service (NMFS) surveys. - Description of any cooperation and efforts with other developers or regional entities to avoid and minimize potential cumulative impacts across the MA/RI Wind Energy Areas. - Demonstrated plans or investments to avoid, minimize, and mitigate environmental burdens and other negative impacts from the project on affected groups and Environmental Justice populations. - Plans to engage with affected communities through targeted outreach and education events, including identified partnerships with existing Environmental Justice organizations. - Plan for compliance with Massachusetts Coastal Zone Management federal consistency review process, including any plans for voluntary filing. - Plan for timely data sharing with relevant environmental and fisheries stakeholders. - Description of participation in and any commitments (time, staff, and/or financial) to existing and ongoing regional regulatory, research, and science organizations regarding environmental assessment, monitoring, and mitigation, including but not limited to direct funding to the Responsible Offshore Science Alliance and the Regional Wildlife Science Entity. - Extent to which the project avoids, minimizes, and mitigates potential impacts of the project to cultural resources and viewsheds from the Massachusetts shoreline, including through thoughtful siting and engagement with local stakeholders. - Any additional information that may demonstrate mitigation of environmental impacts. - Fishing Impacts: Extent to which the project avoids, minimizes, and mitigates impacts on commercial and recreational fishing industry. Factors to be considered may include but are not limited to: - Demonstrated past and current productive relationship with commercial fishing stakeholders and track record of avoiding, minimizing, and mitigating commercial fishing impacts from projects similar to the proposed project. - Commitments to fishing industry stakeholder outreach related to potential project impacts, including but not limited to: - Communications and engagement plan detailing how the developer will identify, communicate with, and address concerns from fisheries stakeholders in a timely manner. - Description of how developer will engage with fishing industry stakeholder groups to determine project layouts that address stakeholder concerns. - Description of any participation in and engagement with the Responsible Offshore Development Alliance, Massachusetts Fisheries Working Group, and/or the Fishery Management Councils regarding fishing impacts from the project. - Description of potential adverse impacts on fishing in the proposed Project area from the wind farm array, transmission cabling, and other infrastructure and design elements, including: • Research plan to identify and study expected fishing impacts in proposed project area. • Description of how site layout could be changed to accommodate potential future changes for mitigation purposes and timeline for when design decisions will be finalized. • Description of operational protocol to avoid, minimize, and mitigate impacts to fisheries during project construction and operation phases, which may include but are not limited to: o Plans to minimize the number of transmission cables used, reduce the area of seafloor or shoreline disturbance, and/or reduce the number of onshore cable landfalls. o Measures to ensure navigational safety of vessels within, through, and around the proposed project area. o Plans for designation and monitoring of safety zones, gear monitoring and retrieval, and communication with fishing vessels and resource managers. o Plan to avoid, minimize, or mitigate impacts on the National Marine Fisheries Service (NMFS) surveys. o Description of any cooperation and efforts with other developers or regional entities to avoid and minimize potential cumulative impacts across the MA/RI WEAs. • Plan for addressing claims for loss or damage to fishing gear or vessels from interactions with offshore wind farm infrastructure. • Plan for a fisheries compensation plan to offset impacts on commercial fishing, how the compensation plan will be designed, and how it will determine financial impacts. Environmental Justice Impacts: Extent to which a project demonstrates that it avoids, minimizes, or mitigates, to the maximum extent practicable, environmental justice impacts. Factors to be considered may include: - Descriptions of any potential impacts, both positive and negative, including assessments of cumulative environmental impacts, on Environmental Justice Populations$^1$ and host communities. - Demonstrated plans or investments to avoid, minimize, and mitigate environmental burdens and other negative impacts from the project on affected groups and Environmental Justice populations. - Plans to engage with affected communities through targeted outreach and education events, including identified partnerships with existing Environmental Justice organizations. - Demonstrated plans or investments to support workforce development (training, apprenticeships, and internships) in all aspects of Project predevelopment, construction, and operations. - Demonstrated plans or investments that reduce energy burden’s for businesses and residents in environmental justice communities. - Demonstrated plans or investments that provide Project equity ownership and recurring revenues for businesses, community-based organizations and residents of environmental justice communities. - Demonstrated plans or investments that support research into environmental justice solutions and/or advocacy of environmental justice reforms.
CULTURAL CORRIDOR URBAN FLOW BRT Artwork by MILDRED HOWARD and JOHANNA POETHIG with PETER RICHARDS and JOYCE HSU Throughout history, every community has been defined and ultimately remembered by the vibrant artwork that remains. This is particularly true along Oakland’s International Boulevard. We wanted AC Transit’s Tempo BRT to reflect this living art history book. So it was a career capstone to watch the Art Team engage the communities, as they fabricated, in metal and glass, generations of art and culture at almost every intersection. —RAMAKRISHNA POCHIRAJU, P.E. AC Transit Executive Director of Planning and Engineering Community mapping workshops: gathering information and inspiration along the transit corridor I have a deep familiarity and sensorial connection with the city of Oakland. If asked, I can get to practically any part of the city with my eyes closed, as if the veins on the back of my hands were a map guiding me effortlessly down the corridors of city streets. I’ve taken every form of transportation available and have experienced each of the transport systems from many vantage points. I have a sense of pride and belonging, after having lived in Oakland most of my life – born, raised, left, and always returned to. To love a city is to spend time in it, to admire its beauty and history. To live in a city is to make residence, build a home, and make a consistent contribution to its economic vitality. To know a city is to spend time with it, learn the history of its land and people and, most importantly, make it a point to become a member of the community. To live in a city, love a city and know a city, one should make it a priority to preserve the essence of its identity. It is a promise not to support or propel erasure. Be a proponent of change, but only in the spirit of protecting the land and the people. Knowing change is inevitable, it is the community member’s job to ensure change is for the common good. I remember riding the AC Transit bus system as a teenager, up and down San Pablo Ave, through Richmond, Berkeley, and all the way down into Oakland and its neighbor city San Leandro. I know the distinct layout and colors of the seats, the sound you hear when you tug the string to alert the driver that it’s your stop. Most of the people on the bus looked like me: Black and Brown folks filling the seats, kids with backpacks screaming and laughing in the back of the bus, surely disrupting the elder passengers. I was a member of an ecosystem – a delicate community of BIPOC commuters. The same is true of today’s AC Transit passengers. In a recent survey from 2017, AC Transit documented that “7% of our riders self-identified as over the age of 65, while 4% of our riders paid a disabled fare and 9% of weekday riders paid a youth fare. Additionally, 27% of our riders are full or part-time students using our buses to get to and from school.” As a passenger, you become a captive audience to every thing, person, and structure encountered on your route. Staring out of the window of a bus, unlike driving a car or riding the train, cultivates a deeper emotional connection with a city. Poethig likens a city bus to “a moving living room of a neighborhood” because there is a closeness you develop with your route and those who, like you, are a frequent passenger. In Oakland, being on a bus is to witness a kind of transformation that occurs in a stretch of city blocks. A bus route that takes you through the heart of downtown Oakland and along Broadway will capture the spirit of Oakland nightlife. You’ll likely see a diverse spread of bars and dance clubs, restaurants, coffee shops, high-rises, and active construction sites. A route that travels through the Oakland hills or around Lake Merritt will deliver its own special ingredients. International Blvd., one of Oakland’s beloved and historic main drags, stretches all the way into San Leandro and its downtown shops, public libraries and blossoming parks offer a most sensorial and culturally diverse experience, unparalleled by any other street in East Bay. Those of us who have been around long enough remember International Blvd. as East 14th Street before the name was changed in 1996, and not without grief from the community. I remember International as a street my parents wouldn’t dare let me wander on alone or at night, as there was a known history of crime. I’ve always known International to be home to many small businesses – BBQ joints, taquerias, Vietnamese spots, churches, liquor stores, you name it – most of which are owned by the people who live in the residential neighborhoods hugging the edges of the main street. In 2014, lead artists Mildred Howard and Johanna Poethig, along with their selected team members Peter Richards and Joyce Hsu, embarked on a seven-year-long process of creating a public art project with Oakland’s bus-based public transport system, AC Transit. This project ambitiously covers 34 bus stations from Downtown Oakland to San Leandro, a centerpiece adornment along the stretch of International Blvd. This new line, “Tempo,” modeled after a “bus rapid transit” invented in Curitiba, Brazil, provides dedicated bus lanes and stoplight priorities for a more efficient and reliable mode of public transportation. Poethig, who has been a Bay Area resident since the early 1980s, identifies her public art practice as a means to envision an equitable statement about who lives there and what is important to them. Being a muralist has influenced Poethig’s approach to creating a dialogue with communities and expressing those findings in symbolic visual languages. “As a public artist, you should be interested in people who live in the place where the art will exist, and understand that your work holds the responsibility of reflecting who they are.” —Mildred Howard Howard, who has lived and worked in the Bay Area her whole life, living mostly in Berkeley, has seen the many waves of change rippling through these neighborhoods over the years. For her family, Oakland was a destination they would take trips to -- shopping in Chinatown, buying food at Swan’s market, and hitting jazz and blues clubs to hang out and experience Oakland’s signature music. She remembers the cultural landscape drastically changing in the ‘60s when Black folks were being displaced in San Francisco and moving to East Oakland, a migration also experienced by my mother in her early teenage years. Howard observed this displacement on a familiar bus route. She’d take “the 15 bus and transfer to the 83 bus and riding that route made obvious the cultural changes taking place in the neighborhood,” she recalls, also making note that just 15 years ago the African American population in Oakland was over 35%, and is now at around 20%. Through conversations and site investigations, the team developed a conceptual platform to express this rich urban broth of diversity, history, economics, topography and ecology. Under the umbrella of project title “Cultural Corridor / Urban Flow” they sought ways to visualize the most intimate parts of a city, its land, and its people in a visually compelling way. What you might imagine is a result of a simple application of creative thought is more a combination of experience, precise calculation, inspiration, and serendipity. According to Peter Richards: “When serendipity begins to happen, you know your concept has legs.” Poethig remarks that AC Transit’s work with the new Tempo bus line efficiently moves people to and through stopping points along the corridor, providing better neighborhood services, economic health and stability and making the diverse population more fluid. The team channeled this energy in carefully designing the look and feel of this bus route. They recall meeting in Howard’s Berkeley studio, where they developed a concept as a way for people to navigate and identify locations based on their collaborative design system. BBQ, Blues and the Black crowned Night Heron landmarks to guide us home To set the tone along the corridor, a text became the connecting ribbon - written by the artists and crafted into its final form by Oakland poet Elmaz Abinader. Just as the text illustrates a deeply colorful history, so too the iconography and colors directly correspond with the color palettes of the changing neighborhoods. The artists imagined that if the ridership were able to locate themselves in the imagery and drivers could correlate stops with colors, the system at large would be more fluid and visually accessible. Because of their individual and collective ties to the city of Oakland, it was important for the team to confer with various community members, who all shared ideas about what they wanted to see in their neighborhoods. Not only was this project meant to serve as a visual navigation tool, but also to resonate with the history and changes of the community along the route. My first time driving down International Blvd. to witness this transformation, it was immediately obvious to me how much care went into making sure the images were in harmony with the land and architecture. Along the drive, I identified several different languages – English, Spanish, Tagalog – and found the images URBAN FLOW to be comfortably familiar: the East Bay Dragons, the iconic low riders, and even nuts and bolts to acknowledge the blue-collar industry workers. Each transit stop is a signpost for the community. “People respond to seeing themselves in public space.” - Johanna Poethig Joyce Hsu, the self-identified “Hand of the project” and technical expert, worked extensively to render all of the designs on the hundreds of panels stretched along the International Blvd. corridor. Hsu spent countless hours on CAD software making sure all of the colors were input correctly, just one of many tedious tasks that may be invisible labor to most but is essential to a successful job. The artists found what everyone was good at and built a complimentary team from each of their skills. Just as the project necessitated a technical hand, it also required a comprehensive knowledge of materials to better incorporate into Oakland’s environmental shifts. Peter Richards joined the team, offering his experience in synthesizing the conceptual and visual with appropriate materials. Having lived in Oakland for eight years prior to this project and having done a number of public art projects, such as the phenomenal Wave Organ, located in the San Francisco Bay, he had an intuitive and poetic approach to identifying the right materials for this expansive project. Because the weather in the East Bay is moderate, he was able to explore the boundaries of materials which led to the use of extruded aluminum honeycomb sheets. According to Richards, his choice in materials for the dynamic windscreens, which stand as a transparent backdrop that animates the figures it interacts with, was a method of highlighting the urban visual cacophony of colors, movement, sounds and light. Aside from poetics, the consideration of the greater climate meant anticipating vandalism, especially amidst political turmoil. The spirit of Oakland culture has always been to stand against racism, oppression, and fight to ensure the flow is never going against the historically rich roots of the city. “The invisible dynamics of any urban site all have to do with flow. The idea of using ACT’s Tempo Line as a metaphor for all the dynamic systems that give Oakland and San Leandro character was central to providing a poetic narrative flow that acknowledges the details and defining moments of a neighborhood and community.” – Peter Richards Now, more than six years later, it is important to mention the global political crisis of 2020 during which the unveiling of this team’s Artist Team left to right: Peter Richards, Johanna Poethig, Mildred Howard, Joyce Hsu Left: San Leandro Youth Workshop participants Right: Oakland Youth Uprising Workshop participants Sample map from Oakland Youth Uprising workshop work is happening. The unfortunate truth is that riding the bus in Oakland, when Alameda county has remained on the country’s global pandemic watch list, bears a dangerous weight. AC Transit passengers, similar to many metropolitan public transportation riders, are a critical population, and one that probably bears the brunt of the Covid-19 pandemic in Alameda County. According to Mike Maciag in an online article on Governing, a review of Census Bureau survey reveals a demographic divide, with public transportation commuters “disproportionately poorer in nearly every city with a significant number of riders, outside of a few large mid-Atlantic transit systems.” America is also in a state of mourning for Black lives, and historical monuments are coming down in cities across the country in the name of decolonization. For the first time, Americans are acknowledging the importance of public art and its role in reflecting who we are and how our history is represented. We have an unprecedented ability to reimagine the public-facing world and how artists can shape our stories. This team – Howard, Poethig, Hsu, and Richards – has created something that generations of bus riders, present and future, will experience with a sense of pride and belonging. These images along International Blvd are a new kind of monument, marking Oakland’s beauty and history, giving riders a new way to live, love, and know their city. –Leila Weefur If gentrifiers do not despoil it which means getting rid of poor and black and people of color people Oakland can be what it has been for a long time: an urban Paradise. –Alice Walker, “Loving Oakland” CONCEPT FLOW: To circulate without resistance. Physics: the transference of energy. —The American Century Dictionary The East Bay Rapid Transit Project will provide a corridor for thousands of people to move along International Boulevard, one of the longer continuous streets in the Bay Area. Cultural Corridor/Urban Flow will establish points of connection for the public as they move through these historically evolving neighborhoods along the way. An unfolding history of the past and near present will be informed by the cultural identity of the people who have lived and do live there now. Urban Flow is a way of thinking that captures currents of history overlapping with the systems of the built environment and the systems of nature – all of which can be described as methods or processes that move things from one point or state to another. Taken together, these are the conditions that give a place its character. It is the intention of this design team to tease out what defines the segments of the International Street Cultural Corridor and to reflect this in a cohesive unfolding and evolving design for this new transit system. To capture this complex overlay of natural and urban flow, we propose a system that will create a visual signature for each station through variously scaled translucent and transparent honeycombed windscreen and hand-rail panels. The movement of people and traffic as seen through these panels will create a cinematic live action play of light and shadow. The structural aluminum honeycomb wind screens will contain a visual vocabulary articulating signifying characteristics of the passing neighborhoods, focusing on the lively commercial, cultural and natural elements of the streetscape. The passing of clouds, the angle of the sun, streetlights, car lights, illuminated business signs, sparkling banners, and children’s colorful backpacks will all enhance and celebrate the flow of this new public transport system. Economics, communications, computer networks, education, transportation, power, drinking water, and waste disposal all have been developed to allow a great number of people to live closely together in comfort in spite of – or in concert with – the systems of nature (ie, the cycles of weather, the tides, the seasons). When all the systems, cultural, historic, economic, natural, and built, experience synchronicity – are in concert with each other – the experience of the individual and society as a whole flow together with greater ease and efficiency. FABRICATION This page: ACP Composites Fabrication review of windscreen panels and anti-graffiti film application Opposite page: Advanced Laser & Waterjet Handrail panels in fabrication B&C Painting Solutions Spraying color layers The process of creating the metal artwork for the Cloudburst sculpture involved several steps. First, the metal pieces were cut and shaped using a plasma cutter. Next, they were assembled and welded together to form the structure. Finally, the pieces were painted with a high-quality enamel paint to ensure durability and a professional finish. The result is a stunning piece of art that will be a beautiful addition to the Cloudburst sculpture. INSTALLATION Installation of windscreens and handrails Photo credit: Donald Mascardo 16 Oakland Uptown Station Oakland Uptown Station Footsteps in Time Deco Dance Rhythms Gather 14th Street Station Counting Steps In Urban Flow Hub murmurs City Center Station Spires of Power, Corridors of Culture Sidewalk Glistening Hidden Treasures, dim sum Harrison Street Station Friday market greens Delicate teacups Harrison Street Station hold ginger and jasmine Madison Street Station City Wildlife “urbanature” Estuary crests city shore Festivals, Urban Classic duck Pho Food Fabric 2nd Avenue Station Weaving Stories friendship flows along cultural corridors 2nd Avenue Station 5th Avenue Station children swing reach the sky little creeks flow running to the bay overlapping ebbin’ flow 10th Avenue Station 37 14th Avenue Station colors of crossroads shimmer mirror of cultures reflection 14th Avenue Station shimmer mirrors of cultures reflection crayon box crayon box of bungalows 20th Avenue Station 24th Avenue Station strum of stories cuentos de milagros 2372 papel picado bailando en el viento 28th Avenue Station CESAR E. CHAVEZ THINK COLLEGE NOW (TCN) EDUCATION NATIVE AMERICAN HEALTH CENTER Serving the community since 1972 510-535-4400 www.nativehealth.org We stand with you maligaya my friend welcome 31st Avenue Station Fruitvale Station El Centro de la Vida Viva FRUITVALE IS OPEN FOR TAKE OUT! FOR A LIST OF OPEN BUSINESSES VISIT: https://bit.ly/FruitvaleIsOpen This campaign organized by The Fruitvale Business Improvement District, a program by The Unity Council. FRUITVALE Fruitvale Station City streets beats la cancion 39th Avenue Station INTERNATIONAL PRODUCE MARKET 3851 INTERNATIONAL PRODUCE MARKET INTERNATIONAL PRODUCE MARKET PUPUSERIA LAS PALMAS BEATIS TO CAMARON CITYSTREETS BLACK KNIGHTS Vive tus sueños High Street Station La Frontera Club Restaurante Y Taqueria International BLVD TACOS, BURRITOS, QUESABURRIAS Y MAS Moleca Open 20% OFF La Frontera 1705 48th Avenue Station velvet night bay breezes commerce connections the rails rumble 54th Avenue Station 60 Seminary Station Seminary Station mapping memories shift, transmit, transform Cultivating, Innovating, Creating 63rd Avenue Station 67th Avenue Station gears turning churning work song Flights of imagination 73rd Avenue Station FOR LEASE Remington Heatley David Becker LIC. 01907186 LIC. 01178093 •865-6112 415-865-6115 DEAD EYES SALE CECE CARPIO PESKADOR ARAKOS T-PROSPECT DESI MUNDO SASHA KEENA CRPRBAYAREA.ORG imagination 77th Avenue Station Coliseum holding legacies On the field, on the court crowds roar 82nd Avenue Station music city, 82nd Avenue Station corner bop at the bus stop 71 86th Avenue Station Oakland rides on the dragons of the East Bay 73 BBQ Blues and the black crowned night heron 90th Avenue Station 95th Avenue Station pink and blue collars backbone of the bay Gray Highway to the Blue Skyway 98th Avenue Station under constellations mythic moments hearts full of grace 103rd Avenue Station And through moments, Durant Avenue Station SAN LEANDRO cherry songs blossom Complete Home Furnishings Durant Avenue Station SAN LEANDRO Georgia Way Station SAN LEANDRO bouquets like promises wishes enveloped red Georgia Way Station SAN LEANDRO Civic Center Station SAN LEANDRO rails sing through wired airways shimmering our hellos DOWNTOWN SAN LEANDRO SB sidewalk strollers in urban flow Downtown San Leandro Station SAN LEANDRO Downtown San Leandro Station SAN LEANDRO gather together we dream Pathways to other Worlds San Leandro BART Station SAN LEANDRO Mildred Howard is a Berkeley based artist who has received numerous awards for her critically acclaimed mixed-media and installation work, including an NEA Grant in Sculpture, two Rockefeller Artist’s Fellowships and the Joan Mitchell Fellowship. Her work is included in major collections including the San Francisco Museum of Modern Art, the de Young Museum, and the New Museum, New York and has been widely exhibited internationally at venues in Cairo, Berlin, Paris, London, Morocco and Venice. Howard has created a number of public installation works in San Francisco in collaboration with poets and writers, including Three Shades of Blue, in which lines by Quincy Troupe were etched into blue glass panels on Fillmore Street, and The Music of Language, where Howard worked with San Francisco Poet Laureate Janice Mirikitani to render lines from her poetry on the building’s exterior. Howard’s Moving Richmond, a work in which a poem by Macarthur Fellow Ishmael Reed was incised into a forty-foot wall of faceted steel, can be seen at Richmond’s BART Station. Parenthetically Speaking, a series of punctuation marks rendered in opaque black and red glass and inspired by a poem by Quincy Troupe, was nominated for the 2013 Arte Laguna Prize in Sculpture and exhibited at the Arsenal Venezia in Venice. Johanna Poethig is a contemporary artist known for her monumentally scaled murals and architecturally integrated public art, socially engaged collaborations, painting, multimedia installations and performance. She grew up in the Philippines and has been active in Filipino-American arts community since the 1980s. She recently completed a 65 foot long mosaic for Rainbow Recreation Center in Oakland and the signature mural Skylight for the new College of Arts, Humanities and Social Sciences building at California State University, Monterey Bay. Poethig has been commissioned to create public art projects throughout the Bay Area and California, and in Chicago, Milwaukee, Cuba, Washington State, New York and Tbilisi, Georgia. She has exhibited internationally and at the Los Angeles County Museum of Art, Bronx Museum of the Arts, Boston Center for the Arts and Yerba Buena Center for the Arts. She has been recognized with awards from the National Endowment for the Arts (NEA) and California Arts Council, among others. Poethig received her MFA at Mills College and is Professor Emeritus of Painting and Public Art in the Visual and Public Art Department at California State University, Monterey Bay. Joyce Hsu is an interdisciplinary artist and designer with a background in both art and architecture. She received her Master of Fine Arts at the San Francisco Art Institute and her Master of Architecture at California College of the Arts. Her work has been exhibited internationally. Joyce creates site-specific public art. To date, she has received several public art commissions, including a major work at the San Francisco International Airport, the City of Seattle, Cupertino, Kaiser Permanente Oakland, Sacramento Light Rail system and Palo Alto Municipal Golf Course. Peter Richards co-founded the Exploratorium’s Artist-in-Residence Program with director Frank Oppenheimer in 1974. He was Director of Arts Programs there until 1998 when he moved to Charlotte, NC to serve as Artistic Director of the McColl Center for Art + Innovation. He returned to the Exploratorium in 2001 as Senior Artist and became Senior Artist Emeritus in 2010. He has a parallel career as a public artist with installations located in both the US and Europe. His most recognized work is the Wave Organ, sponsored by the Exploratorium and located in the Marina District of San Francisco. He is a Research Fellow at the Mediterranean Center for Advanced Research in Marseille, and the STUDIO for Creative Inquiry at College of Fine Arts, Carnegie Mellon University. Photography: Raymond Holbert (pp. 10, 51-52, 54, 57-59, 61-88, 90-93) Raymond Holbert is an artist, Professor of Art Emeritus, City College of San Francisco. Holbert writes: “I was born in 1945 and I’m still growing up and accepting the challenges of being what we conveniently call retired (re-wired). It turns out that in the creative realm and with an optimistic outlook the opportunity to keep adding to our experiences remains as present as ever. Teaching and learning continue to add to my past experiences in Fine and Applied Art. Related technologies in the digital evolution of photography, illustration, design along with physical/mental fitness combine with the art of daily living and continue to stimulate me. The capillaries of thought, practice and experience in all aspects of living overlap in my unique life. I believe that I will continue to live through the most important and fruitful time in the history of the world enhanced by my partnerships with science and technology. I can see clearly now the rain is gone. I can see all obstacles in my way. Gone are the dark clouds that passed me by. It’s going to continue to be a bright sunny shiny life.” Photography: Lewis Watts (pp. 9, 17-48, 53, 55; cover & back cover) Lewis Watts is a photographer, archivist/curator and Professor Emeritus of Art at UC Santa Cruz. His research and artwork centers around the “cultural landscape” primarily in communities in the African diaspora. He is the author of Harlem of the West: The San Francisco Fillmore Jazz Era (Chronicle Books 2006, Heyday Books 2020); New Orleans Suite: Music and Culture in Transition (UC Press 2013) and Portraits (Edition One Press 2020). His work has been exhibited at and is in the collections of Autograph London, the San Francisco Museum of Modern Art, the Cité de La Musique, Paris, the Ogden Museum of Southern Art, New Orleans, the Oakland Museum of California, the Berkeley Museum, the Bancroft Library, UC Berkeley, the Special Collections of the McHenry Library at UC Santa Cruz, the McEvoy Foundation San Francisco, the Neuberger museum of Art, Purchase NY, the Amistad Center for Art and Culture, Hartford, Conn, Light Work, Syracuse NY, and the Paul Sack Collection, San Francisco among others. Introduction: Leila Weefur Leila Weefur (She/They/He) is a trans-gender-nonconforming artist, writer, and curator based in Oakland, CA. She tackles the complexities of phenomenological Blackness through video, installation, printmaking, and lecture-performances. Through video and installation they examine the performativity intrinsic to systems of belonging present in our lived experiences. The work brings together concepts of the sensorial memory, abject Blackness, hyper surveillance, and the erotic. Weefur is a recipient of the Hung Liu award, the Murphy & Cadogan award, and the Walter & Elise Haas Creative Work Fund. Weefur has worked with local and national institutions including SFMOMA, The Wattis Institute, Berkeley Art Museum and Pacific Film Archive, and Smack Mellon in Brooklyn, New York. She received her MFA from Mills College. Poet Consultant: Elmaz Abinader Elmaz Abinader is an author and a performer. Her most recent poetry collection, This House, My Bones, was The Editor’s Selection for 2014 from Willow Books/Aquarius. Her books include a memoir, Children of the Roojme, A Family’s Journey from Lebanon, and a book of poetry, In the Country of My Dreams… which won the Oakland PEN Josephine Miles Award. She has been anthologized widely including the New Anthology of American Poetry, and in The Colors of Nature. Elmaz is one of the co-founders of The Voices of Our Nations Arts Foundation (VONA/Voices), a writing workshop for writers-of-color. She lives in Oakland and teaches at Mills College. ACKNOWLEDGMENTS Project Consultants: Advisors to ACT for the development of the Artistic Enhancement Helene Fried Thomas Kronemeyer and Community Design+Architecture Artwork Fabricator: Livermore based ACP Composites specializes in the design and fabrication of composite components at various scales. While they are uniquely positioned to handle complex advanced material design and production, they also have the flexibility and expertise to take on one-off projects that require intense creativity and oversight. Lead Installers: Noe Diaz Marcos Gutierrez Ernesto Hernandez Youth Workshops: Oakland Youth Uprising: Brandon Robbins Kevin Munson Jr. Shalonda Mann Brishana J. Evans Cesilia Juarez Lamar M. Brown Esam Henderson San Leandro Youth Workshop: Ryan Le Jason Kuang Ashley Nicole Arias Peniel Takele Tyler Louie Hannah Gonchar Calphen Lei Graphics and Documentation Assistants: John Elliott Klover Kim Mural Credits: p. 6: George Floyd Portrait by Matt Hunter p. 10: Rainbow Rec Mosaic by Johanna Poethig pp. 66-67: Rise Up Mural by Desi Mundo, Sasha, Keena Romano, The Letter Thi, Abakus, Peskador, Cece Carpio, Spie, DeadEyes Book Design: Nick Stone FOOT STEPS IN TIME
CLC, a promising concept with challenging development issues Thierry Gauthier, Mahdi Yazdanpanah, Ann Forret, Benjamin Amblard, Arnold Lambert, Stéphane Bertholin To cite this version: Thierry Gauthier, Mahdi Yazdanpanah, Ann Forret, Benjamin Amblard, Arnold Lambert, et al.. CLC, a promising concept with challenging development issues. Powder Technology, 2017, 316, pp.3-17. 10.1016/j.powtec.2017.01.003 . hal-01581934 HAL Id: hal-01581934 https://ifp.hal.science/hal-01581934v1 Submitted on 5 Sep 2017 HAL is a multi-disciplinary open access archive for the deposit and dissemination of scientific research documents, whether they are published or not. The documents may come from teaching and research institutions in France or abroad, or from public or private research centers. L’archive ouverte pluridisciplinaire HAL, est destinée au dépôt et à la diffusion de documents scientifiques de niveau recherche, publiés ou non, émanant des établissements d’enseignement et de recherche français ou étrangers, des laboratoires publics ou privés. CLC, a promising concept with challenging development issues Th.Gauthier $^a$, M.Yazdanpanah $^b$, A.Forret$^a$, B.Amblard$^a$, A.Lambert$^a$ and S.Bertholin$^a$ $^a$ IFP Energies nouvelles, BP3 69360 Solaize $^b$ Total, Research & Technology Gonfreville (TRTG), 76700 Harfleur, France Paper presented as a plenary lecture at the Fluidization XV conference, Fairmont Le Chateau Montebello, Quebec, Canada (2016) (http://dc.engconfintl.org/fluidization_xv/) Paper published in Powder Technology (2017) Corresponding Author: Th.Gauthier IFP Energies nouvelles BP 3 – 69360 Solaize France Tel : (33)418.104.22.168 Email :firstname.lastname@example.org Highlights: - CLC is a very promising technique to reduce energy penalty for CO2 capture - The concept is demonstrated at pilot scale - Oxygen carrier stability needs to be improved - Process technology is specific and scale-up addresses very large scale - The CCS time to market delay is an opportunity for process optimization Graphical abstract Key words: Chemical Looping Combustion, CO2 Capture and Storage, CCS, CLC, CO2 use, Oxygen carrier, Fluidized bed, Power plant, Abstract Chemical Looping Combustion (CLC) is a promising technique to achieve fuel combustion in a nitrogen free atmosphere, therefore giving the possibility to separate and store or use CO$_2$. Several potential applications are considered in the field of power generation with gas, liquid and mostly solid fuels. In the Carbon Capture, Storage and Utilization (CCSU) context, energy penalty is reduced with CLC compared to other routes. In addition, other applications of Chemical Looping Technology are considered in the field of H$_2$ production or gasification for instance. In the past years, a huge effort has been conducted worldwide to investigate CLC materials and process issues. In 2008, IFPEN and Total have started an ambitious collaboration to develop CLC applications. Nowadays, the CLC concept is well demonstrated on the pilot scale. The next step is to demonstrate the technology over time on a larger scale. For further developments, some challenges should be addressed, both on market and technical aspects: - Short term market is limited. Uncertainties around CO$_2$ emission market (i.e. carbon credits) and storage issues are hindering policy and public acceptance and still must evolve in the right direction, - Financing of demonstration units for carbon capture in this context is challenging and other applications of CLC may require to be investigated such as utilization of captured CO$_2$ for EOR purpose. - The industrial use of synthetic metal oxides or natural ores at large scale generates a lot of issues related to availability, price, waste disposal, health and safety, additionally to chemical and mechanical aging, reactivity, and oxygen transfer capacity, - Chemical looping reactor and process technology concepts have to be explored, developed, modeled and scaled-up in order to ensure adequate power production together with good gas solid contact and reaction requirement, controlled circulation of mixtures of particle (oxygen carrier, ash, solid fuel for instance). All these points should be considered on very large scales for carbon capture and storage (CCS) applications in order to minimize energy penalty and cost in severe operating conditions (temperatures above 800°C and intense solid circulation). Technical challenges remain to be solved and proven with large demonstration over long periods of time. In this context, research in the field of fluidization technology is essential and we will address some key points investigated at IFPEN as related to control of solid circulation, oxygen carrier attrition, conceptual design of CLC reactors and process performance. 1. Introduction The reduction of CO$_2$ emissions in the atmosphere to address global warming issues is one of the present challenges faced by society and particularly in the energy sector. CO$_2$ capture and storage is one solution being considered. Over the last fifteen years, existing techniques such as post combustion separation or oxycombustion, have been adapted to capture CO$_2$ in industrial flue gases. Today, many of these process technologies are considered as mature. However, the resulting energy penalty induced is quite high. For the same net amount of energy produced, these processes will use up to 15-25% more fuel depending upon the technology. Therefore, worldwide, a lot of efforts are conducted to reduce the energy penalty, either by improving these existing concepts or by developing new processes, such as Chemical Looping Combustion (CLC). In CLC, oxygen carriers are used to transfer oxygen through redox cycles and circulation between an oxidizing zone and a reducing zone where the fuel is burnt in a nitrogen free atmosphere (Fig.1). Nitrogen free CO$_2$ can be recovered from the fuel reactor effluents. Compared to Oxycombustion, intrinsic oxygen separation is therefore conducted and no energy penalty is induced by gas separation. Fluidized bed is generally considered as the technology for CLC due to the apparent ease to circulate particles between the air reactor and the fuel reactor. ![Figure 1: the CLC concept](image) Primarily, CLC applications relate to energy and power plants using fossil fuel combustion with CO$_2$ capture. However, CO$_2$ capture and storage short term market is presently limited due to uncertainties around CO$_2$ market policies and public acceptance of storage. In the Oil and Gas industry, more specific applications are also considered, such as CO$_2$ production to Enhance Oil Recovery (EOR) or to produce steam for extra heavy oil extraction (SAGD). The Chemical Looping concept can also be derived for other applications, such as gasification, maleic anhydride and hydrogen production... Total and IFPEN started a joined R&D program in 2008 to develop novel CLC process technologies with CO$_2$ capture and storage incentives in mind. The objective was, first, to build relevant tools and conduct research in order to develop a clear and complete understanding of the process constraints and to estimate achievable performances and associated costs at industrial scale. After which, the development and commercialization of the process. In the first part of this paper, we will review the CO$_2$ capture, storage and utilization market situation, some of the CO$_2$ capture technologies available, discuss the maturity and compare the CO$_2$ avoidance cost and energy penalty of these technologies. In the second part of the paper, we will discuss CLC development status by addressing the potential applications considered, oxygen carriers use and R&D tools available. In the third part of the paper, we will highlight some of the technical challenges related to fluidized bed technology use in the CLC process already investigated by Total and IFPEN related to the control of solid circulation, oxygen carrier attrition, conceptual design of CLC reactors and process performances. 2. CO₂ Capture, Storage and Use (CCSU) According to IEA [1], global CO₂ emissions resulting from fossil fuel combustion represented about 32 Gt/y in 2013 with more than 46% resulting from coal combustion. CO₂ emissions for heat and electricity generation by coal combustion represent about 10Gt/y of CO₂ (which is about twice the amount of 1990 emissions) emitted every year. This huge amount can be considered as a waste, either accumulating in the atmosphere (CO₂ concentration is presently in the range of 400 ppm), either captured and stored somewhere else, either captured and used. Global warming mitigation requires to limit accumulation of CO₂ in the atmosphere. IEA [2] suggests the need for capturing over 7 Gt/y of CO₂ by 2050 in order to meet the 2°C target scenario. In order to achieve this objective, we probably need to focus on large emitters and several plants will be needed to capture CO₂. As an example, a large 500 MWₜ coal power plant that produces 200 MWₑ typically emits 1.1 Mt CO₂/year and could possibly produce CO₂ concentrated flue gas stream in the range of 1 Mt/year, assuming a capture efficiency in the range of 90%. 2.1 CCSU status At present, according to the Global CCS Institute [3], 15 large-scale CCS projects are in operation around the world with a global capture capacity in the range of 28 Mt/y of CO₂. There are 7 more CCS projects in the Execute Stage, that should allow to achieve a capture capacity of 40 Mt/y in 2017. Furthermore, 11 other projects are in Define Stage and represent an additional capture capacity of around 15 Mt/y (see Fig.2). Considering further new projects in the early stages of planning, the most optimistic predictions give a total CO₂ capture capacity of 80 Mt/y of CO₂ by 2020, which is only about 1% of the IEA’s 7 Gt CO₂/y estimate to achieve the 2°C target scenario in 2050 [2]. Therefore, the CCS market should grow exponentially in the next decades. It also means that, the storage (or use) of CO₂ in huge amounts is a pre-requisite for considering CCS as a key lever of the energy policy to reduce GHG emissions. Figure 2: Actual and expected operation dates for large-scale CCS projects [3] 2.2 CO₂ storage CO₂ storage is usually considered in 3 main geological media [4]: 1. Deep saline aquifers made of porous and permeable rocks saturated with salt water and brines. These formations are present worldwide, both offshore and onshore, and have the largest CO₂ storage capacity of all geological formations, 2. Oil and gas reservoirs, especially where Enhanced Oil Recovery (EOR) can be implemented. In this case, CO₂ is injected into the well at a pressure level such that CO₂ and crude oil are miscible. In this way, the viscosity of oil is reduced and the CO₂ pressure ensures the driving force for the extraction. Up to 40% of the residual oil left after a primary production can be extracted with this method and a large amount of CO₂ can be stored permanently, 3. Deep coal unmineable beds, especially where methane is trapped into the porous structure. As for EOR, injection of CO₂ could simultaneously enhance the recovery of methane and ensure the CO₂ sequestration. However, previous studies have shown that the potential of this kind of storage is limited due to leakage risks and limited available storage capacities. Deep ocean storage concepts have also been investigated by dissolving CO₂ into the water, possibly below 1,000 m depth, or preferentially below 3,000 m depth where CO₂ will be liquefied and sunk to the bottom due to its higher density than the seawater. The potential is great, but in both cases, the addition of CO₂ in the ocean will affect the seawater acidity (by reducing the pH) and impact on the marine ecosystem. More studies are required to assess the environmental risk before considering this storage. This route is not considered anymore except in Japan. The criteria to be considered for the assessment of storage capacity are well-known and relate to technical, economic and regulatory issues. Technically, a combination of physical and chemical trapping mechanisms and characteristics need to be considered at different timeframes to estimate storage capacities [5]. The costs for geological storage depend on reservoir type and geology. The literature provides a wide range of costs which may vary from 1 to 18 (2013 $/tCO₂) [6]. More specifically, for EOR applications, due to potential oil production benefits, CO₂ storage has an economic viability that relates to the cost of available CO₂ compared to the oil price: at 100 $/bbl oil price, an acceptable CO₂ cost should be in the range of 40$/tCO₂. The driving force for developing CO₂ storage through EOR business is therefore the oil price. From a regulation point of view, public safety and environmental protection is the priority. Several studies have been conducted to assess the risk of CO₂ leakage [4]. The leakage through cap rock will be very slow but other risks for surrounding environment, such as groundwater and soil acidification need to be evaluated. On the contrary, leakage through permeable pathway, especially close to the injection well, can evolve faster and become harmful for health. In any case, proving appropriate storage capacity requires several years and long-term monitoring must be carried out to ensure sealing of the storage during several thousand years. Based on these criteria, the prospects for storage of CO₂ are mixed at the present time. On one hand, all detailed regional surveys of storage resources that were conducted in most developed countries have shown that available storage capacities exceed the storage needs. For instance, the US DOE indicates that 1.600 Gt of CO₂ could be stored in the US, representing more than 250 years of current CO₂ emissions in the US [3]. In Europe, the EU GeoCapacity project [7] estimated a total European storage capacity of 126 Gt, to be compared with the 2 Gt/y total emissions resulting from large stationary source. From a technical point of view, storage of CO₂ is, thus, a suitable solution. On the other hand, market incentives and long-term environmental policies are yet not sufficient for creating a positive business case for CCS. Last but not the least, several social science studies [8] show that public perception of CCS is mainly focused on the risks linked to the transport and storage of CO₂. To obtain adhesion and general public acceptance, we need the recognition that global climate change is a serious problem and that a reduction of CO₂ emissions is needed [9]. Unfortunately, awareness seems still insufficient at this time. 2.3 CO₂ use If CO₂ is not stored when captured, an opportunity could be to consider CO₂ as a feedstock for other applications. Indeed, there are many potential uses of CO₂ [10] as shown in Fig. 3. As stated before, without reacting, CO₂ can be used in the Oil and Gas industry for Enhanced Oil Recovery (EOR), but also as a solvent in supercritical conditions, as a working fluid in refrigeration cycles or in the food industry. Considering chemical reaction, there are several opportunities to use CO₂ as a reactant in organic synthesis, mineralization and carbonate formation, hydrogenation, dry reforming, electrolysis, photocatalysis and thermochemistry. CO₂ is already used as a chemical feedstock for urea and polycarbonates synthesis and is seriously considered for methane, methanol synthesis and fuel production [10]. It can also be used as a feedstock for biological transformation, to produce microalgae or in biocatalytic processes. ![Potential CO₂ Use](image) Figure 3: The different routes considered for CO₂ upgrading However, at present, the amount of CO₂ used as a resource for CO₂ upgrading processes remains limited (in the range of 200 Mt), due to several difficulties explaining why CO₂ use cannot be considered yet as a global solution for global warming mitigation: - The CO₂ molecule is extremely stable. A lot of energy is needed, either directly or indirectly (through a reducing agent such as H₂) for CO₂ conversion. In each specific case, apart from economic benefits, the energy balance and environmental impact have therefore to be evaluated carefully. - In general, the market of products resulting from CO₂ conversion is rather small compared to CO₂ emissions. As an example, the methanol market worldwide is in the range of 65 Mt/y representing about 0.2% of the CO₂ emissions. The formic acid market is much smaller, in the range of 0.7 Mt/y. - Valuable concentrated CO₂ sources are limited yet and expensive capture and purification processes have to be implemented upstream of the CO₂ reaction process. Additionally, for most applications, the CO₂ storage time period depending on product lifetime is in most case shorter than a year. As a consequence, fossil carbon use may be avoided but CO₂ concentration in the atmosphere will not decrease significantly if CO₂ use increases. The Power to Gas Concept, taken as an example, illustrates some of the issues related to CO₂ use. Power to Gas is a new area of research and innovation in Europe [11]. This concept was originally developed in Germany to convert excess renewable electricity into methane. CO₂ (usually coming from biogas plants) is converted to methane while using hydrogen produced by water electrolysis. However, due to the lower price of natural gas compared to electricity, CH₄ produced by methanation is much more expensive than natural gas. Furthermore, the energy yield is not very high compared to existing alternative electricity storage solutions. In the end, even if all the CO₂ produced nowadays by German biogas plants (the largest biogas producing country) was converted into methane, this would correspond to roughly 10 Mt CO₂ converted per year, about 1% of the present German CO₂ emissions. In Germany, there are presently other possible justifications to power to gas (the electricity network is more limited than the gas network..) but, clearly, the economical challenge is huge and the potential impact on CO₂ emissions remains limited. Among the different routes available to upgrade CO₂ (see Fig.3), mineralization may address large markets in the range of 100 kt to 1 Gt CO₂ and sequestration periods in tens of years [10]. However, in most cases, since CO₂ is a very stable molecule, the energy needed to achieve CO₂ transformation is high and the product’s added value is small. Therefore economics is challenging. Fuel markets may address still larger volumes (2-3 Gt CO₂), but the development status is still very preliminary and the economical challenge is also huge in this case. 2.4 CCS techniques and capture cost CO₂ capture processes can be divided into three categories: pre-combustion, oxy-fuel combustion, and post combustion. To date, most of the industrial CCS operations are performed using gas treating technologies such as amine solvent, adsorption or distillation, preferentially in pre-combustion for the major plants in terms of capacity (Century Plant, Shute Creek, Great Plains, etc.) or in post-combustion in the case of Power Plant retrofit (Boundary Dam, Brindisi, Tampa, etc.). Oxy-combustion is less developed nowadays and still requires a first reference at large scale such as FuturGen 2.0 and White Rose in England. Pre-combustion systems normally involve a first step of converting the fuel into hydrogen and CO₂ via reforming and shift reactions. Carbon dioxide is then captured and stored. Finally, hydrogen, as a carbon free fuel is burnt with air. The CO₂ separation step is claimed to be easier compared to post combustion systems thanks to the fact that the flue gas is more concentrated and at higher pressure in this case. Oxy-fuel combustion consists in the use of pure oxygen instead of air. In this technology, a portion of the flue gas is recirculated back into the combustion chamber to control the flame temperature in the absence of nitrogen [12]. TOTAL has tested gas feed oxy-fuel combustion in a 30 MWth pilot in Lacq, France combined with CO₂ transportation and underground storage [13]. Coal oxy-fuel combustion was also studied and demonstrated at large scale: Vattenfall operated a 30 MWth coal oxy-fuel power plant demo in Schwarze Pumpe (Germany). At present, large industrial projects such as the White Rose project in England (FEED stage) have been very seriously considered, but have then been cancelled due to financing issues in the present CO₂ market context. Air separation cost and energy penalty, combustion flame temperature control, corrosion in the recirculation line, and CO₂ purification are some of the existing challenges related to this technology. Post combustion capture includes a large number of technologies such as chemical solvent absorption, solid adsorption, membrane separation, cryogenic separation, and pressure swing adsorption [14]. Mono-Ethanol Amine (MEA) based absorption technology is presently the most developed system, already used industrially for several applications such as sour gas washing. This technology is considered as a reference case for CO₂ capture regarding to its maturity. However, there is a high additional energy penalty in the electricity yield for CO₂ capture of about 10 % [15] and amine make-up is significant due to high oxidative degradation of the MEA Solvent. Some breakthrough solvents alternative to MEA are now proposed to reduce the energy penalty and solvent degradation, such as the DMX™ process developed by IFPEN using a phase change solvent to reduce CO₂ capture cost [16]. Abanades et al. [17] recently reviewed alternative emerging CO₂ capture technologies using adsorbent, membranes and Chemical Looping. Among these solutions, CLC is commonly considered as a second generation of oxy-fuel combustion where an oxygen carrier is used to transfer oxygen to fuel. The intrinsic O₂ separation resulting from the combination of the oxygen carrier circulation and the split of combustion into two combined sections permits to produce CO₂ streams without air separation unit. Therefore, the energy penalty can potentially be greatly reduced. Industrial process simulation by Authier and Le Moullec [18] shows that CLC can attain a net electrical efficiency of up to 41.6% compared to 45% for a CFB unit without CO₂ capture with a high pressure steam of 280 bar at 600 °C. Most of the energy penalty relates to CO₂ compression. Similar conclusions were obtained in the Encap European project 5 years ago [19]. A simplified techno-economic evaluation was carried out to study CO₂ capture and compression up to 110 bar. Several capture technologies were evaluated including a 455 MWₑ CLC with coal feed. CLC estimates were favorable with a limited 20% additional electricity cost and a very low CO₂ capture cost estimated in the range of about 10 €/ton of CO₂ (2004); a 42% electrical efficiency was estimated with CLC, to be compared with the 45% electrical efficiency obtained for the reference case with coal feed. In the frame of the IFPEN-Total collaboration for CLC development, we conducted recently a detailed techno-economic study in order to compare several CCS technologies using a reference coal power plant project of 630 MWₑ, with the same economical basis (France, 2012). A large part of the supply costs for CLC were estimated through suppliers. Natural ore with a supply cost of 1€/kg was considered, and the unit inventory was supposed to be renewed three times a year due to aging. We studied the impact of the CO₂ capture process on CO₂ avoidance cost and energy efficiency. In Table 1 below, the CLC estimates and the results obtained with a standard post combustion process using 30% MEA Amine washing process are compared to the reference case. The energy penalty related to CO₂ capture with CLC is estimated to 4.9%. More than 80% of this energy penalty corresponds to the CO₂ compression cost for transportation. In the same conditions but with conventional post-combustion amine processes (or with oxycombustion processes), the overall energy penalty including CO₂ compression cost is about twice the energy penalty of CLC. In this study, we could estimate CO₂ avoidance cost for CLC in the range of 37€/t, to be compared with the costs obtained with amine (and oxycombustion processes) in the range of 50-60€/t. With CLC, the overall investment cost would be increased by 50% compared to 70% with standard amine solutions. \| Power \| Net Electric Yield \| Electricity production cost \| CO₂ avoidance cost \| \|-------\|--------------------\|-----------------------------\|--------------------\| \| \| (%) \| (€/Mwhe) \| €/t CO₂ \| \| Reference \| 44.9 \| 63 \| \| \| CLC \| 40.0 \| 88 \| 37 \| \| Amine 30% MEA \| 34.9 \| 98 \| 53 \| Table 1: Impact of CO₂ capture on electric yield and production cost Clearly, amine and oxycombustion process developments are much more advanced, with existing large scale demos and plants in operation, while CLC is still at the development stage. This study, however, points out the promising potential of CLC with expected reduced energy penalty and lower CO₂ avoidance costs. One has to keep in mind, however, that, whatever the process considered, CO₂ avoidance cost is and will remain significant. This results from additional investments required to capture CO₂ (in large power plants, this corresponds to hundreds of millions of dollars) and additional operating costs. From an industrial perspective, this charge can only be justified by a CO₂ market value and incentive policies. 2.5 CO₂ market Implementation of CO₂ capture is an additional cost for the main industrial CO₂ emitters (Power industry, Refineries, Cement and Steel industries) that needs to be justified by CO₂ market value and incentive policies. A recent benchmark study conducted by IPCC [6] provides an update of CCS costs based on a literature review. They conclude that carbon prices in the range of $50-100/tCO₂ are required to make CCS attractive (80-90% of this value is justified by capture). These values could be positively reduced with new capture processes such as CLC or by giving a value to CO₂, depending on CO₂ use (for instance up to $10-60/tCO₂ considering EOR credits depending on price of oil as discussed earlier). In order to motivate huge investments required for CO₂ capture, it is necessary to develop structured CO₂ markets. On this point, even if climate warming is a worldwide issue with global consensus requirements (e.g. COP21 in Paris), the deployment of CCS should probably be investigated on a regional scale to integrate the specificities of each area in terms of economy (developed or developing countries), type of energy available (coal, oil, gas) and environmental constraints. Indeed, the six largest CO₂ emitters representing about 70% of global emissions [20] are implementing different strategies to tackle the issue: - China is the first CO₂ emitter worldwide (almost 10 Gt in 2014) and should continue to increase its emissions for at least another 10 years. As a result, China intends to demonstrate strong policy support for CCS and plans to implement a national emissions trading scheme from 2016 with the goal to achieve the peak of emission in 2030 at the latest. - The United States is the first CO₂ emitter for developed countries and is ranked second in the world with nearly 6 Gt of CO₂ emission in 2014 [21]. The political will was recently reaffirmed through the common US-China declaration to reduce emissions by 28% in 2025. A recent study from Synapse Energy Economics [22] forecasts a generalization of CO₂ market in the US in 2020 and an increase of CO₂ price to $25-54/tCO₂ in 2030 and to $45-120/tCO₂ in 2050 (expressed in 2014 dollars). - The European Union has created the first Emissions Trading System in 2005 but the economic downturn didn’t allow the deployment of the market. The EU has a common goal of reducing the emissions by 40% (based on 1990 emission rate) by 2030, and has launched the large funding program NER300 to support demonstration of new technologies at commercial scale. - Russia and India are each ranked in the top five but policy incentives are still at a low level in these countries [5]. They focused on other means to achieve their goal of decreasing CO₂ emissions and do not strongly support research for CCS technology. - Japan has to face with an increase of its CO₂ emissions since the government decided to replace the nuclear energy by natural gas and coal after the Fukushima disaster. The goal of reducing emissions by 26% (based on 2013 emissions) by 2030 should create opportunities for CCS. To date, pricing mechanisms have been launched in most of the major emitting countries (UE, US, China, Japan, Australia, Mexico, South Korea, Canada, etc.). There is progress, as shown in Table 2 below, but these regional pricing mechanisms still cover less than 12% of worldwide emissions. \| Year \| Event \| Part of emissions covered by pricing mechanism \| \|------------\|----------------------------------------------------------------------\|-----------------------------------------------\| \| 1990-2004 \| First carbon tax in Nordic countries and Poland \| 0.30% \| \| 2005-2011 \| EU emission trading system \| 4% \| \| 2012 \| Carbon market in California, carbon Tax in Japan \| 7.40% \| \| 2013 \| Regional carbon markets launched in China \| 9.60% \| \| 2016 \| Present situation \| 12.30% \| Table 2: Part of global emissions covered by national or regional pricing mechanisms Over the last years and still presently in 2016, CO$_2$ policies remain limited and resulting CO$_2$ prices are still very low, as shown in Fig.4. However, a positive outlook has emerged from the recent COP 21 since the part of the worldwide emissions that will be covered by CO$_2$ policies is expected to range up to 85% of global emissions in a near future. Therefore, all the commitments made by the governments should result in a driving force for developing CCS resulting in higher CO$_2$ prices. At present, a progressive increase is expected, both in Europe and in North America, as shown in Fig.4. This suggests that CO$_2$ prices may be in the range of 30-35€/t in 2030, which is in the range or below present CO$_2$ avoidance cost estimates. Based on this trend, over the last years, most of the development roadmaps for CCS have been delayed by roughly ten years, from 2015-2020 to 2025-2030 compared to the ambitious plans that were considered before 2010. ![CO$_2$ price in Europe over the 2006-2015 period and projections to 2030 in Europe and in the US](image) Figure 4: CO$_2$ price in Europe over the 2006-2015 period and projections to 2030 in Europe and in the US ### 3 CLC Development status #### 3.1 CLC applications Chemical Looping has gained a lot of interest after Ishida et al. [23] proposed the use of CLC as a mean to capture CO$_2$. Ishida et al. [24] proposed the term Chemical Looping to describe a high exergy efficiency combustion process using metal oxides as reaction intermediates. As pointed out by Fan et al. [25], several researchers had already considered the use of metal oxides as intermediates to conduct several redox reactions to produce either hydrogen, CO$_2$ or syngas early in the 20$^{th}$ Century. More recently in the 80s, an important R&D work was dedicated to the production of ethylene and ethane (oxidative coupling of methane) as well as maleic anhydride [25] using metal oxides. With the increasing concern of global warming in the 90’s, the reduction of CO$_2$ emissions in the atmosphere through carbon capture and storage has motivated a lot of new investigations, including Chemical Looping, which became a promising concept motivating important R&D effort. Over the last five years, the number of records addressing Chemical Looping in the Web of Science database dramatically increased and is in the range of 200 scientific publications per year. A new International Conference is now dedicated to CLC since 2010 and happens every 2 years (2010 at IFP Energies nouvelles in Lyon, France; 2012 at TU Darmstadt in Germany; 2014 at Chalmers University in Sweden; 2016 at Southweast University in Nanjing, China). Most of the research in Chemical Looping using metal oxides as oxygen carriers clearly focused on hydrocarbon combustion for CO$_2$ Capture and Sequestration (CCS) and reforming technologies, as discussed by Adanez et al. [26]. The Chemical Looping concept can also be extended to CO$_2$ capture in post combustion flue gases using adsorbents [27]. Over the last years, a considerable amount of work has been conducted on CLC, covering almost all kinds of hydrocarbon feedstocks. Researches were initiated by methane combustion studies and focused on oxygen carrier screening, small scale batch reactors and pilot plants, with the first trials in the GRACE project at Chalmers [28]. Based on this work, research rapidly extended in several places [29-32]. However, since most of the CCS concerns relate to coal combustion, the experimental tools were also progressively adapted in order to study and develop coal or pet coke combustion, either through in situ gasification and further combustion of syngas [33-36] (solid fuelled CLC), coal gasification followed by syngas Chemical Looping Combustion [37-38] (syngas CLC) or Chemical Looping Uncoupling (CLOU) process [39] where the solid fuel is burnt with gaseous oxygen released in the fuel reactor by the oxygen carrier [26]. Liquid fuel combustion was also investigated [40-41]. Alternative resources such as biomass and wastes have also been considered, with further GES accounts benefits. Indeed, in the early stages of investigations for solid fuel combustion, plastic waste and wood combustion were also studied at small scale [42], and soon extended at pilot scale [43]. Despite the Chemical Looping Combustion principle being simple, oxygen carriers, operating conditions and technologies have to be optimized depending upon the nature of the hydrocarbon feedstock [26]. Therefore, specific research and development is required depending upon the specific application considered. For combustion applications, the pressure should be kept as low as possible in order to minimize energy compression cost. The combustion temperature relates to the kind of feedstock and oxygen carrier used. Very high temperature in the range of 850-950°C may have to be considered in the fuel reactor operating with solid fuels [36], resulting in higher temperatures in the air reactor as a function of heat balance requirements. The other main field of investigation for Chemical Looping studies relates to Chemical Looping Reforming for hydrogen production. Indeed, hydrogen production through standard steam methane reforming generates also large amounts of CO$_2$ diluted in N$_2$. Therefore, several teams started to focus on the integration of CO$_2$ capture processes with the H$_2$ production process using Chemical Looping concept [25, 44-45]. Alternatively, H$_2$ can also be produced from syngas from coal gasification using Chemical Looping concept as proposed by Fan [46]: syngas is first used to reduce metal oxide that is then oxidized with steam in a distinct reactor to produce pure hydrogen. In order to minimize energy compression cost, a Chemical Looping Reforming process should probably be operated at high pressure. This needs to be accounted for when considering reactor technologies and high pressure operation may create additional scale-up issues with interconnected fluidized bed reactors. ### 3.2 Oxygen carrying materials A large number of oxygen carriers have already been considered and tested for Chemical Looping applications [26]. Two main oxygen carrier categories can be distinguished: synthetic particles and natural ores. The oxygen transfer capacity and reactivity of the oxygen carriers depend on the nature and amount of active phase in the particles, as well as on the possible interaction with the ceramic support. As a rule of thumb, Ni and Cu based particles are the most reactive, but their cost is higher than Fe or Mn based oxygen carriers and toxicity is a major concern with Ni particles. Thermodynamic limitations as well as toxicity and cost make Co based particles uninteresting. Most of the studies relate to synthetic particles, since it is possible to tune their reactivity, oxygen transfer capacity and mechanical resistance. They are generally composed of an active phase (a metal oxide of Mn, Fe, Co, Ni and Cu, or a mixture thereof) mixed with a ceramic binder or support (typically alumina, silica, yttria, clays...) which prevents the fast deactivation observed with pure metal oxides and improves their mechanical stability (i.e. attrition). The preparation of synthetic particles has mainly been performed either by impregnation of the active phase on a support with adequate particle size distribution, or by spray drying of a suspension containing the required starting materials [26]. High temperature calcination is then usually applied to the particles in order to enhance their mechanical resistance. While producing spherical particles in the 50-100µm range (for the FCC process) is easily achievable at industrial scale by spray-drying, increasing the particle size to the 100-300µm range that is often required to meet the CLC process constraints is not as straightforward. Pilot scale production of CLC particles by spray-drying has been achieved by different groups [47-48], and scaling up is currently being addressed in the SUCCESS European Project. The cost of synthetic particles is significant and usually in the range of 10€/kg. It is mainly determined by the cost of the selected starting materials (hence by the chosen formulation) and by the shaping method (spray-drying, granulating, spin-flash drying, etc.). Impregnating the active phase on a pre-shaped support adds an extra step to the preparation of the oxygen carriers, adding to its cost. Fluidized bed testing of these synthetic oxygen carriers shows that they are adapted in terms of reactivity and oxygen transfer capacity. However stability of operation over time is still limited due to aging issues. This is a concern since aging will request particle addition to keep stable properties and clearly impact operating cost. De Diego et al. [49] observed attrition rate in the initial stage of the tests, but it did lower to ‘acceptable’ levels (e.g. 0.04 wt%/h) afterwards. C.R. Forero [50] shows that upon longer testing time, the attrition rate of these particles suddenly increases drastically (Fig.4). Wei et al. [51] also reported the pulverization of iron based synthetic particles (Fe₂O₃/Al₂O₃, 70/30) after 60 h in a circulating fluidized bed. Several studies have also been conducted with natural ores (and to a lesser extent with industrial waste materials). Indeed, natural ores are at least an order of magnitude cheaper than synthetic materials. As an example, the price of Mn ore and the price of ilmenite are in the range of 0.15-0.25 €/kg [17]. To be used in the CLC process, ores must be processed so as to reach the required particle size distribution, which adds to the actual cost of the oxygen carrier to some extent. The crushed and sieved particles are not spherical, which will increase their initial attrition rate as well as the pressure drop in the risers. Among natural ores, ilmenite (FeTiO₃) and manganese ores have been particularly studied [52]. Their lower reactivity and oxygen transfer capacity compared to synthetic particles can be compensated by longer residence time in the fuel reactor. However, some studies suggest that manganese ores have poor mechanical stability and poor fluidizing properties making them unsuitable as oxygen carriers [53]. Stability is also an issue with ilmenite: the analysis of the used oxygen carrier shows that the porosity of the particles increases with time on stream, and that the chemical and mechanical transformations experienced by ilmenite particles in a 100 kWth Chemical Looping combustor led to their breakdown into particles unfit for use in a circulating fluidized bed [54]. Expected lifetime of ilmenite has recently been estimated in the range of 300 h, based on long term testing in a 100 kWth circulating fluidized bed at Chalmers [55]. Aging of oxygen carrier is therefore presently a strong concern for both synthetic materials and natural ores. According to L.S. Fan et al. [25], the early studies on oxygen carriers for CLC applications failed to recognize the prevalent role of cationic and anionic migration inside the particles, which possibly entail the phase segregation reported above in ilmenite, as well as the formation of cavities/macropores, agglomeration and/or sintering. Our own experience [56] is consistent with this statement. Indeed, we observed large porosity increase with some manganese ores in IFPEN’s 10 kW\textsubscript{th} circulating fluidized bed, leading to the pulverization of some particles after 144 h of continuous combustion (387 cycles). With nickel based synthetic particles (NiO/NiAl\textsubscript{2}O\textsubscript{4}), a porosity increase and nickel migration was observed after 250 cycles in a batch fluidized bed, but the particles remained fluidized and reactive, while copper based particles (CuO/Al\textsubscript{2}O\textsubscript{3}) did not withstand the same number of redox cycles. The alumina matrix was shattered, leading to the formation of large amounts of fines, and copper migration/sintering was observed. The reasons for such differences in attrition behavior between natural ores and various synthetic particles are not yet fully understood, but promising results have been obtained in long term cycling experiments (up to 500 cycles) in batch fluidized bed with synthetic particles carefully designed to minimize metal ions migration. With regards to aging behavior in CLC processes, one therefore has to ensure that the particle’s physical and chemical properties are not drastically evolving with the number of redox cycles, and long test periods should be favored. The choice between natural ores and synthetic particles will very much depend on cost and on expected lifetime of the particles in the circulating fluidized bed. End of life and recycling of the fine particles generated in the CLC process have to be considered in the early stages as well. Indeed, aging of oxygen carriers in the industrial units will result in large amounts of waste materials heavily loaded with metals. Extensive research is still required to improve the properties of oxygen carriers. In general, oxygen transfer capacity and reaction kinetics are favorable with synthetic particles compared to natural ores, but there still is a need to improve their performance in terms of mechanical stability and active phase migration so as to be able to increase the number of cycles achievable in order to minimize CO\textsubscript{2} capture cost. ### 3.3 Pilot plants Chemical Looping Combustion is a complex process involving rapid contacting in opaque multiphase flow, with solid transportation at high temperature. It is therefore essential to develop appropriate experimental tools in order to support R&D and scale-up toward industrial applications. Small scale reactors have been widely used over the last fifteen years to test and select appropriate oxygen carriers. Indeed, in thermal gravimetric analysis (TGA), very small amounts (milligrams) of materials are necessary. Therefore, TGA has been widely used for oxygen carrier screening studies. However, TGA use remains limited due to internal mass transfer limitations [57]. Small scale fixed bed and fluidized reactors have also been used [58]. These reactors are mostly used for gaseous feeds such as methane or syngas. Batch operation is conducted by alternating oxidation and reduction conditions. Extensive cycling studies are possible but are usually limited (10-20 cycles typical in most cases). The cycling at this stage therefore remains rather small compared to the high number of cycles that is expected industrially (in the range of 10 000-20000 cycles minimum). When dealing with liquid and solid feedstocks, specific tools have to be developed in order to address feed introduction properly and achieve reasonable mass balances. These reactors are usually fluidized beds operating in batch [35, 40, 59]. At IFPEN, using such reactors as shown in Fig.5 and 6 with solid fuels, we could investigate reaction mechanisms at small scale while achieving reasonable mass balances in the range of 95-105% and injecting limited amounts of feedstocks in the range of 1g [35]. It was also possible to evaluate the evolution of performances as a function of the number of cycles by automating the experiment for cycling (operating with gas injection only, however). Up to 500 cycles could be achieved on the same particle samples (unpublished work). However, when long term operation is desired on complex feeds with accurate mass balances, large scale continuous pilot plant is then obviously preferred and needed. For continuous pilot plant operation in CLC, separate reaction zones with continuous circulation of solids are needed. Apart from specific technologies related to CLC process constraints, since the pilot scale is usually small, due to the high temperature operation, thermal losses are important, and it is essential to compensate for heat losses at the wall and to thermally assist the operation during start-up. Several options are possible, among them: insert the whole pilot in a given furnace; specifically control temperature in each pilot section with dedicated heat tracers. Usually at small scale, due to heat compensation and control strategy, temperature in each reaction zone is fixed by the operator and results from the heat tracer compensation. This is a pseudo iso-thermal mode and it is different from expected industrial operation which is adiabatic. Heat balance calculation can support temperature selection in order to simulate pseudo adiabatic operation as a function of solid circulation. When the pilot size increases, heat compensation becomes more and more difficult due to increasing compensation required. At a certain scale, it becomes obvious to consider adiabatic operation while minimizing heat losses using insulation and refractory lining [60-61]. However, insulating large pilot plant piping with refractory is more difficult than insulating industrial plants due to the smaller size of piping. The temperature control strategy as a function of scale is therefore an important issue, that will clearly affect the results obtained and the cost of experiments. Similarly, depending on the pilot plant objectives, the reactor technology considered at the pilot scale can either be representative of industrial expected operation, or alternatively, the differences have to be accounted for when dealing with the results. Over the last ten years, about twenty continuous pilot plants have been erected all over the world, with capacities ranging from 10 kW\textsubscript{th} up to 150 kW\textsubscript{th}, as discussed by Adanez et al.[26]. Most of these units focused on gas and solid fuel testing, including a large pilot unit of 1 MW\textsubscript{th} built at Darmstadt [60-61] and a 3 MW\textsubscript{th} limestone CLC pilot plant unit at Alstom Power Plant laboratories. Among these pilots, a number of pilot plant have been erected over the last five years in China [51, 63-66] in relation with the large coal combustion needs and concerns in this country. As an example, the 10 kW\textsubscript{th} IFPEN pilot plant design [32] is represented in Fig.7. It was originally designed for methane and syngas combustion and, later, the fuel reactor was modified (see Fig.8) in order to study the combustion of solid fuels [36]. When the size of the pilot increases, operation complexity also increases and the amount of oxygen carrier required can be limiting due to the availability of materials. This is particularly true for synthetic materials. As reported, in most of these pilots, it was possible to achieve continuous CLC combustion and to investigate the impact of operating conditions on fuel conversion during significant but limited time periods, resulting in limited redox cycling over time, (in the range of 100-200 cycles maximum typically). Indeed, it is not easy to maintain stable operation over long time periods with the same inventory at small scale, since oxygen carrier aging due to chemical or mechanical constraints attrition may create operation issues [54]. Depending upon pilot plant design and objectives, several important information can be consolidated. As an example, Lyngfelt and Linderholm [55] highlight the importance of volatiles flow control as a function of solid fuel distribution in the reactor. Clearly, based on all the work published, the CLC concept is well demonstrated at the pilot scale for gas and solid fuel combustion as well as for hydrogen production, but in most cases over a limited number of redox cycles in the range of 100-200 due to oxygen carrier aging limitations. Figure 7: IFPEN 10 kW\textsubscript{th} pilot plant lay-out for steady state gas CLC combustion study [32] Figure 8: IFPEN 10kW\textsubscript{th} fuel reactor modified for solid fuel combustion study [36] The next step is to demonstrate the technology over time at larger scale. However, for further developments, the challenges are numerous. Large scale testing is expensive and requires both confidence in the technology, oxygen carrier aging and market short term needs. Over the last years, CO\textsubscript{2} prices falling and stabilizing in the range of 5€/t have been very detrimental for short term perspectives in CO\textsubscript{2} capture markets. At Total and IFPEN, we conducted a feasibility study and a basic engineering study to erect a 3 MW\textsubscript{th} demo unit (DECLIC project) in 2011-2012, as shown in Fig.9. With earlier CO2 markets, that unit would have been operating today [67]. At the same time, Cennovus [68] also had a 10 MW\textsubscript{th} CLC gas combustion unit project to produce SAGD steam in order to produce heavy oil bitumen in Canada that was not confirmed later. The most advanced Chemical Looping demo project is most likely the Ohio State University high pressure pilot syngas Chemical Looping unit at 250 kW\textsubscript{th} to 3 MW\textsubscript{th} scale in Wilsonville, Alabama for H\textsubscript{2} production [25]. According to L.Shen [69], the Chinese government is planning to support the fund to build an industrial pilot CLC device in the next 10 years, and the plan will be issued shortly. 4. Fluidized bed technology for CLC Several technologies have been considered for CLC, including rotating reactors, alternating fixed beds, moving beds and interconnected fluidized beds systems [25-26]. For large scale applications such as coal combustion for power generation, fluidized bed technology is probably the most appropriate technology, offering the largest quantities of gas per unit cross section. Indeed, typical new CFB boilers nowadays have power generation capacities in the range of 250 MW\textsubscript{e} [70] and larger plants in the range of 500 MW\textsubscript{e} have already been erected. In the future, CFB boiler capacity in the range of 800 MW\textsubscript{e} are anticipated [70]. Therefore, it is mandatory to consider large power capacities as ultimate targets for CLC units dedicated to coal combustion with CO\textsubscript{2} capture. Large scale operations are better optimized for energy efficiency (supercritical steam cycles as an example). Furthermore, CLC is the first step of the CCS process and large scale will also help to optimize and minimize costs related to transport and storage. Recently, EDF in France published a process investigation study for CLC coal combustion considering a 250 MW\textsubscript{e} power plant electrical capacity [18]. In the past, scale-up of the technology was considered for 455 MW\textsubscript{e} power plant capacity in Encap European project [71]. At a large scale, the circulation of large amounts of oxygen carriers has to be considered in between the air reactor and the fuel reactor. As an example, a rough calculation shows that a 200 MW\textsubscript{e} Coal CLC unit would require a solid circulation flowrate in the range of 2 t/s, while considering an oxygen transfer R\textsubscript{o}\Delta x corresponding to 2% of the solid circulation flowrate. As a comparison, industrial FCC units operate with catalyst circulations typically in the range of 0.3 t/s to 1.5 t/s of catalyst. Also, in the early stage of R&D it is important to have an estimate of the main equipment size in order to have an idea of the construction cost and assess the process feasibility. As a rough estimate, the same CLC unit discussed before would probably need an air reactor riser in the range of 11 m i.d. if considering gas superficial velocities in the range of 6 m/s. This is large compared to today’s FCC risers, but rather small compared to large CFB boilers with cross sections in the range of 9 x 21m. All this supports the fact that large CLC coal power plants are achievable, but process optimization and scale-up issues have to be carefully considered. Scale-up issues relate to reactor size and geometry, to solid circulation flowrates, but they also relate to the oxygen carrier chemical and mechanical stability over time, as pointed out above. Oxygen carrier stability issues have been encountered in pilot plants and to summarize where R&D stands nowadays, oxygen carrier stability is presently limited in the range of 100-200 h of operation, which corresponds to 250-500 cycles. However, a large scale plant is expected to operate continuously with time on stream in the range of 8000 hours/year. Depending on the oxygen carrier stability, continuous addition will be needed to maintain a constant activity and inventory in the unit, and the amount of oxygen carrier added over a year can be compared to the oxygen carrier inventory in the unit. Without any addition, a stable oxygen carrier would probably cycle in the range of 30000 to 60000 times per year. If oxygen carrier addition corresponds to 1 inventory, the number of cycles will be divided by 2. We conducted a detailed estimate of CO$_2$ avoidance cost for a large 630 MW$_e$ coal power plant composed of 3x525 MW$_th$ CLC plants in parallel. To assess the sensitivity of material cost and stability issue, the CO$_2$ avoidance cost was estimated for a cheap natural ore (price delivered on site = 0.5€/kg) and a cheap synthetic material (price delivered on site = 5 €/kg). The number of CLC unit inventories added per year for stability issues was varied from 1 to 6, as shown on Table 3 below. Clearly, the impact on the CO$_2$ avoidance cost is very significant for synthetic materials since the avoidance cost is multiplied by 2.5 when inventory is changed 1 or 6 times (corresponding to cycling capability reduction from 15000-30000 to 2000 to 5000 cycles typically. The impact is less important for natural ores. However, 2000-5000 cycles is about 10 times the maximum length of operation achieved up to now. Therefore, the oxygen carrier stability issue is also quite critical to consider and there is still a lot of work that needs to be conducted to improve material stability. \| Number of inventory renewal \| 1 per year \| 3 per year \| 6 per year \| \|-----------------------------\|------------\|------------\|------------\| \| CO$_2$ avoidance cost (€/t CO$_2$) with Natural Ore (0.5 €/kg) \| 30.5 \| 33.3 \| 37.3 \| \| CO$_2$ avoidance cost (€/t CO$_2$) with Synthetic Material (5 €/kg) \| 42.6 \| 69.4 \| 109.6 \| Table 3: CO$_2$ avoidance cost as a function of number of solids inventory used per year Reactor technology covering fluidization flow regime aspects, inlets and outlets configurations, appropriate geometry to control residence time and mixing, has to be optimized for performances as a function of process constraints. Apart from energy efficiency, CO$_2$ capture efficiency (typically expected in the range of 90%) needs to be considered, together with other important aspects such as the amount of unburnt coal and hydrocarbons in the flue gas to maximize combustion efficiency. Research has been conducted with several different pilot plants to investigate CLC combustion and the following conclusions were evident: - coal combustion results from gasification of char (time limiting step) and combustion of syngas, - unburnt coal / char has to be separated from oxygen carrier at the fuel outlet to maximize CO$_2$ capture, and - enough contact has to be provided between oxygen carrier, syngas and devolatilization materials for combustion efficiency. At pilot scale, most of the pilot plants erected up to now use a bubbling fluidized bed fuel reactor with long residence time to promote coal gasification and syngas combustion. As discussed by Lyngfelt and Linderholm [55], coal feeding is essential to avoid bypassing of devolatilized materials. In their early pioneering work [33], solid fuel was introduced in the dilute phase of the fuel reactor, resulting in coal devolatilization and combustion bypassing for most of the volatile materials. In a more recent 100 kW\textsubscript{th} unit [55], fuel is introduced with oxygen carrier in the upstream loop seal and enters the fuel reactor at the wall but they still observe some bypassing of devolatilized materials. They advise that adequate fuel distribution is important in large industrial fuel reactors in order to minimize this phenomena at large scale. Other options are also possible: coal can be injected with an independent transport line in order to maintain a low coal temperature and minimize devolatilization prior to fuel reactor contacting [36]. With solid fuels, fuel residence time must be large enough in the fuel reactor in order to allow char gasification. Recently, TU Vienna [72-73] proposed to increase fuel residence time in their CFB fuel reactor by installing ring internals all along the wall of the CFB. Such a configuration has been used in riser sections of FCC units [74]. Furthermore, ring internals limit overall solid mixing and this gives the possibility to achieve a countercurrent behavior of gas and solid. Counter-current approach is also proposed by TU Hamburg in their fuel reactor concept, but implemented in a two stage dense fluidized bed [75]. Residence time in the reactor also relates to the particle size of the solid fuel particles. Pulverized fuels are expected to react faster but will also be quickly entrained by transport gas from the fuel reactor conversion section, while large particles may react slowly but shall stay longer in the fuel reactor [61]. The fuel particle size is also important to consider for separation at the outlet of the fuel reactor since the exiting unburnt char particles will be recycled to the fuel reactor a topic discussion below. ![Figure 10: the fuel reactor concept developed by IFPEN and Total [67]](image) There are several possible options to be considered for the combustor technology developments, as discussed above. Based on the reactions constraints and design criteria, some options may scale-up better than others. In our IFPEN-Total research group, we developed a new fuel reactor concept while analyzing reaction constraints combined with scale-up perspectives [67]. The reactor technology was adjusted to meet the CLC process constraints in order to maximize CO\textsubscript{2} capture and minimize energy penalty. In details, the CLC reaction zone is composed of two sections (fuel reactor/ air reactor). L-valves and Loop-seals are used to control solid circulation and gas leakage in between the reactors. A new fuel reactor design is proposed, as shown in Fig.10. The design provides enough time for gasification reaction in a first coal - oxygen carrier contacting zone consisting of a high velocity turbulent fluidized bed zone, All the effluents exiting from this zone then enter a riser transport section that provides enough contact time for syngas and volatiles combustion. The effluents then flow through an integrated carbon stripper to separate unburnt coal and ash from oxygen carrier. Unburnt coal and fly ash are recycled back toward the fuel reactor. A 60%+ carbon conversion per pass is anticipated which would result in more than 90% CO₂ capture rate. The air reactor is designed as a circulating fluidized bed in order to achieve at least 90% O₂ capture from the air and minimize energy penalty. The oxygen carrier flow is controlled by L-valves which can adjust the circulation in between each reaction zone. 4.1 Control of circulation: L-valves Control of solids circulation is critical in order to control reactor performance in CLC. Indeed, in adiabatic industrial conditions, solid circulation will provide heat transportation between the air and the fuel reactor. As a consequence, solid flowrate will not only affect the reduction rate of the oxygen carrier, but also the temperature difference between air and fuel reactor. Due to high temperature conditions in CLC, the use of conventional mechanical valves is not economically feasible. Thus, non mechanical L-Valves were considered [76]. However, the use of L-valves then imposes to use particles belonging to group B of Geldart’s Classification in order to obtain fine circulation tuning, as these valves are not capable of controlling Geldart Group A powder flow. The solids flow in non-mechanical valves results from drag forces exerted by aeration gas on the particles in bends. As represented in Fig.11, an L-valve is a simple non mechanical valve composed of an elbow combined with an aeration located at the bottom of a standpipe. The actual flow that causes the solids to flow around the L-valve is not just due solely to the amount of external aeration added to the valve. Indeed, some gas is travelling up or down the moving packed bed standpipe with the solids. Thus, the amount of gas that flows around the L-valve bend is the sum of the standpipe gas internal flow and the aeration gas external flow. If the gas is flowing up the standpipe, then the amount of gas flowing around bend is the difference between the aeration gas external flow and the gas flowing up the standpipe [76-81]. ![Figure 11: L-Valve and loop seal configurations](image-url) When aeration is added to a non-mechanical valve, solids do not necessarily start to flow immediately and the amount of initial aeration gas added to unlock solid circulation depends on several parameters. Above this threshold, additional aeration gas added to the valve will cause an increase in solid flowrate. Non mechanical valves work best with Geldart Group B and D materials with particle size typically larger than 100 microns [80]. In general, L-valves cannot be used with Geldart’s group A to control the flowrate of solids, since in most cases, the flow would remain fluidized in the standpipe. Knowlton and Hirsan [78] have already shown in 1978 that the operation of a non-mechanical valve is dependent upon pressure balance and geometry of the system. Recent experimental work conducted with different L-valve sizes (from 20 mm to 240 mm) and different solids (ilmenite, sand and manganese ore) at ambient conditions [76-77, 82] show the link between the resulting solid flux $G_s$ in the L-valve as a function of the actual gas velocity in the horizontal section of the L-valve ($U_H$) and minimum fluidization gas velocity ($U_{mf}$) ratio (see Fig.12 below). Depending on gas flow, very large solid mass flux can be obtained. ![Graph showing Solid flux as a function of adimensionnal gas flow in the L-valve](image) Figure 12: Solid flux as a function of adimensionnal gas flow in the L-valve The same trend can be found at elevated temperatures in the range of 25-750°C [80-81]. Based on all this, a general expression can be derived to model resulting solid mass flux: $$G_s = k \left( \frac{U_H}{U_{mf}} \right) + G_0 \quad (1)$$ The gas velocity $U_H$ in the horizontal section results from external aeration added to the L-valve and from gas flowing up or down in the standpipe, that needs to be evaluated as a function of pressure balance. The value of $G_0$ and $k$ relate mostly to the L-Valve geometry and particle properties [81]. In some cases, it is not necessary to control solids circulation but only to minimize gas leakages in between two interconnected fluidized bed systems. As an example, in CLC it is important to minimize dilution of the produced CO$_2$ stream exiting fuel reactor by nitrogen coming from air reactor, or to minimize CO$_2$ leaks from fuel reactor to maximize CO$_2$ capture. For that purpose, loop-seals, as represented in Fig.11, can be used considered in CLC units, as discussed by Yazdanpanah et al.[83]. L-valve and loop-seal operations have some similarities, as discussed in [81-83]. 4.2 CLC circulating solid particles composition issues Another aspect of solid circulation in CLC that is not often discussed relates to the solids composition in the process, that is quite complex and changes significantly in the loop depending on the location. Indeed, a coal combustion process can generate agglomerated and/or fly ash depending upon coal composition and operating conditions (mostly temperature). On one hand, if agglomerated ash is generated, it will accumulate at the fuel reactor bottom and withdrawal has to be considered. On the other hand, fly ash, which is made of very fine particles, will exit the reactor in flue gas. If a high efficiency cyclone is implemented on flue gas to recover fine char particles, then a lot of fly ash will also be recovered and will therefore accumulate in the unit and progressively modify significantly the PSD of circulating particles in the fuel reactor. It may therefore be important to implement a deashing zone (as shown on Fig.10). It is also important to implement a separation zone to separate char particles from oxygen carrier in the loop at the fuel reactor outlet. Char particles entrained with flue gas would generate losses in energy efficiency and char entrained with the oxygen carrier would generate a decrease of the CO$_2$ capture efficiency. In practice, in order to limit entrainment of char to the air reactor and to maximize CO$_2$ capture efficiency, a carbon stripper section dedicated to char separation and recycling back to reactor fuel can be implemented. Several designs have been proposed, mostly based on fluidized bed elutriation, either integrated in the dense phase of the fuel reactor [33], or implemented in between the fuel reactor and the air reactor [55-71]. As an example, Alstom [71, 84] has developed a separator based on entrainment in a compartmented fluidized bed located in between the fuel reactor. In our IFPEN-Total research group, we have developed an alternative concept based on dilute phase separation at the fuel reactor with the flue gases to minimize energy penalty [85]. This concept was tested in a 0.6 m I.D, 1MW$_{th}$ equivalent large cold flow model and in our 10 kW$_{th}$ pilot plant [36]. 4.3 Oxygen carrier attrition As discussed before, oxygen carrier aging and losses significantly impact the economics of the process. During their life-time, particles go through high mechanical, chemical and thermal stresses related to circulation in the process loop. Therefore, apart from reactivity, oxygen transfer capacity and reactive cycling aging of oxygen carrier materials, it is also important to study the oxygen carrier resistance to attrition. Apart from economical consideration, particles with low mechanical resistance will produce fines that can cause many operation problems related to inventory losses and solids circulation problems. In the perspective of industrial operation, attrition needs therefore to be minimized. Unfortunately, there is presently very little information available concerning long term operation with group B oxygen carriers and there is no industrial data available to be used as a reference for the CLC process. It is therefore difficult, in the early stage of process developments, to predict attrition at industrial scale based on existing tools and methodologies for the different oxygen carriers available at small production scale. Attrition relates to solids properties and fluidization conditions (i.e. particle velocities). As discussed before, solids properties deteriorate after a few hundreds of cycles. It is important therefore to consider equilibrium solid properties to evaluate attrition due to mechanical stress in fluidization conditions, but which equilibrium condition to consider? To evaluate the attrition due to mechanical stress, a first approach is to relate attrition to the principal sources of particle breakage such as cyclones, gas injections and gas bubbles in fluidized beds. The modeling of attrition sources can then be conducted with a population balance model in order to predict attrition at an industrial case. J. Werther and E. Hartge [86] used this method to predict the attrition generated in a reactor/regenerator system. Based on this approach, more recently, Kramp et al. [87] made an attempt to simulate attrition in a CLC process. This method is presently the most suitable approach to evaluate attrition at industrial scale, however it requires a tedious experimental work and a large quantity of material of interest in order to characterize the different sources of attrition. For particle screening or when little amount of particles is available, as it is usually the case at the early development stage, it cannot be applied. Figure 13. Standard attrition indexes $IA_{20}$ and $IA_{44}$ [89]. Illustration with FCC catalyst attrition results Figure 14: New TGPI attrition index proposed [88]. Illustration with FCC catalyst attrition results In order to evaluate the resistance to mechanical attrition of the different oxygen carriers available, we proposed a relative method in order to compare oxygen carrier resistance to spent catalyst resistance in Fluid Catalytic Cracking process (FCC) [88]. Indeed, the CLC process configuration is similar to the FCC process with a controlled solid flow circulating in a loop of reactors. Therefore, in both processes, particles go through a similar mechanical stress. FCC particles can therefore be used as a reference in order to evaluate and rank the mechanical resistance to attrition of the different oxygen carriers available. However, since FCC particles belong to the fluidization Group A, while oxygen carrier particles usually belong to the fluidization Group B, direct comparison is neither easy nor obvious to conduct using standard attrition tests. For this reason, we developed a specific method using a lab scale jet cup rig [89] in order to compare the mechanical resistance to attrition of different kinds of particles. First, to account for PSD differences, we defined a new attrition index that does not depend anymore upon a given particle size, as usually proposed (see Fig.13). This index is based on the total percentage of particles generated by attrition and it is called TPGI (Total Particles Generated Index), as shown in Fig.14. With the revised attrition method, we found that attrition is proportional to the contact frequency between the air jet and the particles in the jet cup attrition test [88]. Therefore it is necessary to estimate the particles circulation within the air jet for each solid tested in order to make sure that particles go through the same mechanical stress. Based on this, it is possible, using Computational Fluid Dynamics (CFD), to evaluate the inventory required as a function of particle properties to generate similar stress. Our results showed that in order to have the same circulation of particles in the air jet (therefore the same mechanical stress during attrition test) tests should be carried out with the same initial volume of particles [88]. Further experimental validation is required to consolidate this conclusion. Based on this, the particles mechanical resistance can be characterized by the TPGI increase rate with respect to the jet cup test duration and comparison can be made using different solids in conditions developing similar stress. It is important to notice that this attrition testing procedure allows to compare solids relatively, meaning that it is possible to know that one solid will behave better with respect to the other in terms of attrition. However it is difficult to get quantitative attrition data at industrial scale from this test. To move a step forward, we need to relate the jet cup attrition tests results to the attrition occurring in the principal sources of attrition in the process, such as cyclones and gas injectors. The jet cup results could then be transposed to the attrition at industrial scale using a population balance model. 4.4 Fluidized regimes in CLC process For design aspects, scale-up and control of operating conditions, it is important to study and characterize the flow regimes and hydrodynamics in the air reactor and in the fuel reactor. In the fuel reactor with solid fuels, as discussed before, the fuel residence time may be limiting due to slow gasification reactions, as noted above. Thus, for industrial scale operations, the fuel reactor diameter needs to be minimized, and therefore, high fluidized bed velocities in the turbulent regime need to be considered [90-92]. However, there is still limited information on turbulent fluidization in the literature for Group B powders at elevated temperatures, and some work is still needed in order to predict turbulent transition, the bubbling/slugging behavior and the solids mixing with turbulent fluidization. This is particularly true for high density materials such as oxygen carriers considered for CLC applications [82]. Oxygen carrier oxidation with air is a fast reaction that can be conducted in a circulating fluidized bed with high velocities. To minimize the amount of air flowrate, oxygen consumption has to be maximized (at least 90%) with air reactor oxidation step. Therefore, the design should allow enough air / oxygen carrier contacting in the riser. Another design constraint relates to the minimization of energy penalty. Indeed, energy consumption in the CLC process is mainly related to air compression upstream the air reactor. Due to the large amount of air required, we could estimate that an increase of the air reactor pressure drop in the range of 100 mbar would result in a loss of 0.5% for the overall CLC process energy yield, which is very significant (see Table 1). Based on literature, prediction of riser flow with dense group B particles densities exceeding 3000 kg/m$^3$ is presently a difficult task. Therefore, we performed large scale experiments in a 18 m high riser with a 0.3 m diameter, with different group B particles [93-94], at expected representative gas velocities in the range of 8-10 m/s and solid mass fluxes in the range of 30-60 kg/s/m$^2$. As shown in Fig.15 below, for similar operating conditions, the sand and glass beads that were tested generated very different pressures drops. ![Figure 15: Axial pressure profiles along the riser for sand and glass beads (GB) at different operating conditions. [94]](image1) ![Figure 16: Experimental and 1D model prediction of axial pressure profiles along the riser with glass beads [95]](image2) Pressure drops for glass beads, with a sphericity of 1, are consistently smaller than those obtained with a sand of similar size, but with a sphericity of 0.83. This suggests that particle sphericity has a substantial impact on hydrodynamics and may also impact energy penalty of the process. These differences may be explained in part by a larger annulus region with non-spherical particles. However, the impact of sphericity that we found is strong and unexpected. It cannot be predicted by the classic riser models nor CFD [95]. Therefore, we developed a 1D model at IFPEN using these experiments to derive a 1D drag force, and accounting for particle properties in order to predict riser hydrodynamics in CLC conditions (see Fig.16). With such a model, drag force adjustment is essential to describe properly particle acceleration at the riser bottom. In the present case, the drag adjustment was satisfactory at low mass fluxes in the CLC expected conditions but at higher mass fluxes in the range of 90 kg/s/m², the resulting acceleration of particles was too strong. 5 Conclusions To summarize, at present, CO₂ market value and incentive policies remain limited, despite increasing global warming concerns. In this context, even if CO₂ storage capacities are available, the economics and public acceptance limit CCS deployment. It is therefore difficult to justify the deployment of CCS industrial projects without additional side profits such as EOR for instance. CO₂ use is an interesting route to consider as a complement to CO₂ storage. However, even if the CO₂ use would generalize at large scale, the impact will probably remain limited and most of the CO₂ will have to be stored. The perspectives are improving slowly and CO₂ price is expected to grow progressively in the next 15 years. Some CO₂ capture technologies are already used industrially. However, these technologies suffer from large penalties and require significant investments. In order to reduce CO₂ avoidance cost and impact on energy supply cost, new CO₂ capture techniques such as CLC will be required. CLC is a promising alternative solution for CO₂ capture that minimizes energy penalty. In the past years, a huge effort has been conducted worldwide to investigate CLC materials and process issues. Nowadays, the CLC concept is well demonstrated on the pilot scale. These results confirm the CLC potential for CO₂ capture compared to other solutions. However, oxygen carrier stability needs to be improved in order to minimize the operating cost and resulting CO₂ avoidance costs. Due to the large amount of CO2 emissions resulting from coal combustion in large power plants in the world, CLC developments should really address this market on a long term perspective. As discussed, CLC combustion for solid fuels is probably more challenging and specific technology developments need scale-up and industrial validation. Over the last few years, most of the development roadmaps for CCS have been delayed by roughly ten years, from 2015-2020 to 2025-2030 compared to the ambitious plans that were considered before 2010. Short term market for CO₂ capture is limited, but the need for CCS technologies remains as part of the global warming mitigation solutions. This is challenging since short term industrial developments financing is more difficult. 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List of Symbols $G_0$: L-valve solid flow constant (kg/s/m²) $G_s$: Solid mass flux (kg/s/m²) $k$: L-valve constant (-) $IA_{20}$: Attrition index corresponding to the amount of fines below 20 µm generated by attrition (%) $IA_{44}$: Attrition index corresponding to the amount of fines below 44 µm generated by attrition (%) $R_o$: Oxygen transport capacity of the oxygen carrier (wt.%) $\Delta x$: Fraction of oxygen transport capacity used for combustion (-) $U_H$: Actual gas velocity in the horizontal section of the L-Valve (m/s) $U_{mf}$: Minimum fluidisation velocity (m/s) $V_{sg}$: Superficial gas velocity (m/s)
tuck flap boxes The evergreen among folding boxes Everyone knows them and everyone has opened them before. No other folding box is as versatile as the tuck flap box. The uncomplicated construction and simple production make it the ideal packaging - even for large print runs. \| Quantity \| single piece or more shippable in partial quantities \| \|-------------------\|------------------------------------------------------\| \| Format \| small and large formats tailored to your requirements \| \| Colors \| up to 10 colors + varnish in offset printing up to 4 colors + varnish in digital printing spot colors in offset printing \| \| Material \| solid board (different types) corrugated cardboard (all common flute types) \| \| Quality \| up to 150 DPI in digital print up to 60 lpc in offset print \| \| Adhesive technique\| customized as required \| \| Shipping \| express shipping individual shipping \| Printing process As soon as your order and your data are present, we'll get to work. If we don't receive a color proof from you, we're going to create it and send it to you. After your approval we'll print your packagings and send it to the distribution list you provided. At Ellerhold, we want to provide the best possible service: you deliver your data, we take care of everything else - immediately. Our employees will be happy to advise you right from the start. \| Layout \| Scale 1:1 \| \|----------------------\|-----------\| \| Bleed \| + 5 mm circumferential via the cutting line \| \| File format \| PDF/X-3 Standard (Version 1.4) \| \| Fonts \| embedded / converted into paths \| \| Safety distance \| 5 mm to edge in the creation format \| \| Print finishing \| vectorized as spot color, marked clearly \| \| Colour application \| max. 320 % \| \| Colors \| CMYK / spot colors (no RGB) \| \| Data transfer \| by email, link or file-upload, max. 500 MB \| Print data notes for Tuck Flap Boxes File format Please send us your motif as a PDF document. Please send us your motif as a PDF document in the format PDF/X-3 Standard (Version 1.4). Make sure that all fonts are fully embedded in the document or converted to paths. We can't accept any other file format. Resolution Images, placed in 1:1 size, should have a resolution of 300 DPI. Please avoid providing us with even higher resolution images at all costs. Such data volumes cannot be processed. Higher resolutions do not add any value in terms of detail, but only slow down the processing unnecessarily. However, do not go further than 10% below the recommended resolutions either. If you have worked with several image layers, please collapse them to a single layer before sending the document to us. Bleed Create a bleed of 5 mm all around. The bleed should not be added as pure format addition if possible. You can add a bleed in most layout programs (e.g. Adobe InDesign, Adobe Illustrator) during document setup. When creating your print file, make sure that the bleed you create is also exported to the PDF. Safety distance We recommend a safety distance of 5 mm in the creation format. When designing your tuck flap boxes, we recommend that elements located at the final format border or the punch contour be drawn into the trim or end with a safety distance of 5 mm in front of it. Colors Create all data in CMYK. Please create all data (including images or other objects) for your tuck flap boxes in CMYK and / or spot colors. Please convert RGB data to CMYK yourself to avoid unwanted color changes. RGB colors are only used for color representation on the computer screen. To display the smaller color space of the printing inks, the CMYK color mode is better suited. Thus, you can already see on the monitor how different color tones will appear less vivid in print due to the smaller CMYK color space. For production reasons, solid colors are only possible in offset printing. If it is a digital print, these colors are simulated as well as possible. The maximum ink application should not exceed 320%. Black composition Create black and gray fonts in (0/0/0/100) CMYK. Black and gray fonts as well as objects should only be created in pure black (0/0/0/100) CMYK. For such objects it is not recommended use "undercolor addition" as this can easily lead to flashing color at the edges. Create large black areas in (50/0/0/100) CMYK. In order for black areas to appear properly deep black, it is necessary to add a so-called "undercolor addition". Cyan is added to the black. This only applies to large black areas and headlines - not to smaller font sizes! Trapping Overfills/underfills do not have to be created separately. Since the printing inks are printed one after the other, so-called flashes (white spaces) can occur. To avoid this, the edges of the background and the element must overlap slightly. This is called underfilling and trapping. So that the element does not suddenly appear larger or smaller visually, the lighter color is always overfilled and the darker underfilled. Please note that overfills and underfills do not have to be created separately. We will take care of that, individually matching your product. Overprint Use overprint function to avoid possible flashes. The overprinting function can be used in individual cases for your tuck flap boxes when creating the print data in order to avoid possible flashes when printing later. When overprinting, however, it should be noted that the colors in offset printing are transparent, i.e. translucent. If, for example, a blue circle is printed on an orange background, this will not result in a blue circle but in green as a mixed color. Consequently, overprinting does not work with colored motifs; only black objects can overprint colored backgrounds in most cases. White elements that are set to overprint are not visible in the print! With the exception of refinements, the punch contour or the contour cut, therefore, avoid the overprint function unless you explicitly want this effect! To activate the overprint preview in Adobe Acrobat Reader, please follow the instructions in our manual. Print finishing Finishes must be created as spot color. If you want to apply a print finish on your tuck flap boxes you need to use a spot color (solid color) for it. The name of this spot color should be the type of finish you want and it should be set to "overprint"! If you do not set the spot color to overprint, the underlying color will be omitted and a white area (paper white) will be printed with the finish on top. Barcodes Barcodes are to be created according to the appropriate standard. If your tuck flap boxes should have barcodes, they usually have to be created according to "DIN EN 797 (ISO 15420)" and "CEN / ANSI-DIN EN 1635 (ISO 15416)" specification. They should be shrunk or enlarged according to the SC standard. It is important that there is enough contrast to the background - ideally 100% black on a white field. Only a pure black (0/0/0/100) guarantees an exact representation on the print image and optimal readability for barcode scanners. Please use vector data only. Cutting line / contour cut Use only the latest cutting line for your layout. Please use only the latest cutting line to build the print layout of your tuck flap boxes on a scale of 1:1. Make sure that the cutting line is created as a spot color called "cutting line" in a separate layer with the attribute "overprinting". Data transfer The data transfer should be done by mail or via web services. Please feel free to send us your print data for your tuck flap boxes via mail. For print data over 20 MB, we recommend that you send us your print data via the web service "www.wetransfer.com". Please only send us files that are required for the order in question. The data should be clearly structured and easy to assign. Please also note the maximum file size per motif of 500 MB. Print approval 1. You will receive in advance a low PDF for viewing by email. Before the start of production, you will receive by email a low PDF for viewing and approval of your tuck flap boxes. Check there basically whether we have received the correct data (e.g. variant or motif) before we process the data. The PDF is extremely compressed for speedy email traffic and is only used for checking the content (sentence and spelling errors). Please note that all colors cannot be displayed color-accurately on a monitor. Please give us the release by replying to the sent email. 2. After release of the low PDF you will receive a 1:1 PDF via link. Here, from the color separations ripped for the printing plate exposure, a 300 DPI image is created for you at a scale of 1:1. There you can take measurements and better estimate dimensions of the design. The punch contours included in this 1:1 PDF are not exposed. Please note that these data are not suitable for checking the color values, because these data contain printing screens and there printing press-specific color curves were applied. Use for color control exclusively the A3 proof. 3. Parallel to the 1:1 PDF, we send an A3 proof by mail. Please control in this reduced A3 format the color values to be expected in printing. Please note that solid colors can only be simulated in CMYK. An approval form is enclosed with the proof, which we receive back filled out by fax. We also accept release emails, which refer specifically to the proof and the 1:1 PDF. Only by a timely data delivery is a production without delay to ensure. The required time for creation and shipping of these release documents is to be ensured by a timely data submission. If you have also received a white sample for approval, we also need a release for this, so that the required tools (dies, etc.) can be manufactured. This release can be marked on the release bill or mentioned by mail. Without the written release of all documents can not be produced! Explanations & hints (1) Cutting lines should be added as a solid color set to overprinting. (2) Please create black texts, logos, EAN or QR codes in 100% black (0/0/0/100). (3) White elements that are set to overprint will be invisible after printing. (4) The sum of all color components in one spot should not be greater than 320%. You can use the print production/output preview tool in Adobe Acrobat to check this. Elements across areas Explanations (1, 2, 3) These distances must be equal so that objects that span surfaces meet. Please always measure where the surfaces are connected! (4) Do not measure at the outer edges! Hints Such cross-surface designs are generally difficult to realize, since even small cutting tolerances lead to visible inaccuracies. Refrain from designs on the bottom that are to be composed of several bottom flaps. These would not fit together well due to the moving parts of the base!
Capital Markets Event 2023 Thursday 16th November Think beyond. Shape the future. Disclaimer This presentation (which includes this document, the oral presentation of this document, any question-and-answer session that follows that oral presentation and any other materials distributed at, or in connection with, such presentation), which has been prepared by Vesuvius plc (the “Company”), includes statements that are, or may be deemed to be, “forward looking statements”, which can be identified by the use of forward looking terminology, including (but not limited to) the terms “believes”, “estimates”, “targets”, “plans”, “projects”, “anticipates”, “expects”, “intends”, “may”, “will”, or “should” or, in each case, their negative or other variations or comparable terminology. These forward looking statements include matters that are not historical facts and include statements regarding the Company’s intentions, beliefs or current expectations. By their nature, forward looking statements involve risk and uncertainty because they relate to future events and circumstances. A number of factors could cause actual results and developments to differ materially from those expressed or implied by any forward looking statements. Any forward looking statement in this presentation reflects the Company’s view with respect to future events as at the date of this presentation and is subject to risks relating to future events and other risks, uncertainties and assumptions relating to the Company and its subsidiaries’ operations, results of operations, growth strategy and liquidity. The Company undertakes no obligation publicly to release the results of any revisions or updates to any forward looking statement in this presentation that may occur due to any change in its expectations or to reflect events or circumstances after the date of this presentation. In addition, forward looking statements contained in this presentation regarding past trends or activities should not be taken as a representation that such trends or activities will continue in the future. Certain industry and market data contained in this presentation has been derived from third-party sources. While the Company believes each of these sources to be accurate, there is no guarantee as to the accuracy or completeness of such data, and the Company has not independently verified such data. In addition, certain of the industry and market data contained in this presentation has been derived from the Company’s own internal research, knowledge and experience of the market. While the Company believes that such data is reasonable and reliable, both it and the underlying methodology and assumptions have not been verified by any independent source for accuracy or completeness and are subject to change without notice. Accordingly, the Company makes no representation as to the accuracy or completeness of the industry or market data contained in this presentation and no reliance should be placed on any of the industry or market data contained in this presentation. No reliance should be placed for any purposes whatsoever on the information contained in this presentation or on its completeness. Except as required by applicable law, neither the Company (nor any of its affiliates, associates, directors, officers, employees, advisers) or any other person is under any duty to update or inform a recipient of this presentation of any change to the information contained in this presentation. The presentation is being provided for information purposes only. The information contained in the presentation does not constitute or form part of, and should not be construed as, an offer to sell or issue, or the solicitation of an offer to buy or subscribe for, securities or other financial instruments of the Company or any of its subsidiaries in any jurisdiction, or an inducement to enter into investment activity. No part of the presentation, nor the fact of its distribution, should form the basis of, or be relied on in connection with, any contract or commitment or investment decision whatsoever. The presentation is being made only to, and is only directed at, persons to whom such presentation may lawfully be communicated. This presentation is being made only to and directed only at persons in member states of the European Economic Area (“EEA”) who are qualified investors within the meaning of Article 2(1)(e) of the Prospectus Directive (Directive 2003/71/EC), as amended (“Qualified Investors”). In the UK, this presentation is being made and directed only at Qualified Investors who are persons who have professional experience in matters relating to investments falling within Article 19(5) of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005, as amended (the “Order”), and persons who are high net worth entities falling within Article 49(2)(a) to (d) of the Order, or are persons to whom it may otherwise be lawful to communicate it to (all such persons being referred to as “Relevant Persons”). This presentation must not be acted on (i) in the UK by persons who are not Relevant Persons and (ii) in any member state of the EEA, by persons who are not Qualified Investors. Any investment or investment activity to which this presentation relates is available only to Relevant Persons in the UK and Qualified Investors in any member state of the EEA and will be engaged in only with such persons. This presentation is not an offer of securities and is not for publication or distribution in the United States or to persons in the US (within the meaning of Regulation S under the US Securities Act of 1933, as amended), or in any other jurisdiction where such distribution is unlawful. Agenda for the afternoon 14:30 Strategic overview & market drivers Patrick André 15:00 Flow Control Pascal Genest 15:15 Advanced Refractories Richard Sykes 15:30 Break 15:45 Foundry Karena Cancilleri 16:00 Finance Mark Collis 16:20 Conclusions Patrick André 16:30 Q&A From c. 17:00 Drinks & canapés Strategic overview & market drivers Vesuvius: A profitable organic growth strategy 1. Positive growth trends in the steel and foundry markets - Inflection to positive growth in steel markets outside China - Continued growth in foundry markets 2. Vesuvius outperforms the underlying markets thanks to its technology-based strategy 3. Profitability (RoS) target to exceed 12.5% in 2026 as a result of: - Market share gains and net pricing performance due to product differentiation - Further cost improvement target of £30m (c. 150bps) 4. Strong and recurring free cash flow generation due to asset light business model (no mining integration), delivering enhanced return to shareholders - At least £400m free cash flow (2024 – 2026) Vesuvius provides technologically differentiated solutions to our steel and foundry customers World Leading R&D >95% sales from high-technology consumables Value creation for steel and foundry customers Safety Improvements in customer plants Quality Better steel, better castings Efficiency Cheaper steel, cheaper castings Sustainability Less energy usage and CO₂ emissions in steel & foundry process Our global presence positions us well to take advantage of favourable steel and foundry market dynamics Vesuvius 2022 revenues, £M Source: Company accounts (FY22) and analysis Positive inflection point in steel production outside of China More than 200m tonnes of steel production growth outside of China in the next 10 years Evolution of steel production (2012-2032e), MT \| Year \| China \| ROW \| India \| USMCA \| CIS \| JKANZ \| EU+TK \| \|------\|-------\|-----\|-------\|-------\|-----\|-------\|-------\| \| 2012 \| 752 \| 1,563 \| 113 \| 77 \| 120 \| 111 \| 182 \| 209 \| \| 2022 \| 1,039 \| 1,885 \| 181 \| 125 \| 111 \| 86 \| 161 \| 182 \| \| 2032e\| 918 \| 1,975 \| 293 \| 225 \| 129 \| 100 \| 150 \| 160 \| - Strong growth of steel production and consumption in India and RoW - Moderate growth of steel production and consumption in US, Mexico and Canada, and CIS - Moderate growth of steel consumption, but decline of production in the EU plus Turkey and in Japan, South Korea, Australia and New Zealand - Decline of production and consumption in China, mostly in long steel products for construction - High tech steel will continue to grow in China Source: World Steel Association (Yearbook 2022 published in March 2023) and Laplace Conseil (analysis conducted in October 2023, including inputs from World Bank, IMF, IEA, OECD & other international associations, company data and announcements) Where will steel growth be in the next ten years? - India will account for around 50% of steel production growth outside China - Other key growth areas will be South-East Asia, Middle East, North Africa and Latin America Vesuvius production capacity expansions in India, Eastern Europe and Mexico over the past two years position the Group very well to serve the upcoming steel market growth. Source: World Steel Association (Yearbook 2022 published in March 2023) and Laplace Conseil (analysis conducted in October 2023, including inputs from World Bank, IMF, IEA, OECD & other international associations, company data and announcements) Faster growth of high-tech steel, in particular thin slab casting, supporting Flow Control outperformance Global steel production evolution, MT (%) \| Year \| High tech steel \| Commodity steel \| \|------\|-----------------\|-----------------\| \| 2018 \| 32% \| 68% \| \| 2022 \| 34% \| 66% \| \| 2032 \| 43% \| 57% \| Source: World Steel Association (Yearbook 2022 published in March 2023) and Laplace Conseil (analysis conducted in October 2023, including inputs from World Bank, IMF, IEA, OECD Global Energy Monitor (Steel plant tracker March 2023) & other international associations, company data and announcements) High technology steels Produced through technologically advanced process routes and / or for demanding applications, with typical end markets in automotive, engineering and energy. Flow Control serves this market through a customised solution-focused offering, resulting in strong customer loyalty and higher profitability. Vesuvius Flow Control sales are strongly weighted to high tech steel compared to the market split Global production: 66% Flow Control sales: 42% 2022 global steel production split by volume, 2022 Flow control sales, Source: Laplace Conseil and Company analysis Most foundry end-markets are growing in volume at around 2% per annum Vesuvius foundry end-market sales, % 2022 sales & %CAGR(∗) 77% of Vesuvius Foundry sales are in markets with positive volume growth ~2% CAGR Mitigation: Accelerated penetration of non-ferrous castings for automotive with new technological products 23% of Vesuvius Foundry sales are in markets with flat volume growth (due to electrification) (∗) CAGR (2022-2030), Source: IHS, Oxford Economics (October 2023), Bain (November 2023), except light Vehicles (CAGR 2019-2030), source McKinsey; Company analysis The Vesuvius business model: geared for profitable growth Leading R&D strategy Differentiated products and solutions Efficiency Focus on cost competitiveness Superior pricing & Market share gains Continuous improvement of manufacturing cost base profitability target: >12.5% RoS in 2026 Decentralised, entrepreneurial, non-matrix organisation CORE VALUES: Courage Ownership Respect Energy Leading R&D will power Vesuvius’ growth in the coming 5 years Full pipeline of new products for the coming 5 years... and more to come New product sales ratio, % - 2014: 11% - 2018: 14% - 2022: 16% - 2026 target: >20% c. 250 scientists and technicians across 18 nationalities Definition: new product sales (products launched in past 5 years) as a percentage of total sales. Source: company analysis Technology leadership enables us to simultaneously optimise pricing and gain market share Optimise pricing - Full pass-through of cost fluctuations - Lower exposure to fluctuations in the raw material markets and reducing earnings volatility - Higher pricing thanks to superior value creation for customers and value sharing approach Gain market share - Mega trend towards more technically advanced steel and castings increases customers’ demands for sophisticated and customised solutions - Our technology solutions create more value for our customers Relentless focus on cost optimisation Lean and continuous improvement programmes Automation and digitisation of manufacturing and administrative processes Further optimisation of manufacturing footprint c. 75% benefit c. 25% benefit More than £30m of operational efficiency gains targeted by 2026 (Cost: ~£40m, predominantly capex) Targeting higher profitability and cashflow generation Leading Technology - Market share gains drive revenue growth - ~2% per annum outperformance of underlying markets in Flow Control and Foundry - Optimised pricing performance - Cost base optimisation Focus on costs Target of improved profitability (return on sales) \| Year \| Return on Sales \| \|------\|-----------------\| \| 2023 (consensus) \| 10.0% \| \| 2026 \| >12.5% \| Strong free cash flow() generation* - Targeting at least £400m 2024 to 2026 - Very selective M&A strategy - Improved shareholder cash returns - Dividends - Share buy back () Company compiled consensus () Free cash flow: net cashflow from operating activities, after capex, dividends received from JVs and dividends paid to non-controlled entities Our sustainability strategy is progressing ahead of plan Ambitious decarbonisation() strategy CO₂e emissions (tonnes) per tonne of product packed for shipment -19% 2022 achieved -20% 2025 target -50% 2035 target Net zero 2050 target Safety: good progress towards our objective of zero accidents Lost-time injury rate Lost-time injury rate = number of lost time injuries per million hours worked Vesuvius is in a strong position to deliver profit growth and cash returns - Positive growth trends in the steel and foundry markets - Vesuvius outperforms the underlying markets thanks to its technology-based strategy - Profitability (RoS) targeted to exceed 12.5% in 2026 - Strong and recurring free cash flow generation due to asset light business model (no mining integration), delivering enhanced return to shareholders Flow Control Pascal Genest The Flow Control business model is centred on end-to-end customer solutions through the supply of technologically differentiated products and systems. Our customer approach We build customer understanding through continuous presence at their sites, providing solutions and capturing value. We bring fluid and material modelling expertise, combined with... ... customised systems and robots... ... resulting in an ongoing revenue stream from our customised consumables. Our digital solutions monitor performance of the casting process, allowing real-time optimisation. The annual consumables revenue-stream is on average 5x the cost of the system. Vesuvius has a solution-based approach supported by world-leading R&D Solution focused R&D pipeline - 38 active global patented solutions - 4 Global R&D sites - 40% PhDs among our engineers - 20 new products in 2024-26 that target >£100m revenue Leading mechatronic capabilities - 135 engineers and experts - ~40 Robots installed - ~10,000 ladle and tundish systems installed - Launch of a new robot for the off-line preparation of the ladle #1 VISO manufacturer worldwide - New product families launched - DuraFlex (ladle shroud) (2021 – 2024) - DuraSleeve (tundish shroud) (2023 - 2024) #1 Slidegate manufacturer worldwide - New product families launched - Slidegate plates for LG3X series (launched 2020 – 2024) - robot-ready technology - Composite plates with optimised raw material Source: Company analysis We are driving growth through customer intimacy, particularly focused on high-tech steel and new production methods. \| Global presence \| Americas \| EMEA \| Asia Pacific \| \|-----------------\|----------\|------\|--------------\| \| Steelmaker presence \| ★★ \| ★★ \| ★ \| \| High-tech steel continuous casters () \| ★★★ \| ★★★ \| ★★ \| \| New () continuous casters \| ★★ \| ★★ \| ★★ \| \| Installed robots \| ✓ \| ✓ \| ✓ \| \| Installed patented slide gate systems \| ✓ \| ✓ \| ✓ \| Multi-local infrastructure* \| \| Americas \| EMEA \| Asia Pacific \| \|----------------------\|----------\|------\|--------------\| \| Regional technical support \| ✓ \| ✓ \| ✓ \| \| R&D centre \| ✓ \| ✓ \| ✓ \| * Caster: Production line transforming steel from liquid form to semi-finished Casters < 3 years old High visibility recurring revenue stream Robotic solutions provide value creation for the customer and recurring revenue Safety - No human interaction - Highest consistency in the production process Efficiency Quality of end product - Highest quality output due to lowest level of inclusions Sustainability - Reduced CO₂ impact through yield improvement Flow Control has a solution-based approach allowing us to share in value creation - Current product portfolio & profit analysis - Audit of customer’s process and product portfolio to estimate the current cost of ownership - New product performance evaluation - Develop and then trial a new solution to maximise value for the customer - Value-based pricing calculation - Optimisation of pricing based on superior value creation Example: DuraSleeve product (new VISO piece) - 20% longer product life - Value creation to the customer of >20% - Agreed pricing on a value-sharing basis Strong market dynamics matched by capacity increases Flow Control will continue to deliver on growth External drivers of volume growth - High-Tech steel - Steel market Years Growth ✓ India, SEA ✓ NAFTA ✓ Turkey, ME, Africa ✓ China high-tech Optimized and recently invested footprint Available capacity - >20% VISO - >20% Slidegate - >30% Fluxes Continuous improvement programs are focused on excellence in service and cost Continuous focus on operational efficiency gains - Network of plants - Business continuity - On-time delivery - Consistent high-quality - Optimised Total Cost of Ownership - Latest technology - 40 quality / lean / automation engineers - Focused on continuous optimisation of our production processes - Automation and lean programmes - Digital tools - Focused on Quality - AI solutions from raw materials through to specific customer applications Flow Control is well positioned to continue its profitable growth - Attract the best people - End-to-end solutions leveraging R&D and product leadership - Global player with customer intimacy - Positioned for growth - Economic value creation and capture Advanced Refractories Richard Sykes We sell consumable products to steel plants and other industries through on-site presence and mechatronic solutions. We bring together material science, along with... ...on-site support... ...and industry leading mechatronic solutions... ...to deliver an ongoing revenue stream from our consumable products. Adding value on four parameters - Safety - Quality - Efficiency - Sustainability We will drive revenue growth by targeting selected sectors with our proven solutions \| Strategic Area \| Tundish Solutions \| Robotic Gunning \| Relining \| Industrial Processes \| \|----------------------\|-------------------\|-----------------\|----------\|---------------------\| \| Key Geographies \| Worldwide \| NAFTA/ EMEA/SE Asia/ India \| India, SE Asia/ NE Asia and Americas \| Worldwide \| \| Strategic Approach \| Expand business & provide holistic portfolio offering \| Roll-out leading mechatronics and laser capabilities \| Leverage highly efficient production facility in China for global growth \| Unlock untapped growth opportunities \| \| Key Levers \| • New innovative products \| • Provide total Tundish package \| • Robotic technology to accelerate growth and support consumable sales \| • Combined technology: Gunning/ Bricks/ Laser \| • Target c. 50% increase in robots installed by 2026 \| • Introducing digital scanning solutions with predictive technology \| • New innovative products \| • Expand geographically \| • Increase penetration in higher margin sectors e.g. Blast Oxygen Furnace / Electric Arc Furnaces \| • Continue to develop cement product portfolio \| • Innovative products for the aluminium industry, for e.g. products for carbon-free production of aluminium through electrolysis \| Selective product range based on our differentiation R&D is focused on areas where we have greatest differentiation and market opportunity R&D - Centres of excellence for each focus area - Academic background of engineers: 40% Bachelors, 29% Masters, 31% PhD - 10 Nationalities - R&D spend: +8% p.a. \| Strategic focus area \| Tundish Solutions \| Robotic Gunning \| Relining \| Industrial Processes \| \|----------------------\|-------------------\|-----------------\|----------\|----------------------\| \| Recent Innovation \| Surcast & Basilite QuickStart \| High-Speed Gunning for Basic Oxygen and Electric Arc Furnaces \| Supermatrix bricks for Basic Oxygen and Electric Arc Furnaces \| Products for carbon-reduced aluminium \| \| Objective \| Improve process flexibility and reduce energy consumption \| Deliver high gunning speeds to increase productivity, while increasing safety \| Increase the service life of our customers’ vessels through improved performance bricks \| Develop and supply refractories for a newly developed anode that eliminates carbon \| Safety, Quality of end product, Efficiency, Sustainability Optimisation of manufacturing footprint and investment in automation will further support profitability improvements Optimise Production - Continue product technology transfers to improve efficiencies of production footprint across regions - Consolidation of certain manufacturing activities in Americas - Lean initiatives and waste reduction Investment in automation and new equipment - Upgraded Monolithic production process - Automation at back end of production lines - Improvement in internal logistics using guided vehicles and automated warehouse management systems The ongoing optimisation of production and investment in automation and new equipment builds on well-established opportunities for efficiency gains. Recent investment in new sites will drive both growth and operational efficiency Our new site manufacturing Basic and AISI monolithics under construction in Vizag, India will lead the way in efficiency - Investment in fast-growing market - Creates capacity to fulfil demand for the coming years - More efficient: - More competitive cost base - Closer to growing customers - Will utilise latest state-of-the-art manufacturing technology - Digitisation installed from the outset Continued profitable growth - Volume and margin growth to be achieved through focus on products with technological differentiation - Improve presence in under-represented countries and markets - R&D focused on target areas - Well-established opportunities for efficiency gains Foundry Karena Cancilleri World leader in the supply of consumable products, technical advice and application support to the ferrous and non-ferrous foundry industry We design and manufacture customised products and process technology that improves the quality of metal castings... ...combined with technical advice, application engineering and computer modelling We drive casting quality and production efficiency, yet our products account for <5% of a foundry’s costs Diversified end markets and geographies Over 70% of our revenue is from products where we are the market leader 26 sites c. 3,000 people 2 R&D centres Source: company analysis Strategic and agile approach to targeting growth regions and segments Defend and grow our core ferrous casting business in developed markets - Technological differentiation through leading R&D capabilities - Highly competitive, low cost, highly automated manufacturing network - Prioritisation of growth outside light vehicle market - Increased penetration of steel casting Grow in emerging markets - Investment in commercial and technical expertise - Capacity investments in both ferrous and non-ferrous - R&D delivering ‘fit for purpose’ market specific products Grow in non-ferrous** - Investment in commercial and technical expertise - Manufacturing footprint expansion in China and Mexico - R&D key to driving our growth 2022 revenue split - 55% - 26% - 19% Three key strategic pillars driving attractive topline growth and market share gains World class R&D is key to achieving market share gains and premium pricing, with our most important new products over the next 2-3 years already launched. R&D 13 nationalities Foundry R&D expenditure has consistently grown +11% CAGR New products on track to reach 20% by 2026 \| Year \| Percentage \| \|------\|------------\| \| 2020 \| 11% \| \| 2022 \| 18% \| \| 2026 \| 20% \| Key R&D themes supporting our strategic objectives \| Theme \| Description \| \|------------------------------\|-----------------------------------------------------------------------------\| \| Globalisation of winning products \| Global roll-out of our most successful existing as well as new products \| \| Expanded non-ferrous pipeline \| Represents c.20% of sales but c.50% of new products in development \| \| Recipe optimisation \| Recipe selection and development according to regional needs to develop ‘fit for purpose’ products \| Strategic pillars - Defend and grow our core ferrous casting business in developed markets - Grow in emerging markets - Grow in non-ferrous Development of new differentiated products to support market share gains and premium pricing. Our new products deliver significant value to customers through enhanced quality and reduced costs, which can be shared in pricing. 1. ROTOCLENE ROTOCLENE delivers a significant improvement in melt and cast quality. - ROTOCLENE rotor is the delivery mechanism for gas bubbles into the molten metal. Once the equipment is installed, supply multiple consumables from both Foundry and Flow Control. 2. SEMCO SEMCO coatings combine several technology features to reduce energy cost and increase casting quality. Benefits include: - > 50% Faster Drying Time - 20-30% Energy Savings - >90% Reduction in Formaldehyde emission - Improved cast quality - Reduced CO₂ Relocation, expansion and optimisation of our manufacturing footprint - Relocation of production to lower cost locations - Transfer of non-ferrous metal treatment from US to Mexico - Transfer of shaped non-ferrous materials production from EU to Turkey - Transfer of crucible components from EU to India - Investment in additional capacity - New coating line in Cleveland - Non-ferrous metal treatment plant in China - Inorganic binder production line in China - Investment in automation and new equipment - Improved feeding system production process - Automation at back end of production lines - Automated guided vehicles to replace forklifts Actions support our three key strategic pillars while also delivering cost savings and productivity gains. The Foundry business is positioned for profitable growth through leveraging our products, R&D capability and efficient manufacturing network. Clear strategic pillars to drive topline growth World class R&D is key to achieving market share gains and premium pricing Relocation, expansion and optimisation of manufacturing footprint delivers cost savings, productivity gains and ensures a low cost manufacturing footprint. Finance Mark Collis Our financial targets Revenue Targeting outperformance of 2% through market share gains in Flow Control and Foundry Free Cash Flow Targeting at least £400m available for dividends, M&A or share buybacks (2024-2026) Return on Sales Target of at least 12.5% in 2026 Improved cash returns to shareholders Progressive dividend Potential additional returns The business has structurally improved over the past five years, obscured by market headwinds From 2017-2022 our steel revenue has grown despite a falling addressable market... ... and we have structurally improved our margin Addressable market outside of China -18% Steel market of Iran, Russia and Ukraine of equivalent size to NAFTA Vesuvius Steel Division revenue +30% (+5% CAGR) £1149m £1496m 2017 EBITA reported 9.8% FX Iran / Russia / Ukraine Other market declines 2017 re-based 8.3% +c.170bps 2023 EBITA consensus() 10.0% 2017: Addressable market = World ex China 2022: Addressable market = World ex China, Iran, Russia and Ukraine Source: WSA () Company compiled consensus We have a target to achieve a return on sales margin of at least 12.5% in 2026 - We are targeting medium-term average revenue growth of at least c.4%, based on: - Assumed market growth of c. 2% p.a. - Outperformance of c. 2% pa. through market share gains in Flow Control and Foundry - Supported by our capacity investments - NB. excludes raw material movements which we pass on - Target to achieve >12.5% return on sales in 2026 supported by: - Underpinned by recent capacity investments enabling £30m EBITA (£40m EBITDA) - Operational efficiency savings of c. £30m - Continued focus on “total-value” pricing Our path to reach our target of 12.5% in 2026 \| 2023 EBITA consensus() \| Market growth \| Market share gains and pricing \| Cost savings \| 2026 EBITA target \| \|-------------------------\|--------------\|-------------------------------\|-------------\|------------------\| \| 10.0% \| \| \| \| >12.5% \| Source: Laplace Conseil (analysis conducted in October 2023, including inputs from World Bank, IMF, IEA, OECD & other international associations, company data and announcements) () Company compiled consensus Our business model delivers consistently growing cashflows - Our business model generates highly resilient positive cash flows: - Low capex intensity / asset light (no mining integration) - High level of recurring revenue created from a consumable model - Underpinned by working capital discipline - We are targeting a reduction in working capital intensity from 24% to 21% by 2026 - Continued management focus - Investment in new digital planning tools - Improved commercial terms - Maintenance capex of c. 2% revenue - Capacity enhancing capex investments with attractive rates of return - For organic investment, targeting ROIC (*) (ex-goodwill) of greater than 20% () Cashflow from operations after working capital movements, interest and tax, before capex (*) Sustaining capex includes maintenance, sustainability and IT capex Disciplined organic investment prioritising growth and efficiency Support to above-market growth in Flow Control - Expansion of VISO, Slide Gate and Flux capacities worldwide Global expansion in India and South-East Asia - Investing in state-of-the-art new capacity in the high growth Indian market - Expanding capacity in existing Kolkata site and developing new site in Vizag - VISO capacity - Flux Plant - Basic Mono, AISI Mono and pre-cast lines - Foundry filters line - Space for further investment Cost optimisation - Plant automation - IT and digitisation for improved efficiency - Energy efficiency - Manufacturing footprint optimisation 2022-2024 growth programme (£70-80m capex) ➔ incremental £30m EBITA(); IRR >25% + Automation / Lean / cost and energy efficiency programme 2024 – 2026 (c. £40m cost) ➔ Incremental EBITA of £30m () As previously communicated as £40m incremental EBITDA Cash will then be available for further investment or returns to shareholders. Target at least £400m free cash flow () to be generated from 2024 – 2026 c. 50% dividends c. 50% for acquisitions and / or additional shareholder returns (*) Free cash flow: Cashflow from operations after working capital movements, interest, tax, capex, dividends received from JVs and dividends paid to non-controlled entities ## Capital allocation priorities ### Organic investment - Consistent and targeted R&D expenditure of c. 2% of revenue per annum - Capex expected to return to sustaining levels in 2025 - Sustaining capex of c. £65m per annum based on c. £40m maintenance plus £30m for IT, automation, sustainability and customer installations ### Inorganic investment - Highly selective acquisition filter - Strategic factors: - Geographic complementarity - Technology complementarity - Very stringent financial hurdles for investment ### Shareholder returns - Long-term dividend growth via a progressive dividend - Maintain a prudent balance sheet (c. 1.0 – 2.0x net debt / EBITDA) - Surplus capital available for additional shareholder returns Conclusion - Topline growth medium term c. 2% market growth and c. 2% outperformance - Margin target of 12.5% achieved in 2026 - Strong cash generation delivering at least £400m between 2024 and 2026 - Capital allocation focused on value creation and shareholder returns Conclusion Patrick André Vesuvius is in a strong position to deliver profit growth and cash returns - Positive growth trends in the steel and foundry markets - Vesuvius outperforms the underlying markets thanks to its technology-based strategy - Profitability (RoS) targeted to exceed 12.5% in 2026 - Strong and recurring free cash flow generation due to asset light business model (no mining integration), delivering enhanced return to shareholders Q&A Presenter’s Biographies Our presenters Patrick André Chief Executive Appointed to the Board on 1 September 2017. Patrick joined the Group as President of the Vesuvius Flow Control business unit in 2016, until his appointment as Chief Executive in September 2017. Before joining the Group, Patrick served as Executive Vice President Strategic Growth, CEO Europe and CEO for Asia, CIS and Africa for Lhoist company, the world leader in lime production. Prior to this, he was CEO of the Nickel division, then CEO of the Manganese division of ERAMET group, a global manufacturer of nickel and special alloys. Mark Collis Chief Financial Officer Mark joined Vesuvius and was appointed to the Board in April 2023. Prior to this, Mark was Chief Financial Officer of the Operations business at John Wood Group PLC. He has over 20 years of senior financial experience in a number of international businesses including Amec Foster Wheeler plc, where he worked from 2013-2017, and Expro International Group where he worked between 2002-2012. Mark is a Chartered Accountant qualified with the ICAEW. Karena Cancilleri President, Foundry Appointed President, Foundry in October 2019. Karena started her career at Shell, where she spent ten years in the polymers business. She has since worked in senior management roles for several private equity-backed textile businesses, serving a broad range of end markets including personal care, automotive and floor coverings. Before joining Vesuvius she was President Engineered Products at Beaulieu International Group. Pascal Genest President, Flow Control Appointed President, Flow control in January 2021, Pascal joined the Group from GFG Alliance where he held the position of CEO Liberty Ostrava in the Czech Republic. Prior to this he was CEO of SULB in Bahrain. Pascal has more than 15 years’ experience working in the steel industry, mainly with ArcelorMittal. He has also worked in consulting, in private equity and in the aluminum industry. Richard Sykes President, Advanced Refractories Richard joined Premier Refractories Limited in May 1991 as Finance Director. His career at Vesuvius started in 1998, when the Group acquired Premier Refractories. He has since held various senior managerial roles. Prior to his current position, he was the Group President Business Development and Special Projects, and prior to that, Regional Vice-President Flow Control EMEA and the Vice-President Finance Flow Control Business Unit. For further information, please contact: Rachel Stevens Head of Investor Relations firstname.lastname@example.org Think beyond. Shape the future.
LUXURY VACATIONS S-20 Green Park Main Market, New Delhi -110016 ----------------- Shop No: 24 Malviya Nagar New Market, New Delhi -110017 Call // WHATSAPP: +91 9810995619 // +91 96672 25858 Email : email@example.com / firstname.lastname@example.org WEB : www.luxuryvacations.co.in HOTELS \| FLIGHTS \| CRUISES \| PACKAGES \| VISAS www.LUXURYVACATIONS.co.in ANAHITA GOLF & SPA RESORT MAURITIUS Photos are non-contractual – they may differ from the actual product in details and color. \| Page \| Content \| \|------\|---------------------------------------------\| \| 3 \| Essence of Anahita \| \| 4 \| Accommodation: \| \| 5–7 \| Junior Suite \| \| 8–10 \| Prestige Suite \| \| 11–15\| Deluxe Villas \| \| 16–18\| Prestige Villas \| 1 & 2 Bedrooms \| \| 19–21\| Prestige Villas \| 3 to 5 Bedrooms \| \| 22 \| Anahita Experiences: \| \| 22–25\| Culinary \| \| 26–28\| Golf \| \| 29–30\| Spa \| \| 31–32\| Beach \| \| 33–34\| Family \| \| 35 \| Activities \| \| 36–37\| Anahita Meetings & Events \| \| 38 \| Resort Facilities \| \| 39 \| Useful Information \| \| 40 \| Contacts \| Photos are non-contractual - they may differ from the actual product in details and color. On the east coast of Mauritius, where the blue lagoon of the Indian Ocean gently laps against the shores of the island, lies Anahita Golf & Spa Resort... majestic, refined and unique. Set amongst 213 hectares of tropical gardens and surrounded by an Ernie-Els-designed 18-hole golf course, Anahita Golf & Spa Resort is nestled on the east coast of Mauritius. Should you stray from your stunning abode or off the 2 championship golf courses, stroll along the beach, enjoy a dip in the beautiful lagoon, perhaps nip over to the secluded Île aux Cerfs, or explore the rich underwater world of the Indian Ocean on an exploration dive. Experience the authentic Mauritian charm with its unique accommodation, diverse culinary experience and dedicated service in a breathtaking natural environment. At Anahita Golf & Spa Resort, enjoy a vast range of the most sought-after activities: two exceptional 18-hole championship golf courses designed by Ernie Els and Bernhard Langer, exclusive beach experience on its two beaches, boutiques, personal fitness centre, Anahita Spa by Thémaé Paris, tennis courts, Kids’ & teens’ clubs, water sports centre, golf clubhouse... Anahita Golf & Spa Resort, A New Lifestyle Resort... Accommodations Photos are non-contractual - they may differ from the actual product in details and color. Junior Suite Located alongside the Hole No. 1 of the Ernie Els Design golf course, the 1-bedroom Junior Suites are elegantly decorated with a pinch of Mauritian warmth. Within 60 m², each suite has its own covered entrance, a kitchenette with dining counter, a cosy living area and a veranda with seating area offering a view on the beautifully landscaped garden and overlooking Holes No. 1 & 9. Photos are non-contractual – they may differ from the actual product in details and color. Junior Suite AMENITIES & SERVICES • King-size bed • Air conditioning in the whole suite • Walk-in closet • In-room safe • Coffee machine • Microwave • En-suite bathroom with luxurious bathtub, walk-in shower and double washbasins • Bathrobe and hairdryer • Flat screen TV – LCD (living room and bedroom) • Complimentary wi-fi • Daily cleaning • 24 h room service • Dry cleaning and laundry service Extra charge applies. Photos are non-contractual - they may differ from the actual product in details and color. Junior Suite FLOOR PLAN 1-BEDROOM JUNIOR SUITE \| GARDEN VIEW 60 square metres 1. Bedroom 2. En-suite bathroom with bathtub 3. Double sink 4. Shower 5. Kitchenette 6. Living area 7. Veranda Prestige Suite Lavishly furnished suites, each featuring a spacious living area, deluxe kitchen and a large terrace with fabulous views. Suites have one, two or three bedrooms, luxury bathrooms and a private infinity-edge plunge pool. Views are either golf or sea. Photos are non-contractual – they may differ from the actual product in details and color. Prestige Suite AMENITIES & SERVICES • Master bedroom (king-size bed) • Second bedroom (king-size bed) • Third bedroom (twin bed) • Air conditioning in the whole suite • Vast walk-in closets • Personal safe • Steam iron and board • Designer en-suite master bathroom with luxurious bathtub, walk-in shower and double washbasins • Bathrobe and hairdryer • Gourmet kitchen with integrated appliances – stainless steel double door refrigerator, microwave, hob, oven, dishwasher • Washing machine • Coffee machine • Flat screen TV – LCD (living room and bedrooms) • Complimentary wi-fi and broadband access • Step-up plunge pool with infinity edge. • Daily cleaning • Complimentary continental breakfast in the suite • Private Chef for in-suite dining • 24 h room service • Shopping – stocking the refrigerator prior to arrival* • Dry cleaning and laundry service* Extra charge applies. Photos are non-contractual - they may differ from the actual product in details and color. Prestige Suite FLOOR PLANS 1-BEDROOM PRESTIGE SUITE 160 square metres - 1 en-suite bathroom - Luxurious bathtub with spectacular views - Gourmet fully fitted kitchen - Living/Dining area - Veranda with private step-up plunge pool with infinity edge - Vast walk-in closet in master bedroom - Flat screen TVs – LCD - Complimentary wi-fi and broadband access - Air conditioning in the whole suite 2-BEDROOM PRESTIGE SUITE 180 square metres - 2 en-suite bathrooms - Luxurious bathtub, with spectacular views - Gourmet fully fitted kitchen - Living/Dining area - Veranda with private step-up plunge pool with infinity edge - Guest toilet - Vast walk-in closet in master bedroom - Flat screen TVs – LCD - Complimentary wi-fi and broadband access - Air conditioning in the whole suite 3-BEDROOM PRESTIGE SUITE 230 square metres - 3 bathrooms (2 en-suite and 1 separate) - Luxurious bathtub with spectacular views - Gourmet fully fitted kitchen - Living/Dining area - Veranda with private step-up plunge pool with infinity edge - Guest toilet - Vast walk-in closet in master bedroom - Flat screen TVs – LCD - Complimentary wi-fi and broadband access - Air conditioning in the whole suite Photos are non-contractual - they may differ from the actual product in details and color. Deluxe Villas Situated in front of wide golf fairways (Holes No. 1, 8 & 9), these one-three-bedroom deluxe villas align elegance and intimacy. Each villa has bedrooms with en-suite bathroom and a modern kitchen with breakfast counter which looks over a spacious living area. The floor to ceiling glass doors give on to a covered dining veranda, seating area and landscaped garden with private swimming pool. Photos are non-contractual – they may differ from the actual product in details and color. Deluxe Villas AMENITIES & SERVICES • Fully equipped kitchen with built-in appliances • Coffee machine • Machine à laver • Peignoirs et sèche-cheveux • Coffre-fort mural (Chambre principale) • Fer et table à repasser • Anti-moustiques électriques • Téléviseurs à écran plat (Salon, chambre principale et 2ème chambre) • Lecteur DVD (Salon) • Équipement de télécommunications à la pointe de la technologie • Piscine • WIFI offert • Service de nettoyage et de couverture journalier • Chef privé • 24 h room service • Possibilité de garnir le réfrigérateur sur demande* • Nettoyage à sec et un service de blanchisserie* With supplement Deluxe Villas FLOOR PLANS 1 BEDROOM 190 square metres Ground Floor 1. Entrance lobby 2. Fully equipped kitchen 3. Living area 4. Dining area 5. Guest toilet 6. Veranda 7. Private swimming pool with deck First Floor 8. Master bedroom 9. En suite bathroom with bathtub 10. Open terrace 11. Second bedroom with en-suite bathroom Deluxe Villas FLOOR PLANS 2 BEDROOMS 215 square metres Ground Floor 1. Entrance lobby 2. Fully equipped kitchen 3. Second bedroom 4. En-suite bathroom 5. Living area 6. Dining area 7. Veranda 8. Guest toilet 9. Private swimming pool with deck 10. Twin bedroom First Floor 11. Master bedroom +2 12. En suite bathroom with bathtub 13. Open terrace Deluxe Villas FLOOR PLANS 3 BEDROOMS 230 square metres Ground Floor 1. Entrance lobby 2. Fully equipped kitchen 3. Living area 4. Dining area 5. Guest toilet 6. Veranda 7. Private swimming pool with deck First Floor 8. Master bedroom 9. En suite bathroom with bathtub 10. Open terrace 11. Second bedroom with en-suite bathroom 12. Third bedroom with en-suite bathroom Prestige Villas (1 & 2 Bedrooms) Situated on the golf course between Holes No. 1 & 9, the villas have been exquisitely conceived to provide a modern and enhanced living experience in a light and fresh setting. Inspired by our island beauties with coral and floral patterns, their earthy neutral decoration depicts the essence of tropical living. Each one-two-bedroom villa has its own entrance with an inner courtyard, a living space and an open kitchen with wet kitchen to the side, a veranda with comfortable seating and dining areas, and a private swimming pool and private garden. Photos are non-contractual – they may differ from the actual product in details and color. Prestige Villas (1 & 2 Bedrooms) AMENITIES & SERVICES • Air conditioning in all bedrooms for optimal thermal comfort and well-being • Daily cleaning and turndown service • Fully equipped kitchen with built-in appliances to provide ease of use and efficiency • Coffee machine • Washing machine • Hairdryer in each bedroom • Iron and board • Wall safe (master bedroom) • Mosquito repellent diffusers • Flat screen TVs (living room, master bedroom & 2nd bedroom) • DVD player (living room) • State-of-the-art IT equipment for efficient communication • Complimentary wi-fi • Private Chef* • 24 h room service • Dry cleaning and laundry services* Extra charge applies. Photos are non-contractual - they may differ from the actual product in details and color.* Prestige Villas (1 & 2 Bedrooms) FLOOR PLANS 1 BEDROOM 260 square metres 1. Master bedroom 2. Master bathroom with bathtub (en-suite) 3. Living area 4. Kitchen 5. Wet kitchen 6. Store 7. Lobby & linen 8. Dining veranda 9. Private swimming pool with deck and seating area 2 BEDROOMS 290 square metres 1. Master bedroom 2. Master bathroom with bathtub (en-suite) 3. 2nd bedroom 4. 2nd bathroom (en-suite) 5. Living area 6. Kitchen 7. Wet kitchen 8. Store 9. Lobby & linen 10. Dining veranda 11. Private swimming pool with deck and seating area Photos are non-contractual - they may differ from the actual product in details and color. Prestige Villas (3 to 5 Bedrooms) Luxury villas of three to five bedrooms featuring private swimming pool, contemporary fitted kitchen, outdoor patio or veranda with private garden. Situated on the golf course, the 3- & 4-bedroom villas offer either a golf or sea view and the 5-bedroom villas offer a sea view. Photos are non-contractual – they may differ from the actual product in details and color. Prestige Villas (3 to 5 Bedrooms) AMENITIES & SERVICES - Air conditioning - In-rooms safe - Steam iron & board - Double bedrooms have en-suite master bathrooms with luxurious bathtubs, walk-in shower and double washbasins - Bathrobes and hairdryer - Gourmet fully fitted kitchen with integrated appliances - Washing machine - Coffee machine - Flat screen TV – LCD - DVD (living room) - Complimentary wi-fi and broadband access - Swimming pool - Private villa hosts (butlers) are assigned to each villa - Daily cleaning and turn down service - Full breakfast prepared by villa host and served in the villa - Private Chef - Shopping – stocking the refrigerator prior to arrival* - 24 h room service - Dry cleaning and laundry services* Extra charge applies. Photos are non-contractual - they may differ from the actual product in details and color. Prestige Villas (3 to 5 Bedrooms) FLOOR PLANS 3-BEDROOM PRESTIGE SUITE 230 square metres - 3 bedrooms - 3 en-suite bathrooms (2 with bathtubs) - 3 en-suite dressing - Guest toilet - Living room - Dining room - Kitchen - Stores - Covered patio with living/dining area - Swimming pool 4-BEDROOM PRESTIGE VILLA 480 square metres - 4 bedrooms - 4 en-suite bathrooms (with 3 bathtubs) - 4 en-suite dressing - Guest toilet - Living room - Dining room - Kitchen - Stores - Covered patio with living/dining area - Swimming pool 5-BEDROOM PRESTIGE VILLA 550 square metres - 5 bedrooms - 5 en-suite bathrooms (4 with bathtubs) - 5 en-suite dressing - Guest toilet - Living room - Dining room - Kitchen - Stores - Covered patio with living/dining area - Swimming pool - Open balcony Photos are non-contractual - they may differ from the actual product in details and color. Anahita Culinary Experience Photos are non-contractual – they may differ from the actual product in details and color. Anahita Culinary Experience ORIGINE RESTAURANT Open from 7.00 am to 10.30 am and from 7.00 pm to 10.00 pm Our main restaurant offers an interactive culinary experience in an elegant and cosy atmosphere. Its open kitchen concept allows our chefs to personalise your meals à la minute. In the morning, a sumptuous breakfast is offered with both international and local specialties. For dinner, delight your taste buds with carefully selected products for the theme of the day. Evening dress code: Casual smart (shorts and flip flops not accepted) SIGNATURE RESTAURANT Open from 7.00 pm to 10.00 pm on selected evenings (booking required) Can be privatised day and night At Signature, our fine dining restaurant, the chef takes you on a discovery of his innovative Mauritian specialties, which have been inspired by our local produce and different cultural culinary influences. Evening dress code: Casual smart (shorts and flip flops not accepted) The management reserves the right to review the opening and closing times of the restaurants. Anahita Culinary Experience IL FORNO RESTAURANT Open daily from 7.00 pm to 4.00 pm and on selected evenings from 6.30 pm to 10.00 pm Can be privatised during the evening Overlooking Ernie Els 18th hole, our à la carte trattoria restaurant Il Forno serves a ‘Clubhouse’ style lunch. At Il Forno, enjoy an exclusive Italian culinary experience in a stunning and chic environment. Evening dress code: Casual BLISS RESTAURANT Open daily from 12.00 pm to 3.00 pm and on selected evenings from 7.00 pm to 10.00 pm Can be privatised during the evening At our à la carte beach restaurant, enjoy stylishly revisited Mediterranean & Mauritian cuisine for lunch and bistro-style cuisine for dinner, both feasts to delight your senses. Evening dress code: Casual The management reserves the right to review the opening and closing times of the restaurants. Anahita Culinary Experience VU BAR* Open from 8.00 am to 11.00 pm Happy Hour from 6.00 pm to 8.00 pm (on selected evenings) With the largest lagoon and the legendary Île aux Cerfs in the background, our beach bar is the ideal meeting place leading the way to Origine, Bliss and Signature restaurants. Enjoy a relaxing atmosphere during the day and a chill-out evening at Vu Bar with a DJ or live band entertainment on selected evenings. SUGAR – COFFEE SHOP Open from 8.30 am to 3.30 pm Closed on Sundays Our coffee shop, Sugar serves a selection of delicious savoury and sweet snacks to pair with your favourite drink either inside its soothing atmosphere or outdoor on the terrace. FLIBUSTIER Open from 12.00 pm to 16.00 pm On Flibustier, Anahita’s Exclusive Beach at Île aux Cerfs, enjoy a bento-styled lunch with a view on the dazzling lagoon of crystal-clear waters. 24 H ROOM SERVICE A selection of appetising dishes can be delivered and enjoyed from the privacy and comfort of your suite or villa. DIAL A CHEF – PRIVATE CHEF Service available from 7.00 am to 11.00 pm Enjoy a special meal inspired by you, prepared by a private chef in your fully equipped kitchen and served by your dedicated waiter in the comfort and privacy of your suite or villa. A 24-hour notice is required with a minimum applicable fee. SHOPPING LIST Anahita Golf & Spa Resort offers a self-catering option with a selection of products available for order in its shopping list. A 24-hour notice is required for this service. The management reserves the right to review the opening and closing times of the restaurants. UNIQUE GOLFING EXPERIENCE IN MAURITIUS ON TWO EXCEPTIONAL GOLF COURSES With two championship 18-hole golf courses, Anahita Golf & Spa Resort offers the ultimate golfing experience of a simply unparalleled luxury: that of having the total freedom of choice... 1 complimentary green fee and 55 practice balls per person per night on either Anahita or Île aux Cerfs Golf. Golf cart is available with a supplement and is compulsory all year round except from May to September. One hour golf initiation is also offered daily to Resort guests. ANAHITA GOLF COURSE, ERNIE ELS DESIGN Set between land and sea, this challenging golf course is a 6,828-meter, 18-hole, par-72 championship course with large fairways and five sets of tees. Built to USGA standards, it is the first of its kind in Mauritius. Six stunning ocean front holes culminate in a final shot that is among the most spectacular in the world. Carefully woven into the tropical sanctuary, the course is set against lush mountains and fringed by a vast crystal-clear lagoon. ANAHITA GOLF ACADEMY The Golf Academy specialises in improving the game of guests at all levels of ability, from complete beginners to scratch players. Whether your goal is to learn the game, lower your handicap or win a club championship, the Golf Academy can help you with your achievement. Dedicated to enhancing the learning experience for each guest, the Anahita Golf Academy takes a holistic approach. Programmes cover all aspects of the game, including the full swing, the short game, course management, practice techniques, mental training, golf fitness and properly fitted equipment. Anahita Golf Experience ÎLE AUX CERFS GOLF COURSE, BERNHARD LANGER DESIGN Opposite to Anahita Golf & Spa Resort at 5 minutes by boat on Île aux Cerfs is the 18-hole golf course designed by Bernhard Langer. Often described as a wonder of the game, this par-72 championship golf course has natural undulating topography, volcanic rock outcrops, lakes and gullies, and a variety of tropical trees and plants. All the 18 holes have views of the ocean relevant to the most desired and highest international standards. ÎLE AUX CERFS GOLF ACADEMY The Île aux Cerfs Golf Academy is dedicated to creating outstanding golf learning experiences. The Golf Academy Studio offers the finest outdoor and indoor academy facilities with a state-of-the-art, air-conditioned learning studio featuring the most innovative golf-training technology available today. The facilities and programmes especially designed to improve your golf includes video and computer analysis of your swing, instructions on practice techniques and course management and free equipment evaluation. Anahita Spa Experience Photos are non-contractual – they may differ from the actual product in details and color. Anahita Spa Experience Tea is a source of inspiration that stimulates delicate and refined beauty. With the partnership of the French brand THÉMAË, Anahita aims at bringing a wealth of sensations, beauty and pleasure for a long-lasting well-being using tea-based treatments and products. The name THÉMAË means “Japanese tea ceremony” and is also called “Way of tea”. THE SPA FEATURES: - Reception with texture bar and tea veranda - 9 treatment rooms including 1 double with own garden area, interior or exterior showers - Ladies changing room with steam room - Gents changing room with steam room - Manicure and pedicure room Anahita Beach Experience Photos are non-contractual - they may differ from the actual product in details and color. Anahita Golf & Spa Resort offers an exclusive beach experience on two beaches: Resort beach & the Anahita Exclusive Beach at Ile aux Cerfs. ANAHITA BEACH The Resort beach is the ideal place for sunbathing, with breathtaking views over the ocean, fringed by an offshore coral reef. Enjoy our beach service offering hot and cold refreshments as well as light snacks throughout the day. ANAHITA EXCLUSIVE BEACH AT ÎLE AUX CERFS At only a few minutes from Anahita Golf & Spa Resort by boat, this beautiful island unveils its spectacular sceneries in an idyllic natural environment. A short and thrilling ride by electric carts across a tropical garden of endemic plants takes you to the exclusive beach, bordered by a lagoon of crystal-clear waters. With its warm welcome and personalised service, Anahita Golf & Spa Resort enhances the Mauritian lifestyle experience. Anahita Family Experience Photos are non-contractual - they may differ from the actual product in details and color. Anahita Family Experience OURSPACE KIDS CLUB OurSpace kids club welcome children aged from 8 months to 13 years everyday from 08h30 to 20h00. Access to the club is free of charge for children from 4 to 13 years (excluding meals). OurSpace is a 230 m² heaven for our younger guests, it is their area to meet new friends and develop new skills. It is managed by qualified nannies with recognised childcare qualifications and adheres to strict safety guidelines. The activities include kayaking, tennis sessions, trips to Île aux Cerfs, snorkelling, glass bottom boat outing... ESCAPE TEENS CLUB Being a dynamic and fun activity club for 13 to 18 years old, “Escape Club” caters exclusively for our teen guests. The daily programme includes a wide range of outdoor activities from snorkelling, waterskiing and kayaking trips to friendly tennis knock-outs, Frisbee tournaments and trips to Île aux Cerfs. Also available: indoor games and table tennis. ANAHITA BOAT HOUSE – QUAYSIDE The boathouse, “Quayside”, offers a variety of motorised and non-motorised activities. Outings on glass-bottomed boat, snorkelling trips to spots inside the reef, free shuttle service between La Place Belgath and Île aux Cerfs are organised daily. Induction for non-motorised water sports, Hobbie Cats, fun boats, lasers, windsurfs, kayaks, Stand Up Paddle and pedal boats are available on complimentary basis. Within Quayside is our PADI Diving Centre. Our experienced and qualified PADI instructors will make you discover the wonders of the undersea world. The Diving Centre offers courses for beginners as well as advanced divers. PERSONAL FITNESS CENTRE Located on the first floor of the Golf Club House, our Personal Fitness Centre is fully equipped with cardiovascular and weightlifting equipment. Our Personal Fitness Trainers are on hand to assist you with special tailor-made programmes according to your level of fitness and needs. Should you wish to enjoy a game of tennis, rackets are available at the Fitness Centre. Personal coaching is also available upon request. VALLÉE DE FERNEY La Vallée de Ferney shelters one of the very last nature sanctuaries on the island. It provides an unhoped-for safe haven to a great variety of indigenous species, many of which are rare or threatened. Enjoy a full guided tour or a 4x4 excursion of the reserve. Exploring La Vallée de Ferney provides an unforgettable experience in a unique place, where the pleasures of the different activities are associated with environment protection by contributing to the preservation of the biodiversity of Mauritius. Anahita Meetings & Events Within the most exclusive island hideaway, Anahita Golf & Spa Resort offers the ultimate location to host your corporate meeting, honeymoon or wedding celebration or any other banqueting and special themed events of your choice. Our dedicated service team and banqueting professionals will be pleased to create tailor-made offerings to make your event an unforgettable experience. MEETINGS Located along the marina, our multifunctional room is the ideal place to host working sessions or various types of banquet and events. For business meetings, it can accommodate up to 60 guests according to the chosen layout with the required equipment. Tea breaks and entertaining meals can also be arranged upon request. With its adjacent deck, this room becomes an entertaining area to host personalised and private banqueting events for up to 100 guests. Anahita Meetings & Events BANQUETS & EVENTS Several on-site and off-site venues are available to host your special events according to your requirements and capacity of the venues: Bliss restaurant, Signature restaurant, Anahita beach, around the pool, Domaine de l’Étoile, Île aux Cerfs Clubhouse, Anahita Golf Clubhouse, etc. WEDDING & HONEYMOON At Anahita, the oasis of calm and tranquility provides the perfect destination to celebrate your wedding with your friends and relatives or your honeymoon with your loved one. Special offers and packages are available for wedding, honeymoon and anniversary celebrations. Resort Facilities • 4 restaurants, 1 boutique & 1 bar • Meeting & Function room • 24 h room service • Dial-a-chef (Private Chef)* • 2 Golf Courses (Anahita Golf and Île aux Cerfs Golf) • 2 beaches (Anahita Golf & Spa Resort and Exclusive Beach at Île aux Cerfs) • 2 infinity edge swimming pool with services • 1 relaxation swimming pool • Kids’ club (8 months to 13 years) • Teens’ club • Baby-sitting service* • Spa by Thémaé Paris* • Fitness centre • 3 tennis courts • Boathouse & PADI centre* • Daily cleaning • In-house laundry • Unpacking service if requested • Shops* • Free wi-fi • Complimentary boat shuttle to Île aux Cerfs • Multilingual concierge • Car rental, tour and excursion service* • Wedding & honeymoon celebration* • Groups & incentives* Extra charge applies. Photos are non-contractual - they may differ from the actual product in details and color. Mauritius, a beautiful island of 1,860 km², is located in the Indian Ocean, off the eastern coast of Africa. The average temperature during the summer months (October to May) is approximately 28°C, with a water temperature of 24°C. The sub-tropical winter months (June to September) are as beautiful as summer in Europe. Approximately one million inhabitants of different origins live peacefully together, creating a melting pot of cultures, religions and languages. Sugar cane, textile industry and tourism are the three major sources of revenue of the Mauritian economy. - English is the official language of the island, although French is widely spoken and used everywhere - No visa is required to enter Mauritius for EU nationals - A valid passport and a return plane ticket are essential - No vaccination is needed - The following credit cards are accepted in the hotel: Visa, American Express, MasterCard, Diner’s Club, UnionPay - The currency is the Mauritian Rupee - Mauritius is 4 hours ahead of Greenwich Mean Time (GMT+4) - Anahita Golf & Spa Resort is located 45 minutes from the airport Photos are non-contractual - they may differ from the actual product in details and color. Contacts MAURITIUS OFFICE Mr Yannic Momple Sales & Marketing Manager Tel: +230 402 2200 E-mail: email@example.com EUROPE OFFICE Mr Pierre Bruno Europe Sales & Marketing Director Tel: +33 626 341900 E-mail: firstname.lastname@example.org FOLLOW US ON: Anahita Golf & Spa Resort Beau Champ - Grand River South East 40901 - Mauritius Tel: +230 402 2200/Fax: +230 402 2220 Email: email@example.com www.anahita.mu Photos are non-contractual – they may differ from the actual product in details and color. LUXURY VACATIONS S-20 Green Park Main Market, New Delhi -110016 ----------------- Shop No: 24 Malviya Nagar New Market, New Delhi -110017 Call // WHATSAPP: +91 9810995619 // +91 96672 25858 Email : firstname.lastname@example.org / email@example.com WEB : www.luxuryvacations.co.in HOTELS \| FLIGHTS \| CRUISES \| PACKAGES \| VISAS www.LUXURYVACATIONS.co.in
DOUBLE EXPOSURE Media darlings by night, engineering nerds by day. These guys uncovered the Volkswagen emissions cheating scandal. You want them in your corner. WWU researchers uncovered an emissions cheating scandal that made headlines around the world, but the real story is how their work will create safer, healthier cities. Four men emerged from the lab, rapidly blinking as their eyes adjusted to the sunlight. They walked straight ahead, expressionless and unsmiling. Fanning out, they hit their marks as a camera jib floated down to meet them at eye level. Staring straight down the barrel, they stood motionless until a voice from behind the camera yelled, ‘Cut!’ They looked at each other and burst into laughter. The television crew from 60 Minutes Australia was top notch, efficient and organized, professional and quick. One of countless media outlets from around the world that descended on West Virginia University’s campus, they sought to tell a “David versus Goliath” story — pitting a small laboratory at WVU against the No. 1 car maker in the world. But for WVU’s researchers there was always more to the story. For Dan Carder, a self-proclaimed engineering nerd from Parkersburg, W.Va., the media circus that has surrounded the work of WVU’s Center for Alternative Fuels, Engines and Emissions, or CAFE, over the past seven-plus months has been entirely surreal. “When I became an engineer 25 years ago, I never thought the general public would be interested in this kind of research,” said Carder, who has been director of the center since 2010. “I certainly never thought I’d get a phone call from Leonardo DiCaprio’s people,” he said in reference to the actor’s intent to produce a feature film about the U.S. Environmental Protection Agency’s discovery that Volkswagen had been cheating on emissions tests. “We’re probably the last people you would want as spokespeople,” he laughs. “We spend most of our time in the lab or in the field working on equipment or analyzing data.” But he and the rest of the five-person team whose research on real-world diesel emissions revealed data that broke open the Volkswagen scandal have taken the attention in stride — even though their newfound media responsibilities have usurped more quality lab hours than they would prefer. Their unceasing dedication to their work was apparent two-and-a-half years ago when Marc Besch, Arvind Thiruvengadam and Hemanth Kappanna — all graduate students at the time — alternated 16-hour shifts to drive three test vehicles around southern California and up to Seattle. In 2013, CAFE contracted with the International Council on Clean Transportation, an independent research group, to conduct a small $70,000 study on emissions levels from diesel passenger vehicles in the United States. The council reasoned that because the U.S. had the most stringent emissions standards in the world, diesel cars in the U.S. market would have to be ultraclean. Basically, they set out to prove that if diesels could make it here they could make it anywhere. REVEALED ON THE ROAD Spoiler alert: They were wrong. (Well, not entirely, but more on that later.) After the International Council on Clean Transportation presented the results of the WVU study to the EPA and the California Air Resources Board, the regulatory agencies did some digging of their own. Eventually, Volkswagen admitted that their diesel vehicles employed a “defeat device” — complex instructions coded in the car’s computer-controlled brain that turned on emissions control technologies during compliance tests in the laboratory and then turned them off during real-world driving situations. Outside of the lab, cars were spewing up to 35 times more oxides of nitrogen than allowed by regulatory standards. When WVU began the study, government regulators only performed compliance tests in a lab setting on a chassis dynamometer — basically a treadmill for cars. They did not have compliance tests for diesel passenger vehicles out on the road, but the EPA says that will change soon. “Car makers know exactly how they are going to be evaluated by regulators,” Carder said. “It’s like giving a student all the questions to a test before the student takes the test.” In addition to a lack of real-world testing, there wasn’t much publicly available data on diesel emissions from passenger cars. For WVU’s engineers, that was enough to pique their interest. It may come as a surprise to non-gearheads that anyone in the U.S. drives a diesel vehicle these days. In the 1980s diesels had a near disastrous introduction into the American market, embodying the stereotype of a noisy, dirty and slow mode of transportation. But modern clean diesel technology is nothing like its soot-covered cousin of the past. The engines are powerful, offering lots of torque at low to mid-range speeds, gets better from zero to 60 faster. They also have longer range and higher fuel economy than most gasoline vehicles. Most importantly, they feature technology that cleans the vehicle exhaust that once soiled diesel’s reputation, but only if the technology is implemented properly. WVU’s team proposed a study in which they would test three of these clean diesel vehicles on driving routes between Morgantown, Washington, D.C., and Florida. The make and model didn’t matter, but they had to have diesel engines, fewer than 120,000 miles on the odometer and not be brand new. There was one snag. They couldn’t find any vehicles to test. The team quickly realized that with the limited percentage of light-duty diesel vehicles in the U.S. market, most rental agencies didn’t carry such cars on their lots. So the team decided to attempt nearly 2,500 miles west to southern California, where they were already conducting research projects — and, as Thiruvengadam says, “the weather was better and fish tacos were nearby.” Years of strict emissions regulations in California had pushed car buyers in the state to be more progressive with automotive technology, so diesel vehicles were more prevalent. In the greater Los Angeles area, the team found three vehicles from two commercial rental agencies and a private owner — a Volkswagen Jetta, a Volkswagen Passat and a BMW X5. “The availability of vehicles drove a lot of what we were able to do,” Carder said. “Looking back, had we been able to find vehicles on the East Coast, the story might have had a different ending.” It turns out, Volkswagens secret was 2,450 miles away from never being discovered. “Finding the Volkswagen vehicles was very interesting for us as engineers,” said Besch, who is completing his PhD and working as a research assistant at CAFEE. “Volkswagen was the only vehicle manufacturer to use the two types of diesel after-treatment systems, and the vehicles had the same engine. So, from a research standpoint, it was favorable to be able to compare the two.” All three vehicles featured high-tech “exhaust scrubbing” systems that are very effective at reducing vehicle exhausts of dangerous substances such as oxides of nitrogen that contribute to the creation of ozone. They have the ability to reduce pollutants from 1,000 parts per million to under 10 parts per million at the tailpipe. The Jetta featured lean-NOx trap technology, while the Passat and the BMW X5 had selective catalytic reduction systems. “We have been working with these control technologies for decades in the heavy-duty market,” said Greg Thompson, associate professor of mechanical engineering and principal investigator of the study. “So, we are conversant with performance characteristics of these control strategies and how well they can perform on the road.” In fact, for Thompson, Carder and Kappanna, the experience with Volkswagen was eerily familiar to work that they led in a landmark settlement between the EPA and a group of heavy-duty engine manufacturers — companies that make engines for commercial trucks and buses. DÉJÀ VU ALL OVER AGAIN At CAFEE’s on-campus laboratory, a 10,000-pound behemoth and three of its engine brethren waited for instructions. The room teemed with their coiled, tentacle-like cords and tubes, reaching across the floor and climbing into the ceiling like jungle vines escaping the confines of the forest floor. The beasts were still, their growls silenced. After a few minutes they began to roar as their breath was captured in a maze of tunnels overhead. In the late 1990s, U.S. environmental regulatory agencies found that engines from six heavy-duty diesel engine manufacturers used software that made the engines perform differently when being tested in a laboratory versus on the road. The software caused the engines to switch to a more fuel-efficient driving mode — but with higher oxides of nitrogen emissions. Unlike Volkswagen, the heavy-duty manufacturers claimed the use of the software was a misunderstanding with regulators and was never meant to intentionally undermine compliance standards. “It was almost unbelievable to see such a similar thing happen again,” Besch said. “When we saw the news of what Volkswagen had done, we were as shocked as the rest of the world,” said Thiruvengadam, who is now an assistant professor of mechanical engineering at WVU. “To this day, we are still surprised.” Eventually, in a historic settlement, the EPA fined the heavy-duty engine manufacturers $1 billion and required them to conduct real-world pollution research and to upgrade their existing engines in order to lower emissions. Because of their expertise, CAFEE was called on to work with the manufacturers to develop the world’s first mobile emissions measurement system designed to provide accurate diesel emissions measurements while withstanding the shock and vibration encountered in on-road testing. Their work resulted in the development of current emissions compliance standards for heavy-duty engines and the subsequent commercial development of portable emissions measurement systems (PEMS). These systems eventually evolved into the equipment that WVU used in the Volkswagen testing to collect a continuous stream of vehicle data including pollutant emission rates, velocity, exhaust flow rate and weather conditions. “The work has come full circle,” said Kappanna, who is now a calibration specialist at General Motors. “But instead of going back to square one, the challenge is to keep moving the technology forward.” “As a researcher, you normally don’t get this kind of media attention … our work is well-known among industry and regulators, but this type of notoriety is surprising.” — GREG THOMPSON A CLEANER FUTURE On the wall of screens in the WVU media control room, the CNBC video feed showed Pope Francis on his historic visit to the U.S. about to board a plane. Down the hall, Dan Carder sat in a silent studio in front of a single camera awaiting his cue. For him, the momentary pause was a welcome reprieve from the media onslaught. Carder’s phone had not stopped ringing for days and his voice mailbox was full. Suddenly, a voice in his ear monitor told him that as soon as the Pope’s plane left, he would be live on air. Plastered across the screen was a graphic showing that up coming: “The Man Who Uncovered Volkswagen’s Lie.” Reprise over. CAFEES has grown to include nine faculty members, five engineers, five technicians and more than 30 graduate students whose research is focused on the study and development of technologies necessary to improve transportation and power systems while working toward a cleaner environment. They built the largest national database of heavy-duty vehicle exhaust emissions and fuel efficiency data, which is used by the U.S. Department of Energy, the U.S. Department of Transportation and the EPA to set-quotient controls. The team also pioneered efforts in measuring real-world emissions from mobile sources with PEMS, and now they are ready to introduce a new device that will provide a bridge between real-world vehicle emissions data and health. AirCom, a device about the size of a large television remote, is a miniature version of PEMS equipment (it’s referred to as micro-PEMS). It is small enough to install on a vehicle’s tailpipe. Lightweight and inexpensive — with an anticipated cost of a few hundred dollars — compared to the $250,000 price tag of PEMS equipment, AirComs can be installed on a fleet of vehicles. “You’re looking at the potential to gather a huge amount of incredibly valuable data,” Carder said. “You’ll be able to see concentrations of pollutants over time and then be able to make decisions about when and where to drive based on that information.” Think crowdsourcing for the environmental circuit. Last year, the White House announced its commitment to the development of “Smart Cities” to help communities build infrastructure to continuously improve the collection, aggregation and use of data to improve the lives of their residents. AirCom will be a step forward in gathering and spreading out emissions data. The more data they are able to collect, the better air-quality modelers can predict concentrations of air pollution. “This is an area where we know we can make a difference,” Carder said. “By gathering and connecting this data, we can help cities and the people who live in them. That goes beyond the U.S. and shows that it can be applied to global population centers like China and India.” Soon after news broke of the Volkswagen scandal, media outlets were quick to position. Dan Carder, Greg Thompson, Arvind Thiruvengadam, Marc Besch and Hemanth Kappanna as heroes, champions of the people, who took down a corporate giant. But in many ways — actually, most ways — they are typical engineers who aim to make an impact on people’s lives with their research. Their lives and work are interdependent — there is no distinction between the two. In January at the North American International Auto Show in Detroit to collect the “Disruptors of the Year” Shift Award from CNET, the five-member team disappeared inside the Ford exhibit. Never mind the fact that they were being recognized on the biggest stage in the automotive industry. They were like kids in the shiniest, and most expensive, candy store in the world. With boyish enthusiasm, the most talked-about engineers in the industry bounced from exhibit to exhibit, admiring engine configurations and technology systems. “So pretty,” one whispered while fawning over a brake display. The fraternity among them was unchanged, evidenced by the ceaseless brotherly banter. Will they ever stop teasing Besch about how long it has taken him to finish his dissertation? Probably not until they’ve seen him through graduation. In the meantime, they will continue doing what they’ve done for decades — moving technology, emissions research and the industry forward — long after the show lights have dimmed and the glare of the media lens has faded. HOW’S THE AIR OUT THERE? You’re inhaling air reading this right now. And when you’re walking your regular route on your town’s streets, you could be breathing in pollution from emissions. It would be great if there were something that could be fitted on many cars at the same time to track concentrations of air pollution. AirCom: this will be the everyday tool, and it came to us from the WVU team who discovered Volkswagen’s cheating of emissions standards. Research at the Center for Alternative Fuels, Engines and Emissions led to the commercial development of portable emissions measurement systems. Now the team has created a micro-sized version of the device called AirCom, the size of a large TV remote, which can connect to a car’s tailpipe and has a projected cost of a few hundred dollars. So when cities look to reduce air pollution, they’ll have AirCom on their side. AirCom is small enough to attach to a car’s tailpipe and is equipped with GPS, WiFi, a power system and battery. The adaptable components can record location, vehicle and engine measurements and readings from environmental sensors. The sensors are where the important work happens. And it all happens in real-time, relaying information live to a website using the cellular network. THE NEXT BIG THING BEGINS HERE. West Virginia University is designated a Highest Research Activity university according to the Carnegie Classification of Institutions of Higher Education. This means growing answers to your questions. Like how to make cars run cleaner. How to keep water safe. And how to make our lives better tomorrow than they were yesterday. West Virginia University research.wvu.edu MOUNTAINEERS GO FIRST. West Virginia University
Sveaskogs report on Multi-Dimensional Value Creation The forest has many values – how can we visualize them? The forest creates great values. Sveaskog has now begun a work to visualize and quantify values that we were previously not measured, including climate sequestration and water regulation. According to first estimates, such values amount to more than SEK 10 billion annually. This brochure tells you more about the calculations behind these figures. Sveaskog has worked with the internationally recognized sustainability economist Pavan Sukhdev and his team at GIST Advisory to quantify Sveaskog’s value creation. This multi-dimensional value creation is estimated according to a methodology named Integrated Profit and Loss (IP & L). Sveaskog is a pioneer in this field in the forest sector. In the past, like others, we only measured our financial results, but now we are beginning to put figures on previously invisible values that are beyond our income statement but equally important to society and our owner. Examples are Sveaskog’s whole GDP contribution, values of recreation and non timber products and carbon sequestration. This means, among other things, that we can better illustrate the value of natural capital than before. What does this mean for society and the environment? How does the insight from this work affect the use of our forests and the ability to sell forest products and services today and tomorrow? Now, we will take the next steps to analyze and complement and build on this foundation. Forest management and use is a cornerstone in the development of a circular bioeconomy. In this context, our aim is to be able to produce and develop more biomass as well as more biodiversity in our future forests. Read more in this brochure and on www.sveaskog.se/skogensallavarden Per-Olof Wedin, President and CEO, Sveaskog Lena Sammeli-Johansson, Chief Sustainability Officer, Sveaskog About Sveaskog Sveaskog is Sweden’s largest forest owner and sells sawlogs, pulpwood and biofuel to 130 customers, primarily in the pulp and paper and sawmill industries. Sveaskog also works with land transactions and develops the forest as a venue for hunting, fishing and other nature-based experiences. Our vision is to be the leading forest company. Sveaskog has 37 ecoparks and has set aside 20% of its productive forest land for nature conservation. All Sveaskog’s forests are FSC® certified, which provides a guarantee that the forest is managed responsibly. All felling is planned based on the requirements in the Swedish FSC® standard which take economic, environmental and social factors into account. Sustainable development permeates every aspect of Sveaskog’s business. A tree that is planted today will be harvested in 60–120 years. For every tree harvested by Sveaskog, we plant 3 new. The growing forest and production of wood raw material make a substantial contribution to counteract climate change. Facts - Sveaskog owns 14% of forest land in Sweden, spread across the entire country. - Most of the forest land is in the northern part of the country. - Sveaskog is the Swedish market leader within forest regeneration and seedlings through Svenska Skogsplantor. - Sveaskog owns land worth SEK 34.5 billion. - Sveaskog sales of SEK 6.206 million in 2017 and in average 846 employees throughout Sweden. - Sveaskog is owned by the Swedish state. The dark green in the financial result is Sveaskog measured earlier. The light green in the financial capital is other financial value: value added tax, interest rates and depreciation. Social capital includes recreational benefits, berry collection from Sveaskogs forest, hunting and fishing, and forest roads for better access. Human capital involves employee development, including skills development and well-being. Natural capital includes, in particular, carbon capture and the positive impact of forests on the water cycle. Read more about the calculations in the coming pages. <IP&L> gives us the Big Picture … Ownership Categories → Capital Classes Private Ownership: ('Private Goods') - Physical Capital - SEK 1.2 Billion Net Profit - SEK 1.1 Billion (GDP ‘FCX’) - Human Capital - SEK 160 Million (Training ‘HCC’) - Natural Capital - Social Capital Public Ownership: ('Public Goods') - Physical Capital - Human Capital - Natural Capital - SEK 4.1 Billion (Climate ‘NCX’) - SEK 2.7 Billion (Water ‘NCX’) - Social Capital - SEK 2.7 Billion (Recreation & Gathering ‘SCX’) Sveaskog’s Contribution to GDP was nearly twice its Net Profit… Total Financial Value Addition SEK 2.3 Billion (2016); SEK 2.5 Billion (2017) Value addition by the “income method” for GDP <FCXTM> = Sveaskog’s contribution to Sweden’s GDP beyond Net Profits Notes: 1. FCXTM & GDP do not include large externalities (ESS values, GHG impacts, etc.) 2. “Level-1” <FCXTM> and does not include outsourced / sub-contracted value-added 1 Sweden’s GDP in 2016 was US$ 514.46 Billion (World Bank, 2018) Sveaskog’s Contribution to GDP was nearly twice its Net Profit… Total Financial Value Addition SEK 2.3 Billion (2016); SEK 2.5 Billion (2017) Sveaskog Generated Social Benefits of SEK 2.7 Billion… Recreational Benefits – Travel Cost Method Individuals average 40 visits per year @ SEK 50 per visit (Fredman et al 2013) Economically active population (age 15 and above) = 85% (Statistics Sweden 2017) Swedish forest area owned by Sveaskog = 14% (Sveaskog 2017) NTFP Benefits – Production Function, WTP & Avoided Cost Harvest rates in Sveaskog forests = 9% for Lingonberry & 6% for Bilberry (Sveaskog 2017) 75% berries sold in organized markets, rest sold in unorganized markets (Sveaskog 2017) TEV of moose = SEK 3500 / SEK 3700 / SEK 4600 in North / Central / South Sweden (Mattsson et al. 2006) WTP for hunting of Roe Deer = SEK 470 (Engelman et al. 2016) Daily cost of feed for reindeer = SEK 5 (Sara Askelund, 2014) CSR & Business Model Benefits – HCXTM Model 50% of Växkraft! Program trainees receive full time employment in forestry sector (Sveaskog 2017) Sveaskog Generated Social Benefits of SEK 2.7 Billion... Recreational Benefits from Sveaskog Forests in 2016 - Recreational Value of Sveaskog Forests: SEK 2,500 Total Benefits from Växtkraft! Program in 2016 - Summer Workers: SEK 6 - Interns: SEK 4 - Total: SEK 11 NTFP Benefits from Sveaskog Forests in 2016 - Berry Collection from Sveaskog Forests: SEK 31 - Hunting & Fishing in Sveaskog Forests: SEK 86 - Reindeer Grazing by Sami in Sveaskog Forests: SEK 76 - Total NTFP Benefits: SEK 192 Net Benefits from Ecosystem Services were SEK 7 Billion ... Net Benefits from Ecosystem Services were SEK 7 Billion … 2016: net negative externalities SEK 59 Million, of which GHG was largest contributor (96% of total net impacts) followed by Water & Land Pollutants (3% of total net Impacts) Natural Capital Externalities -SEK 0 -SEK 10 -SEK 20 -SEK 30 -SEK 40 -SEK 50 -SEK 60 -SEK 70 Valuation (Million SEK in Year 2016) KPIs GHG Emissions; -57 Water & Land Pollution; -1,8 Water Consumption; -0,01 Air Pollution; -0,4 Land-Use Change; -0,8 Ecosystem Service Valuation 2016: Carbon Sequestration contributed positive externalities of SEK 4.1 Billion followed by Water Conservation with SEK 2.7 Billion. Carbon Sequestration Total Valuation (Million SEK/Year) Per Hectare Valuation (SEK/Ha/Year) Production Forest Conservation Forest 3300 1400 2400 770 Valuation (Million SEK/Year) Water Conservation Total Valuation (Million SEK/Year) Per Hectare Valuation (SEK/Ha/Year) Production Forest Conservation Forest 2100 570 840 1000 Valuation (SEK/Ha/Year) • Coefficients based on IPCC, 2006 • Valuation based on Social Cost of Carbon at 3% Discounting rate (Intergency working group on Social cost of GHG, U.S. 2016) Methodology based on Zhang Biao 2010 Valuation based on operational cost (Eurostat 2017) from electricity consumption (Olsson 2012) in Conventional Water Supply Total Value from Soil Erosion Prevention was SEK 0.8 Million, based on 1% land use change scenario. Per Hectare Value – SEK 31 and 26 /Ha/yr. for Conservation and Production forest respectively Managing & Reducing Sveaskog’s Negative Externalities Sveaskog’s Initiatives in 2017 38% of diesel used in Sveaskog owned vehicles (for Harvesting activities) sourced from renewable sources No direct pesticide application in field Waste recycling avoids SEK 0.6 Million +ve <NCX> far exceeds -ve <NCX> 2018 Recommendations Application of Biodiversity maps to identify hot spots for planning of production and conservation activities Promoting Supply chain engagement programs aimed to reduce transportation impacts Promoting rail transport to reduce impacts Biodiversity Richness 4 – Very High 3 – High 2 – Moderate 1 – Low Relative biodiversity richness map based on IUCN red-list species occurrence database Managing & Reducing Sveaskog’s Negative Externalities GHG Impacts: Activity Breakdown (SEK 57 Million) - Transportation; 45% - Harvesting; 32% - Road Construction; 16% - Forest Management; 2% - Nursery & Seed Operations; 3% - Administration; 3% Major Contributors to other KPIs: - SEK 1.8 Million - Water & Land Pollution is 93% from Forest Management - SEK 0.4 Million - Air Pollution is 87% from Transportation - SEK 0.01 Million – Water Consumption is 96% from Nursery & Seed Operations - SEK 0.8 Million – Land Use Change is 100% from Road Construction Methodology Example (1): Estimating Impacts of Air Pollution Drivers - Business Activities including Fossil Fuel Consumption, Fugitive Emissions, Process Emissions, etc. Outcomes - Increase in SO$_x$, NO$_x$ and Particulate Matter Concentration - Exposure to Human Populations - Exposure to Plants & Crops - Increase in Concentration of VOCs, O$_3$, CO and NH$_3$ - Decreased Visibility, Exposure to Built Capital, Interference with Recreation, etc. Impacts - Morbidity & Mortality from Increased Incidences of Diseases - Agricultural Productivity Loss - Impact on Aviation, Transportation, Infrastructure & Tourism Methodology Example (1): Estimating Impacts of Air Pollution Drivers Emissions Quantification - Air pollutant emissions at source from fuel and electricity consumption - Based on the activity and source, Pollutant emission rates are calculated - Mapping sources geographically such as Northern, Middle and Southern Sweden to calculate the impact Impacts Inputs - Relative Risk assessments for mortality and morbidity based on epidemiological studies Impacts - “All Cause” mortality - Morbidity including hospital admissions related to respiratory, COPD and cardiovascular illnesses - Total Health Cost Outcomes Developing regionalized models for Northern, Middle and Southern Sweden Model Air dispersion Model – Area & Line Inputs Emissions, MET data, Receptor type Human Health Impacts Source: The Guardian Population Source Population data (SEDAC) Methodology Example (2): Estimating NTFP Benefits Framework for NTFP Gathering - Access to Sveaskog Forests under Company Policy Drivers - NTFP harvesting from Sveaskog forests Outcomes - Harvesting of berries - Incomes for local community / foreign workers from berry sale - Harvesting of mushrooms & flowers - Increased savings for Sami from avoided cost of feed - Reindeer grazing by Sami - Hunting & fishing - Benefits of hunting & fishing for local communities Impacts Methodology Example (2): Estimating NTFP Benefits Valuation Methodology for Estimating NTFP Benefits \| Nature of Benefit \| Description \| Valuation Methodology \| \|-------------------\|------------------------------------------------------------------------------\|---------------------------------------------------------------------------------------\| \| NTFP Gathering from Sveaskog Forests \| Local communities and foreign workers derive significant economic benefits from collection & sale of berries from Sveaskog forests to which they have free access. \| • Production Function (PF) approach to determine total production & harvesting of berries from Sveaskog forests • Income benefits estimated based on local market prices for berries (Data from Sveaskog) \| \| \| Local population derives significant value from hunting game & fishing in Sveaskog forests. \| • Production Function (PF) approach to determine total number of game hunted in Sveaskog forests (moose & roe-deer) & fishing licenses issued (Data from Sveaskog) • Estimate economic value of hunting based on WTP Methodology (Mattsson et al. 2006; Engelman et al. 2016) • Economic value from fishing estimated via market pricing based on opportunity cost of time spent in fishing activity (Data from Sveaskog) \| \| \| Local Sami Communities benefit from grazing of their reindeer in Sveaskog forests. \| • Hedonic pricing methodology to estimate economic value of reindeer grazing based cost of artificial feed (Sara Askelund, 2014), seasonal grazing trends and proportion of Sveaskog forests in Northern Sweden (Data from Sveaskog & Statistics Sweden) \| Sveaskog Integrated Profit & Loss, IP&L™ ©GIST Advisory Private Ltd.
WorkLife at Emory University A Five-Year Report Strengthening the Work-Life Culture When the WorkLife Initiative Task Force initially began looking into work-life programs to see how such programs could potentially benefit Emory University’s faculty, staff and students, we never imagined that five years later, our programs would be as robust as they are today. We can be very proud of what we’ve accomplished in such a short period of time! Although Emory already had a strong foundation of policies and practices in place five years ago, there was not one consolidated resource to enhance the work-life balance of our working families. With the opening of the WorkLife Resource Center in 2008, members of the Emory community now have easy access to Emory’s abundance of resources and programs in the areas of dependent care, workplace flexibility, financial planning and support, and community involvement. From workshops and seminars to interactive web resources such as podcasts, Twitter feeds and videos, the Center is actively involved in the design and creation of innovative programs that address the ever-changing needs of Emory’s working families. As a testament to the quality of our programs, in 2012, Emory was recognized with the Work-Life Seal of Distinction, an inaugural award from the WorldatWork’s Alliance for Work-Life Progress. Emory was among just 26 organizations nationwide that received the award for demonstrating leadership in developing workplace strategies to help employees achieve success at work and in their personal lives. The further development and strengthening of Emory’s work-life programs has required clear engagement, a commitment on behalf of both the administration and the community, advisory committee members and executive steering members, and an investment of resources. We could not be more delighted that both Emory’s leadership and community members have fully supported the work of the Task Force, enhancing our university as one that truly embraces a “culture of joy.” We offer a special thanks and gratitude to Theresa Milazzo and John Kosky for putting a structure around a vision and for stewarding the Resource Center towards its success. Please enjoy a copy of our Five-Year Report and help us celebrate this success! Peter Barnes Vice President, Human Resources Co-Chair, WorkLife Initiative Task Force Rosemary Magee, PhD Vice President & Secretary Co-Chair, WorkLife Initiative Task Force In 2006, at the recommendation of the President’s Commission on the Status of Women, Emory University President James Wagner appointed a WorkLife Initiative Task Force to explore Emory’s cross-cutting strategic theme of “Creating Community-Engaging Society.” Task Force members from across the campus met over a period of 18 months researching how work-life programs could help sustain individuals and families within a university environment. In 2007, the Task Force published its findings in a detailed report which examined Emory’s current policies, practices and programs and outlined 94 recommendations for improving work-life. The following goals were also established to help meet the changing needs and expectations of our faculty, staff and students: • Strengthen the work-life culture at Emory for individuals and families of all shapes and sizes within a university environment of engaged reciprocity. • Broaden resources that support members of the Emory community including access, options and programs for dependent care to support working families. • Develop work-life policies and opportunities for staff including flexible, collaborative working environments that sustain personal growth, encourage professional development and nurture community and family life. • Enhance work-life policies for Emory faculty and graduate students by creating a new, more flexible model for academic advancement that sustains personal growth, encourages professional excellence and nurtures community and family life. • Promote a culture of joy where respect for traditions, immersion in the moment and preparation for the future are inextricably interwoven. • Engage in a vigorous campaign of support by enhancing Emory’s academic culture and community life through courageous leadership, dialogue and innovation—truly making Emory a destination university for the 21st century. The 94 recommendations were cataloged and grouped by interest group (e.g., faculty, staff, student, or all) and then prioritized using these goals. A grid was developed to help monitor progress, timelines and responsibilities for implementation. Five years later, work-life resources on campus have grown substantially with the opening of the Emory WorkLife Resource Center and the creation of several new programs and initiatives, all designed to support the diverse needs of the Emory community. This Five-Year Report documents the progress that has been made to date. 2006 WorkLife Task Force Formed 2007 Task Force Issues Findings and Outlines Goals 2008 Emory WorkLife Resource Center Established Full-Time Dependent Care Program Specialist Hired 2009 Emory Child Care Network Established Inaugural Summer Camp & Learning Expo Held Back to School Resource Campaign Launched Emory Student Job Network Created Emory WorkLife Web Site Launched Full-time WorkLife Associate Hired 2010 Finance Matters Workshop Series Begins Emory University Hardship Fund Launched Dependent Care Needs Assessment Completed 2011 Workplace Flexibility Needs Assessment Conducted Back-up Care Program for Laney Graduate School Students Launched Committee on Elder Care Programming Formed 2012 Emory University Receives WorldatWork’s Work-Life Seal of Distinction Emory WorkLife Resource Center on Twitter Whether it is caring for a young child or an aging adult, dependent care is one of the biggest challenges when it comes to balancing the demands of work and family life. Since 2008, the Emory WorkLife Resource Center has worked to strengthen programs and resources in the areas of child care and elder care. Some of the dependent care programs now available across campus include: - Emory Child Care Network: Designed to meet the diverse child care demands of Emory employees, the Emory Child Care Network offers discounts and priority admissions with approximately 170 participating child care centers throughout the Metro Atlanta region. - Annual Summer Camp & Learning Expo: Held on Emory’s campus in February, the Expo hosts nearly 100 summer camps and academic programs to help employee parents locate quality summer programs for their children ages 5-17. The free, fun-filled event provides parents with access to summer programs from within and outside of Emory as well as day and overnight camps, counselor-in-training and volunteer programs for teens, drivers training, college test prep, foreign exchange programs and much more. - Annual Back to School Campaign: Held in July, the Back to School Campaign offers a variety of web-based resources and free workshops to help parents and children prepare for their transition back to school. Workshops are facilitated by experts in the fields of educational consulting, college admissions and financial aid. College-bound students of Emory employees are also invited to attend. - Emory Employee Student Job Network: A joint collaboration between the WorkLife Resource Center and Emory’s Career Center, the Emory Employee Student Job Network is designed to exclusively help faculty and staff looking to hire Emory students on a part-time basis to help them with work-life responsibilities such as babysitting, pet care, house sitting, lawn care, etc. (continued next page) NEED HELP WITH A UNIQUE WORK-LIFE NEED? BrownRichards & Associates provides complimentary resource and referral work-life services to Emory faculty and staff: (404) 352-8137. Caregiver Workshop Series: Intended to meet the needs of employee-caregivers, this fall workshop series offers education for those caring for an adult loved one. The workshops focus on selected topics important to adult caregivers including legal and financial issues and preparation for long-term care, dementia and Alzheimer’s disease, and aging in place. Back-Up Care Advantage Program: A two-year pilot program of the Laney Graduate School (LGS), the Back-Up Care Advantage Program provides LGS degree-seeking graduate students with access to back-up dependent care for situations when normal care arrangements fall through. LGS has also implemented a parental leave policy for graduate student parents and pays 100% of the health insurance premiums for their graduate students. “The WorkLife Resource Center, with this report, has a history of commitment and a demonstrated value for excellence. The programs and initiatives developed by the Center make it a University community treasure. The Laney Graduate School has benefited immeasurably from the expertise and care of the Center’s staff and we appreciate the guidance and leadership the Center has provided for the Back-Up Care Advantage Program for graduate students with emergent child care or elder care needs.” Lisa Tedesco, Dean Laney Graduate School In 2009, Emory engaged Bright Horizons to conduct a comprehensive dependent care needs assessment which involved two phases: (1) a quantitative analysis and understanding of Emory’s demographics; and (2) a survey of Emory’s faculty, staff and graduate students. With a response rate of nearly 27 percent, the survey, along with the analysis, produced useful data that helped shape a plan for future dependent care programming. Some of the challenges reported by survey respondents included securing emergency back-up care and access to affordable quality child care centers. Respondents also expressed a desire for more flexibility in their work hours and the need for full-day summer programming on or near Emory’s campus. The chart below illustrates some of the survey findings: - use child care centers as primary care for infants or preschool age children: 50% - are satisfied with the care they receive for their children: 87% - prefer child care on or near campus: 50% - of faculty and staff are currently caring for an aging adult: 15% - are concerned about balancing work and elder care: 42% - had to miss work to address dependent care conflicts: 70% - cited flexibility as the most preferred option for minimizing care conflicts: 67% * 25% of those caring for an aging adult considered leaving Emory or taking a long-term leave of absence due to difficulties related to care FUTURE PROGRAMMING Emory plans to increase awareness of current resources and support and develop training to help employees and managers with challenges related to dependent care. Emory also has plans to enhance support for employee caregivers, particularly those caring for aging and sick adults. Over the past five years, the demand for workplace flexibility has significantly increased. WorldatWork estimates that 16 million employees work at home at least one day a month, a number that increased almost 62% between 2005 and 2010. The demands of family, advances in technology, the rising cost of fuel, and unusually long commute times are just a few of the reasons for the increased interest. Research has shown that workplace flexibility programs such as a flexible schedule, compressed work weeks and telecommuting can be an important factor in attracting and retaining talent. To respond to the changing needs of Emory’s faculty and staff, the Emory WorkLife Resource Center promotes workplace flexibility as a viable working solution, offers resources and guidance to employees and managers, and seeks to increase the number of flexible work programs across campus through proactive consultation. In 2011, the WorkLife Resource Center, in partnership with Emory’s Office of Institutional Research, Planning and Effectiveness, conducted a campus-wide survey of Emory staff. The confidential survey identified some key issues and themes surrounding this topic: - Approximately 64% of survey respondents reported that they currently participate in a flexible work option. Of those, 10% telecommute; 21% work a flexible schedule; 1% have a compressed work week; and 32% use a combination of flexible options. - There was a noticeable difference in overall job satisfaction between flexible and traditional workers. - Respondents rated the ability to effectively manage work and personal responsibilities as the greatest benefit from flexibility. - Managers reported that the highest benefit to offering flexibility is increased job satisfaction. - 19% of responding managers felt that Emory’s leadership was supportive of workplace flexibility. WEB STATISTICS WorkLife Resource Center’s web site utilization from April 1, 2009 to September 1, 2012: Total Visitors Since Inception: 149,000 Total First Time Users: 99,500 from 163 countries Total Page Views: 400,000+ Most Frequently Accessed Topic: Workplace Flexibility "The WorkLife Resource Team has done an extraordinary job of identifying and responding to the various needs of our faculty and staff. They have implemented meaningful programs and made valuable resources available. My heartfelt congratulations and gratitude for five years of dedicated service." Betsy Hames, SPHR, Director, Human Resources Development & Alumni Relations Financial planning and support are not only integral to sustaining individuals but also in providing them with opportunities to thrive. To specifically address the financial needs of Emory’s faculty and staff, the following programs were implemented in 2010: FINANCE MATTERS WORKSHOP SERIES The Emory WorkLife Resource Center launched Finance Matters, a series of workshops designed to teach the fundamental aspects of personal financial planning. With topics covering debt management, retirement planning, estate planning, home buying, insurance and more, the Center has held 43 free workshops since 2010, serving approximately 1,650 participants. EMORY UNIVERSITY HARDSHIP FUND Sponsored by the Employee Council, the Emory University Hardship Fund was established to provide financial assistance to those faculty and staff members who suddenly find themselves experiencing a temporary financial hardship due to a catastrophic event. Funded by voluntary donations (mostly from Emory faculty and staff), the Hardship Fund has helped numerous Emory employees who faced unexpected financial challenges. As of October 2012, the Hardship Fund has received $69,261 in donations and has awarded $48,753 to program applicants. HARDSHIP FUND AT-A-GLANCE \| Metric \| Value \| \|---------------------------------------------\|----------------\| \| Number of Hardship Applications Received \| 123 \| \| Number of Eligible Applications \| 67 \| \| Number of Awards Granted \| 33 \| \| Total Donations Received \| $69,261 \| \| Total Dollars Awarded \| $48,753 \| \| Average award amount \| $1,477 \| \| Highest award amount \| $2,000 \| \| Lowest award amount \| $385 \| * Data as of October 1, 2012 “The WorkLife Resource Center contributes to the recruitment and retention of Emory’s faculty. Specifically, it recognizes the salience of non-academic roles in the lives of faculty members and supports the faculty in their commitment to professional and personal satisfaction and success.” Claire Sterk, PhD, Sr Vice Provost, Academic Affairs, Office of the Provost Follow Emory WorkLife on Twitter! In Closing FROM THE DIRECTOR After five years of hard work and dedication, the staff of the Emory WorkLife Resource Center is pleased to present our inaugural report on the progress towards fulfilling the objectives and recommendations of the WorkLife Task Force. Our initial focus was to build a robust infrastructure to meet the needs of Emory’s diverse population. This included forming an advisory group to assist us in prioritizing the 94 recommendations of the Task Force, building a network of internal partnerships including, but not limited to FSAP, Emory Center for Health & Aging, Employee Council, and Faculty Life Course Committee. With a solid foundation in place, we worked to identify existing work-life resources that were already available on Emory’s campus, and then set about creating a one-stop portal (www.worklife.emory.edu) for accessing those resources. With the hiring of a full-time, dedicated staff, we were able to address the gap in dependent care resources and manage the various programs and services listed in this report. We have been able to design, create and implement child care programming that serves Emory’s faculty, staff and graduate students. Because adult caregiving can be one of the most demanding and emotional work-life challenges, over the next year, our staff will work towards implementing more support and resources for the Emory community. Workplace flexibility is, by far, one of the most effective programs for establishing a strong work-life culture. We will also continue to build positive momentum towards making Emory a flexible employer of choice. This includes equipping our managers and our workforce with the tools and techniques they need to fully utilize and implement flexibility in their workplaces. The WorkLife staff would like to thank the numerous leaders, managers and advisory group members who have helped us to bring this initiative forward and keep it sustained. We could not have made it this far without your help! John Kosky Director, WorkLife & Compensation Acknowledgements We would like to thank the following individuals for their support: WorkLife Executive Steering Committee Members - Peter Barnes, Vice President, Human Resources, Co-Chair, WorkLife Task Force - Rosemary Magee, Vice President & Secretary, Co-Chair, WorkLife Task Force - Sharon Weiss, Associate Dean, Faculty Dev, Emory School of Medicine - Claire Sterk, Senior Vice Provost, Academic Affairs, Office of the Provost - John Ford, Senior Vice President, Campus Life - Matthew Early, Vice President, Campus Services - Lisa Tedesco, Dean, Laney Graduate School - Charlotte Johnson, Sr Vice Provost for Administration, Office of the Provost - Gary Teal, Chief Administration Officer, Woodruff Health Science Center - Theresa Milazzo, Associate Vice President, Human Resources WorkLife Advisory Group Members - Randall Strahan, Associate Professor, Political Science - Betsy Hames, Director, Human Resources Development & Alumni Relations - Lisa Newbern, Chief of Public Affairs, Yerkes, Past Chair PCSW - Julie Seaman, Associate Professor, Law, Chair, Faculty Advancement Subcommittee - Kathryn Wynes, Director, Employee Relations, Human Resources Division - Anadri Chisolm-Noel, Associate Director, Learning & Organizational Development - Jill Perry-Smith, Assistant Professor, Goizueta Business School - Shelle Bryant, Project Coordinator, RSPH, Center for Aids Research - Heather Mugg, Associate Vice Provost, Office of the Provost - Sabrina Burnett, Human Resources Associate, The Carter Center - Sunday Buge, Operations Manager, Yerkes Main Station - Laura Papotto, Sr Dir, Operations, Emory College Administration - Katie Lloyd, Senior Asc Director, MBA Admission, Goizueta Business School - Dee Sneed, Assistant Director, Building Services, Campus Services - Thomas Manns, Police Sergeant, Emory Police Department - Pat Marsteller, Director of Emory College Center for Science Education - Robin Worthy, Sr Research Project Coordinator, Employee Council Representative - Rhonda Fuss, Sr Director, IT Strategic Support, Information Technology Special Advisors to the Emory WorkLife Resource Center - Amy Adelman, Managing Attorney - Kim Pate, Director, Assistant Vice President, Cash/Debt Management - Ciannat Howett, Director, Sustainability - Dona Yarbrough, Director, Center for Women To Learn More For more information about the Emory WorkLife Resource Center, contact us at 1599 Clifton Road NE, Suite 5.316, Atlanta, GA 30322; phone (404) 727-8000; www.worklife.emory.edu. You can also follow us on Twitter! Emory WorkLife Resource Center 1599 Clifton Road NE, Suite 5316 Atlanta, GA 30322 USA (404) 727-8000 www.worklife.emory.edu

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